Quality Assurance Process - Positive Challenge and Formal Escalation
SCOPE OF THIS CHAPTER
This chapter relates to the Quality Assurance Process (Positive Challenge and Formal Escalation) for the care planning of Children in Care and children within the Child Protection Conference arena.
This chapter should be read in its entirety as it includes additional guidance for IRO's needing to refer to Cafcass (see Section 5, Referrals to CAFCASS) together with Quality Assurance Process Flowchart – Positive Challenge and Formal Escalation and Referrals to CAFCASS Form which can be found in the Local Resources section under Independent Reviewing Officer Forms.
RELEVANT GUIDANCE
This chapter was added to the manual in August 2023.1. Role of Independent Chairs / Independent Reviewing Officers (IRO)
The Independent Chairs/IRO primary focus is to quality assure the child protection process, care planning and review process for each child and to ensure that his/her current wishes and feelings are given full consideration. To be successful, the role must be valued by senior managers and operate within a supportive service culture and environment. An effective Independent Chair /IRO service should enable the Local Authority and the wider Children's Services to achieve improved outcomes for children.
The Independent Chair/IRO should identify areas of good practice as well as areas that need to be improved and a comprehensive quality assurance process is essential to underpin this. In some instances the Independent Chairs may have professional concerns in relation to a child's care plan or enter into dispute with the responsible officers in relation to care planning. In such circumstances an effective Positive Challenge Process and Formal Escalation Process is essential to aid the prompt resolution of the concerns or dispute, to get the care plan back on track and to maintain healthy working relationships.
The IRO Handbook (2011) refers to the need for a Dispute Resolution Process, however this implies that IROs are in dispute with the Local Authority and this is not the case. More often the IRO wishes to address a professional concern relating to the care plan for a child whether this is due to delay or other practice issues. Therefore the process identified can be referred to as either the Positive Challenge Process or Formal Escalation Process.
2. Purpose of the Process Guidance
The Quality Assurance and Positive Challenge/Formal Escalation Processes are two separate but interdependent processes which allow Independent Chairs/IRO's to monitor and raise quality assurance issues in a timely manner and also to escalate and resolve concerns in relation to the care planning for Looked after Children (LAC) and children within the Child Protection Conference arena at the very earliest opportunity.
This guidance has been produced to support the continuous improvement of care planning and safeguarding in Lincolnshire with the overall aim of improving outcomes for Children and Young People.
3. The Quality Assurance Process (QAP)
As part of the child protection and monitoring function (for IROs), the Independent Chair/IRO has a duty to monitor the performance of the Local Authority's function as a corporate parent and to identify any areas of good and poor practice. This should include identifying patterns of concern emerging not just around individual children but also more generally in relation to the collective experience of the Local Authority's children in care and children within the child protection process in respect of the service they receive.
In Lincolnshire Emerging Themes/Patterns, and more general issues of concern and areas of good practice, will be addressed in a performance report to the Senior Management Team. The report will also summarise any specific cases that are currently being managed within the formal stages of Escalation. Senior managers should ensure that all matters identified in the monthly performance report are addressed through supervision and appraisal arrangements with the responsible Social Workers and line managers. All matters of general concern will remain on the performance agenda until resolved.
General areas of concern and good practice will also be discussed by Independent Chairs/IRO with operational teams as part of Quality Assurance meetings which take place on a regular basis.4. Quality Assurance Process for Independent Chairs and Team Managers
4.1 Positive Challenge/Informal Process
Please refer to Local Resources: Quality Assurance Process Flowchart - Positive Challenge and Formal Escalation.
Prior to the conference the Independent Chair reviews the electronic record in Mosaic as per the requirements of local procedures. Any concerns that are identified are addressed with the Social Worker and/or their Practice Supervisor either by phone or email. All actions should be recorded on the Chairs Activity (Positive Challenge) on the child's file in Mosaic. The Team have 5 days to respond to the concerns/actions requested. If the matter is not resolved to the Chair's satisfaction then the Chair decides whether to access the Formal Escalation Process. In this case Safeguarding and Review Team log the escalations from the Independent Chair and from the MSA Distribution sheet.
In respect of Looked after Children, prior to the review, the IRO reviews the electronic record in MOSAIC as per the requirements of the IRO handbook and local procedures. Any concerns that are identified are addressed with the Social Worker and/or their Practice Supervisor either by phone or email. All actions should be recorded on the Chairs Activity (Positive Challenge) on the child's file in Mosaic. The Team have 5 days to respond to the concerns/actions requested. If the matter is not resolved to the IRO's satisfaction then the IRO decides whether to access the Formal Escalation Process in MOSIAC.
The IRO has a duty to monitor the progress of the case. Should any issues arise during this time such as review decision timescales not adhered to or any other issues which are/or may impact upon the child then these should be addressed informally in the first instance as above.
All actions should be recorded on the child's file and logged on the IRO/Chairs Activity Step within Mosaic.
4.2 Formal Escalation Process
In this situation there has potentially been a breach of the child's human rights.
The Independent Chair/IRO has the power to enter into dispute at any of the 3 stages of the Formal Escalation Process. (Child Protection Escalations are not yet recorded in a separate MOSAIC Step).
This is determined by the urgency of the matter and the appropriateness of the stage where decisions can be carried out to resolve the matter. It is for Team Manager Level and above.
Once the Formal Escalation step has been accessed, the resolution period is 20 working days.
The Independent Chair/IRO Team Manager is kept fully informed throughout the Formal Process by the Independent Chair/IRO.
The 3 Formal Escalation stages involve social work and Independent Chair Practitioners at different levels:
Stage 1
Formal (Stage 1) Responses within 5 working days of receipt.
This stage is used for situations where attempts to address the issues informally via Positive Challenge have been unsuccessful or the concerns are such that the Team Manager is best placed to address them. This is recorded within the Mosaic Step. The Step is then sent to the relevant Team Manager; the Social Worker, Practice Supervisor and the Independent Chair/IRO should also be notified by email.
The Team Manager must respond using the Step within 5 working days and send the response back to the Independent Chair/IRO; the Social Worker and Practice Supervisor should also be notified of the response by email.
If at this stage the Independent Chair/IRO is satisfied by the response, they should record this in the final section of the Step within Mosaic and complete the Step and notify the Team Manager. Should the Independent Chair/IRO not be satisfied then the matter can be escalated to stage two.Stage 2
Formal (Stage 2) Responses within 5 working days of receipt.
The same Step is used and the formal section is completed or updated and sent to the relevant Children's Service Manager for the locality. The Locality TM, Independent Chair/IRO Team Manager and Senior Manager should also be notified by email.
The Children's Service Manager must respond within 5 working days and send the response back to the Independent Chair/IRO; the Team Manager, Social Worker and Practice Supervisor should be notified of the response by email. If at this stage the Independent Chair/IRO is satisfied by the response, they should record this in the final section of the Step; notify the Children's Service Manager and Team Manager. The Independent Chair/IRO Team Manager and Senior Manager should also be notified.
Should the Independent Chair/IRO not be satisfied then the matter can be escalated to stage three.Stage 3
Formal (Stage 3) Responses within 5 working days of receipt.
Notification of the Step to be sent to the Assistant Director of Children's Services. The relevant Children's Service Manager, Team Manager, Independent Chair/IRO Team Manager and Senior Manager should also be notified by email.
The Assistant Director must respond within 5 working days, and send the response back to the Independent Chair/IRO, the parties as above should be notified of the response by email. If at this stage the Independent Chair/IRO is satisfied by the response, they should record this in the final section of the Step, notify the Assistant Director and Team Manager and complete the Mosaic Step.
Should the Independent Chair/IRO not be satisfied then the matter can be escalated to CAFCASS.
Total timescale for the Formal Escalation Process is 20 working days (IRO Handbook) if resolution not achieved sooner.
The Independent Chair/IRO may bypass any stage and progress the escalation process to the level they consider most appropriate at any point.
Emails can be copied into/recorded in the Independent Chair/IRO Activity.
5. Referrals to CAFCASS
If the matter is not resolved through the Formal Escalation Process, the IRO can make a referral to CAFCASS by contacting CAFCASS Legal initially by telephone, (this is in respect of Children in Care only). The referral should always be confirmed in writing using the agreed Referrals to CAFCASS Form (see Referrals to CAFCASS Form). The duty lawyer at CAFCASS will provide contact details to the IRO. The CAFCASS Legal duty helpline telephone number is available from the CAFCASS National Office, the contact details for which can be found on www.cafcass.gov.uk. For further guidance please refer to the IRO Handbook.
The IRO must inform Local Authority Nominated Officer (Independent Chair/IRO Team Manager in the first instance) prior to the referral being made. The IRO can refer to CAFCASS at any time and does not have to wait until the Formal Escalation process has been completed. The IRO should record these details within the Mosaic Escalation Step.
When considering whether or not to make a referral to CAFCASS, the IRO should consider the impact that a referral would have for the child. In some cases, there will be time available first to pursue the full Formal Escalation process within the Local Authority (for example where the dispute relates to educational provision for the next academic year and it is currently still the Autumn term). In other situations, the matter will be of sufficient urgency that the Formal Escalation Process needs to be curtailed (for example where there is a plan to change the child's residential placement within a matter of weeks). It is the responsibility of the IRO to make the decision about if and when a referral is necessary, based on the timetable for the child.
As part of any Formal Escalation Process and prior to making a referral, the IRO should notify a Nominated Local Authority Senior Officer (Independent Chair/IRO Team Manager in the first instance) (to be identified in the local authority dispute resolution protocol) that a referral to CAFCASS is being considered. Where the IRO has reached a decision to curtail the Formal Escalation Process to meet the needs of the child, the IRO should explain the reasons for this to the Independent Chair/IRO Team Manager in the first instance).
Once a referral has been made, CAFCASS will enter into final dispute resolution with the local authority before proceedings are instigated. While CAFCASS cannot refuse to accept any referral, it is the responsibility of CAFCASS and not the IRO to determine whether or not a legal remedy should be sought. If the problem is not resolved to the benefit of the child and within the child's timeframe, CAFCASS has the power to initiate the following types of action (under regulation 3 of the Children and Family Court Advisory and Support Service Reviewed Case Referral Regulations 2004):
- Proceedings under section 7(1) of the Human Rights Act 1998;
- Claim for judicial review; other proceedings (for example under the 1989 Act).
6. Guidance on the Quality Assurance Process – Positive Challenge and Formal Escalation
Guidance on the Quality Assurance Process - Positive Challenge and Formal Escalation provides further guidance on the QAP and the Positive Challenge/Formal Escalation Process together with summary of the functions, key responsibilities and recording and sharing information within the processes.
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