6.14 IRO Dispute Resolution Process and Flowchart

This chapter was included in the handbook in December 2011.

Background
Criteria for IRO Representation
Southwark IRO Representation Process
Complaints about an IRO
The IRO's Responsibilities
Operational Manager's Responsibilities
IRO Manager's Responsibilities

Appendix A: Flow Chart for IRO Representation Process

1. Background

The IRO Handbook is the updated Statutory Guidance in force from April 2011 which amends Section 118 of the Adoption and Children Act 2002 and Section 26 of the Children Act 1989. It states

'It is the task of each local authority to put in place a formal process for the IRO to raise concerns and to ensure that this process is respected and prioritised by managers. The process is referred to in the guidance as the local dispute resolution process...... it will involve escalating the matter in dispute through a number of levels of seniority within the department with identified timescales for a response at each stage. The IRO may bypass any stage and progress the dispute to the level s/he considers most appropriate. The formal dispute resolution process within each local authority should have timescales in total of no more than 20 working days.'
(Section 6.2 IRO Handbook)

The following IRO Representation Procedure is Southwark's formal dispute resolution process.

2. Criteria for IRO Representation

The IRO Handbook states: 'the individual IRO is personally responsible for activating the dispute resolution process, even if this step may not be in accordance with the child's wishes and feelings, but may, in the IRO's view, be in accordance with the best interest and welfare of the child, as well as his/her human rights'. (Section 6.4 IRO Handbook)

The updated Statutory Guidance for Care Planning, Placement and Review Regulations 2010 states:

'Where the IRO is of the view that the responsible authority:

Has failed to address the needs of the child set out in the revised plan; and/or
Has failed to review the case in accordance with the regulations; and/or
Has failed to implement effectively any decision made at a review; or
Is otherwise in breach of its duties to the child in any significant way.

The IRO must advise staff at an appropriate level of seniority of this failure. It will be important that senior managers then work to resolve the failure within a timescale that meets the needs of the individual child.
(Section 4.40 Volume 2 Care Planning Placement and Case Review)

The Handbook also makes it clear that IRO representations should be made regardless of whether 'obstacles in the way of resolving the issue are outside or beyond the control of the local authority e.g. staffing, interagency or resource issues... if these are impacting on the ability of the Department to meet the needs of the child as identified in the child's Care Plan'. Therefore criteria for initiating an IRO representation are solely related to the needs of the child and not capacity of operational teams, resources or specific workers performance or behaviour. In the case of the latter a 'practice memo' from IROs to Team Managers can be used separately for individual workers issues if necessary.

An IRO Representation does not exclude a child or another adult on the child's behalf taking separate action which could include

Making a formal complaint;
Making an application to the courts.

The IRO has a duty to inform the child of their rights and assist in obtaining an advocate and/or legal representation .The IRO will also consult and keep informed the child and other relevant persons at each stage of the Representation as appropriate.

Criteria for IROs to initiate the Representation process in Southwark are summarised in the following 10 categories:-

Inadequate Preparation for Review;
- Lack of consultation, Care Plan/ reports, invites, arrangements, cancellations;
Non completion of Review Decisions;
- When this is significant or a repeated concern regardless of whether there is an understandable explanation (e.g. social worker in court) as it is about the needs of the Child not being met in appropriate timescales by Southwark as Corporate Parent. This is frequently raised by children and young people as a concern;
Issues of Human Rights;
- Non participation of child and parents in decision making e.g. before any change of placement; discriminatory practice; not informing child of rights and advocacy; not seeking parent's consent/restricting their contact if child on Section 20 etc;
Concerns with Allocations;
- Lack of stability and consistency of social work input; transition between social worker/teams/services; child raises concern re social work input;
Concerns re Permanency Planning;
- Inadequate, insufficient assessments; delays in assessments; drift/delay in family finding; lack of contingency plan; lack of extended family investigation; drift/delay in legal planning etc;
Concerns about Progress of Child;
- Quality/appropriateness of placement; preparation for moves or independent living; life story work; leisure activities; contact; education provision; health; emotional and behavioural support etc;
IRO Endorsement of Care Plan required;
- Not keeping IRO informed of significant events or failing to consult IRO when a change to Care Plan takes place including Court Care Plans, disagreement with all or part of Care Plan;
Statutory Requirements not fulfilled;
- Social work visits; health assessments; PEPs etc;
Non provision/lack of Provision/delay in Provision of service or resource to meet needs of child as identified in Care Plan;
Other.

3. Southwark IRO Representation Process

The IRO will determine when and to whom a representation based on the criteria above will be initiated. They will aim to address any issues at as low and informal a level as possible e.g. it may just need a reminder to a social worker to prepare review reports in advance and placing a QAU IRO Consultation record of this on ICS. However when the concern is repeated or is more significant the IRO should initiate the process. The IRO will determine the appropriate level of management at which to initiate and /or progress the representation to.

An IRO Representation must include details of the following

IRO Concern including any background and action already taken;
Requested Action and Timescale;
To which Management Level/Agency Representation is addressed;
Management/ Specialist Agency Response;
Outcome;
Date Concluded.

The procedure is an interactive process between IROs and Managers/Agencies. In order to be easily tracked, collated and quality assured it will be recorded on a Care Assess form distinct from an IRO Consultation Record.

IROs may need to make representation to professionals other than operational Specialist Children's Services Teams (which include Adoption & Fostering, YOT etc ) e.g. Education Service, CAMHS, Health and therefore an option of 'Other' is included in the Response section . The IRO will then have to cut and paste response from 'Other' into the Care Assess form if the agency does not have ICS access.

The IRO will reassign the Representation form to the appropriate Manager where this is possible who after completing would reassign back to IRO. The timescale for a response will be determined by the IRO based on the needs of the child but should not be more than 5 working days in the first instance. If the Representation cannot be addressed within that time period, the IRO can use their discretion to await manager's full response or escalate the Representation to a more senior level. There may be communication between IRO and Managers outside of this form. Convening a meeting of all relevant parties may also take place. The IRO may involve their Manager at any stage .A summary of actions/communications or reference to where this information is recorded must be included on the form. The IRO will be responsible for inputting the outcome to the Representation and finishing and saving the form. The complete procedure through all levels should not take longer than 20 days.

The IRO has the discretion to refer matters subject to Representation to CAFCASS at any time. They will inform their Manager of this referral who will in turn inform the AD and Head of Service. The IRO has a duty to inform the Guardian of any matter subject to a dispute resolution process.

The IRO Handbook states all IROs must have access to independent legal advice at any time .This can be secured by advising the IRO Manager who will appoint an independent legal provider having determined that this is necessary. CAFCASS and the Children's Legal Centre provide information and guidance on legislation, regulations and legal options but do not provide legal advice.

4. Complaints about an IRO

If there are concerns about the performance of a child's IRO or about the organisation and conduct of a review, the matter should be referred in writing to the IRO Manager who will arrange an investigation and feedback within 10 working days. If the matter is not resolved satisfactorily escalation to the QAU Business Manger or AD will take place.

Click here for the QAU IRO Representation Form (Word version)

5. The IRO's Responsibilities

To complete all IRO Representations using the Care Assess form issuing at the relevant level of manager or other agency and notifying QAU Management;
To consider and if in agreement act on requests from Managers for further time in the IRO Representation resolution process;
To progress IRO Representation to the next appropriate level of Management if matter is not satisfactorily resolved;
To seek independent legal advice if required;
To advise the court appointed Guardian and Southwark Legal of the issuing and resolution of any Representation if the child or young person is subject of Court Proceedings;
To update child and relevant parties as appropriate on the Representation process and seek updates from them as necessary.

6. Operational Manager's Responsibilities

To respond (within 5 working days) to the concerns of the IRO specifically addressing the requested action;
To request from the IRO further time if required to resolve the Representation;
To alert their manager if it's likely that the Representation will be progressed.

7. IRO Manager's Responsibilities

To advise IRO should they be acting outside regulations or Southwark procedures;
To support and assist the IRO in making a Representation as necessary;
To facilitate IRO request for independent legal advice if required;
To monitor IRO Representation responses via monthly Business Objects Reports and advise IROs and Operational Managers of those that remain outstanding;
To monitor and quality assure the performance of IROs and operation of the IRO service. This will include auditing of cases identified via other quality assurance arrangements in which a Representation had not been issued but where the LA practice fell short of expected practice standards;
Quarterly analysis of IRO Representations for feedback to IROs and Operational Teams and for inclusion in IRO Service Annual Report.

Appendix A: Flow Chart for IRO Representation Process

Click here to view Appendix A: Flow Chart for IRO Representation Process

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