Children’s Social Care Services
Core Information Requirements
Process Model
August 2008
Version 4.0
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Children's
Social
Care
Services
Core
Information
Requirements
- Process
Model
Children’s
Social
Services
Core
Information
Requirements
– Process
Model
CONTENTS
CONTENTS
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PART ONE
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INTRODUCTION AND PURPOSE OF THE DOCUMENT
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1.1
1.2
1.3
1.4
1.5
1.6
INTRODUCTION TO THE DOCUMENT
BACKGROUND TO THE DOCUMENT
CONTENT OF THE DOCUMENT
PURPOSE OF THE PROCESS MODEL
INTEGRATION WITH THE LOGICAL DATA MODEL
NUMBERING WITHIN THE DOCUMENT
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PART TWO
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THE PROCESSES DESCRIBED
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2.1
2.2
2.3
2.4
OVERVIEW OF PROCESSES
DETAILED PROCESS DESCRIPTIONS
PROCESS FLOW DIAGRAMS
PROCESS HIERARCHY
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PART THREE
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P1 LEVEL 1 PROCESS: CASE MANAGEMENT OPERATIONS
P1.1 Level 2 Process: Core Case Management Operations
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P1.1.1 Level 3 Process: Reception and Initial Contact
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P1.1.1.1 Level 4 Process: Evaluate Contact
P1.1.1.2 Level 4 Process: Pass Information to Named Caseworker
P1.1.1.3 Level 4 Process: Pass Information to Responsible Individual
P1.1.1.4 Level 4 Process: Provide Advice and/or Information
P1.1.1.5 Level 4 Process: Refer to Appropriate Agency(ies)
P1.1.1.6 Level 4 Process: Complete Contact Record
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P1.1.2 Level 3 Process: Receive Referral
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P1.1.2.1 Level 4 Process: Evaluate Referral Information
P1.1.2.2 Level 4 Process: Complete Referral and Information Record
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P1.1.3 Level 3 Process: Allocate Case Worker
P1.1.4 Level 3 Process: Undertake an Initial Assessment
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P1.1.4.1 Level 4 Process: Complete Initial Assessment Record
P1.1.4.2 Level 4 Process: Evaluate Initial Assessment Record
P1.1.4.3 Level 4 Process: Enter Child’s Name on the Register of Disabled Children
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P1.1.5 Level 3 Process: Undertake a Core Assessment
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P1.1.5.1 Level 4 Process: Commence Chronology Record
P1.1.5.1.1 Level 5 Process: Prepare a Chronology of Significant Events for Court
P1.1.5.2 Level 4 Process: Complete Core Assessment Record
P1.1.5.2.1 Level 5 procee: Prepare a Core Assessment Record for Court
P1.1.5.3 Level 4 Process: Evaluate Core Assessment Record
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P1.1.6 Level 3 Process: Formulate Child in Need Plan
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P1.1.6.1 Level 4 Process: Complete Child in Need Plan Record
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P1.1.7 Level 3 Process: Implement Child in Need Plan
P1.1.8 Level 3 Process: Review Progress Against Child in Need Plan
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P1.1.8.1 Level 4 Process: Complete Child in Need Plan Review Record
P1.1.8.2 Level 4 Process: Hold Child in Need Review Meeting
P1.1.8.3 Level 4 Process: Revise Child in Need Plan
P1.1.8.4 Level 4 Process: Update Child in Need Plan Record
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P1.1.9 Level 3 Process: Close Case
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P1.1.9.1 Level 4 Process: Complete Closure Record
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P1.2 Level 2 Process: Request, Receive and Evaluate Information
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P1.2.1 Level 3 Process: Request Information
P1.2.2 Level 3 Process: Receive Information
P1.2.3 Level 3 Process: Evaluate Information
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P1.2.3.1 Level 4 Process: Pass Information to Appropriate Person/Team
P1.2.3.2 Level 4 Process: Decide Actions in Response to Information Received
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P1.3 Level 2 Process: Child Protection Operations
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P1.3.1 Level 3 Process: Determine Need for Immediate Action
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P1.3.1.1 Level 4 Process: Undertake Immediate Action
P1.3.1.2 Level 4 Process: Police Take Action to Protect the Child
P1.3.1.3 Level 4 Process: CSSR Take Action to Protect the Child
P1.3.1.4 Level 4 Process: CSSR Applies for an Emergency Protection Order
P1.3.1.5 Level 4 Process: CSSR Applies for an Exclusion Requirement in an Emergency Protection Order
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P1.3.2 Level 3 Process: Hold Strategy Discussion
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P1.3.2.1 Level 4 Process: Complete a Record of the Strategy Discussion
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P1.3.3 Level 3 Process: Undertake ‘Achieving Best Evidence’ Interview
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P1.3.3.1 Level 4 Process: Inform Core Assessment of ‘Achieving Best Evidence’ Interview Findings
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P1.3.4 Level 3 Process: Undertake Core Assessment under Section 47
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P1.3.4.1 Level 4 Process: Determine Section 47 Enquiry Outcomes
P1.3.4.2 Level 4 Process: Record Outcome of Section 47 Enquiry
P1.3.4.3 Level 4 Process: Complete Initial Child Protection Conference Report
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P1.3.5 Level 3 Process: Hold Initial Child Protection Conference
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P1.3.5.1 Level 4 Process: Agree Outline Child Protection Plan
P1.3.5.2 Level 4 Process: Agree Date of the First Child Protection Review Conference
P1.3.5.3 Level 4 Process: Agree Conditions for Holding Child Protection Review Conference Earlier than Planned
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P1.3.6 Level 3 Process: Determine if Family Court Proceedings are Appropriate
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P1.3.6.1 Level 4 Process: Appropriate Party Initiates Alternative Legal Route
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P1.3.7 Level 3 Process: Agree for Child to be Looked After under S20
P1.3.8 Level 3 Process: Determine Category of Abuse or Neglect
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P1.3.8.1 Level 4 Process: Notify the Designated Manager that a Child Protection Plan is Required
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P1.3.9 Level 3 Process: Appoint Key Worker and Agree Core Group Membership
P1.3.10 Level 3 Process: Develop Child Protection Plan
P1.3.11 Level 3 Process: Implement the Child Protection Plan
P1.3.12 Level 3 Process: Undertake Child Protection Review
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P1.3.12.1 Level 4 Process: Complete Child Protection Review Record (Part One)
P1.3.12.2 Level 4 Process: Hold Child Protection Review Conference
P1.3.12.3 Level 4 Process: Complete Child Protection Review Record (Part Two)
P1.3.12.4 Level 4 Process: Revise Child Protection Plan
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P1.3.13 Level 3 Process: End of Child Protection Plan
P1.3.14 Level 3 Process: Handle Enquiries Made about the existence of a Child Protection Plan
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P1.3.14.1 Level 4 Process: Record Child Protection Plan Enquiry
P1.3.14.2 Level 4 Process: Check if a Child is the subject of a Child Protection Plan
P1.3.14.3 Level 4 Process: Notify Enquirer of Child’s Key Worker
P1.3.14.4 Level 4 Process: Check if Enquiry Concerns a Child at the Same Address as a child who is the subject of a CP Plan
P1.3.14.5 Level 4 Process: Notify Key Worker if Enquiry Made About a Child at the Same Address as a CP Plan Child
P1.3.14.6 Level 4 Process: Check if a Non-Child Protection Plan Child is the Subject of a Previous Enquiry
P1.3.14.7 Level 4 Process: Notify Enquirer if a Non-child Protection Plan Child is the Subject of a Previous Enquiry
P1.3.14.8 Level 4 Process: Notify Social Services Department if there Has Been a Previous Enquiry About a Non-Child Protection Plan Child
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P1.4 Level 2 Process: Looked After Children Operations
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P1.4.1 Level 3 Process: Decide if a Child Needs to be Looked After
P1.4.2 Level 3 Process: Decide on Immediate Placement
P1.4.3 Level 3 Process: Initiate Appropriate Placement
P1.4.4 Level 3 Process: Initiate a Planned Series of Short-Term Breaks
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P1.4.4.1 Level 4 Process: Produce Regulation 13 Agreement
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P1.4.5 Level 3 Process: Initiate Care Proceedings
P1.4.6 Level 3 Process: Obtain Parental Agreement to Accommodate a Child (Section 20)
P1.4.7 Level 3 Process: Record Legal Status
P1.4.8 Level 3 Process: Formulate a Care Plan
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P1.4.8.1 Level 4 Process: Complete Personal Education Plan
P1.4.8.1.1 Level 5 Process: Prepare a Care Plan for Court Proceedings
P1.4.8.2 Level 4 Process: Complete Health Assessment
P1.4.8.3 Level 4 Process: Complete Health Plan
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P1.4.9 Level 3 Process: Review Care Plan (Pathway Plan/Adoption Plan)
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P1.4.9.1 Level 4 Process: Consult with Key Parties for Review
P1.4.9.2 Level 4 Process: Issue Review Meeting Invitations
P1.4.9.3 Level 4 Process: Hold Care Plan Review Meeting
P1.4.9.4 Level 4 Process: Revise Care Plan
P1.4.9.5 Level 4 Process: Notify Care Plan Review Results
P1.4.9.6 Level 4 Process: Complete Assessment and Progress Record
P1.4.9.7 Level 4 Process: Complete Looked After Children Review Record
P1.4.9.8 Level 4 Process: Complete Child/Young Person’s Review of Pathway Plan
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P1.4.10 Level 3 Process: Undertake Return Home Enquiries
P1.4.11 Level 3 Process: Prepare for Child in Care Under s31 to be Placed with Parents
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P1.4.11.1 Level 4 Process: Decide on Return Home Placement
P1.4.11.2 Level 4 Process: Agree Return Home Placement Conditions
P1.4.11.3 Level 4 Process: Notify Relevant Parties of Return Home
P1.4.11.4 Level 4 Process: Revoke Care Order
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P1.4.12 Level 3 Process: Return Child Home
P1.4.13 Level 3 Process: Make a Formal Transition from Care Plan to Adoption Plan
P1.4.14 Level 3 Process: Make a Formal Transition from Care Plan to Pathway Plan
P1.4.15 Level 3 Process: Formulate a Transition Plan
P1.4.16 Level 3 Process: Prepare for Young Person Reaching 18
P1.4.17 Level 3 Process: Complete Placement Information Record
P1.4.18 Level 3 Process: Notify Relevant Persons of the Child’s Placement
P1.4.19 Level 3 Process: Notify Register of Looked After Children
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P1.5 Level 2 Process: Secure Special Guardianship
P1.6 Level 2 Process: Agency Adoption of Looked After Children
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P1.6.1 Level 3 Process: Review Care Plan Decision to Adopt
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P1.6.1.1 Level 4 Process: Notify Birth Parents of the Plan for the Child to be Adopted
P1.6.1.2 Level 4 Process: Complete a Child’s Permanence Report
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P1.6.2 Level 3 Process: Adoption Panel Consider the Report on the Needs of the Child
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P1.6.3 Level 3 Process: Adoption Panel Make ‘Best Interests’ Recommendation
P1.6.4 Level 3 Process: Adoption Agency Make ‘Best Interests’ Decision
P1.6.5 Level 3 Process: Adoption Agency Prepares a Report on Child
P1.6.6 Level 3 Process: CSSR Notify CAFCASS to Witness Consent by Child’s Birth Parent(s)
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P1.6.6.1 Level 4 Process: CAFCASS Meet Birth Parents
P1.6.6.2 Level 4 Process: CAFCASS Return Consent Form to CSSR
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P1.6.7 Level 3 Process: CSSR Apply to Court for a Placement Order
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P1.6.7.1 Level 4 Process: Court Notify CAFCASS of the Placement Order Application
P1.6.7.2 Level 4 Process: CAFCASS Appoint Guardian
P1.6.7.3 Level 4 Process: CSSR Receive Notification From Court of Placement Order Hearing
P1.6.7.4 Level 4 Process: CSSR Prepare Placement Order Hearing Court Report
P1.6.7.5 Level 4 Process: CSSR Submit Placement Order Hearing Report to Court
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P1.6.8 Level 3 Process: Court Undertakes Placement Order Hearing
P1.6.9 Level 3 Process: Adoption Agency Consider Matching of Applicant and Child
P1.6.10 Level 3 Process: Adoption Agency Sends Child Details to the Adoption Register
P1.6.11 Level 3 Process: Receive Information from Adoption Register
P1.6.12 Level 3 Process: Adoption Agency Suggest a Suitable Match
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P1.6.12.1 Level 4 Process: Adoption Agency Give Applicant Report on Child
P1.6.12.2 Level 4 Process: Adoption Agency Prepare Matching Report for Adoption Panel
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P1.6.13 Level 3 Process: Adoption Panel Make Matching Recommendation
P1.6.14 Level 3 Process: Adoption Agency Make Matching Decision
P1.6.15 Level 3 Process: Place Child with Approved Prospective Adopters
P1.6.16 Level 3 Process: Review Care Plan (Adoption Plan)
P1.6.17 Level 3 Process: End Placement With Approved Prospective Adopters
P1.6.18 Level 3 Process: CSSR Notify Applicants Consent has been Withdrawn
P1.6.19 Level 3 Process: Prospective Adopters Apply to Court for an Adoption Order Hearing
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P1.6.19.1 Level 4 Process: Court Notify CAFCASS of the Adoption Order Application
P1.6.19.2 Level 4 Process: CAFCASS Appoint Guardian
P1.6.19.3 Level 4 Process: CSSR Receive Notification from Court of Adoption Hearing
P1.6.19.4 Level 4 Process: CSSR Prepare Adoption Order Hearing Report for Court
P1.6.19.5 Level 4 Process: CSSR Submit Adoption Order Hearing Report to Court
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P1.6.20 Level 3 Process: Court Undertakes Adoption Order Hearing
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P1.7 Level 2 Process: Adoption Through Non-Agency Placement
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P1.7.1 Level 3 Process: CSSR Receives Notification of Intention to Adopt
P1.7.2 Level 3 Process: Check Eligibility of the Applicant to Apply for an Adoption Order
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P1.7.2.1 Level 4 Process: Notify Applicant Why Not Eligible and the Right to Seek Leave of Court
P1.7.2.2 Level 4 Process: Notify Applicant That They Are Eligible To Apply To Court
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P1.8 Level 2 Process: Provision of Adoption Support Services
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P1.8.1 Level 3 Process: Identify The Requirement To Carry Out An Assessment Of The Need For Adoption Support Services
P1.8.2 Level 3 Process: Undertake Assessment of the Needs for Adoption Support Services
P1.8.3 Level 3 Process: Assign Named Worker to Provide and Co-ordinate Adoption Support
P1.8.4 Level 3 Process: Produce an Adoption Support Plan
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P1.8.4.1 Level 4 Process: Record Adoption Support Plan
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P1.8.5 Level 3 Process: Implement the Adoption Support Plan
P1.8.6 Level 3 Process: Review the Adoption Support Plan
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P1.8.6.1 Level 4 Process: Revise Adoption Support Plan
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P1.9 Level 2 Process: Inter-Country Adoption Operations
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P1.9.1 Level 3 Process: Agency Receives Request for Inter-Country Adoption Assessment
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P1.9.1.1 Level 4 Process: Agency Assigns Social Worker
P1.9.1.2 Level 4 Process: Social Worker Tests Eligibility Of Applicant
P1.9.1.3 Level 4 Process: Agency Notify Applicant of Ineligibility
P1.9.1.4 Level 4 Process: Offer Counselling
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P1.9.2 Level 3 Process: Assess Application
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P1.9.2.1 Level 4 Process: Produce Report on Eligibility and Suitability
P1.9.2.2 Level 4 Process: Send Eligibility and Suitability Report to Applicant
P1.9.2.3 Level 4 Process: Applicant Submits Comments on the Report to Agency
P1.9.2.4 Level 4 Process: Agency Forwards the Report and Applicant’s Comments to the Adoption Panel
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P1.9.3 Level 3 Process: Make Adoption Panel Recommendation
P1.9.4 Level 3 Process: Adoption Agency Decision-Maker Considers the Recommendation
P1.9.5 Level 3 Process: Notify Applicant of Non-Approval and of Right to Submit Representations
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P1.9.5.1 Level 4 Process: Re-submit Report and Representations to Adoption Panel
P1.9.5.2 Level 4 Process: Agency Confirms Application is Declined
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P1.9.6 Level 3 Process: Notify Decision To Approve To Applicant
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P1.9.6.1 Level 4 Process: Send Papers And Approval Report to Department of Health
P1.9.6.2 Level 4 Process: DH Checks Adoption Papers are Correct
P1.9.6.3 Level 4 Process: DH Request Additional Documentation from Agency
P1.9.6.4 Level 4 Process: Agency Submit Additional Documentation
P1.9.6.5 Level 4 Process: DH Check Regulations Have Been Complied With
P1.9.6.6 Level 4 Process: DH Refer Papers Back to the Adoption Agency
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P1.9.7 Level 3 Process: DH Issue Certificate of Eligibility and Suitability
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P1.9.7.1 Level 4 Process: DH Notifies Applicant and Adoption Agency of Certificate Issue
P1.9.7.2 Level 4 Process: DH Arranges Translation/Legalisation And Notarisation Of Papers
P1.9.7.3 Level 4 Process: DH Sends Case Papers to Overseas Government or Agency
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P1.9.8 Level 3 Process: Overseas Government or Agency Consider Application
P1.9.9 Level 3 Process: DH Notify Agency that Applicant is Unsuitable to Overseas Government or Agency
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P1.9.9.1 Level 4 Process: Agency Notifies Applicant of their Unsuitability
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P1.9.10 Level 3 Process: Matching Report Received by DH
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P1.9.10.1 Level 4 Process: DH sends Matching Report to Agency.
P1.9.10.2 Level 4 Process: Agency Sends Matching Report to Applicant
P1.9.10.3 Level 4 Process: Agency Meets Applicants to Discuss the Proposed Match
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P1.9.11 Level 3 Process: Applicant Notifies the Agency of Decision not to Proceed With Match
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P1.9.11.1 Level 4 Process: Agency Notifies DH of Decision not to Proceed with Match and Returns all Papers
P1.9.11.2 Level 4 Process: DH Notifies Overseas Government of Decision not to Proceed with Match and Returns all Papers
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P1.9.12 Level 3 Process: Agency Notifies DH of Wish to Adopt Another Child from Same Country
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P1.9.12.1 Level 4 Process: DH Notifies Overseas Government or Agency of Wish to Adopt Another Child from Same Country
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P1.9.13 Level 3 Process: Applicant Travels to Meet Child
P1.9.14 Level 3 Process: Applicant Notifies Adoption Agency of Intent to Proceed
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P1.9.14.1 Level 4 Process: Agency Notifies DH of Intent to Proceed
P1.9.14.2 Level 4 Process: DH Notify Overseas Government or Agency of Intent to Proceed
P1.9.14.3 Level 4 Process: DH and Applicant Liaise with Home Office
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P1.9.15 Level 3 Process: DH Make Hague Convention Article 17(C) Agreement
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P1.9.15.1 Level 4 Process: DH Notify Agency that Hague Convention Article 17(C) Agreement Made
P1.9.15.2 Level 4 Process: Adoption Agency Notifies Applicant that Hague Convention Agreement Made
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P1.9.16 Level 3 Process: Applicant Makes Arrangements With Overseas Government Or Agency
P1.9.17 Level 3 Process: Overseas Authority Place Child With Applicant With the Intention that the Child be Adopted in the UK
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P1.9.17.1 Level 4 Process: Applicant Applies for Entry Clearance for the Child
P1.9.17.2 Level 4 Process: Applicant and Child Return to the UK
P1.9.17.3 Level 4 Process: Applicant Notifies their CSSR that they have Brought a Child into the Country with the Intention to Adopt
P1.9.17.4 Level 4 Process: Adoption Agency Check with Applicant if the Child is in the UK
P1.9.17.5 Level 4 Process: Adoption Agency Notify Police
P1.9.17.6 Level 4 Process: Applicant Notifies Agency they no Longer Wish to Adopt the Child
P1.9.17.7 Level 4 Process: CSSR Notifies DH and Makes Arrangements for the Child
P1.9.17.8 Level 4 Process: Return Child to Country of Origin
P1.9.17.9 Level 4 Process: CSSR Monitors Placement Until Adoption Order is Made
P1.9.17.10 Level 4 Process: Applicant Applies to Court for Convention Adoption Order
P1.9.17.11 Level 4 Process: Court Requests Report
P1.9.17.12 Level 4 Process: CSSR Produces Report
P1.9.17.13 Level 4 Process: CSSR Submits Report to Court
P1.9.17.14 Level 4 Process: Court Considers the Adoption Order Application
P1.9.17.15 Level 4 Process: CSSR Complies With any Court Orders and Makes Arrangements for the Child
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P1.9.18 Level 3 Process: Applicant Pursues Adoption Order In State Of Origin
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P1.9.18.1 Level 4 Process: Applicant Applies for Entry Clearance for the Child
P1.9.18.2 Level 4 Process: Applicant Notifies CSSR of Private Fostering Placement
P1.9.18.3 Level 4 Process: Adoption Order Made in Court of the Country of Child’s Origin
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P1.9.19 Level 3 Process: Applicant Obtains Full Convention Adoption Order in the Child’s State of Origin
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P1.9.19.1 Level 4 Process: Adopters Apply For Child’s British Passport
P1.9.19.2 Level 4 Process: Applicant Applies for Entry Clearance for the Child
P1.9.19.3 Level 4 Process: Adopters and Child Return to the UK
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P1.10 Level 2 Process: Ensure The Welfare of Privately Fostered Children
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P1.10.1 Level 3 Process: Receive Notification of Intention to Enter into a Private Fostering Arrangement
P1.10.2 Level 3 Process: Undertake Private Fostering Statutory Enquiries
P1.10.3 Level 3 Process: Consider Outcomes of Private Fostering Statutory Enquiries
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P1.10.3.1 Level 4 Process: Issue Notification of Refusal
P1.10.3.2 Level 4 Process: Issue Notification of Prohibition
P1.10.3.3 Level 4 Process: Advise Parents to Make Alternative Arrangements
P1.10.3.4 Level 4 Process: Consider an Appeal Against a Notification of Refusal or a Notification of Prohibition
P1.10.3.5 Level 4 Process: Withdraw Notification of Refusal and/or Notification of Prohibition
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P1.10.4 Level 3 Process: Impose Requirements on a Private Foster Carer
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P1.10.4.1 Level 4 Process: Consider an Appeal Against Imposed Requirements on a Private Foster Carer
P1.10.4.2 Level 4 Process: Confirm/Amend Imposed Requirements on a Private Foster Carer
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P1.10.5 Level 3 Process: Commence Private Fostering Placement
P1.10.6 Level 3 Process: Undertake Statutory Visit
P1.10.7 Level 3 Process: Terminate Private Fostering Placement
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P1.10.7.1 Level 4 Process: Parents Make Alternative Arrangements to Accommodate Child
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P1.11 Level 2 Process: Sixteen Plus Leaving Care Operations
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P1.11.1 Level 3 Process: Identify Eligible Care Leavers
P1.11.2 Level 3 Process: Appoint Personal Adviser
P1.11.3 Level 3 Process: Undertake Multi-Agency Assessment
P1.11.4 Level 3 Process: Formulate Pathway Plan
P1.11.5 Level 3 Process: Implement Pathway Plan
P1.11.6 Level 3 Process: Review Pathway Plan
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P1.11.6.1 Level 4 Process: Complete Pathway Plan Review Record
P1.11.6.2 Level 4 Process: Revise Pathway Plan
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P1.11.7 Level 3 Process: Gather Care Leaver Performance Indicator Information
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P1.11.7.1 Level 4 Process: Extract Information for DH OC3 Return
P1.11.7.2 Level 4 Process: Submit DH OC3 Return
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P1.11.8 Level 3 Process: Refer to Adult Services, other CSSR Services or other Agencies
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P2 LEVEL 1 PROCESS: SUPPLY SERVICES AND OTHER RESOURCES.
P2.1 Level 2 Process: Provide Services
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P2.1.1 Level 3 Process: Initiate Service
P2.1.2 Level 3 Process: Terminate Service
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P2.2 Level 2 Process: Recruit Foster Carers and Adoptive Parents.
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P2.2.1 Level 3 Process: Decide to Run a Recruitment Campaign
P2.2.1.1 Level 4 Process: Advertise.
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P2.2.1.2 Level 4 Process: Pay for Advertising
P2.2.1.3 Level 4 Process: Record Response to Advertisements
P2.2.1.4 Level 4 Process: Place Recruitment Leaflets
P2.2.1.5 Level 4 Process: Produce Recruitment Leaflets
P2.2.1.6 Level 4 Process: Pay for Leaflets
P2.2.1.7 Level 4 Process: Record Response to Leaflet Campaign.
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P2.3 Level 2 Process: Establish and Maintain Fostering Panel
P2.4 Level 2 Process: Assess Potential Foster Carers/Adoptive Parents (Work in Progress)
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P2.4.1 Level 3 Process: Applicant Applies to Adoption Agency
P2.4.1.1 Level 4 Process: Adoption Agency Conducts Checks with National Criminal Records Bureau
P2.4.1.2 Level 4 Process: Adoption Agency Notify Applicant of NCRB Check Issue
P2.4.1.3 Level 4 Process: Adoption Agency Terminate Application
P2.4.2 Level 3 Process: Adoption Agency Conducts Assessment of Applicant
P2.4.2.1 Level 4 Process: Adoption Agency Prepare Report for Adoption Panel
P2.4.3 Level 3 Process: Adoption Agency Sends Applicant Copy of Report
P2.4.4 Level 3 Process: Applicant Makes Observations on Report to Agency
P2.4.5 Level 3 Process: Agency Submits Report and Applicant’s Observations to Adoption Panel
P2.4.6 Level 3 Process: Adoption Panel Make Suitability Recommendation
P2.4.7 Level 3 Process: Adoption Agency Makes Suitability Determination
P2.4.8 Level 3 Process: Adoption Agency Notify Applicant of Non-Approval.
P2.4.8.1 Level 4 Process: Adoption Agency Notify Applicant of Right to a Review
P2.4.9 Level 3 Process: Adoption Agency Refers Case to Independent Review Panel
P2.4.10 Level 3 Process: Independent Review Panel Review Case
P2.4.10.1 Level 4 Process: Independent Review Panel Make Suitability Recommendation
P2.4.11 Level 3 Process: Applicant Submits Further Information to Adoption Agency
P2.4.11.1 Level 4 Process: Adoption Agency Refers Additional Information to Adoption Panel
P2.4.12 Level 3 Process: Adoption Panel Review Case
P2.4.13 Level 3 Process: Adoption Panel Makes Suitability Recommendation
P2.4.14 Level 3 Process: Adoption Agency Makes Suitability Decision
P2.4.14.1 Level 4 Process: Adoption Agency Notify Applicant of Non-Approval Decision
P2.4.14.2 Level 4 Process: Adoption Agency Notifies Applicant of Approval
152
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P2.5 Level 2 Process: Train Applicants, Approved Foster Carers and Adoptive Parents
157
P2.5.1 Level 3 Process: Audit Training Needs
P2.5.2 Level 3 Process: Prepare Training Programme
P2.5.3 Level 3 Process: Purchase Training
P2.5.4 Level 3 Process: Record Training Portfolio
P2.5.5 Level 3 Process: Evaluate Training Events.
157
157
158
158
158
P2.6 Level 2 Process: Manage and Support Foster Carers
159
P2.6.1 Level 3 Process: Make Foster Care Agreement
P2.6.2 Level 3 Process: Supervise and Support Foster Carers
P2.6.3 Level 3 Process: Agree Foster Carer Payments
P2.6.4 Level 3 Process: Undertake Annual Review of Carer
159
159
160
160
P2.7 Level 2 Process: Train and Develop Staff
162
P2.7.1 Level 3 Process: Determine Individual Training Needs
P2.7.2 Level 3 Process: Audit and Analyse Training Needs
P2.7.3 Level 3 Process: Plan and Prepare Training Programme
P2.7.4 Level 3 Process: Commission Training And Staff Development
P2.7.5 Level 3 Process: Monitor Training Activity And Take Up
P2.7.6 Level 3 Process: Evaluate Training Events And Overall Impact
P2.7.7 Level 3 Process: Identify Practice Teachers and Diploma in Social Work Placements
162
162
163
163
163
163
164
P2.8 Level 2 Process: Commission Services
165
P2.8.1 Level 3 Process: Specify Service Requirements
P2.8.2 Level 3 Process: Select Service Provider
P2.8.3 Level 3 Process: Make Formal Service Agreement
165
166
166
P2.8.3.1 Level 4 Process: Make Agreement with Independent Fostering Agencies
P2.8.3.2 Level 4 Process: Monitor and Evaluate Service Agreement
167
168
P2.8.4 Level 3 Process: Review Service Agreement
P2.8.5 Level 3 Process: Amend Service Agreement
P2.8.6 Level 3 Process: Terminate Service Agreement
168
169
169
P2.9 Level 2 Process: Accredit Suppliers as Preferred Providers
170
P2.9.1 Level 3 Process: Apply For/Identify Accreditation as a Preferred Provider
P2.9.2 Level 3 Process: Inspect/Check Supplier
P2.9.3 Level 3 Process: Accept/Reject Accreditation
P2.9.4 Level 3 Process: Review Accreditation
P2.9.5 Level 3 Process: Remove Accreditation
170
170
171
171
171
P2.10 Level 2 Process: Support Community Services
173
P2.10.1 Level 3 Process: Commission (Agree to Fund) Community Service Providers
P2.10.2 Level 3 Process: Provide Usage and Cost Information
P2.10.3 Level 3 Process: Review Service Provider Performance
P2.10.4 Level 3 Process: End Service Agreement and Grant Funding
173
173
174
174
P3 LEVEL 1 PROCESS: MANAGE SERVICES
P3.1 Level 2 Process: Manage Operations
175
176
P3.1.1 Level 3 Process: Monitor Compliance with Time Limits and Regulations
176
P3.1.1.1 Level 4 Process: Monitor Compliance with the Framework for the Assessment of Children in Need and their Families and Working Together
P3.1.1.2 Level 4 Process: Monitor Compliance with Arrangements for Placement of Children (General) Regulations 1991
176
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P3.1.1.3 Level 4 Process: Monitor Compliance with Reviews of Children’s Cases Regulations 1991
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P3.1.1.4 Level 4 Process: Monitor Compliance with Fostering Services Regulations 2002
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P3.1.1.5 Level 4 Process: Monitor Compliance with Placement of Children with Parents etc Regulation 1991
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P3.1.1.6 Level 4 Process: Monitor Compliance with Children (Secure Accommodation) Regulations 1991
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P3.1.1.7 Level 4 Process: Monitor Compliance with Children’s Home Regulations 2002 – Regulation 33 Visits
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P3.1.2 Level 3 Process: Undertake Case Allocation
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P3.2 Level 2 Process: Manage Human Resources
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P3.2.1 Level 3 Process: Check Completeness of Workforce
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P3.2.2 Level 3 Process: Check Suitability of Prospective Employees
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P3.2.3 Level 3 Process: Check Workforce is being Trained and Developed
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P3.2.3.1 Level 4 Process: Ensure New Staff are Inducted
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P3.2.3.2 Level 4 Process: Ensure Staff Receive Core Skills Training And Refreshers
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P3.2.3.3 Level 4 Process: Ensure that Key Staff Receive Necessary Specialised Training
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P3.2.3.4 Level 4 Process: Promote the Pursuit of Qualifications by Appropriate Staff
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P3.2.4 Level 3 Process: Discipline Staff
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P3.3 Level 2 Process: Produce Statistical Returns for Central Government
P3.4 Level 2 Process: Manage Physical Resources
185
186
P3.4.1 Level 3 Process: Utilise Family Centre and Day Care Services
186
P3.4.2 Level 3 Process: Utilise Children’s Residential Care.
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P3.4.3 Level 3 Process: Utilise Foster Care
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P3.4.4 Level 3 Process: Utilise Fieldwork Teams
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P3.5 Level 2 Process: Develop Services
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P3.5.1 Level 3 Process: Monitor Quality and Performance
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P3.5.1.1 Level 4 Process: Gather Information on Quality and Performance
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P3.5.1.2 Level 4 Process: Report on Quality and Performance
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P3.5.2 Level 3 Process: Monitor Demand and Capacity
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P3.5.2.1 Level 4 Process: Determine Unmet Need
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P3.5.3 Level 3 Process: Agree Service Plans
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P3.6 Level 2 Process: Manage Finances
193
P3.6.1 Level 3 Process: Agree Budget
193
P3.6.2 Level 3 Process: Allocate Costs
194
P3.6.2.1 Level 4 Process: Record Committed Costs
194
P3.6.2.2 Level 4 Process: Record Actual Costs
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P3.6.3 Level 3 Process: Monitor and Forecast Costs
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P3.6.4 Level 3 Process: Revise Budgets
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P3.6.5 Level 3 Process: Report on Financial Management
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P3.7 Level 2 Process: Set Strategic Direction
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ANNEX A: A NOTE ON ASSESSMENT
A.1 ASSESSMENT FRAMEWORK OVERVIEW
A.2 ASSESSMENT DIMENSIONS AND DOMAINS
ANNEX B: FINANCIAL SYSTEMS OVERVIEW
B.1 INTRODUCTION TO FINANCIAL SYSTEMS OVERVIEW
B.2 IDENTIFYING COST CENTRES
B.3 CODING FOR EACH BUDGET LINE FOR EACH COST CENTRE
B.4 IDENTIFYING LEVELS OF DELEGATION FOR AUTHORISING EXPENDITURE
B.5 LINKING TO A GENERAL LEDGER
B.6 IDENTIFICATION OF FEEDER SYSTEMS
B.7 BUDGET AND FINANCIAL REPORTING
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PART ONE
1
INTRODUCTION AND PURPOSE OF THE DOCUMENT
1.1
Introduction to the Document
1.1.1 This Process Model documents the core set of processes which the children's
social care services within any Council with Social Services Responsibilities
(CSSR) would normally be expected to follow in its provision of the required
range of children’s social care services. It is not a technical document. It is
intended to be equally accessible to both non-technical managers and IT
specialists. The processes are set out in a systematic and structured way, which
is designed to be logical and easy to follow. The information (data) requirements
necessary to also support each process are included, giving the technical reader
a link to the related Logical Data Model document. Some of the phrases in
the data management boxes may not be immediately familiar. This is because they are
describing concepts that describe the logic of information systems rather than what
happens operationally.
1.1.2 A summary of the objectives of this work and a description of this and other
documents in the set can be found in the Executive Summary document.
1.1.3 It is our intention that this document should be an authoritative consensus of the
core processes that are common to all CSSRs delivering children’s social care.
However it is not prescriptive in the sense that CSSRs are expected to follow it.
Some CSSRs will have systems in place built on different models and if these are
satisfactory, in that they cover the same information, there is no need for changes
to be made in response to this document. Its main purpose is to promote shared
understanding between operational managers and information systems builders.
1.1.4 Although this is not a document for consultation, it is none the less a document that
will be capable of continuous refinement. Inevitably there will be queries and
comments arising from the publication. Comments should be directed by e-mail to
integrated.childrenssystem@dcsf.gsi.gov.uk.
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1.2
Background of the Document
1.2.1 This document was a product of the Quality Protects Management Information
project, which used a team comprising Department of Health (DH) (later, following
machinery of Government changes, the Department of Education and Skills
(DfES)), CSSR and academic staff working collaboratively to develop it.
Commercial suppliers of children’s systems were consulted and informed of the
work wherever practical. Throughout the development of this work, DH information
specialists consulted with CSSRs and policy specialists through workshops at
which participants’ knowledge on the different activities that lead to the provision
of services was drawn out. It was crucial that information specialists had the
opportunity to learn at first hand what CSSRs did to provide children's social care
services. This enabled the project team to structure the material gathered in a
way that informed the development of the broad information requirements in
a logical, systematic way. The document has been further updated in August 2008 to
take account of the Phase 1B & 1C Business Requirements published by the
Department for Children Schools and Families (DCSF).
1.2.2 There are two main demands for information:• from CSSRs who need it for their own management purposes; and
• from central government which requires it in its returns.
1.2.3 The information needed for these two purposes can be described within a single
document and dealt with locally in an integrated way, whether the information is
used for local purposes or central returns. One key aim of this document is to help
practitioners, managers, planners and IT specialists understand the relationship
between the two demands. The ultimate purpose of collecting and analysing
information is to improve the performance and the quality of services in order to
optimise outcomes for children and their families. In doing this work the DH engaged
with CSSRs about the information that they need to support the services they provide.
This includes the systems which address compliance with requirements
for quality assurance purposes (CSSRs need to ensure that things that should
have been done actually have been done), and information needed for
contracting services.
1.2.4 Information required for central government statistical returns has the advantage of
being well defined in the guidance accompanying the statistical returns. We hope
these information requirements have been worked into the Process Model so as to
enable a system to be designed that allows information required by central
government to be generated routinely as a function of an integrated information
system.
1.2.5 The Framework for the Assessment of Children in Need and Their Families, issued
shortly before this early development work has had a major impact on CSSRs and
its underlying conceptualisation has been found helpful to other services for
children and young people. The Assessment Framework traces the stages from
initial contact through assessment to service provision. It is central to understanding
the process of working with individual children and their families. The original
Process Model built on the Assessment Framework guidance and the Looked After
Children system in order to realise the potential for data derived from an individual
child and their family to produce the aggregated information necessary for
management and planning purposes. For convenience a brief note on the
Assessment Framework is attached at Annex A: A Note on Assessment.
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1.2.6 Version 3.1 of the Process Model contained only minor changes over
version 3.0 in terms of processes. The main changes are as follows:
•
•
•
•
Completion of the Data Management boxes (see para 1.5.1) to match the now
updated Logical Data Model;
Revised Process Hierarchy diagrams (see section 2.4) to bring them in line with
the Process Model;
Minor re-drafting of P1.3.1.4 Level 4 Process: CSSR Applies for an Emergency
Protection Order;
Formatting changes to the document to decrease the amount of white space
(making the document shorter by over 20 pages).
1.2.7 This lastest version 4.0 of the Process Model is the result of a high level
update to the model. The changes are detailed in the accompanying changes log.
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1.3
Content of the Document
1.3.1 In Part 1 of this document, the introduction and purpose of the document is set out.
1.3.2 In Part 2, the core processes carried out by Children’s Social Care Services are mapped
out within a structured hierarchy see page 21. At the highest level, these processes
cover three main areas :
• Core Case Management Operations;
• Supply of Services; and
• Management of Children’s Social Care Services.
1.3.3 Our purpose is to map the core processes for work conducted by LA children's
social care services. There will of course be a great deal of exchange of information
with other services such as health and education/schools. This document does
not attempt to map the processes and the information requirements for these services.
In order to make work of this sort practically realisable clear boundaries to its scope
must be defined. There will be overlaps with the boundaries of other systems
(corporately within the CSSR and externally with other agencies).
When these overlaps are clear it will be possible to identify the interfaces with
other systems and hence define exactly what information is held in
common so that information can be exchanged between the systems. We have
attempted to do this by including data items, such as NHS Number, Unique Pupil
Number, National Insurance Number, etc so that data can be shared by crossreferencing against these key data items that will uniquely identify individuals in the
IT systems of other agencies. However, because each children's social care services
department (ie for departmental systems), council (ie for corporate systems) and
agencies will have scoped their systems differently, it is impossible to explicitly
define these interfaces centrally.
1.3.4 The core information requirements for adult social care services have also been defined
and published on the DH’s website2. The needs of the two areas are not identical,
although there will be some information and processes that will be common. With
both sets of core information requirements defined it will be possible for systems
designers to build in the facilities to link information where this is necessary.
2
www.dh.gov.uk/en/Managingyourorganisation/Informationpolicy/Policyarchive/InformationforSocialCarepolicyarchive/Coreinformationrequired/index.htm.
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1.3.5 The key players, such as children and their families, carers, employees and other
Agencies all participate in the processes to greater or lesser degrees. The
processes also cause information to be recorded or updated in databases. Between
all of these there are flows of information. The following diagram summarises this at
a very high-level, where the processes are shown as rectangles, the key players as
ovals, the database as a cylinder and the arrows as data flows.
C H I L D R E N ’ S S E R V I C E S - P R O C E S S O V E R V IEW
Othe r Agencie s, e g.
LHA, LA, LEA, Police
Vol u n t ary B o d ie s
A p p li ca n t
Inform ant
P1 . Ca s e
M ana g em ent
O p e r a ti o n s
Ch ild
Sup p lie rs
Database
P2 . Supply
Se rvices &
Othe r
Resources
Ca r e r
C h il d ’s Fami ly
P3 . Ma n ag e
Se rvices
E m p l o ye e
Key
SYMBOL
Child
MEANING
External Entity (ie a significant
individual or organisation)
Two-way information flow
One-way information flow
P1. Case
Management
Operations
Database
Process
Data Store
1.3.6 These main processes can be broken down into sub processes, which can
themselves also be broken down further. We have identified up to four levels of
processes, each level being more detailed than the previous. Part 2 lays out these
processes in a systematic order.
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1.3.7 Processes use and generate information. Processes require information. Different
pieces of information that are ‘processed’ can therefore be identified at points within
the processes. In essence the Process Model comprises a description of the core
children’s social care processes interspersed with statements of information or data
that is either generated or needed at each point. These data are described in boxes
headed “Data Management”.
1.3.8 Managers will recognise such activities as “dealing with referrals”, “reviewing
looked after children” and “carrying out initial assessments”. This work is predicated by
the assumption that all CSSRs share in a set of common core case management
processes. Processes relate to each other systematically. For example, the referral
process must precede an initial assessment.
1.3.9 Core case management must proceed systematically from initial contact to closure.
However, information will feed into the core case management process at any
stage, either because it is sought or because of unpredictable events. This new
information must be evaluated and applied to case management.
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1.3.10 For clarity, these two key sets of processes are described diagrammatically below.
C O R E C A S E M A N A G E M E N T O PERATIONS & REQUEST, RECEIVE AND EVALUA T E INFORMATION
O th er A g e n c ie s, e g .
Health, LA Police
V o lun ta ry B o die s
C h i ld’ s Fam il y
C h i ld
Carer
P 1. C a se M a n a g e m e n t O p e ra t ions
P 1. 1 Core C a s e Man agem ent Opera t ion s
P 1. 1. 5 Im p le m e n t
C h i ld in Need P la n
P 1. 1. 3 Undertake
P 1. 1. 1 Rec e p t ion
& I n iti al C o n t a c t
P 1. 1. 7 Close
C a se
A s se s sm e n t
P 1. 1. 2 Rec e iv e
R e f err al
P 1. 1. 4 Form u la t e
C h i ld in Need P la n
P 1. 1. 6 Rev i ew
C a se
P 1. 2 Req ues t , Receive and E v al u at e I n f o rm at io n
P 1. 2. 3 Ev a lua te
P 1. 2. 2 Rec e iv e
In fo rmation
P 1. 2. 1 Req u e st
In fo rmation
In fo rmation
P 2. S u p p l y of
S er vi ce s
A p p l ic a n t
S u p p l ie rs
D a t aba s e
In fo r m a n t
P 3. M a n a g e
S er vi ce s
Key
SYMBOL
Child
MEANING
External Entity (ie a significant
individual or organisation)
Two-way information flow
One-way information flow
P1. Case
Management
Operations
Database
Process
Data Store
1.3.11 There will inevitably be some areas of activity the document does not address
which some readers will consider important and “core”. For example, this version of
the Core Information Requirements does not include processes and associated
data concerned with the safety of workers and the requirements of the Health and
Safety at Work Act 1974. Although obviously important, it may be argued that these
processes are primarily concerned with Human Resources. The decisions to
include this and other areas in a later version of this document will rest on whether
the consensus is that this issue is more likely to be adequately covered in other
information systems used by a CSSR. The treatment of data on user satisfaction is
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dealt with more cursorily than it merits. It may be possible to develop identified
requirements further in future versions.
1.4
Purpose of the Process Model
1.4.1 The Process Model forms part of a package, which together with the Logical Data
Model, Process Flow Diagrams and Entity Relationship Diagram gives any current
or prospective supplier of Children’s Social Care Services Information Technology
(IT) a high-level scoping for the core system(s).
1.4.2 The purpose of the Process Model is to document, at a high-level and in a
structured way, the set of processes which all CSSRs would be expected to
undertake in the delivery of services. It should simply reinforce existing practice for
most CSSR readers, but will enable suppliers new to the market to gain a quick
understanding of the business.
1.5
Integration with the Logical Data Model
1.5.1 The information that is needed or generated at points in the process must be
mapped and defined. The Process Model is the “Who”, “When” and “How” about
what is done to data in order to process and use it as information. The Logical Data
Model is the “What” – the information that is recorded as data so that it can be
recorded, processed and accessed. The two together are just different sides of the
same coin – they are intrinsically linked. We have attempted to do this by putting a
Data Management box at the end of each process in the Process Model, within
which we say where the data used by that particular process is recorded, modified
or accessed in terms of entities on the Logical Data Model. The two linked together
therefore go a long way to providing a high-level description of IT system
processes.
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1.6
Numbering within the Document
1.6.1 In Part One and Part Two a conventional numbering system of headers, subheaders and paragraphs is used (eg 1 for headers, 1.1 for sub-headers, 1.1.1 for
paragraphs).
1.6.2 In Part Three, which describes the processes, we have set out the processes
systematically using a hierarchical system to label and number each processes.
The three highest level processes (now labelled as “Level 1 Processes”) are
numbered “P1”, “P2”, and “P3”. The next level of sub-processes described within
each of these is labelled as “Level 2 Processes” and are numbered “P1.1”, “P1.2”
etc. Sub-processes below these are labelled “Level 3 Processes” and are
numbered “P.1.1.1”, “P1.1.2”, etc. This same hierarchical numbering carries on to
the lower level sub-processes, such that “Level 4 Processes” are numbered
“P.1.1.1.1”, “P.1.1.1.2” etc.
1.6.3 The text describing each process is in one or more paragraphs numbered
sequentially under each process (that is, 1,2,3, etc).
1.6.4 The numbering system for the processes is the primary vehicle for navigating the
document. To specify a particular paragraph in Part Three you need first to specify
the process and then the paragraph number; for example, P1.1.4, paragraph 3.
1.6.5 The order in which the processes are presented is a compromise between the
requirement to set them out one after the other on the page when, in reality, there
are alternative and parallel routes that depend upon the decisions made. The Core
Case Management processes now have flow diagrams that allow us to show
parallel and divergent paths. In this section, the text of the Process Model has been
revised so as to include the decisions represented on the flow diagrams by
diamond shaped boxes as ‘diamond bullets’ in the text. The same process is often
arrived at via different paths. We have avoided repeating the description of the
process when this occurs but have simply cross-referred using the numbering
system. The process descriptions may not always appear in the Process Model
where you might expect them to be but they are linked through cross-referencing
and the flow diagrams.
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PART TWO
2
THE PROCESSES DESCRIBED
2.1
Overview of Processes
2.1.1 The processes described here are presented in three sections corresponding to the
three “high level” processes identified by means of large rectangular boxes in the
diagram of the Process Model provided above (see para 1.3.5), namely:• Core Case Management Operations;
• Supply of Services; and
• Management of Children’s Social Care Services.
2.2
Detailed Process Descriptions
2.2.1 The processes are described in detail in the following pages. The highest level
processes are labelled P1, P2 etc, their sub-processes are labelled P1.1, P1.2 etc,
their sub-processes are labelled P1.1.1, P1.1.2 etc and their sub-processes are
labelled P1.1.1.1, P1.1.1.2 etc.
2.2.2 Each process is described in detail. After each process a Data Management box
refers to the entities in the Logical Data Model that are used by the process (see
para 1.5 Integration with the Logical Data Model).
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2.3
Process Flow Diagrams
2.3.1 In response to feedback and requests to include them, a number of process flow
diagrams have now been produced to supplement this Process Model. They have
been provided as separate documents in PDF format.
2.3.2 The process flow diagrams produced are as follows:•
•
•
•
•
•
•
•
•
P1.1 Level 2 Process: Core Case Management Operations;
P1.3 Level 2 Process: Child Protection Operations;
P1.4 Level 2 Process: Looked After Children Operations;
P1.6 Level 2 Process: Agency Adoption of Looked After Children3;
P1.7 Level 2 Process: Adoption Through Non-Agency Placement;
P1.8 Level 2 Process: Provision of Adoption Support Services;
P1.9 Level 2 Process: Inter-Country Adoption Operations4;
P1.10 Level 2 Process: Ensure The Welfare of Privately Fostered Children; and
P1.11 Level 2 Process: Sixteen Plus Leaving Care Operations.
2.3.3 Other process flow diagrams may be added in later versions.
2.3.4 The process flow diagrams have been produced as separate documents in PDF
format. It is advisable to print the documents in A3 wherever possible.
2.4
Process Hierarchy
2.4.1 The processes are laid out in a hierarchical structure. This is represented by the
Process Hierarchy Diagrams on the following pages. The first diagram shows all
processes to level two only. The subsequent three diagrams show the three level
one processes respectively and their sub-processes (down to level three only).
3
The process flow diagram for Agency Adoption of Looked After Children is from the child's perspective. We
are treating the approval of adoptive parents as a supply side operation, which will be updated and
augmented with a process flow diagram in the next version.
4
The process flow diagram for inter-country adoptions currently only represents adoptions with Hague
Convention countries.
Version 4.0
Page 19 of 202
August 2008
Children's
Social
Care
Services
Core
Information
Requirements
- Process
Model
Children’s
Social
Services
Core
Information
Requirements
– Process
Model
PROCESS HIERARCHY DIAGRAM: LEVELS 1 & 2
VERSION 3.1
CHILDREN 'S SOCIAL SERVICES
P1
CASE MANAGEMENT
OPERATIONS
P2
SUPPLY SERVICES
& OTHER
RESOURCES
P1.1
CORE CASE
P3
MANAGE SERVICES
P2.1
PROVIDE SERVICES
MANAGEMENT
OPERATIONS
P3.1
MANAGE
OPERATIONS
P1.2
REQUEST , RECEIVE
& EVALUATE
INFORMATION
P2.2
RECRUIT FOSTER
CARERS AND
ADOPTIVE PARENTS
P1.3
CHILD PROTECTION
OPERATIONS
P2.3
ESTABLISH AND
MAINTAIN
FOSTERING PANEL
P1.4
LOOKED AFTER
CHILDREN
OPERATIONS
P2.4
ASSESS POTENTIAL
FOSTER CARERS /
ADOPTIVE PARENTS
P3.4
MANAGE PHYSICAL
RESOURCES
P2.5
P3.5
DEVELOP SERVICES
P1.6
AGENCY ADOPTION
OF LOOKED AFTER
CHILDREN
P2.6
MANAGE AND
SUPPORT FOSTER
CARERS
P3.6
MANAGE FINANCES
P1.7
P2.7
TRAIN AND
DEVELOP STAFF
P3.7
SET STRATEGIC
DIRECTION
P1.8
PROVISION OF
ADOPTION SUPPORT
SERVICES
P2.8
COMMISSION
SERVICES
P1.5
SECURE SPECIAL
GUARDIANSHIP
ADOPTION T HROUGH
NON-AGENCY PLACEMENT
P1.9
INTER -COUNTRY
ADOPTION
OPERATIONS
P1.10
ENSURE THE W ELFARE O F
PRIVATELY FOSTERED
CHILDREN
TRAIN APPLICANTS ,
APPROVED FOSTER
CARERS AND A DOPTIVE
PARENTS
P3.2
MANAGE HUMAN
RESOURCES
P3.3
PRODUCE S TATISTICAL
RETURNS FOR CENTRAL
GOVERNMENT
P2.9
ACCREDIT S UPPLIERS A S
PREFERRED P ROVIDERS
P2.10
SUPPORT
COMMUNITY
SERVICES
P1.11
SIXTEEN PLUS
LEAVING CARE
OPERATIONS
Version 4.0
Page 20 of 202
August 2008
Children's Social Care Services
Core
Information
- Process
Model – Process Model
Children’s
Social
ServicesRequirements
Core Information
Requirements
PROCESS HIERARCHY DIAGRAM: P1 CASE MANAGEMENT OPERATIONS
VERSION 3.1
CHILDREN 'S SOCIAL SERVICES
P1
CASE MANAGEMENT
OPERATIONS
P1.1
P1.3
CHILD PROTECTION
OPERATIONS
OPERATIONS
P1.2
REQUEST, RECEIVE
& EVALUATE
INFORMATION
P1.4
LOOKED AFTER
CHILDREN
OPERATIONS
P1.1.1
RECEPTION &
INITIAL CONTACT
P1.2.1
REQUEST
INFORMATION
P1.3.1
DETERMINE NEED
FOR IMMEDIATE
ACTION
P1.1.2
RECEIVE REFERRAL
P1.2.2
RECEIVE
INFORMATION
P1.1.3
ALLOCATE CASE
W ORKER
P1.2.3
EVALUATE
INFORMATION
UNDERTAKE'A CHIEVING
BEST EVIDENCE'
INTERVIEW
CORE CASE
MANAGEMENT
P1.1.4
UNDERTAKE AN
INITIAL ASSESSMENT
P1.1.5
UNDERTAKE A
CORE ASSESSMENT
P1.6
AGENCY ADOPTION
OF LOOKED AFTER
CHILDREN
ADOPTIONT HROUGH
NON-A GENCYP LACEMENT
P1.4.1
DECIDE IF CHILD
NEEDS TO BE
LOOKED AFTER
P1.6.1
REVIEW CARE PLAN
DECISION TO
ADOPT
CSSR R ECEIVES
NOTIFICATIONO F
INTENTIONT O A DOPT
P1.3.2
HOLD STRATEGY
DISCUSSION
P1.4.2
DECIDE ON
IMMEDIATE
PLACEMENT
ADOPTIONPANEL
CONSIDERT HE R EPORT
ON T HE N EEDS O F T HE
CHILD
P1.3.3
P1.4.3
INITIATE
APPROPRIATE
PLACEMENT
P1.3.4
UNDERTAKE CORE
ASSESSMENT
UNDER S47
P1.3.5
INITIAL CHILD
HOLD
PROTECTION
CONFERENCE
P1.1.6
FORMULATE CHILD
IN NEED PLAN
P1.3.6
DETERMINE I F F AMILY
COURT P ROCEEDINGSARE
APPROPRIATE
P1.1.7
IMPLEMENT CHILD IN
NEED PLAN
AGREE F OR CHILD T O BE
L OOKED AFTER U NDER
S20
P1.3.7
P1.1.8
P1.3.8
REVIEW PROGRESS
DETERMINECATEGORYOF
AGAINST CHILD IN
NEED PLAN
P1.1.9
CLOSE CASE
ABUSE OR NEGLECT
P1.3.9
APPOINTK EY W ORKER &
AGREE C ORE G ROUP
M EMBERSHIP
P1.3.10
DEVELOP CHILD
PROTECTION PLAN
P1.3.11
IMPLEMENT THE
CHILD PROTECTION
PLAN
P1.3.12
UNDERTAKE CHILD
PROTECTION
REVIEW
P1.3.13
END OF CHILD
PROTECTION PLAN
P1.3.14
HANDLE E NQUIRIESM ADE
ABOUT THE EXISTENCE
OF A CHILD PROTECTION
PLAN
Version 4.0
P1.5
SECURE SPECIAL
GUARDIANSHIP
P1.6.2
P1.7.1
P1.7.2
CHECK ELIGIBILITYO F T HE
APPLICANTT O A PPLY F OR
AN ADOPTIONO RDER
P1.6.3
P1.4.4
INITIATE A PLANNED
SERIES OF SHORTTERM BREAKS
P1.4.5
INITIATE CARE
PROCEEDINGS
P1.4.6
P1.4.10
UNDERTAKE RETURN
HOME ENQUIRIES
P1.4.11
PREPARE FOR CHILD IN
CARE UNDER S31 TO BE
FORMULATE A
TRANSITION PLAN
P1.10.1
P1.11.1
IDENTIFY ELIGIBLE
CARE LEAVERS
P1.10.2
P1.11.2
APPOINT PERSONAL
ADVISER
P1.10.3
P1.11.3
UNDERTAKE MULTIAGENCY
ASSESSMENT
P1.8.2
P1.9.2
ASSESS
APPLICATION
UNDERTAKEP RIVATE
F OSTERINGS TATUTORY
ENQUIRIES
P1.8.3
P1.9.3
MAKE ADOPTION
PANEL
RECOMMENDATION
UNDERTAKEASSESSMENT
OF T HE N EEDS F OR
ADOPTIONSUPPORT
SERVICES
P1.8.4
PRODUCE AN
ADOPTION SUPPORT
PLAN
P1.6.5
P1.8.5
P1.9.4
ADOPTIONAGENCY
DECISIONMAKER
CONSIDERSTHE
CONSIDERO UTCOMESOF
PRIVATE F OSTERING
STATUTORYENQUIRIES
P1.10.4
IMPOSE R EQUIREMENTS
ON A PRIVATE F OSTER
CARER
RECOMMENDATION
IMPLEMENT THE
ADOPTION SUPPORT
PLAN
NOTIFY APPLICANTO F
NON-A PPROVAL AND OF
RIGHT T O SUBMIT
REPRESENTATIONS
P1.9.5
COMMENCEPRIVATE
FOSTERINGPLACEMENT
P1.10.5
P1.11.5
IMPLEMENT
PATHWAY PLAN
P1.6.6
P1.8.6
REVIEW THE
ADOPTION SUPPORT
PLAN
P1.9.6
NOTIFY DECISION
TO APPROVE TO
APPLICANT
P1.10.6
UNDERTAKE
STATUTORY VISIT
P1.11.6
REVIEW PATHWAY
PLAN
P1.9.7
DH I SSUE CERTIFICATEO F
ELIGIBILITY& S UITABILITY
P1.9.8
P1.11.8
SERVICES, OTHERCSSR
OVERSEAS GOVERNMENT
A PLACEMENT
ORDER HEARING
APPLICATION
REFER TO ADULT
SERVICESOR OTHER
AGENCIES
P1.6.15
DH
P1.9.9
ADOPTIONA GENCY
PLACE CHILD WITH
CONSIDERMATCHINGOF
APPROVEDPROSPECTIVE
THE APPLICANTIS
APPLICANTAND CHILD
ADOPTERS
UNSUITABLETO OVERSEAS
P1.4.17
COMPLETEP LACEMENT
INFORMATIONR ECORD
P1.6.10
ADOPTIONAGENCY SENDS
CHILD DETAILS TO
ADOPTIONR EGISTER
NOTIFY AGENCY THAT
P1.9.15
DH MAKE H AGUE
CONVENTIONA RTICLE
17( C) AGREEMENT
P1.6.16
REVIEW CARE PLAN
(ADOPTION PLAN)
P1.9.10
MATCHING REPORT
RECEIVED BY DH
P1.9.16
APPLICANTMAKES
ARRANGEMENTSWITH
OVERSEAS GOVERNMENT
OR AGENCY
P1.6.11
RECEIVE I NFORMATION
FROM A DOPTIONR EGISTER
PLACED WITH PARENTS
P1.6.17
P1.9.11
END PLACEMENTWITH
APPLICANTNOTIFIESTHE
APPROVEDPROSPECTIVE
AGENCY OF DECISIONNOT
PLACE CHILD WITH
ADOPTERS
TO PROCEEDWITH MATCH
APPLICANTWITH THE
P1.9.17
P1.6.18
CSSR N OTIFY APPLICANTS
P1.9.12
AGENCY NOTIFIESDH OF
P1.9.18
APPLICANTPURSUES
CONSENTHAS BEEN
WISH TO ADOPT ANOTHER
ADOPTIONORDER IN STATE
WITHDRAWN
CHILD FROM SAME
OF ORIGIN
OVERSEAS AUTHORITY
INTENTIONTHAT THE CHILD
BE ADOPTEDIN THE UK
P1.4.12
RETURN CHILD
HOME
P1.4.13
M AKE A F ORMAL
TRANSITIONFROM C ARE
PLAN TO A DOPTIONP LAN
P1.4.14
M AKE A F ORMAL
TRANSITIONFROM C ARE
PLAN TO PATHWAY PLAN
P1.4.18
NOTIFY R ELEVANT
PERSONS OF THE CHILD'S
PLACEMENT
P1.4.19
NOTIFY REGISTER
LOOKED AFTER
CHILDREN
OF
P1.6.12
ADOPTION AGENCY
SUGGEST A
SUITABLE MATCH
P1.6.13
ADOPTION PANEL
MAKE MATCHING
RECOMMENDATION
P1.6.14
ADOPTION AGENCY
MAKE MATCHING
DECISION
Page 21 of 202
P1.11.7
GATHERC ARE L EAVER
PERFORMANCEINDICATOR
INFORMATION
OR AGENCY CONSIDER
COURT UNDERTAKE
P1.6.9
P1.10.7
T ERMINATEPRIVATE
FOSTERINGPLACEMENT
GOVERNMENTOR AGENCY
P1.4.16
PREPARE FOR
YOUNG PERSON
REACHING 18
P1.11.4
FORMULATE
PATHWAY PLAN
ADOPTIONA GENCY
PREPARESA R EPORT O N
THE C HILD
P1.6.8
P1.4.15
P1.11
SIXTEEN PLUS
LEAVING CARE
OPERATIONS
RECEIVE N OTIFICATIONO F
INTENTIONT O E NTER I NTO
A P RIVATE F OSTERING
ARRANGEMENT
P1.6.4
P1.6.7
CSSR APPLY TO
COURT FOR A
PLACEMENT ORDER
P1.4.9
REVIEW CARE PLAN
(PATHWAY PLAN/
ADOPTION PLAN)
P1.9.1
P1.10
ENSURE T HE W ELFAREO F
PRIVATELYF OSTERED
CHILDREN
AGENCYR ECEIVES
REQUESTF OR INTERCOUNTRYADOPTION
ASSESSMENT
ADOPTIONA GENCYM AKE
'B EST I NTERESTS
'
DECISION
P1.4.7
RECORD LEGAL
STATUS
CARE
P1.8.1
P1.9
INTER-COUNTRY
ADOPTION
OPERATIONS
P3
MANAGE SERVICES
IDENTIFY T HE
REQUIREMENTT O C ARRY
OUT A N ASSESSMENTOF
THE N EED F OR ADOPTION
SUPPORTS ERVICES
ASSIGN N AMED W ORKER
T O PROVIDE & C OORDINATEADOPTION
SUPPORT
CSSR N OTIFY CAFCASS
T O W ITNESSC ONSENTBY
CHILD'S BIRTH P ARENT(S)
PLAN
P1.8
PROVISION OF
ADOPTION SUPPORT
SERVICES
ADOPTIONP ANEL M AKE
'B EST I NTERESTS
'
RECOMMENDATION
OBTAIN P ARENTAL
AGREEMENTT O
ACCOMMODATEA C HILD
(S ECTION20)
P1.4.8
FORMULATE A
P1.7
P2
SUPPLY SERVICES
& OTHER
RESOURCES
COUNTRY
P1.6.19
PROSPECTIVEA DOPTERS
APPLY TO COURTFOR AN
ADOPTIONORDER HEARING
P1.9.13
P1.9.19
APPLICANT TRAVELS
APPLICANTOBTAINS FULL
TO MEET CHILD
CONVENTIONADOPTION
ORDER IN THE CHILD'S
STATE OF ORIGIN
P1.6.20
P1.9.14
COURTUNDERTAKES
APPLICANTNOTIFIES
ADOPTIONORDER HEARING
ADOPTIONAGENCY OF
INTENTTO PROCEED
Children's
Social
Care
Services
Core
Information
Requirements
- Process
Model
Children’s
Social
Services
Core
Information
Requirements
– Process
Model
PROCESS HIERARCHY DIAGRAM: P2 SUPPLY SERVICES & OTHER RESOURCES
VERSION 3.1
CHILDREN 'S SOCIAL SERVICES
P1
CASE MANAGEMENT
OPERATIONS
P2
SUPPLY SERVICES
& OTHER
RESOURCES
P2.1
PROVIDE SERVICES
P2.2
RECRUIT FOSTER
CARERS AND
ADOPTIVE P ARENTS
P2.1.1
INITIATE SERVICE
P2.2.1
DECIDE TO RUN A
RECRUITMENT
CAMPAIGN
P2.1.2
TERMINATE S ERVICE
P2.3
ESTABLISH AND
MAINTAIN
FOSTERING PANEL
P2.4
ASSESS POTENTIAL
FOSTER CARERS/
ADOPTIVE PARENTS
P2.4.1
APPLICANT APPLIES
TO ADOPTION
AGENCY
P2.4.2
P3
MANAGE S ERVICES
P2.5
P2.6
MANAGE A ND
SUPPORT FOSTER
CARERS
P2.7
TRAIN A ND
DEVELOP S TAFF
P2.8
COMMISSION
SERVICES
P2.5.1
P2.6.1
MAKE FOSTER
CARE A GREEMENT
P2.7.1
DETERMINE
INDIVIDUAL
TRAINING NEEDS
P2.8.1
SPECIFY S ERVICE
REQUIREMENTS
APPLY FOR/IDENTIFY
ACCREDITATION AS A
PREFERRED SUPPLIER
COMMISSION (AGREE TO
FUND) COMMUNITY
SERVICE PROVIDERS
P2.6.2
SUPERVISE AND
SUPPORT FOSTER
CARERS
P2.7.2
AUDIT AND
ANALYSE TRAINING
NEEDS
P2.8.2
SELECT SERVICE
PROVIDER
P2.9.2
INSPECT/CHECK
SUPPLIER
P2.10.2
PROVIDE USAGE
AND COST
INFORMATION
P2.6.3
AGREE FOSTER
CARER PAYMENTS
P2.7.3
PLAN AND PREPARE
TRAINING
PROGRAMME
P2.8.3
MAKE FORMAL
SERVICE
AGREEMENT
P2.9.3
ACCEPT/REJECT
ACCREDITATION
P2.10.3
REVIEW SERVICE
PROVIDER
PERFORMANCE
P2.7.4
P2.8.4
REVIEW SERVICE
AGREEMENT
TRAIN APPLICANTS,
APPROVED FOSTER
CARERS AND ADOPTIVE
PARENTS
AUDIT TRAINING
NEEDS
P2.5.2
ADOPTION AGENCY
CONDUCTS ASSESSMENT
OF APPLICANT
PREPARE TRAINING
P2.4.3
ADOPTION AGENCY
SENDS APPLICANT
COPY OF REPORT
P2.5.3
PURCHASE TRAINING
PROGRAMME
P2.4.4
APPLICANT MAKES
P2.5.4
P2.6.4
RECORD TRAINING
UNDERTAKE ANNUAL
OBSERVATIONS ON
PORTFOLIO
REVIEW OF CARER
COMMISSION TRAINING
AND STAFF DEVELOPMENT
P2.9
ACCREDIT SUPPLIERS AS
PREFERRED PROVIDERS
P2.9.1
AGENCY SUBMITS REPORT
AND APPLICANT'S
OBSERVATIONS TO
ADOPTION PANEL
P2.9.4
REVIEW
END SERVICE
AGREEMENT AND
EVALUATE TRAINING
EVENTS
P2.8.5
AMEND S ERVICE
AGREEMENT
P2.7.6
P2.8.6
TERMINATE S ERVICE
AGREEMENT
EVENTS AND
OVERALL IMPACT
P2.7.7
IDENTIFY PRACTICE
TEACHERS AND DIPLOMA
IN SOCIAL W ORK
PLACEMENTS
P2.4.8
ADOPTION AGENCY
NOTIFY APPLICANT
OF NON-APPROVAL
P2.4.9
ADOPTION AGENCY REFERS
CASE TO INDEPENDENT
PANEL
P2.4.10
INDEPENDENT
PANEL
REVIEW CASE
P2.4.11
APPLICANT SUBMITS
FURTHER INFORMATIONTO
ADOPTION AGENCY
P2.4.12
ADOPTION PANEL
REVIEW CASE
P2.4.13
ADOPTION PANEL
MAKES SUITABILITY
RECOMMENDATION
P2.4.14
ADOPTION AGENCY
MAKES SUITABILITY
DECISION
Version 4.0
P2.7.5
MONITOR TRAINING
ACTIVITY AND TAKE
UP
EVALUATE TRAINING
P2.4.7
ADOPTION AGENCY
MAKE SUITABILITY
DETERMINATION
REVIEW
P2.10.4
GRANT FUNDING
P2.5.5
P2.4.6
ADOPTION P ANEL
MAKE SUITABILITY
RECOMMENDATION
REVIEW
P2.10.1
ACCREDITATION
REPORT TO AGENCY
P2.4.5
P2.10
SUPPORT
COMMUNITY
SERVICES
Page 22 of 202
P2.9.5
REMOVE
ACCREDITATION
Children's
Social
Care
Services
Core
Information
Requirements
- Process
Model
Children’s
Social
Services
Core
Information
Requirements
– Process
Model
PROCESS HIERARCHY DIAGRAM: P3 MANAGE SERVICES
VERSION 3.1
P1
CASE MANAGEMENT
OPERATIONS
P2
SUPPLY SERVICES
& OTHER
RESOURCES
P3.1
P3.2
MANAGE HUMAN
RESOURCES
MANAGE
OPERATIONS
P3.1.1
MONITOR COMPLIANCE
W ITH TIME LIMITS AND
REGULATIONS
P3.1.2
UNDERTAKE CASE
ALLOCATION
CHILDREN'S SOCIAL SERVICES
P3
MANAGE SERVICES
P3.4
MANAGE PHYSICAL
RESOURCES
P3.5
DEVELOP SERVICES
P3.6
MANAGE FINANCES
P3.2.1
CHECK
P3.4.1
UTILISE FAMILY
CENTRE AND DAY
CARE SERVICES
P3.5.1
MONITOR QUALITY
AND PERFORMANCE
P3.6.1
AGREE BUDGET
P3.2.2
CHECK SUITABILITY
OF PROSPECTIVE
EMPLOYEES
P3.4.2
UTILISE CHILDREN'S
RESIDENTIAL CARE
P3.5.2
MONITOR DEMAND
AND CAPACITY
P3.6.2
ALLOCATE COSTS
P3.2.3
P3.4.3
UTILISE FOSTER
CARE
P3.5.3
AGREE SERVICE
PLANS
P3.6.3
MONITOR AND
FORECAST COSTS
COMPLETENESS OF
W ORKFORCE
CHECK W ORKFORCE IS
BEING TRAINED AND
DEVELOPED
P3.3
PRODUCE STATISTICAL
RETURNS FOR CENTRAL
GOVERNMENT
P3.2.4
P3.4.4
P3.6.4
DISCIPLINE STAFF
UTILISE FIELDWORK
REVISE BUDGETS
TEAMS
P3.6.5
REPORT ON
FINANCIAL
MANAGEMENT
Version 4.0
Page 23 of 202
P3.7
SET STRATEGIC
DIRECTION
Children's
Social
Care
Services
Core
Information
Requirements
- Process
Model
Children’s
Social
Services
Core
Information
Requirements
– Process
Model
PART THREE
P1 LEVEL 1 PROCESS: CASE MANAGEMENT OPERATIONS
1. Children's social care services operations for children’s social care can be conceived
as comprising a strand of processes and sub-processes beginning with initial contact
and ending in case closure via assessment, planning, intervention and review. This core
strand of activity applies to all children and young people in need receiving children's
social care services, including disabled children.
2. The processes of requesting, receiving and evaluating is another core aspect of activity
that applies throughout case management operations.
3. Within this generic level 1 process there are specific sub-processes which apply to
some children, namely children that are:
•
•
•
•
•
•
Involved in child protection processes;
Looked after;
Looked after and in the process of being adopted;
From abroad who are in the process of being adopted;
In the process of being privately fostered; and
Over the age of sixteen, leaving CSSR care.
4. There is not a separate strand of case management processes for disabled children.
This is because their needs are assessed and services are delivered in the same way
as they are for all children in need.
5. Child Protection, children looked after, adoption, step parent adoption, private fostering
and sixteen-plus care leavers are all documented as separate sub-processes later in
the text.
6. IT systems builders may wish to build in triggers that steer users of the system
between process strands; for example when children receiving services in their families
become looked after, or when the provision of a service triggers a financial payment.
But it is not the purpose of this document to describe these triggering operations.
Data Management
Every service or event provided under case management operations is a PROVISION OF SERVICE. Details
about each service or event are recorded (what it was, when it was, who it was for, who provided/undertook it
etc) are recorded as attributes of PROVISION OF SERVICE or are derived by relationships with other
entities.
Any properties that change or any information that is captured in the course of a PROVISION OF SERVICE
will be populated in the appropriate entities, for example:• the child’s name, bate of birth etc are attributes of SERVICE USER);
• an event such as a Court hearing or Child Protection Conference may result in a change of legal status,
the details of which are attributes of LEGAL STATUS);
• a core assessment will assess the specific needs of the child, which are attributes of SERVICE USER
NEED.
Version 4.0
Page 24 of 202
August 2008
Children's
Social
Care
Services
Core
Information
Requirements
- Process
Model
Children’s
Social
Services
Core
Information
Requirements
– Process
Model
P1.1 Level 2 Process: Core Case Management Operations
1. Agencies and families in the geographical area of the CSSR should be informed of the
services provided and how to refer to the CSSR.
2. This process starts with the child and family at the point of initial contact made with or
referral to the CSSR. The process covers initial contact, referrals, assessment and the
development, implementation and review of a plan for the child. The review of the child's
plan may result in changes to the plan, or a re-assessment, which may in turn result in a
radically revised plan. The process is concluded when the case is closed. Individual cases
may move through the process from initial contact to case closure in different ways,
depending upon the child’s needs and circumstances. However, the same core
process underpins all cases.
3. Emergency Duty Teams (if in place within a CSSR) which operate outside normal
working hours will contribute to these processes. They will not have separate
processes. Consideration will need to be given about how these teams contribute
information to the system and draw on data when required. Solutions will need to be
devised locally according to the local organisation of these teams.
4. The CSSR and other agency members of the Local Safeguarding Children's Boards (LSCBs)
should have an agreement regarding 24-hour access to information about whether children
are the subject of Child Protection Plans which, in each CSSR, can be provided by the
Designated Manager for managing and providing information about a child.
Data Management
Every service provided under core case management operations are separate instances of PROVISION OF
SERVICE (eg an initial contact, a referral, an assessment or a review, a Child Protection Conference, a Court
Hearing, a medical appointment etc, etc).
Various information is captured, recorded and retrieved in the process of case management for a child (a
SERVICE USER), and is recorded in the appropriate entity.
P1.1.1 Level 3 Process: Reception and Initial Contact
1. Every CSSR has a general “customer” facing reception process. Members of the public
contact the CSSR with many different queries, including those about library services,
council tax queries, housing benefit, plus enquiries or applications for social service
support, which may or may not involve children or young people. Reception means the
arrangements made locally for receiving enquiries. Each enquiry is an initial contact.
There are decisions to be made at this stage that distinguish between enquiries that
are in effect requests for services from the CSSR, those that require redirection to
appropriate services other than the CSSR and those that can be provided with
advice/information at the point of initial contact.
2. CSSRs are likely to keep some record of all initial enquiries or contacts, even if only a
daily tally of callers including the numbers of enquiries redirected to various other
agencies. Some CSSRs will make a record of all initial contacts that identify each
individual making the enquiry. This is an initial contact record. This model allows for all
initial contacts and their outcomes to be recorded. Exceptionally it may be necessary to
capture information against a family rather than an individual child when, for example,
an emergency payment is made under section 17 Children Act 1989 on behalf of all the
children in the household. It is also important to be able to link each child to one or
more family units. However, the Process Model assumes that the core processes of
referral, assessment, case planning, service provision and review will be based upon
the developmental needs of individual children.
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Data Management
Where the CSSR is not providing a service other than that provided at the initial contact, the individual at
reception managing the initial contact would create an INITIAL CONTACT record. The communication may
have come from an applicant for services (their details are recorded under INITIAL CONTACT, or of they
already exist as a SERVICE USER, the INITIAL CONTACT record is associated with the appropriate
SERVICE USER record). The communication may also come from an anonymous caller (ie there will be
limited information only), a person on behalf of the applicant (ie an EXTERNAL PERSON), professional
individual (ie an EXTERNAL PERSON) or from an Agency (ie an EXTERNAL ORGANISATION) who
requires information from the CSSR.
The Logical Data Model currently only allows one SERVICE USER to be associated with an INITIAL
CONTACT. If the contact refers to more than one individual SERVICE USER (eg a parent on behalf of two or
more children), then a CSSR must decide which specific SERVICE USER to associate the contact with.
Note: If a need to associate more than one SERVICE USER with an INITIAL CONTACT is confirmed the
Logical Data Model could be modified accordingly.
Note that other details, such as address of the notifier, could also be recorded at this stage (in the ADDRESS
and ADDRESS USAGE entities) if the information is provided.
The act of receiving an initial contact is a PROVISION OF SERVICE, and so will require details to be
recorded about it. This service can be performed by an individual (ie an EMPLOYEE) or an organisation unit
or team, such as “the Helpdesk” (ie a GROUP). The association is made between the service and the
provider of the service by the SERVICE PROVIDER entity.
Depending on the nature of the initial contact, one or more other instances of PROVISION OF SERVICE may
be created to take account of other services that are required as a result of the contact (eg the provision of
information or referral to another agency).
If the subject of the initial contact is already a SERVICE USER, then it may be appropriate to add details
about the contact to the CASE NOTE record.
P1.1.1.1 Level 4 Process: Evaluate Contact
1. All contacts made need to be evaluated. In undertaking the evaluation, the following
determinations have to be made:♦
♦
♦
♦
♦
♦
Is Contact Known?
Is Case Current?
Is Case Receiving Services and on Review?
Is a Referral Required?
Is Advice/Information Required?
Is a Referral to Another Agency Required?
2. For those that are identified as requests for children’s social care services the CSSR’s
database will be queried to see if the case is known. (A parallel process would be
followed for requests for adult services). This could result in the following possibilities:
•
The case is current and is either
i. known and open with a named caseworker
ii. known, receiving services but “on review”
•
The case is NOT current and is either
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iii. never known to the CSSR
iv. previously known but closed
3. Some CSSRs may have simpler systems, which combine (i) and (ii) into a single
“current category”.
4. In the case of possibilities (i) and (ii), each CSSR will have procedures for defining the
expectations of reception and duty staff in these instances but in all these cases a form
will be completed that treats the contact as new information on the case, including
contacts from within the CSSR. CSSRs may wish to ensure that all, and particularly
unexpected, new information on existing cases is highlighted procedurally in order that
it is drawn to the attention of those with responsibility for the case.
Current Case, Not on Review
5. If the case is current, and NOT ‘on review’ then the following processes (detailed
below) must be followed:•
•
P1.1.1.2 Level 4 Process: Pass Information to Named Caseworker; and
P1.1.1.6 Level 4 Process: Complete Contact Record.
Current Case, on Review
6. If the case is current, and IS ‘on review’ then the following processes (detailed below)
must be followed:•
•
P1.1.1.3 Level 4 Process: Pass Information to Responsible Individual;
P1.1.1.6 Level 4 Process: Complete Contact Record.
Not a Current Case
7. If the case is NOT current then the person receiving the information must decide
whether a referral for children's social care services is required and/or whether the matter
can be dealt with appropriately by providing advice or information. If the former, then a
referral must be taken (see process P1.1.2 Level 3 Process: Receive Referral). If the latter
then advice and information can be given with no expectations of any further activity (see
process: P1.1.1.4 Level 4 Process: Provide Advice and/or Information).
8. In any event a Contact Record must be completed (see process P1.1.1.6 Level 4
Process: Complete Contact Record).
Data Management
See the ‘Data Management’ box at the end of process P1.1.1.
P1.1.1.2 Level 4 Process: Pass Information to Named Caseworker
1. If a contact concerns a current case, not ‘on review’ then the contact information is
passed to the named Caseworker that is dealing with that case for them to assess. The
nature of the information will determine what the Caseworker does with it.
2. The information concerning this contact will be recorded (see process P1.1.1.6 Level 4
Process: Complete Contact Record).
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A contact for an existing case will be recorded as a PROVISION OF SERVICE. The recorder of the contact
and the named caseworker are both separate instances of SERVICE PROVIDER (with different respective
Service Provider Roles). The child (SERVICE USER) that is the subject of the contact is a SERVICE USER
SERVICE RECIPIENT.
P1.1.1.3 Level 4 Process: Pass Information to Responsible Individual
1. CSSRs may manage their work by placing cases ‘on review’. However each case ‘on
review’ must be the responsibility of an individual in the CSSR. Who this is should be
unequivocal. If a contact concerns a current case that is ‘on review’, then the contact
information is passed to the relevant responsible individual.
2. The information concerning this contact will be recorded (see process P1.1.1.6 Level 4
Process: Complete Contact Record).
Data Management
Passing information to a responsible individual will be recorded as a PROVISION OF SERVICE. The passer
of the information and the recipient of the information are both separate instances of SERVICE PROVIDER
(with different respective Service Provider Roles). The child (SERVICE USER) that is the subject of the
information is a SERVICE USER SERVICE RECIPIENT.
P1.1.1.4 Level 4 Process: Provide Advice and/or Information
1. Advice may include redirecting the caller to other, more appropriate public services.
Information may include providing a list of childcare facilities. This process is the same
as P2.1 Level 2 Process: Provide Services. Minimal information will be recorded on the
Contact Record (see process P1.1.1.6 Level 4 Process: Complete Contact Record).
Data Management
Providing advice and or information are examples of PROVISIONS OF SERVICE.
P1.1.1.5 Level 4 Process: Refer to Appropriate Agency(ies)
1. Where it is considered that one or more other Agencies may be appropriate, the person
making the contact may be referred to them. The CSSR may facilitate the referral by
contacting the Agency on behalf of the person concerned. Minimal information will be
recorded on the Contact Record (see process: P1.1.1.6 Level 4 Process: Complete
Contact Record).
Data Management
Referring to another Agency is a PROVISION OF SERVICE.
P1.1.1.6 Level 4 Process: Complete Contact Record
1. In all cases, a Contact Record should be completed to record the details of a contact.
2. The Integrated Children’s System provides an exemplar template for completing this
record (ICS exemplar ‘a’).
Data Management
Details are recorded under INITIAL CONTACT, ADDRESS & ADDRESS USAGE (for both the child and the
person making the contact, if appropriate) and EXTERNAL PERSON (the person making the contact).
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P1.1.2 Level 3 Process: Receive Referral
1. The process of receiving a referral is largely about eliciting information about the
reason why services might be required. This information must be recorded but the
process of receiving a referral is much more than making a record. It may involve
dealing with distress and confusion, clarifying complex situations, making people
comfortable and being clear with referring agencies.
2. The CSSR Team has to make a decision regarding what action to take within one
working day of receiving a referral. This does not mean that all action has to be
decided within 24 hours; the least that can happen in the first 24 hours is a decision as
to whether an initial assessment is required.
Data Management
In data terms, a referral is initially just the same as an initial contact (ie a referral from another agency is a
contact from another agency) – see the ‘Data Management’ box at the end of process P1.1.1.
P1.1.2.1 Level 4 Process: Evaluate Referral Information
1. As part of evaluating the referral information, two key determinations have to be made:♦ Is this a Possible Child in Need?
♦ Is a Referral to Another Agency required?
♦ Is Advice/Information Required?
2. The information received through the referral must be considered promptly so that
decisions can be made about the response within 24 hours of receiving the referral.
The key decision to be made to whether the child who is the subject of the referral is a
possible Child in Need.
3. Where the CSSR Team decides that the referral relates to a potential Child in Need,
then the referral proceeds to an initial assessment. The team manager may be required
to authorise these decisions at this stage.
4. In those situations where the CSSR Team decides that the application for service, i.e.
the referral, is inappropriate for the CSSR (ie the child is NOT a possible child in need),
the applicant will be dealt with appropriately by:•
•
being given information (see process: P1.1.1.4 Level 4 Process: Provide Advice
and/or Information);
and/or being referred to an appropriate agency(ies) (see process P1.1.1.5 Level 4
Process: Refer to Appropriate Agency(ies)).
Data Management
In the course of evaluating the referral information, additional information (as per ICS exemplar ‘b’) will be
gathered, for example:• SERVICE USER (name, date of birth, gender, ethnicity)
• EXTERNAL PERSON (carer’s name(s), parent(s) names, other household members, key agencies etc)
• ADDRESS & ADDRESS USAGE (addresses for the child and other parties, including telephone
numbers etc)
• LANGUAGE USAGE;
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• NATIONALITY STATUS;
• DISABILITY REGISTRATION;
• CHILD PROTECTION REGISTRATION etc
P1.1.2.2 Level 4 Process: Complete Referral and Information Record
1. In the case of possibilities (iii) and (iv) described when checking if a contact is known
(see P1.1.1.1 Level 4 Process: Evaluate Contact), where a receptionist has reason to
believe that the request for help should be dealt with by Children’s Social Care Services a
referral and initial information record will be commenced. It is likely that the completion
of this form (paper or electronic) will be begun by reception staff, or possibly staff at a
centre dealing with a referral, and completed by professional staff on duty. It may be
that reception staff do no more than record name, address, date of birth of each child
being referred. The case will be passed through to the duty team for children’s social care
services, with an information form having been completed with basic information about
the child and family. This team should then take over the management of the referral.
Recording requirements are set out in the Assessment Framework.
2. The Integrated Children’s System provides an exemplar template for completing this
record (see ICS exemplar ‘b’).
3. Other agencies may identify a child or young person as a possible child in need. They
may have established a case file within their own system and will contact the CSSR if
they believe services are required. This referral will be recorded and assessed in the
same manner as a referral received from a member of the public.
4. Letters and telephone calls, including unclear, incoherent or anonymous messages
from the public alerting the department to concerns for children and families, will be
treated as referrals and initial information.
5. The Assessment Framework (paragraph.3.8) states that a referral is defined as “a
request for services to be provided by the council with social services responsibilities.
The response may include no action, but that itself is a decision and should be made
promptly and recorded”.
Data Management
Where appropriate, the individual at reception managing the initial contact would create a Referral and Initial
Information form and pass it through to the CSSR Team that will decide whether an initial assessment will be
undertaken and if so, who will undertake the initial assessment activity. The communication may have come
from an applicant for services (their details are recorded under INITIAL CONTACT, or if they already exist as
a SERVICE USER, the CASE NOTE record is associated with the appropriate SERVICE USER record). The
communication may also come from an anonymous caller (ie there will be limited information only), a person
on behalf of the applicant (ie an EXTERNAL PERSON), professional individual (ie an EXTERNAL PERSON)
or from an Agency (ie an EXTERNAL ORGANISATION) who considers the child is potentially a ‘child in
need’.
A record for the child in question (CHILD SERVICE USER) will be created as soon as the referral and initial
information record is begun.
Note that other details, such as address of the notifier, could also be recorded at this stage (in the ADDRESS
and ADDRESS USAGE entities).
The act of receiving a referral is a PROVISION OF SERVICE, and so will require details to be recorded about
it. An individual (ie an EMPLOYEE) will perform this service. The association is made between the service
and the provider of the service by the SERVICE PROVIDER entity.
Depending on the nature of the referral, one or more other instances of PROVISION OF SERVICE may be
created to take account of other services that are required as a result of the referral (eg the need to
undertake an initial assessment).
If the subject of the referral is already a SERVICE USER, then it may be appropriate to add details about the
referral to the CASE NOTE record.
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The CSSR Team member (an EMPLOYEE) charged with assessing the referral (a PROVISION OF
SERVICE, linked to a specific EMPLOYEE via SERVICE PROVIDER) will complete outstanding sections of
the referral and initial information record as a result of their initial information gathering and decision making
activity. If it is decided that the case is to progress to initial assessment (a planned PROVISION OF
SERVICE), it is then allocated (via SERVICE PROVIDER) to a social worker, or appropriately skilled worker,
(an EMPLOYEE).
Note that case allocation is itself a PROVISION OF SERVICE, undertaken by an EMPLOYEE, associated via
SERVICE PROVIDER.
P1.1.3 Level 3 Process: Allocate Case Worker
1. If determined that a referral is appropriate, a named caseworker (social worker) is
given the responsibility for taking forward the case via an initial assessment.
Data Management
Allocating a caseworker is a PROVISION OF SERVICE.
P1.1.4 Level 3 Process: Undertake an Initial Assessment
1. Initial assessments must be completed within 7 working days from the point of referral
to a CSSR or when new information on an open case indicates an initial assessment
should be repeated (paragraph 3.9 of the Assessment Framework). Both the dates an
initial assessment is begun and completed are recorded.
2. This activity represents the gathering and recording of all the appropriate information.
As part of any assessment the child should be seen. In addition an assessment may
include some or all of the following:
•
•
•
•
•
•
•
•
•
Interviews with child and family members as appropriate;
Involvement of other agencies in gathering and providing information, as
appropriate;
Consultation with supervisor / manager;
Record of initial analysis;
Decisions on further action / no action;
Record of decisions / rationale with family / agencies
Informing other agencies of the decisions;
Providing a statement to the family of decisions made and, if a child is in need, the
plan for providing support.
Recording the family’s agreement to the plan
Data Management
Details gathered in an initial assessment will be recorded against the Assessment Framework domains and
dimensions under SERVICE USER NEED, SERVICE USER NEED SUMMARY and as CASE NOTES.
Once it is determined whether or not the child (a SERVICE USER) is a child in need and in some
circumstances also is or is likely to be suffering significant harm, the LEGAL STATUS that underpin the basis
of the CSSR’s basis for providing services to the SERVICE USER is recorded as appropriate (eg s17, s20,
s31, s47 etc). At a given time more than one legal status may apply.
The decision to commence an initial and a core assessment and to convene a strategy discussion should be
signed off by a manager (an EMPLOYEE).
Note that an initial assessment is itself a PROVISION OF SERVICE, undertaken by an EMPLOYEE,
associated via SERVICE PROVIDER. Other parties may also have a role in the initial assessment. For
example, a consultation with another Agency (an EXTERNAL ORGANISATION) by the social worker doing
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the assessment (an EMPLOYEE) can also be associated to the initial assessment (a PROVISION OF
SERVICE) via a separate instance of SERVICE PROVIDER. Similarly each other party that participates in
some way, such as a supervisor/manager (an EMPLOYEE) or a family member (an EXTERNAL PERSON)
etc, will each have their own SERVICE PROVIDER record, with a specific Service Provider Role for the
same PROVISION OF SERVICE. The specific child (a CHILD SERVICE USER) that receives the service is
determined via relationships to SERVICE USER SERVICE RECIPIENT.
Because assessments have to be done within statutory time scales, it is important to record dates that the
initial assessment started and finished (attributes of PROVISION OF SERVICE).
Note that as a result of the assessment a family member (an EXTERNAL PERSON) or collection of family
members (a FAMILY) could receive a service (a PROVISION OF SERVICE), provided by a suitable
person/organisation (an EMPLOYEE or EXTERNAL BODY that is a SERVICE PROVIDER). The specific
recipient(s) of the service are determined via relationships to NON SERVICE USER SERVICE RECIPIENT.
Members of the child’s family and other relevant individuals will be recorded as EXTERNAL PERSONS and
the nature of their relationship with the child recorded as a SERVICE USER RELATIONSHIP. The address
and contact details of these persons may also be recorded (in ADDRESS and ADDRESS USAGE).
It is at this stage that the SERVICE USER (specifically a CHILD SERVICE USER) record will be updated with
more details about the child. Other entities may also be populated (eg ALIAS, LANGUAGE USAGE,
NATIONALITY STATUS and MARITAL STATUS) as the relevant information becomes known.
At this point, details may be recorded in the Children in Need Plan (a SERVICE USER PLAN) and the
specific objectives of the plan are recorded in SERVICE USER PLAN OBJECTIVE.
P1.1.4.1 Level 4 Process: Complete Initial Assessment Record
1. The information about the child and family gathered from this activity is recorded
systematically against the dimensions set out above. The information gathered in the
initial assessment will be sufficient to be able to make the judgements set out in the
processes described below. The information system supporting this work will
accommodate concise textural entries against these dimensions.
2. The Integrated Children’s System provides an exemplar template for completing this
record (see ICS exemplar ‘c’).
Data Management
Each initial assessment is a PROVISION OF SERVICE. The date begun and date completed are recorded
under Provision Of Service Actual Start Date and Provision Of Service Actual End Date respectively.
When determining whether the initial assessment is completed within seven days of the Referral, the
Provision Of Service Actual End Date for the initial assessment would be compared to the Provision Of
Service Actual Start Date for the Referral (a separate instance of PROVISION OF SERVICE).
The information gathered in an assessment will be recorded under various entities in the Logical Data Model.
This would include personal information of the child and their family (see following processes for greater
detail).
P1.1.4.2 Level 4 Process: Evaluate Initial Assessment Record
1. The first task within the initial assessment is to determine:♦ Is this a Child in Need?
2. The assessment is done as to whether the child is in need under s17 of the Children
Act 1989. This must be determined for each child in a family.
Child Not in Need
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♦ Is a Referral to Another Agency Required?
♦ Is Advice/Information Required?
4. If determined that a referral to another Agency IS required then see process P1.1.1.5
Level 4 Process: Refer to Appropriate Agency(ies), otherwise no further action is
required in response to this specific question.
5. If determined that a provision of advice or information IS required then see process
P1.1.1.4 Level 4 Process: Provide Advice and/or Information, otherwise no further
action is required in response to this specific question.
Child in Need
6. If it is determined that the child IS in need, then a number of decisions have to be taken
on the basis of the initial assessment. These are:♦
♦
♦
♦
Should the Child’s Name be Entered on the Register of Disabled Children?
Does the Child Require Looking After by CSSR?
Is a Core Assessment Required?
Is the Child Suffering or Likely to Suffer Significant Harm?
7. These decisions are not mutually exclusive and should all be considered concurrently.
However, whatever decisions are made, they are carried through in accordance with a
Child in Need Plan.
8. If determined that the child’s name SHOULD be entered on the register of disabled
children, then see process P1.1.4.3 Level 4 Process: Enter Child’s Name on the
Register of Disabled Children, otherwise no further action is needed in response to this
specific question.
9. If determined that the child DOES require looking after by the CSSR, then looked after
children operations will be initiated (see process P1.4 Level 2 Process: Looked After
Children Operations), otherwise no further action is needed in response to this specific
question.
10. If determined that a core assessment IS required, then see process P1.1.5 Level 3
Process: Undertake a Core Assessment, otherwise no further action is needed in
response to this specific question (ie a Child in Need Plan will be formulated on the
basis of the initial assessment).
11. If determined that there is reasonable cause to suspect that a child IS suffering or is
likely to suffer significant harm, then child protection operations will be initiated (see
process P1.3 Level 2 Process: Child Protection Operations), otherwise no further
action is needed in response to this specific question.
12. Also, once determined that the child is in need, thought will need to be given about
what the specific needs of the child are and what services need to be provided to
address those needs. This is in preparation for developing the Child in Need Plan (see
P1.1.6 Level 3 Process: Formulate Child in Need Plan).
13. The provision of services that will clearly benefit a child should not be delayed until
initial or core assessments have been completed. The provision of services may be
triggered at this stage (see P2.1 Level 2 Process: Provide Services). The social worker
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and their manager will decide the nature of any services required, from where and
within what timescales (see P1.1.7 Level 3 Process: Implement Child in Need Plan).
Data Management
Evaluating the initial assessment is a PROVISION OF SERVICE.
The information gathered so far in the initial assessment is used to inform the decision making.
The outcome of the decision about whether the child is in need would be recorded under the child’s care plan
(under SERVICE USER PLAN). The Service User Case Status will be updated accordingly (eg if not
determined as being in need the status would be “closed”).
Determining the services that may be required can be done at a high level within a Child in Need Plan (under
SERVICE USER PLAN) and at a detailed level as specific instances of planned services (a PROVISION OF
SERVICE with the Provision Of Service Status of “planned”), including timescales. Determining the
services required might include identifying who will provide the service (via SERVICE PROVIDER).
P1.1.4.3 Level 4 Process: Enter Child’s Name on the Register of Disabled Children
1. Sufficient information will be usually gathered at the initial assessment stage to
determine if a child is eligible to be placed on the disability register. This is conditional
upon the wishes of the child’s carers and the child if old enough to have a view. These
views must be taken into account before deciding whether or not to register.
Registration may carry with it such benefits for the family as receipt of information
bulletins and access to consultation.
Data Management
Details about a specific child’s (SERVICE USER’S) disabilities and/or impairments will be recorded under
SERVICE USER DISABILITY and SERVICE USER IMPAIRMENT respectively. If it is agreed that a child is
eligible to be placed on the Disability Register and there is consent for so doing, the details are recorded as a
DISABILITY REGISTRATION.
Note that the Logical Data Model also supports recording entries on the Disability Register for parents or
carers etc (EXTERNAL PERSONS), as this may be relevant when considering the needs of a child.
P1.1.5 Level 3 Process: Undertake a Core Assessment
1. Following an initial assessment a number of decisions should be made including
whether the child is in need under s17 of the Children Act and if so, what services
should be provided, by which agencies in what time-scale. A core assessment may be
necessary to provide a more in-depth assessment of the child's needs. If s47 enquiries
have been initiated (see process P1.3.4 Level 3 Process: Undertake Core Assessment
under Section 47), that assessment of what is happening to a child is not a separate or
different activity but continues the assessment process, although its pace and scope
may have changed. The Assessment Framework “provides a structure for helping to
collect and analyse information obtained in the course of s47 enquiries” (para 5.33 of
the Assessment Framework).
2. A decision to initiate a core assessment (see process P1.1.5 Level 3 Process:
Undertake a Core Assessment) may be taken at any time, including whilst an initial
assessment is still in progress. A CSSR manager will sign off this decision. It will be a
matter of each CSSR to consider if and how electronic authorisation of decisions will be
permitted. If determined that a core assessment is not required, then a Child in Need
Plan will be formulated on the basis of the initial assessment.
3. The Assessment Framework defines a core assessment as “an in-depth assessment
which addresses the central or most important aspects of the needs of the child and
the capacity of his or her parents or caregivers to respond appropriately to these needs
within the wider family and community context”.
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4. Core assessments must be completed within 35 working days from end of initial
assessment or time of the decision to initiate s47 enquiries, or new information on an
open case indicates a core assessment should be undertaken (paragraph 3.11 of the
Assessment Framework). Both the dates a core assessment is begun and the date it is
completed will be recorded.
5. Completing a core assessment will involve a number of activities including seeing the
child, and interviewing the child and family members as appropriate. Aspects of the
assessment may be undertaken by a number of professionals. This will be particularly
so for disabled children where assessments required for different purposes by different
agencies will share common aspects. For all children in need the CSSR has statutory
responsibility for ensuring the core assessment is completed.
Data Management
A core assessment is a PROVISION OF SERVICE.
P1.1.5.1 Level 4 Process: Commence Chronology Record
1. The Integrated Children’s System recognises that a chronology of events in a child’s
life is crucial to the conduct of the casework and informing decisions. Completing the
Chronology Record should begin when a core assessment is commenced.
2. The Integrated Children’s System provides an exemplar template for the Chronology
Record (see ICS exemplar ‘m’).
Data Management
The information on the Chronology record will be held in several entities in the Logical Data Model, for
example:• SERVICE USER;
• PROVISION OF SERVICE;
• IMPAIRMENT;
• DISABILITY;
• EXTERNAL BODY;
• STANDARD ASSESSMENT TEST;
• EDUCATION QUALIFICATION EXAMINATION;
• LEGAL STATUS;
• OFFENCE etc.
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P1.1.5.1.1 Level 5 Process: Prepare a Chronology of Significant Events
for Court
1. A Chronology of Significant Events Prepared for Court is a new ICS
Exemplar released as part of ICS phase 1c.
2. A Chronology of Significant Events Prepared for Court may be largely prepopulated from the existing ICS data set although the definition of an event
as a ‘Significant Event’ may involve a decision by the caseworker.
Data Management
The information on the Chronology record will be held in several entities in the Logical Data
Model, for example:• SERVICE USER;
• PROVISION OF SERVICE;
• IMPAIRMENT;
• DISABILITY;
• EXTERNAL BODY;
• STANDARD ASSESSMENT TEST;
• EDUCATION QUALIFICATION EXAMINATION;
• LEGAL STATUS;
• OFFENCE etc.
P1.1.5.2 Level 4 Process: Complete Core Assessment Record
1. The Integrated Children’s System provides a series of age appropriate exemplar
templates for completing this record (see ICS exemplars g, h, i, j, k & l).
2. The information gathered from the core assessment will be recorded systematically for
each dimension in the three domains (see Annex A: A Note on Assessment). The
information gathered in the core assessment will be much fuller than for an initial
assessment. It will form the evidence basis for a plan. The information system
supporting core assessments will accommodate substantial textual entries against
these dimensions.
Data Management
Details gathered in a core assessment will be recorded against the Assessment Framework domains and
dimensions under SERVICE USER NEED, SERVICE USER NEED SUMMARY and as CASE NOTES, in
much greater detail than that recorded for an initial assessment.
Once it is determined whether or not the child (a SERVICE USER) is a child in need and for some a child
suffering or likely to suffer significant harm, the LEGAL STATUS that underpin the basis of the CSSR’s basis
for intervening and providing services to the SERVICE USER is recorded as appropriate (eg s17, s 20, s 31,
s47 etc). At a given time more than one legal status may apply.
Note that a core assessment is itself a PROVISION OF SERVICE, undertaken by an EMPLOYEE,
associated via SERVICE PROVIDER. Other parties may also have a role in the core assessment. For
example, a consultation with another Agency (an EXTERNAL ORGANISATION) by the social worker doing
the assessment (an EMPLOYEE) can also be associated to the core assessment (a PROVISION OF
SERVICE) via a separate instance of SERVICE PROVIDER. Similarly each other party that participates in
some way, such as a supervisor/manager (an EMPLOYEE) or a family member (an EXTERNAL PERSON)
etc, will each have their own SERVICE PROVIDER record, with a specific SERVICE PROVIDER Role for the
same PROVISION OF SERVICE. The specific child (a CHILD SERVICE USER) that receives the service is
determined via relationships to SERVICE USER SERVICE RECIPIENT.
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Because assessments have to be done within statutory time scales, it is important to record dates that the
core assessment started and finished (attributes of PROVISION OF SERVICE).
Note that as a result of the assessment a family member (an EXTERNAL PERSON) or collection of family
members (a FAMILY) could receive a service (a PROVISION OF SERVICE), provided by a suitable
person/organisation (an EMPLOYEE or EXTERNAL BODY that is a SERVICE PROVIDER). The specific
recipient(s) of the service are determined via relationships to NON SERVICE USER SERVICE RECIPIENT.
Further details of members of the child’s family and other relevant individuals will be recorded as EXTERNAL
PERSONS and the nature of their relationship with the child recorded as a SERVICE USER
RELATIONSHIP. The address and contact details of these persons may also be recorded (in ADDRESS and
ADDRESS USAGE).
It is at this stage that the SERVICE USER (specifically a CHILD SERVICE USER) record will be updated with
more details about the child. Other entities may also be populated (eg ALIAS, LANGUAGE USAGE,
OFFENCE, NATIONALITY STATUS and MARITAL STATUS) as the relevant information becomes known.
Details of SERVICE USER DISABILITY and SERVICE USER IMPAIRMENT may be populated at this stage,
if appropriate.
At this point, details may be recorded in the Children in Need Plan (a SERVICE USER PLAN) and the
specific objectives of the plan are recorded in SERVICE USER PLAN OBJECTIVE.
P1.1.5.2.1 Level 5 Process: Prepare a Core Assessment Record for Court
1. A Core Assessment Record Prepared for Courts is a new ICS Exemplar
released as part of ICS phase 1c.
2. A Core Assessment Record Prepared for Courts will be largely prepopulated from the existing ICS data set.
Data Management
A Core Assessment Record Prepared for Courts is a PROVISION OF SERVICE.
P1.1.5.3 Level 4 Process: Evaluate Core Assessment Record
1. The understanding about the child’s needs gained through the core assessment is
evaluated so that a Child in Need Plan drawn up after the Initial Assessment can be
updated and revised (see process P1.1.8.3 Level 4 Process: Revise Child in Need
Plan).
2. Some of the same key questions will be addressed again, specifically:♦ Should the Child’s Name be Entered on the Register of Disabled Children?
♦ Does the Child Require Looking After by CSSR?
♦ Is the Child Suffering or Likely to Suffer Significant Harm?
3. These decisions are not mutually exclusive and should all be considered concurrently.
However, whatever decisions are made, they are carried through in accordance with a
Child in Need Plan.
4. If determined that the child’s name SHOULD be entered on the register of disabled
children, then see process P1.1.4.3 Level 4 Process: Enter Child’s Name on the
Register of Disabled Children, otherwise no further action is needed in response to this
specific question.
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5. If determined that the child DOES require looking after by the CSSR, then see process
P1.4 Level 2 Process: Looked After Children Operations, otherwise no further action is
needed in response to this specific question.
6. If determined that the child IS suffering or is likely to suffer significant harm, then see
process P1.3 Level 2 Process: Child Protection Operations, otherwise no further action
is needed in response to this specific question.
7. In addition it is necessary to determine:♦ Is the Child Still in Need?
♦ Is a Referral to Another Agency Required?
♦ Is Advice/Information Required?
8. If determined that the child IS still in need, then the Child in Need Plan for the child will
be revised in light of needs identified as part of the core assessment (see process
P1.1.8.3 Level 4 Process: Revise Child in Need Plan).
9. If determined that the child IS NOT still in need, then:•
•
•
the services provided by children's social care services will be terminated (see
process P2.1.2 Level 3 Process: Terminate Service);
the case will be closed (see process P1.1.9 Level 3 Process: Close Case); and
a Case Closure Record will be completed (see process P1.1.9.1 Level 4 Process:
Complete Closure Record)
10. If determined that a referral to another Agency IS required then see process P1.1.1.5
Level 4 Process: Refer to Appropriate Agency(ies), otherwise no further action is
required in response to this specific question.
11. If determined that a provision of advice or information IS required then see process
P1.1.1.4 Level 4 Process: Provide Advice and/or Information, otherwise no further
action is required in response to this specific question.
Data Management
None (this is a ‘thinking’ process, analysing the information captured and recorded against the various
entities as part of the assessment processes – conclusions will be recorded in the care plan – see below).
P1.1.6 Level 3 Process: Formulate Child in Need Plan
1. The term “Child in Need Plan” or “Child’s Plan” is used here as the most generic
concept of planning for individual children. It is one of the products of an initial or core
assessment. Below are listed other important plans which have special functions within
particular processes; they are defined in the Glossary.
•
•
•
•
•
•
Child Protection Plan
Care Plan (Looked After Children)
Placement Plan
Health Care Plan
Personal Education Plan
Pathway Plan
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•
Adoption Plan
2. The output from an assessment is a child in need plan, describing the objectives that
are to be met, the services that should be offered, by whom in what timescale. A plan
should have a review date and be clear about what type of events will trigger a review
in advance of the set date.
3. The plans may necessitate action by a variety of agencies, including the CSSR. For
each child there must be an identified lead agency for implementing the plan. The lead
may be determined by statute. For example, the CSSR has lead responsibility for child
protection plans and Looking After Children care plans, and the Local Education
Authority has lead responsibility for the Special Educational Need (SEN) assessment
process.
4. A large range of service options should be available and identifying which services are
likely to result in optimal outcomes for each child and family will involve in-depth
consideration of the child’s needs within their family and environmental context, both
during and following completion of the core assessment. The chosen service options
may involve adult services and services provided by agencies other than the CSSR
Children's Social Care Services Department.
5. Following a core assessment, agencies, including the CSSR Children's Social Care Services
Department, may choose to meet to construct the plan, and decide how best to
implement, monitor and review it. There may be situations where some of the services
provided in the plan are jointly funded, but the CSSR does not need to be directly
involved with the child and family members.
6. CSSRs may wish to cost the child in need plan by specifying each component of the
plan together with the estimated costs against the proposed cost centre and budget
line. Information about the price of services will come from the department’s contracting
section. CSSRs will have calculated the unit cost per unit time of in-house services for
the Children In Need (CIN) Census. These costs may be needed to secure
authorisation for expenditure on the plan, if agreed for entering into the financial system
as committed expenditure, and subsequent monitoring.
Data Management
Details about a plan and the specific objectives of a specific plan are recorded in SERVICE USER PLAN and
SERVICE USER PLAN OBJECTIVE. A number of instances of SERVICE USER PLAN OBJECTIVES and
NEED TO OBJECTIVE MAPPING will be created.
Where a lead Agency is involved in implementing the plan, this should be recorded explicitly as an
EXTERNAL BODY.
Activities involved in formulating a plan, such as multi-agency planning meetings, child protection
conferences, childcare review meetings etc are all examples of PROVISION OF SERVICE and are recorded
as such.
Specific services may be planned as a result of formulating the plan. These will be recorded as instances of
PROVISION OF SERVICE.
Cost attributes are included in various entities in the Logical Data Model (PROVISION OF SERVICE,
SERVICE PROVIDER, EMPLOYEE, GROUP and EXTERNAL BODY). These attributes should be regarded
as indicative only. This is because the exact way services are charged (for example using timesheets to
capture costs and apportionment to distribute costs) will vary considerably across CSSRs. Each CSSR will
need to devise a means of costing services (planned and actual) that fits in with their existing systems and
accounting practices. Whatever solution is implemented, the key data requirements are to record planned
and actual costs so that they can be:• Attributed against individual clients (SERVICE USERS);
• Collated by service categories and types (Service Provider Category and Service Provider Type);
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and
• Recorded as items of committed and actual expenditure.
P1.1.6.1 Level 4 Process: Complete Child in Need Plan Record
1. The formulated plan must be recorded. The Integrated Children’s System provides an
exemplar template for completing this record (see ICS exemplar ‘n’).
P1.1.7 Level 3 Process: Implement Child in Need Plan
1. Implementing a child in need plan represents the selection and provision of those
services that need to be allocated to the child and their family members (see P2.1
Level 2 Process: Provide Services). Interventions will always involve bringing about an
event that is significant for the child or family. These events may involve the take-up of
a service provided and arranged by the CSSR or by another agency. The interventions
may take the form of, for example, advice, provision of support to enable the child or
family members to access specific services themselves, and direct work with a child
and/or family members. Information about implementation is essentially about
recording the timing, purpose and nature of events taking place in accordance with the
Plan. For example, appointments, therapeutic sessions, delivery of equipment. There is
a tendency for major interventions to be heavily documented and for smaller
interventions to be overlooked. It is intended that the information system described
here will permit, at least minimal, recording of the full range of interventions. For each
child, at relevant points in time, the outcome for the child and family members as a
result of the intervention should be recorded irrespective of the nature and the intensity
of the services provided.
2. Some plans include options, and a decision on the most effective option may be taken
at a review or during the course of work with the child and family. Planning is a process
and not a one-off written statement and as such will be sensitive to the response of the
child and family members to a given intervention.
3. A plan should have an amount of money and other resources allocated to it. This is
often an “invisible” link because the service is provided through a resource that has
been allocated and sanctioned for general use, for example, the provision of advice or
counselling through a social worker on the staff establishment. The CIN database and
census helps to elicit some information about the resource implications of the
implementation of plans. Unit costs calculated for this purpose may have wider
application in building up the cost of child in need plans.
4. Sometimes plans will not be carried through and services, though desired, are not
provided. This may be for a variety of reasons, for example the funding is unavailable,
or the family does not wish to take up the service. Reasons why services are not
carried out in accordance with the plan are recorded.
5. One reason may be that the child moves address out of the area of the CSSR in to
another. Steps must be taken to ensure that the intentions of the Children In Need
Plan, or other plans, are transferred to the new CSSR. In the case of children looked
after under a Care Order and children who are the subjects of Child Protection Plans
who move from one CSSR to another, the first CSSR has a duty to inform the new
CSSR of this move. Responsibility for the provision of services may need to be
transferred. In the case of a child looked after under a Care Order who moves to
another CSSR, the day to day supervision of the child may be negotiated and
transferred to the new CSSR. The responsibility for managing the case rests with the
CSSR named in the Order until an application for transfer is made and agreed by the
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court. In such cases the all the information in the child’s case record is transferred to
the new CSSR.
6. Where a child who is the subject of a Child Protection Plan in one CSSR has moved
permanently to another CSSR, the receiving CSSR should convene a child protection
conference within 15 days of being notified of the move. Only after this event may the
child cease to be the subject of the Child Protection Plan in the original CSSR (para
5.93 of “Working Together To Safeguard Children” refers).
Data Management
Implementing a plan is realised by undertaking the services (each a PROVISION OF SERVICE) that was
planned when the plan was formulated. The plan will be regularly reviewed (itself a PROVISION OF
SERVICE), which may mean that some planned services are not delivered after all, some other services are
planned, or some other services are delivered without being planned.
If a service is provided but not taken up, it is recorded under Provision Of Service Declined Reason.
P1.1.8 Level 3 Process: Review Progress Against Child in Need Plan
1. A review of progress against a Child in Need Plan is essentially a review of all relevant
plans (see P1.1.6 Level 3 Process: Formulate Child in Need Plan). The activity of
reviewing a plan is triggered by:
•
•
•
•
Requirements laid down in legislation, regulations and guidance;
An event stipulated in a plan;
An unscheduled event giving cause for concern;
A period of time, eg three months, which again was included as part of a plan.
2. The responsibility for arranging reviews varies according to the type of review and the
organisational processes. A system of recording when the outside time limit for a
review is due, and for generating timely reminders is an essential part of the
administrative support to these processes. The responsibility for identifying the scope
and sequence of reviews for a child rests with the Social Worker who will have access
to an administrative diary system based upon the statutory requirements.
3. Reviews will vary in complexity according to the type of case. The objective of a review
is to determine whether the outcomes achieved for a specific child aligns with the
objectives detailed in the plan made following the last assessment or re-assessment.
Whether planned outcomes were achieved or not should be recorded. As a
consequence of this review, it may be identified that the plan has not been fully
implemented and requires further activity to complete it. These additional activities may
consist of areas that have been amended from the original plan. Alternatively decisions
made at the review may result in a further assessment of the case, which in turn would
lead to a revised plan. A re-assessment may be necessary if the earlier assessment is
out of date. A new assessment may be necessary if new needs are identified which
require better understanding. A specialised assessment may be necessary if more
information on a specific aspect of the child’s circumstances is required, for example
speech and language difficulties. The third possible output from a review might result in
the action plan being deemed to have been carried out successfully and the case being
closed.
4. The review should be conducted in line with statutory requirements, guidance and
current concepts of best practice.
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5. The review of a case also provides an opportunity to monitor the quality and
appropriateness of service provision, and a record should be made on this for use in
monitoring compliance see P3.1.1 Level 3 Process: Monitor Compliance with Time
Limits and Regulations. It is important to evaluate whether the planned intervention(s)
addressed the identified developmental needs of the child and contributed to his/her
improved outcomes. Reviews are the opportunity to monitor developmental outcomes,
including health and education. Monitoring outcomes for children in need is currently in
its infancy. The ability to conduct such an analysis will remain an aspiration unless the
required outcomes are built into each child's plan, and the services offered are
recorded for each case. As part of the review activity, the CSSR team should measure
the effects of interventions and monitor the outcomes for children. The review process
should include feedback from other agencies and service users.
6. The review may reveal that needs have not been met because services have not been
available for the child. Monitoring of unmet need is detailed under demand and
capacity monitoring (see P3.5.2.1 Level 4 Process: Determine Unmet Need).
Data Management
The plan will be regularly reviewed (itself a PROVISION OF SERVICE). The review activity is likely to be
mainly concerned with retrieving data that is already recorded. However, some data about PROVISION OF
SERVICE may be modified (eg if some planned services are not delivered after all, some other services are
planned, or some other services are delivered without being planned). Details may also be changed for
SERVICE USER PLAN and SERVICE USER PLAN OBJECTIVE. The date of each review must be recorded
within the PROVISION OF SERVICE.
Actions taken in response to a review (eg a referral to another agency, providing information or advice,
undertaking specialist assessments etc) are all PROVISIONS OF SERVICE.
P1.1.8.1 Level 4 Process: Complete Child in Need Plan Review Record
1. The outcomes of the review of the Child in Need Plan need to be recorded. The
Integrated Children’s System provides an exemplar template for completing this record
(see ICS exemplar ‘q’).
Data Management
See the Data Management box under P1.1.8 Level 3 Process: Review Progress Against Child in Need Plan.
P1.1.8.2 Level 4 Process: Hold Child in Need Review Meeting
1. The purpose of this meeting is to evaluate with key parties the progress that has been
made against the plan and to determine:♦
♦
♦
♦
Is the Child Still in Need?
Is a Referral to Another Agency Required?
Is Advice/Information Required?
Should the Core Assessment be Updated?
2. If determined that the child IS still in need, then the Child in Need Plan for the child will
be revised in light of needs identified as part of the review meeting (see process
P1.1.8.3 Level 4 Process: Revise Child in Need Plan).
3. If determined that the child IS NOT still in need, then:-
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•
•
•
the services provided by children's social care services will be terminated (see
process P2.1.2 Level 3 Process: Terminate Service);
the case will be closed (see process P1.1.9 Level 3 Process: Close Case); and
a Case Closure Record will be completed (see process P1.1.9.1 Level 4 Process:
Complete Closure Record)
4. If determined that a referral to another Agency IS required then see process P1.1.1.5
Level 4 Process: Refer to Appropriate Agency(ies), otherwise no further action is
required in response to this specific question.
5. If determined that a provision of advice or information IS required then see process
P1.1.1.4 Level 4 Process: Provide Advice and/or Information, otherwise no further
action is required in response to this specific question.
6. If determined that the core assessment SHOULD be updated then see process P1.1.5
Level 3 Process: Undertake a Core Assessment, otherwise no further action is required
in response to this specific question. Note that undertaking a specialist assessment
would be one of the reasons for updating a core assessment.
Data Management
See the Data Management box under P1.1.8 Level 3 Process: Review Progress Against Child in Need Plan.
P1.1.8.3 Level 4 Process: Revise Child in Need Plan
1. The revision of the Child in Need Plan may form part of a cycle of plan, implement and
review until the child is no longer in need.
Data Management
See the Data Management box under P1.1.8 Level 3 Process: Review Progress Against Child in Need Plan.
P1.1.8.4 Level 4 Process: Update Child in Need Plan Record
1. Each time the Child in Need Plan is revised, the Child in Need Plan Record, which is
the same as the Child Plan Record (see ICS exemplar ‘n’), must be updated.
Data Management
See the Data Management box under P1.1.8 Level 3 Process: Review Progress Against Child in Need Plan.
P1.1.9 Level 3 Process: Close Case
1. A case can be closed at various stages in the course of operational case management.
The effect of case closure is to end any further decision making until such time as the
case is re-referred. The caseworker will bring the case record completely up to date.
The case should be read by a manager who checks that all required work has been
completed and then signs off the decision to close the case. A classified reason for
closure will be agreed and recorded.
2. There may be more than one case record on a child. For example, there may be
records held by the fieldworker and by a residential unit. For the foreseeable future it is
likely that paper records or photographic reproductions of them will be required,
particularly for archival purposes. There are likely to be both electronic and paper
records. The electronic record on each child should provide information on where the
paper files concerning the child are stored.
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3. The case file will then be moved to storage for closed case records. The CSSR will
have agreed periods of time for closed cases to remain in storage before they are sent
for archiving or are destroyed. This may include decisions to destroy paper records but
maintain them in electronic form. For some types of cases, e.g. children looked after
and children adopted, periods before destruction are stipulated in statute.
4. Other actions may apply to specific types of situations, such as purchasing services for
a disabled child. After a case has been actively worked on and certain services with
long term utility have been arranged, a child may not have an allocated worker but the
provision of services may be put “on review”. This may apply to a child who has been
adopted where it is agreed that the only action that is necessary is to review an
adoption allowance annually. The case is not closed but the CSSR will take no initiative
before a given date unless new information is received by the CSSR. At the review
date the case will be re-activated for a period in which the child’s needs and the
appropriateness of the services will be re-assessed.
5. CSSRs will devise a means for describing how a case is being managed at a given
time. These are likely to use such terms as open, closed, on review, current, allocated,
unallocated. These terms are defined in the glossary. A CSSR may not use all of these
terms; they will decide which terms to use.
6. In parallel to a case being closed, all services relevant to this specific case will also be
terminated (see process P2.1.2 Level 3 Process: Terminate Service).
Data Management
Case closure is a PROVISION OF SERVICE.
Case closure is an example of a PROVISION OF SERVICE where there must be at least two instances of
SERVICE PROVIDER. The first is the caseworker that closes the case (an EMPLOYEE); the second is the
manager that signs off the case closure (also an EMPLOYEE) – each will have a specific Service Provider
Role.
Electronic or paper records (by reference) may be recorded under SERVICE USER DOCUMENT.
The Service User Case Status must also be changed accordingly.
P1.1.9.1 Level 4 Process: Complete Closure Record
1. When a case is closed a Case Closure Record must be completed. The Integrated
Children’s System provides an exemplar template for completing this record (see ICS
exemplar ‘z’).
Data Management
See the Data Management box under P1.1.9 Level 3 Process: Close Case.
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P1.2 Level 2 Process: Request, Receive and Evaluate Information
1. Requesting, receiving and evaluating information is fundamental to providing children's
social care services in general and case management operations in particular.
2. Information received may be unsolicited information or information received in
response to a request.
3. When information is received it has to be evaluated. This could range, for example,
from a very basic evaluation, deciding whom the information needs to be passed to, to
a more detailed consideration as part of an assessment.
4. This process can be triggered by numerous other processes and may trigger numerous
other processes.
5. This process therefore fulfils a very broad and fundamental requirement of case
management to request and receive information at any stage in relation to any process.
Information received on a hitherto unknown child constitutes an initial contact and may
lead to a referral (see P1.1.1 Level 3 Process: Reception and Initial Contact).
Data Management
Details of data requirements are set out in the following sub-processes.
P1.2.1 Level 3 Process: Request Information
1. Information is requested at various stages of Case Management Operations, for
example:•
•
•
when processing an initial contact (see P1.1.1 Level 3 Process: Reception and
Initial Contact);
during an assessment;
as part of a section 47 enquiry (see P1.3.4 Level 3 Process: Undertake Core
Assessment under Section 47) etc, etc.
Data Management
CSSRs may wish to record when information has been requested. This could be under as a PROVISION OF
SERVICE, for example if part of a formal information gathering assessment when it is desirable to record
details of dates and times, about who requested the information (via SERVICE PROVIDER), who it was
requested from (via SERVICE USER RECIPIENT or NON SERVICE USER RECIPIENT). Alternatively, it
could be recorded under CASE NOTE.
Alternatively or in addition CSSRs may wish to specify information requests as part of a functional workflow
requirement.
P1.2.2 Level 3 Process: Receive Information
1. Information is received at various stages of Case Management Operations. This could
be unsolicited information or information received in response to a request by an
allocated caseworker/team, made to another agency or relative for example.
Data Management
Information received would be recorded against the appropriate entity.
CSSRs may wish to record contacts under PROVISION OF SERVICE.
Alternatively or in addition CSSRs may wish to specify information receipts as part of a functional workflow
requirement.
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P1.2.3 Level 3 Process: Evaluate Information
1. Information that is received needs to be assessed at two levels.
•
•
Is it for an existing current case or not?
Who needs to action the information received?
2. For example, information received may lead to a referral if it concerns an individual for
whom there is not a current case, or it may be new information concerning an existing
case. In any event, the information has to be assessed and passed on as appropriate
to the allocated caseworker or the team dealing with the case.
Data Management
Assessing the information received is a PROVISION OF SERVICE.
If appropriate, a new case may be opened (a new SERVICE USER instance created).
Details may be recorded under CASE NOTES if appropriate.
The logging of information flows is not represented at present in the Logical Data Model. Rather than defining
this as a ‘hard’ data requirement, it may be best to specify this requirement in terms of general auditing and
workflow requirements.
The recording of key data that may be present in the information flows would be captured as appropriate in
the relevant entities and attributes in the Logical Data Model.
P1.2.3.1 Level 4 Process: Pass Information to Appropriate Person/Team
1. Information, particularly that which is unsolicited, may not be received by the
appropriate person/team that is dealing with a specific case. In such circumstances
there needs to be a formal hand over or notification to the appropriate person/team. It
is likely that a CSSR would want to record who passed on the information, who
received the information and when, including details of dates and times.
2. Where information is received by the person/team dealing with a case (or certain
aspects of a case) and does not need to be passed on, then the only requirement is to
log receipt of the information.
Data Management
The logging of information flows is not represented at present in the Logical Data Model. Rather than defining
this as a ‘hard’ data requirement, it may be best to specify this requirement in terms of general auditing and
workflow requirements.
The recording of key data that may be present in the information flows would be captured as appropriate in
the relevant entities and attributes in the Logical Data Model.
P1.2.3.2 Level 4 Process: Decide Actions in Response to Information Received
1. When information is received, there is a function to determine what actions (including
no further action) should be taken. The exact nature of this function is dependent on
who receives the information and the nature of the information. For example,
information received about a child that is not the subject of a current case may trigger
the formal referral processes Information received in regard to an assessment, or a
review (see P1.1.8 Level 3 Process: Review Progress Against Child in Need Plan) for
example, will be used by the allocated caseworker or team as part of these processes.
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The logging of all actions as a result of receiving information flows is not represented at present in the Logical
Data Model. Rather than defining this as a ‘hard’ data requirement, it may be best to specify this requirement
in terms of general auditing and workflow requirements.
The recording of key actions, would be captured as appropriate in the relevant entities and attributes in the
Logical Data Model (eg by recording an Initial Contact Outcome or by developing plans and objectives
under SERVICE USER PLAN and SERVICE USER PLAN OBJECTIVE or by commissioning a new or
additional service(s) under PROVISION OF SERVICE.
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P1.3 Level 2 Process: Child Protection Operations
1. At any stage in a case, information may become available that suggests that a child is
suffering or is likely to suffer significant harm. This sets in train procedures, which
encompass but do not replace the core operations of referral, initial assessment,
intervention etc. A key practice message, which must be preserved in the way process
activity is described, is that assessment and responding to the child’s needs continues
as the child protection aspects of a case are explored.
2. Determining whether the child is, or is likely to, suffer significant harm is identified as a
key decision under the processes to evaluate an initial assessment record or a core
assessment record (see P1.1.4.2 Level 4 Process: Evaluate Initial Assessment Record
and P1.1.5.3 Level 4 Process: Evaluate Core Assessment Record respectively). This
section logically begins at the point the determination is made. It is, however,
recognised that concerns about a child’s safety may arise at any stage of the CSSR’s
involvement with a child and family.
Data Management
Specific Data Management requirements are described in detail below under the following sub-processes.
P1.3.1 Level 3 Process: Determine Need for Immediate Action
1. Where there is a risk to the life of a child or likelihood of serious immediate harm, an
agency with statutory child protection powers (CSSR, police and NSPCC) should act
quickly to secure the immediate safety of the child. Emergency action might be
necessary as soon as a referral is received, or at any point in involvement with children
and families. Planned emergency action will normally take place following an
immediate strategy discussion between police, children's social care services and other
agencies as appropriate (including NSPCC where involved). Where a single agency has
to act immediately to protect a child, a strategy discussion should take place as soon as
possible after such action to plan next steps. Legal advice should normally be obtained
before initiating legal action, in particular when an Emergency Protection Order is to be
sought.
2. If immediate action is required a decision has to be made in the context of a Strategy
Discussion (see P1.3.2 Level 3 Process: Hold Strategy Discussion) about whether the
CSSR, the police (or NSPCC) will act. Ideally any action will be agreed at the Strategy
Discussion, but in some cases it may be necessary to take immediate action before, or
in parallel to, a Strategy Discussion taking place.
3. The key decision to be made by the participants at the Strategy Discussion or, if made
in advance of the Strategy Discussion, CSSR staff, is as follows:♦ Is Urgent Immediate Action Required?
4. If determined that urgent immediate action is NOT required, then no further action is
needed in response to this specific question.
5. If determined that urgent immediate action IS required, then the following process
P1.3.1.1 Level 4 Process: Undertake Immediate Action is triggered.
Data Management
Specific Data Management requirements are described in detail below under the following sub-processes.
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P1.3.1.1 Level 4 Process: Undertake Immediate Action
1. If determined that urgent immediate action IS required, then the following determination
has to be made:♦ Is CSSR to Take Immediate Action?
2. It will need to be agreed whether the CSSR or the police are to take the necessary
immediate action. This will lead on to one of the two following processes:•
•
P1.3.1.2 Level 4 Process: Police Take Action to Protect the Child; or
P1.3.1.3 Level 4 Process: CSSR Take Action to Protect the Child.
Data Management
The process of determining the need for immediate action is a PROVISION OF SERVICE. The involvement
of other individuals (EXTERNAL PERSONS) and/or Organisations (EXTERNAL ORGANISATIONS) in
providing this PROVISION OF SERVICE will be recorded as separate instances of SERVICE PROVIDER.
If the child (SERVICE USER) was not already known to the CSSR, then the processes (and therefore related
data management activities) of Core Case Management Operations (see P1.1 Level 2 Process:, page 25) will
operate to gather and record relevant information.
If the child (SERVICE USER) was already known to the CSSR, then the existing data will be reviewed and
added to as appropriate as part of the process.
P1.3.1.2 Level 4 Process: Police Take Action to Protect the Child
1. The police can act to protect a child under Section 46 of the Children Act 1989, to
provide urgent immediate action where necessary. Having done so, it will be the
responsibility of the CSSR to take the case forward (see P1.3.1.3 Level 4 Process:
CSSR Take Action to Protect the Child). Decisions about future action should be made
at a Strategy Discussion (see P1.3.2 Level 3 Process: Hold Strategy Discussion).
Data Management
The action is taken by the police. They will keep their own records. The change of LEGAL STATUS will be
recorded.
P1.3.1.3 Level 4 Process: CSSR Take Action to Protect the Child
1. Normally the CSSR is responsible for taking action to protect a child. Exceptionally the
NSPCC can and does take action. However, this process is described on the basis that
it is the CSSR that is taking the action. There are three aspects to this process that will
be considered together:
•
•
•
A decision has to be made about whether an Emergency Protection Order (EPO) is
appropriate;
A decision has to be made about whether to apply for an exclusion requirement
when applying for an EPO;
A decision has to be made about an immediate placement for the child (see P1.4
Level 2 Process: Looked After Children Operations).
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2. It should be noted that for an immediate placement a child may remain in a place of
safety (eg a hospital) if that is consider the most appropriate and safest location for the
child.
3. The CSSR will need to make the following determinations:♦ Is an EPO Appropriate?
♦ Is an Exclusion Requirement in the EPO Appropriate?
4. If an Emergency Protection Order (EPO) IS considered appropriate then the CSSR will
apply to the Family Court for one (see P1.3.1.4 Level 4 Process: CSSR Applies for an
Emergency Protection Order). It will then need to be further determined whether or not
an exclusion requirement in the EPO is appropriate (see following paragraph). If an
Emergency Protection Order (EPO) IS NOT considered appropriate then no further
action is taken in response to this specific question.
5. If an exclusion requirement in the EPO IS considered appropriate then the CSSR will
apply to the Family Court for an exclusion requirement in the EPO (see P1.3.1.5 Level
4 Process: CSSR Applies for an Exclusion Requirement in an Emergency Protection
Order). If an exclusion requirement in the EPO IS NOT considered appropriate then no
further action is taken in response to this specific question.
6. Whatever course of urgent immediate action is followed will be discussed at the
Strategy Discussion (see P1.3.2 Level 3 Process: Hold Strategy Discussion).
Data Management
The decision on whether or not to seek an EPO and possibly an Exclusion Requirement Details will be
recorded in CASE NOTES.
P1.3.1.4 Level 4 Process: CSSR Applies for an Emergency Protection Order
1. An officer of the CSSR applies to a Family Court (or Justice of the Peace) for an
Emergency Protection Order (EPO), under Section 44 of the Children Act 1989. An
EPO will give the CSSR powers to place, or maintain a child, in a safe environment. An
Order may be made for a maximum period of 8 days. During this time a decision must
be made about whether the child will be protected if the EPO is allowed to lapse, in
which case the child could return to a person with parental responsibility for the child,
or the child could remain looked after under Section 20 of the Children Act 1989 with
parental agreement.
2. An application for an EPO will be made as part of a Section 47 Enquiry (see P1.3.4
Level 3 Process: Undertake Core Assessment under Section 47). If the child would not
be protected, care proceedings must be initiated (see P1.4.5 Level 3 Process: Initiate
Care Proceedings)
Data Management
The making of a Court Order is a PROVISION OF SERVICE. The Court making the order (an EXTERNAL
ORGANISATION) is determined through the SERVICE PROVIDER entity. Any changes to legal status of the
child (a SERVICE USER) or another person (an EXTERNAL PERSON) (eg a person that is the subject of an
exclusion order), would be recorded as an instance of LEGAL STATUS.
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P1.3.1.5 Level 4 Process: CSSR Applies for an Exclusion Requirement in an
Emergency Protection Order
1. An officer of the CSSR applies to a Family Court (or Justice of the Peace) under the
Children Act 1989 for an exclusion requirement in the Emergency Protection Order,
made under section 44 of the Act. This would require a person posing a risk of harm to
the child to move out of the child’s home.
Data Management
The making of a Court Order is a PROVISION OF SERVICE. The Court making the order (an EXTERNAL
ORGANISATION) is determined through the SERVICE PROVIDER entity. Any changes to legal status of the
child (a SERVICE USER) or another person (an EXTERNAL PERSON) (eg a person that is the subject of an
exclusion order), would be recorded as an instance of LEGAL STATUS.
P1.3.2 Level 3 Process: Hold Strategy Discussion
1. Where there is reasonable cause to suspect a child is suffering or is likely to suffer
significant harm a strategy discussion will take place (paragraph 5.28 in ‘Working
Together to Safeguard Children, 1999’ refers). It will involve the CSSR, police and
other agencies as appropriate. A strategy discussion will:
•
•
•
•
•
•
•
•
Share available information;
Decide what action, if any, is needed immediately to safeguard the child (see
P1.3.1.2 Level 4 Process: Police Take Action to Protect the Child and P1.3.1.3
Level 4 Process: CSSR Take Action to Protect the Child);
Decide whether s47 enquiries should be initiated or continued if already begun (see
P1.3.4 Level 3 Process: Undertake Core Assessment under Section 47) – and if
not; deciding whether or not the child is a ‘Child in Need’ and consequently
agreeing what interim services and support may need to be provided, as
appropriate (see P1.1 Level 2 Process: Core Case Management Operations);
Plan how to undertake s47 enquiries, and by whom;
Decide whether a medical examination is necessary and, if it is, who will undertake
it. {Note: not shown on flow diagram as this is essentially part of the core
assessment (see P1.3.4 Level 3 Process: Undertake Core Assessment under
Section 47)};
Determine what information will be shared with the child and his/her family
members, unless such information sharing may place a child at risk of significant
harm, or jeopardise police investigations into any alleged offence(s). {Note: not
shown on process flow diagram}.
Determine whether disciplinary action is necessary against CSSR staff (see P3.2.4
Level 3 Process: Discipline Staff)
Determine whether criminal investigations should commence or continue.
2. The key decisions to come out of the Strategy Discussion will determine how the case
is taken forward. They are as follows:♦ Is Immediate Protective Action Required?
♦ Is a Section 47 Enquiry Appropriate?
♦ Is this Still a Child in Need?
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♦ Is Disciplinary Action Necessary Against CSSR Staff?
♦ Will Criminal Investigations Commence/Continue?
♦ Will an Achieving Best Evidence Interview be Required?
3. If determined that immediate protective action is required, then see process P1.3.1.1
Level 4 Process: Undertake Immediate Action), otherwise no further action is needed in
response to this specific question.
4. If determined that a Section 47 enquiry is appropriate, then see process P1.3.4 Level 3
Process: Undertake Core Assessment under Section 47), otherwise it will need to be
further determined whether or not the child is still a ‘Child in Need’ within the meaning
of section 17, Children Act 1989.
5. Whatever the determination about whether or not a child still is a ‘Child in Need’, the
appropriate actions are set out under P1.1 Level 2 Process: Core Case Management
Operations.
6. If determined that disciplinary action against CSSR staff is necessary because the
member of staff appeared to be responsible for causing/failing to prevent significant
harm, then see process P3.2.4 Level 3 Process: Discipline Staff, otherwise no further
action is needed in response to this specific question.
7. If determined that criminal investigations need to commence or continue, then it will
need to be further determined whether or not an ‘Achieving Best Evidence Interview’
will be required (see P1.3.3 Level 3 Process: Undertake ‘Achieving Best Evidence’
Interview), otherwise no further action is needed in response to this specific question.
Data Management
Holding a Strategy Discussion is a PROVISION OF SERVICE. Agencies (ie EXTERNAL BODIES) and
CSSR staff (ie EMPLOYEES) involved in the Strategy Discussion will be recorded as separate instances of
SERVICE PROVIDER, each with their own Service Provider Role.
The reason and purpose of the Strategy Discussion will be taken from SERVICE USER NEED and SERVICE
USER PLAN OBJECTIVE. The decisions made during the Strategy Discussion and their reasons, together
with the need for further actions, will be recorded in the SERVICE USER PLAN and SERVICE USER PLAN
OBJECTIVE entities.
P1.3.2.1 Level 4 Process: Complete a Record of the Strategy Discussion
1. When a Strategy Discussion takes place a record of the Strategy Discussion must be
completed by the social worker. The children's social care services manager responsible
for the strategy discussion must ensure the record is completed. This record is crucial to the
proper management of Child Protection procedures. The Integrated Children’s System
provides an exemplar template for completing this record (see ICS exemplar ‘d’).
Data Management
See previous Data Management box.
P1.3.3 Level 3 Process: Undertake ‘Achieving Best Evidence’ Interview
1. When criminal investigations are necessary a further decision has to be made about
whether the CSSR and police should interview the child in order to gain evidence to be
used as part of any criminal proceedings. This information will also be able to be used
in any Family Court Proceedings. This interview is conducted is accordance with the
guidance for ‘Achieving Best Evidence’ (Criminal Justice 2007).
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An ‘achieving best evidence’ interview is a PROVISION OF SERVICE.
P1.3.3.1 Level 4 Process: Inform Core Assessment of ‘Achieving Best Evidence’
Interview Findings
1. Information from the ‘Achieving Best Evidence’ Interview will be made available to the
core assessment (see P1.3.4 Level 3 Process: Undertake Core Assessment under
Section 47).
Data Management
Information from the ‘Achieving Best Evidence’ Interview will be recorded under SERVICE USER NEED and
CASE NOTES as appropriate.
P1.3.4 Level 3 Process: Undertake Core Assessment under Section 47
1. During the undertaking of enquiries under Section 47 of the Children Act 1989, several
strands of work will run in parallel. If there is reason to believe a crime has been
committed the police will be conducting a criminal investigation. This may involve an
investigative interview with the child (see P1.3.3 Level 3 Process: Undertake ‘Achieving
Best Evidence’ Interview). The CSSR has lead responsibility for the s47 enquiries,
which involve commencing a core assessment of the child’s needs see P1.1.5 Level 3
Process: Undertake a Core Assessment). Disciplinary action may also be indicated
(see process P3.2.4 Level 3 Process: Discipline Staff). These activities will inform
decisions about what action may be required to promote and safeguard the child’s
welfare.
2. It should be noted that a requirement to undertake a core assessment under s47 can
be triggered at any stage, either by a referral and initial assessment or by new
information being received or made known about a child known to children's social care
services (see P1.2 Level 2 Process: Request, Receive and Evaluate Information).
Data Management
The process of undertaking a core assessment under s47 is a PROVISION OF SERVICE. The involvement
of other individuals (EXTERNAL PERSONS) and/or Organisations (EXTERNAL ORGANISATIONS) in
providing this PROVISION OF SERVICE will be recorded as separate instances of SERVICE PROVIDER.
The SERVICE USER NEED, SERVICE USER PLAN and SERVICE USER PLAN OBJECTIVE entities may
also be updated if appropriate. Existing planned PROVISIONS OF SERVICE may be amended; new
PROVISIONS OF SERVICE may be created as a result.
P1.3.4.1 Level 4 Process: Determine Section 47 Enquiry Outcomes
1. The outcome of these s47 enquiries that need to be determined are:♦ Are Concerns Substantiated?
♦ Is the Child Judged to be at Continuing Risk of Significant Harm?
2. Once determined, any of the following three outcomes are possible:i.
Concerns are not substantiated;
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ii. Concerns substantiated, but child is not judged to be at continuing risk of significant
harm;
iii. Concerns substantiated and the child is judged to be at continuing risk of significant
harm.
3. For outcomes (i) and (ii) no further child protection action is required at this point in
time, but the case will continue to be managed as for children in need (see P1.1 Level
2 Process: Core Case Management Operations). Decisions will be required about the
nature, if any, of future service provision. After determining that no further child
protection action is required, CSSRs will wish routinely to complete the core
assessment before any decision is made to close the case. For outcome (iii) the case
will proceed to an initial child protection conference (see P1.3.4.3 Level 4 Process:
Complete Initial Child Protection Conference Report).
Data Management
The decisions made following a Section 47 Enquiry will be recorded in the SERVICE USER PLAN and
SERVICE USER PLAN OBJECTIVE entities.
P1.3.4.2 Level 4 Process: Record Outcome of Section 47 Enquiry
1. When a Section 47 Enquiry is finished a record of the outcomes must be completed by
the social worker. It is the responsibility of the team manager to ensure the record is
completed. The Integrated Children System provides an exemplar template for
completing this record (see ICS exemplar ‘e’).
Data Management
The outcome of each s47 enquiry will be recorded in the SERVICE USER PLAN and SERVICE USER PLAN
OBJECTIVE.
P1.3.4.3 Level 4 Process: Complete Initial Child Protection Conference Report
1. The social worker will supply a written report to the Initial Child Protection Conference
based on the core assessment under s47 of the Children Act 1989 in so far as it has
been completed. This report will be made available in advance to the Initial Child
Protection Conference attendees (see P1.3.5 Level 3 Process: Hold Initial Child
Protection Conference). The Child Protection Conference should be held within 15
days of the last strategy discussion and should not be delayed for the completion of the
core assessment.
2. The Report should include (paragraph 5.61 of Working Together):•
•
•
•
•
a chronology of significant events and agency and professional contact with the
child and family;
information on the child’s current and past state of health and development;
information on the capacity of the parents and other family members to ensure the
child’s safety from harm, and to promote the child’s health and development;
the expressed views, wishes and feelings of the child, parents, and other family
members; and
analysis of the implications of the information obtained for the child’s future safety,
health and development
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3. The Integrated Children’s System provides an exemplar template for completing the
Initial Child Protection Conference Report (see ICS exemplar ‘f’).
Data Management
Completing the initial Child Protection Conference Report is a PROVISION OF SERVICE.
The information on the report will be held in several entities in the Logical Data Model, for example:• SERVICE USER;
• ADDRESS and ADDRESS USAGE;
• FAMILY MEMBER and FAMILY;
• PROVISION OF SERVICE;
• SERVICE USER NEED and SERVICE USER NEED SUMMARY;
• LEGAL STATUS;
• SERVICE USER PLAN and SERVICE USER PLAN OBJECTIVE etc.
P1.3.5 Level 3 Process: Hold Initial Child Protection Conference
1. For outcome (iii) of Section 47 Enquiries (see P1.3.4.1 Level 4 Process: Determine
Section 47 Enquiry Outcomes) the case will proceed to an Initial Child Protection
Conference. This conference will take place within 15 working days of the last Strategy
Discussion. It will include the child and family members as appropriate, and
professionals who have a significant contribution to make. Written notice of the
conference will be sent to those invited to attend. Attendance will be recorded. Children's
Social Care Services will supply a written report based on the core assessment under s47 of the
Children Act 1989 in so far as it has been completed (see P1.3.4.3 Level 4 Process:
Complete Initial Child Protection Conference Report). Written minutes will be taken.
2. The key determination for the Initial Child Protection Conference is:♦ Is the Child at Continuing Risk of Significant Harm?
3. If the Initial Child Protection Conference decides that there IS NOT a continuing risk of
significant harm, then this will be recorded in the minutes. Child protection processes
cease and the child’s needs are dealt with through the core case management
operations and the core assessment should be completed with the child and family’s
agreement (see P1.1 Level 2 Process: Core Case Management Operations and P1.1.5
Level 3 Process: Undertake a Core Assessment).
4. If determined that the child IS at continuing risk of significant harm the following
processes must occur:•
•
•
•
•
P1.3.5.1 Level 4 Process: Agree Outline Child Protection Plan
P1.3.5.2 Level 4 Process: Agree Date of the First Child Protection Review
Conference
P1.3.5.3 Level 4 Process: Agree Conditions for Holding Child Protection Review
Conference Earlier than Planned
P1.3.8 Level 3 Process: Determine Category of Child Protection Registration
P1.3.9 Level 3 Process: Appoint Key Worker and Agree Core Group Membership
(to develop and implement the Child Protection Plan)
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5. These processes are detailed below.
6. In addition the Child Protection Conference will make a recommendation to children's
social care services on whether or not Family Court action should be initiated. Following
on from the recommendation, the CSSR will need to determine:♦ Should Family Court Proceedings be Initiated?
7. The choice is to either undertake legal proceedings if the criteria for the making of an
Order exists, or in other circumstances, and if the parents are in agreement, for the
CSSR to provide accommodation to the child under S20 of the Children Act 1989. If
decided that proceedings are necessary, see P1.3.6 Level 3 Process: Determine if
Family Court Proceedings are Appropriate, if not see P1.4.6 Level 3 Process: Obtain
Parental Agreement to Accommodate a Child (Section 20).
Data Management
The process of holding a Child Protection Conference is a PROVISION OF SERVICE. The involvement of
other individuals (EXTERNAL PERSONS) and/or Organisations (EXTERNAL ORGANISATIONS) in providing
this PROVISION OF SERVICE will be recorded as separate instances of SERVICE PROVIDER.
The SERVICE USER PLAN and SERVICE USER PLAN OBJECTIVE entities may also be updated if
appropriate. Existing planned PROVISIONS OF SERVICE may be amended; new PROVISIONS OF SERVICE
may be created as a result.
P1.3.5.1 Level 4 Process: Agree Outline Child Protection Plan
1. The Initial Child Protection Conference is responsible for agreeing the outline Child
Protection Plan.
2. The child is protected by the actions set out in the outline child protection plan. This
plan identifies:
•
•
•
•
•
•
•
•
The nature of the risks of significant harm and the ways the child can be protected
through the interagency plan;
Whether initiating legal action should be recommended to childrens' social care services (see
P1.3.6 Level 3 Process: Determine if Family Court Proceedings are Appropriate);
Short-term and long–term aims objectives to ensure the child’s safety and promote
his/her welfare;
Who is responsible for what actions, with specified time scales;
Ways of monitoring and evaluating progress against the plan;
The named key worker from either the CSSR or NSPCC;
Core group membership (the professionals and family members who will develop
and implement the Child Protection plan);
How children, parents and wider family members should be involved.
3. The Outline Child Protection is recorded at the end of the Initial Child Protection
Conference Record (see ICS exemplar ‘f’). The Chair of the Child Protection
Conference has responsibility for ensuring the Outline Child Protection Plan is
recorded.
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The agreement of the outline Child Protection Plan is recorded in the SERVICE USER PLAN and SERVICE
USER PLAN OBJECTIVE as appropriate.
Existing planned PROVISIONS OF SERVICE may be amended; new PROVISIONS OF SERVICE may be
created as a result.
The named key worker from either the CSSR (an EMPLOYEE) or the NSPCC (an EXTERNAL PERSON that
is the employee of an EXTERNAL ORGANISATION) is determined through the existence of a SERVICE
PROVIDER instance, where the Service Provider Role is “key worker”.
Membership of the core group is recorded on the GROUP and GROUP MEMBERSHIP entities.
P1.3.5.2 Level 4 Process: Agree Date of the First Child Protection Review
Conference
1. The Initial Child Protection Conference will agree the date for the first Child Protection
Review Conference.
Data Management
A PROVISION OF SERVICE record for the planned Child Protection Review Conference will be created for a
specific child (a SERVICE USER), as determined via SERVICE USER SERVICE RECIPIENT. In particular,
the Provision Of Service Status will be “planned” and the planned date and time will be recorded as
Provision Of Service Planned Start Date and Provision Of Service Planned Start Time respectively.
If required, the likely attendees of the conference (whether EMPLOYEES, GROUPS, FAMILIES or
EXTERNAL BODIES) can also be recorded at this time as separate instances of SERVICE PROVIDER.
Additional conditions may be specified in PROVISION OF SERVICE CONDITION.
P1.3.5.3 Level 4 Process: Agree Conditions for Holding Child Protection Review
Conference Earlier than Planned
1. The Initial Child Protection Conference will specify the changes in circumstances that
would warrant holding the review conference earlier than planned.
Data Management
The conditions for holding a Child Protection Review Conference earlier than planned is recorded in the
SERVICE USER PLAN and SERVICE USER PLAN OBJECTIVE as appropriate.
P1.3.6 Level 3 Process: Determine if Family Court Proceedings are Appropriate
1. Following on from the recommendations of the Initial Child Protection Conference, the
CSSR will determine if it is necessary to seek an Order of the Court to protect the child.
This will be under Section 44 or 31 of the Children Act 1989, or by another legal route.
The key determinations are:♦ Is an EPO (s44) Required?
♦ Is a Care Order (s31) Required?
♦ Is Another Legal Route Appropriate?
2. If determined that an EPO under section 44 of the Children Act 1989 is required then
see P1.3.1.4 Level 4 Process: CSSR Applies for an Emergency Protection Order.
3. If determined that a Care Order under section 31 of the Children Act 1989 is required
then see P1.4 Level 2 Process: Looked After Children Operations.
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4. If determined that an another legal route, such a Private Order under section 8 of the
Children Act 1989 or wardship is appropriate then see P1.3.6.1 Level 4 Process:
Appropriate Party Initiates Alternative Legal Route.
5. Legal advice will be required to determine the best legal route to protect a child.
6. For detailed processes required for court proceedings and other exceptional
circumstances (eg wardship) see later a version of the CIR.
Data Management
The decision by the Initial Child Protection Conference on whether or not Court Proceedings are appropriate
is recorded in the SERVICE USER PLAN and SERVICE USER PLAN OBJECTIVE as appropriate as part of
the Outline Child Protection Plan.
P1.3.6.1 Level 4 Process: Appropriate Party Initiates Alternative Legal Route
1. The circumstances of a particular child may suggest that protection is most
appropriately achieved by:•
•
an order such as a Residence or a Prohibited Steps Order under section 8 of the
Children Act 1989.
very exceptionally wardship via the High Court.
2. The circumstances of the particular case and the legal route taken will dictate which
party(ies) initiate proceedings.
Data Management
The making of a Court Order is a PROVISION OF SERVICE. The Court making the order (an EXTERNAL
ORGANISATION) is determined through the SERVICE PROVIDER entity. Any changes to legal status of the
child (a SERVICE USER) or another person (an EXTERNAL PERSON) (eg a person that is the subject of an
exclusion order), would be recorded as an instance of LEGAL STATUS.
P1.3.7 Level 3 Process: Agree for Child to be Looked After under S20
1. There will be circumstances where the parents agree that in order to prevent further
significant harm it is necessary for their child to be provided with accommodation under
s20 of the Children Act 1989. This would normally be when they acknowledge that they
cannot care safely for their child and are positively seeking help.
Data Management
This will be recorded under LEGAL STATUS.
P1.3.8 Level 3 Process: Determine Category of abuse or neglect
1. The Initial Child Protection Conference must decide the category of above that the
child has suffered. The categories are:
•
•
•
•
Physical
Emotional
Sexual
Neglect
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The decision will be recorded in will be recorded under SERVICE USER PLAN and SERVICE USER PLAN
OBJECTIVE.
P1.3.8.1 Level 4 Process: Notify the Designated Manager that a Child Protection
Plan is Required
1. The Desinated Manager for managing and providing informaiton about a child will be
notified that the child should become the subject of a Child Protection Plan. Each CSSR
must determine who is responsible for this notification.
Data Management
Notifying the Designated Manager and the act of initiating a Child Protection Plan are both
PROVISIONS OF SERVICE.
P1.3.9 Level 3 Process: Appoint Key Worker and Agree Core Group Membership
1. The Initial Child Protection Conference appoints a key worker and agrees the Core
Group membership. This clarifies responsibility for developing and implementing the
Child Protection Plan. The development and implementation of the plan are carried out
simultaneously.
Data Management
Appointing a key worker and agreeing core group membership are both PROVISIONS OF SERVICE. The
relevant individuals will be recorded as separate instances of SERVICE PROVIDER (with a Service
Provider Role as appropriate).
P1.3.10 Level 3 Process: Develop Child Protection Plan
1. The plan to protect the child will be developed by the key worker, in conjunction with
the Core Group, from the Outline Plan that was agreed by the Initial Child Protection
Conference. The development of the plan will be based on the information available
from the core assessment that was begun under Section 47of the Children Act 1989.
2. The child protection plan should:
•
•
•
•
Set out what work needs to be done, why, when and by whom;
Describe the identified needs of the child, and what therapeutic services are
required;
Include specific, achievable, child-focused objectives intended to safeguard the
child and promote his or her welfare;
Include realistic strategies and specific actions to achieve the objectives;
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•
•
•
Clearly identify roles and responsibilities of professionals and family members,
including the nature and frequency of contact by professionals with children and
family members;
Lay down points at which progress will be reviewed, and the means by which
progress will be judged; and
Set out clearly the roles and responsibilities of those professionals with routine
contact with the child, e.g. health visitors, GPs and teachers, as well as any
specialist or targeted support to the child and family.
3. The Integrated Children’s System provides an exemplar template, The Child’s Plan,
which can be used for the child protection plan (see ICS exemplar ‘n’).
Data Management
The SERVICE USER PLAN and SERVICE USER PLAN OBJECTIVE are updated as appropriate. The
Service User Plan Type will be “Child Protection Plan”.
Existing planned PROVISIONS OF SERVICE may be amended; new PROVISIONS OF SERVICE may be
created as a result.
The involvement of other individuals (EXTERNAL PERSONS) and/or Organisations (EXTERNAL
ORGANISATIONS) in providing a specific PROVISION OF SERVICE will be recorded as separate instances
of SERVICE PROVIDER. In particular the Service Provider Role will be determined and recorded.
P1.3.11 Level 3 Process: Implement the Child Protection Plan
1. The Child Protection Plan will be implemented by taking one or more interventions.
2. Intervention may have a number of inter-related components (paragraph 5.89 of
“Working Together to Safeguard Children” refers):
•
•
•
•
•
Action to make a child safe;
Action to help promote a child’s health and development;
Action to help a parent/carer in safeguarding a child and promoting his or her
welfare;
Therapy for an abused child; and
Support or therapy for the perpetrator of abuse.
3. The implementation of the plan will involve the same activities that are set out under
P1.1 Level 2 Process: Core Case Management Operations and, if looked after, under
P1.4 Level 2 Process: Looked After Children Operations.
Data Management
Implementing a child protection plan is realised by undertaking the services (each a PROVISION OF
SERVICE) that was planned when the plan was formulated. The plan will be regularly reviewed (itself a
PROVISION OF SERVICE), which may mean that some planned services are not delivered after all, some
other services are planned, or some other services are delivered without being planned.
P1.3.12 Level 3 Process: Undertake Child Protection Review
1. Reviews are held within three months of the initial conference and thereafter no less
frequently than every six months so long as the child remains the subject of a Child
Protection Plan.
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Undertaking a Child Protection Review is a PROVISION OF SERVICE. The attendees at the review (an
EXTERNAL BODIES or EMPLOYEES) are determined through the SERVICE PROVIDER entity.
P1.3.12.1 Level 4 Process: Complete Child Protection Review Record (Part One)
1. This record is a special case of the Child in Need Plan Record. Part one is completed
by the key worker in preparation for the Child Protection Review Conference.
2. The Integrated Children’s System provides an exemplar template for completing this
record (see ICS exemplar ‘r’).
Data Management
Completing the initial Child Protection Conference Report is a PROVISION OF SERVICE.
The information on the report will be held in several entities in the Logical Data Model, for example:• SERVICE USER;
• ADDRESS and ADDRESS USAGE;
• FAMILY MEMBER and FAMILY;
• PROVISION OF SERVICE;
• SERVICE USER NEED and SERVICE USER NEED SUMMARY;
• LEGAL STATUS;
• SERVICE USER PLAN and SERVICE USER PLAN OBJECTIVE etc.
P1.3.12.2 Level 4 Process: Hold Child Protection Review Conference
1. The Child Protection Review Conference will review the progress made against
objectives set out in the Child Protection Plan and has to make the key determination:♦ Is the Child Still at Continuing Risk of Significant Harm?
2. If there is a continuing risk of significant harm then the Child Protection Plan will be
revised (see P1.3.12.4 Level 4 Process: Revise Child Protection Plan).
3. If the child is no longer at continuing risk of significant harm, the child can cease to be
the subject of a Child Protection Plan (see P1.3.13 Level 3 Process: End of
Child Protection Plan). The case will continue to be managed within the core case
management operations that hinge on whether the child is in need (see P1.1 Level 2
Process: Core Case Management Operations).
4. Child Protection Review Conferences will continue until it is decided that there is no
continuing risk of harm.
Data Management
The PROVISION OF SERVICE record for the planned Child Protection Review Conference created in the
previous process is updated with the actual start date and time Provision Of Service Actual Start Date and
Provision Of Service Actual Start Time respectively.
The actual attendees of the conference (whether EMPLOYEES, GROUPS, FAMILIES or EXTERNAL
BODIES) are recorded as separate instances of SERVICE PROVIDER.
Additional conditions may be specified in PROVISION OF SERVICE CONDITION.
The SERVICE USER PLAN and SERVICE USER PLAN OBJECTIVE are referenced and updated as
appropriate.
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P1.3.12.3 Level 4 Process: Complete Child Protection Review Record (Part Two)
1. Once the Child Protection Review Conference has been held, the conference Chair will
complete part two (the Chair’s Report) of the Child Protection Review Record.
2. The Integrated Children’s System provides an exemplar template for completing this
record (see ICS exemplar ‘r’).
Data Management
The SERVICE USER PLAN and SERVICE USER PLAN OBJECTIVE entities will be updated as
appropriate. Existing planned PROVISIONS OF SERVICE may be amended; new PROVISIONS OF
SERVICE may be created as a result.
P1.3.12.4 Level 4 Process: Revise Child Protection Plan
1. At each conference, the child protection plan should be reviewed and revised.
Data Management
The SERVICE USER PLAN and SERVICE USER PLAN OBJECTIVE entities will be updated as
appropriate. Existing planned PROVISIONS OF SERVICE may be amended; new PROVISIONS OF
SERVICE may be created as a result.
P1.3.13 Level 3 Process: End of Child Protection Plan
1. A child may cease to be the subject of a Child Protection Plan if:•
•
•
•
•
A Child Protection Review Conference judges that there is no longer a continuing
risk of significant harm that requires safeguarding by means of the Child Protection
Plan;
The child and family have moved permanently to another CSSR area and the
receiving CSSR has conducted a Child Protection Conference;
The child has reached 18 years of age;
The child has died; or
The child has permanently left the UK.
2. The decision that a child cease to be the subject of a Child Protection Plan will be
notified at minimum to all those agency representatives who were invited to attend the
initial Child Protection Conference. The child may still continue to receive services as
a child in need. The Designated Manager should also be informed of the date of
this decision.
3. If the child's name is also on the child protection register, it may be removed.
Data Management
The existing SERVICE USER PLAN and will be amended with the addition of a Child Protection Plan
End Date.
Any existing CHILD PROTECTION REGISTRATION and will be amended with the addition of a Child
Protection Registration End Date.
The attributes Child Protection Plan End Reason and Child Protection De-Registration End Reason
will be entered accordingly.
The logging of information flows (such as notifying agencies and the Designated Manager) is
not represented at present in the Logical Data Model. Rather than defining this as a ‘hard’ data requirement,
it may be best to specify this requirement in terms of general auditing and workflow requirements.
The recording of key data that may be present in the information flows would be captured as appropriate in
the relevant entities and attributes in the Logical Data Model (eg Service User Date Of Death).
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P1.3.14 Level 3 Process: Handle Enquiries Made about the existence of a Child
Protection Plan
All enquiries made about the existence of a Child Protection Plan should also trigger an
enquiry to the Child Protection Register (if relevant).
1. The existence of Child Protection Plans will be kept up to date and confidential other
than to legitimate enquirers.
2. All enquiries made about the existence of Child Protection Plans (and the child protection
register) must be recorded.
3. If an enquiry is made and the child is the subject of a Child Protection Plan (or on the
register), the enquirer should be given the name of the child’s key worker. The
Designated Manager will notify the key worker that an enquiry has been made.
4. If the enquiry concerns a child at the same address as a child who is the subject of a Child
Protection Plan (or on the register) then the Designated Manager must pass this
information to that child’s key worker.
5. If the enquiry concerns a child who is not the subject of a Child Protection Plan (or on the
register), the details should be recorded. In the event of a second enquiry about the same
child, the fact that an earlier enquiry was made should be made known to the second
enquirer. This information should be passed to the children's social care services department as a child
who may be in need (paragraph 5.103 of “Working Together to Safeguard Children” refers).
Data Management
Enquiries made about the existence of a Child Protection Plan are retrieved from the SERVICE USER
PLAN entity. Enquiries made to the Child Protection Register are retrieved from the CHILD PROTECTION
REGISTRATION entity.
Details of each enquiry made for an individual child are recorded under the CHILD PROTECTION
PLAN ENQUIRY entity.
Further details are given as appropriate in the following sub-processes.
P1.3.14.1 Level 4 Process: Record Child Protection Plan Enquiry
1. All enquiries made about the existence of a Child Protection Plan must be recorded.
as some children that are subjects of enquiries will not be subjects of Child Protection
Plans.
2. The name and address of the child that is the subject of the enquiry will be recorded,
together with the name and address (contact details) of the enquirer.
3. The date of the enquiry will also be recorded.
Data Management
Details of each enquiry made for an individual child are recorded under the CHILD PROTECTION
PLAN ENQUIRY entity. The address of the child will be recorded under ADDRESS, via
ADDRESS USAGE.
The details of the enquirer will be recorded under EMPLOYEE, EXTERNAL BODY or GROUP. The address
(contact details) of the enquirer will be recorded under ADDRESS, via ADDRESS USAGE.
P1.3.14.2 Level 4 Process: Check if a Child is the subject of a Child Protection Plan
1. When a Child Protection Plan enquiry is made the details of the child that is the
subject of the enquiry are checked against all children who are subjects of Child Protection
Plans.
2. The enquirer would be notified of the outcome of the check.
Data Management
The details of the child that is the subject of the current CHILD PROTECTION PLAN ENQUIRY are checked
against all children who are subjects of Child Protection Plans (ie SERVICE USER PLAN). Every child who
is the subject of a Child Protection Plan would be an instance of SERVICE USER. The check to see if
the subject of the enquiry is the subject of a Child Protection Plan or not is done by comparing the names
given in the enquiry against the Service User Forenames and Service User Family Name, as well as Alias
Forenames and Alias Family Name for every child who is the subject of a Child Protection Plan.
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P1.3.14.3 Level 4 Process: Notify Enquirer of Child’s Key Worker
1. If a Child Protection Plan enquiry is made and the child is the subject of a Child Protection
Plan (or on the register), the enquirer should be given the name of the child’s key worker
in order for the enquirer to pass on their concerns that lead to them making the enquiry.
The Designated Manager will notify the key worker as a matter of course
that an enquiry has been made.
Data Management
The name of the Child’s (a SERVICE USER) key worker (an EMPLOYEE) is determined via SERVICE USER
SERVICE RECIPIENT (ie linking a specific child with a specific service), PROVISION OF SERVICE (in this
case the assignment of a key worker), via SERVICE PROVIDER (the person providing the key worker
service).
P1.3.14.4 Level 4 Process: Check if Enquiry Concerns a Child at the Same Address
as a Child who is the subject of a Child Protection Plan (or on the register)
1. When a Child Protection Plan enquiry is made the details of the child that is the subject
of the enquiry are checked against the existence of a Child Protection Plan for any other
children that live at the same address as the subject of the enquiry.
2. When a Child Protection Register enquiry is made the details of the child that is the
subject of the enquiry are checked against the Child Protection Register for any other
children on the register that live at the same address as the subject of the enquiry
3. If one or more children at the same address as a child that is the subject of and enquiry,
are found to be subjects of Child Protection Plans (or registered), then each child’s key
worker must be notified (see following process).
Data Management
The address of a child that is the subject of a CHILD PROTECTION PLAN would be determined
from ADDRESS, via ADDRESS USAGE.
A child who is the subject of a Child Protection Plan would be
a SERVICE USER; their address would be determined from ADDRESS, via ADDRESS USAGE.
The fact that an enquiry has been made about a child at the same address as a child who is the subject of a
Child Protection Plan a key worker is recorded under CHILD PROTECTION PLAN CHILD AT SAME
ADDRESS AS AN ENQUIRY RECORD.
P1.3.14.5 Level 4 Process: Notify Key Worker if Enquiry Made About a Child at the
Same Address as a Child Protection Plan Child (or a registered child)
1. If confirmed that a Child Protection Plan enquiry concerns a child at the same
address as one or more other children that are subjects of Child Protection Plans (or on
the register), then the Designated Manager must pass this information to each of
these children's key workers. This applies whether the child that is the subject of the
enquiry is the subject of a Child Protection Plan (or registered) or not. Passing on this key
information is part of case management information gathering (see P1.2 Level 2 Process:
Request, Receive and Evaluate Information).
Data Management
The name of the child’s key worker (an EMPLOYEE) is determined via SERVICE USER SERVICE
RECIPIENT (ie linking a specific child with a specific service), PROVISION OF SERVICE (in this case, an
assignment of a key worker), via SERVICE PROVIDER (the person providing the key worker service).
The fact that an enquiry has been made about a child at the same address as a child who is the subject of a
Child Protection Plan and the registered child’s key worker is notified is recorded under CHILD PROTECTION
PLAN CHILD AT SAME ADDRESS AS AN ENQUIRY RECORD.
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P1.3.14.6 Level 4 Process: Check if a Non-Child Protection Plan Child is the Subject of
a Previous Enquiry
1. When a Child Protection Plan enquiry is made that concerns a child that is not the subject
of a Child Protection Plan (or on the register), a check is made to see if the same child has
been the subject of a previous Child Protection Plan enquiry.
2. If confirmed that the child has been the subject of a previous Child Protection Plan
enquiry, then the enquirer and the children's social care services department must be notified in order
to follow up the concerns that lead to the enquiry (see the following two processes
respectively).
Data Management
The child that is the subject of the current CHILD PROTECTION PLAN ENQUIRY is checked
against all previous instances of a CHILD PROTECTION PLAN ENQUIRY.
P1.3.14.7 Level 4 Process: Notify Enquirer if a Non-Child Protection Plan Child is the
Subject of a Previous Enquiry
1. If an enquiry concerns a child that is not the subject of a Child Protection Plan (or on the
register), but that has been the subject of a previous enquiry, then the fact that an earlier
enquiry was made should be made known to the second enquirer.
Data Management
The fact that an enquiry has been made about a child that is not the subject of a Child Protection Plan but was
the subject of a previous enquiry and that consequently the enquirer is informed is recorded under Child
Protection Plan Enquiry Enquirer Informed Of Previous Enquiry Indicator.
P1.3.14.8 Level 4 Process: Notify Social Services Department if there Has Been a
Previous Enquiry About a Non-Child Protection Plan Child
1. If an enquiry concerns a child that is not the subject of a Child Protection Plan (or on the
register), but that has been the subject of a previous enquiry, then the fact that an earlier
enquiry was made should be passed to the children's social care services department as a child who may
be in need (paragraph 5.103 of “Working Together to Safeguard Children” refers). In
essence a referral must be triggered.
Data Management
The fact that an enquiry has been made about a child that is not the subject of a Child Protection Plan but was
the subject of a previous enquiry and that consequently a referral has been triggered is recorded under Child
Protection Plan Enquiry Referral Triggered Indicator.
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P1.4 Level 2 Process: Looked After Children Operations
1. The decision that a child needs to be looked after is triggered by:•
•
•
An assessment (initial or core) having been undertaken and it being recognised that
the child is in need and that the provision of care and accommodation is the
appropriate way to begin meeting the child’s needs; OR
A child appears homeless, has been abandoned or made subject to a Police
Protection Order (Section 46 of the Children Act 1989), and requires an immediate
placement; OR
A child has been remanded to local authority care through the juvenile
justice system and requires immediate placement.
2. When a child starts to be looked after away from home the process of assessment,
planning, intervention and review continues. Most children who start to be looked after
will already have had a full or partial core assessment depending on what point in the
process they began to be looked after. If a core assessment has not begun or been
completed, it will need to be undertaken within 35 working days of the child starting to
be looked after (see P1.1.5 Level 3 Process: Undertake a Core Assessment).
3. The assessment, including an initial assessment if that is all that is available, will inform
the Care Plan which will identify how the child’s needs will be met during the period in
which the child is looked after, including support services required by the carers.
4. Local Authorities are required to inform relevant educational services and the PCT and the area
authority, if different from the responsible authority, that the looked after child has
moved into the area to ensure that appropriate services are available locally.
5. A Care Plan will build on the Child’s Plan, if already completed. It should be completed
before the child starts to be looked after. In emergencies or other circumstances where
this is not practicable, the Care Plan should be completed as soon as possible and no
later than 14 days from the start of the placement (see P1.4.8 Level 3 Process:
Formulate a Care Plan).
6. Reviews of looked after children/young people are a statutory requirement under S26
of the Children Act 1989 (see P1.4.9 Level 3 Process: Review Care Plan (Pathway
Plan/Adoption Plan)). Depending on the individual circumstances, the Care Plan may
take the form of a Pathway Plan or an Adoption Plan.
7. The purpose of the review is to ensure that the day to day arrangements continue to
meet the child/young person’s needs and that the overall Care Plan is still appropriate.
8. If there are no plans for a return home by the time of the child’s second review, then a
re-assessment of the child’s developmental needs and progress is likely to be required.
Local Authorities may make special arrangements for this critical review to take a long-term view
of the child’s interest, whether it be rehabilitation, long term care or adoption. This
assessment is currently recorded within the Assessment and Progress Records (see
P1.4.9.6 Level 4 Process: Complete Assessment and Progress Record), which use the
same child developmental dimensions as the Assessment Framework.
9. A record must be made of the review of the Care Plan (see P1.4.9.7 Level 4 Process:
Complete Looked After Children Review Record).
Data Management
Becoming looked after results in a change in LEGAL STATUS. Being Looked After is also a PROVISION OF
SERVICE.
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A PROVISION OF SERVICE record for the planned Looked After Child service will be created for a specific
child (a SERVICE USER), as determined via SERVICE USER SERVICE RECIPIENT. In particular, the
Provision Of Service Status will be “planned” and the planned date and time will be recorded as Provision
Of Service Planned Start Date and Provision Of Service Planned Start Time respectively.
All and any data already gathered already could be accessed from all the various entities. Some examples
include:• General routines, identity, social and activities etc under CASE NOTES;
• Health and disabilities under SERVICE USER IMPAIRMENT and SERVICE USER DISABILITY;
• Education under EDUCATION QUALIFICATION EXAMINATION, STANDARD ASSESSMENT TEST
and SPECIAL EDUCATIONAL NEED;
• Contact details under ADDRESS and ADDRESS USAGE.
If a core assessment has not been undertaken, then the information gathered in compiling an Essential
Information Record would be very similar to that gathered by the core assessment process (see Undertake a
Core Assessment, page 34).
The SERVICE USER PLAN and SERVICE USER PLAN OBJECTIVE will be consulted (in particular the
Placement Plan, which encompasses the Foster Placement Agreement) and a Care Plan will be drawn up or
updated as appropriate. A Personal educational Plan will also be produced. All of these different plans are
different types of SERVICE USER PLAN.
P1.4.1 Level 3 Process: Decide if a Child Needs to be Looked After
1. Issues which must be addressed when deciding whether a child’s needs should be met
by being looked after by the Local Authority:
♦
♦
♦
♦
♦
♦
♦
Is this a Child in Need?
Does the Child Need to be Looked After?
Is an Immediate Placement Necessary?
Is a Series of Short-Term Breaks Appropriate?
Should any Legal Processes be Initiated?
Does the Child Meet the Criteria for s31?
Has a Core Assessment been Undertaken?
2. In the case of a child who is not previously known to the Local Authority there may be limited
information available but it may nevertheless indicate that there is no alternative way
for the child to receive care or accommodation.
3. If determined that the child DOES require looking after by the Local Authority, then it has to be
further determined whether an immediate placement or a series of short term breaks
are appropriate (see below). If determined that the child DOES NOT require looking
after by the Local Authority (because the child can safely remain in the care of birth parent(s) or
current carer(s) or with members of the wider family that are available to provide care),
it will need to be further determined whether or not the child is a ‘Child in Need’ within
the meaning of section 17, Children Act 1989. Whatever the determination about
whether or not a child is a ‘Child in Need’, the appropriate actions are set out under
P1.1 Level 2 Process: Core Case Management Operations.
4. If determined that an immediate placement IS necessary, then see P1.4.2 Level 3
Process: Decide on Immediate Placement, otherwise no further action is needed in
response to this specific question.
5. If determined that a series of short-term breaks ARE required, then the short-term
breaks will be initiated (see P1.4.4 Level 3 Process: Initiate a Planned Series of ShortTerm ) and a Regulation 13 agreement will be produced (see P1.4.4.1 Level 4 Process:
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6.
7.
8.
9.
Produce Regulation 13 Agreement). If determined that a series of short-term breaks
ARE NOT required, then it will need to be further determined whether or not any legal
processes should be initiated and whether or not a core assessment has been
undertaken.
If determined that legal processes SHOULD be initiated, then it needs to be further
determined whether or not the child meets the criteria for s31. If determined that legal
processes SHOULD NOT be initiated, then the legal status is recorded (see P1.4.7
Level 3 Process: Record Legal Status).
If determined that there are indicators that the child DOES meet the criteria for
s31, then care proceedings will be initiated (see P1.4.5 Level 3 Process: Initiate Care
Proceedings) and the Local Authority will determine if immediate actions should be taken to
protect the child (see P1.3.1 Level 3 Process: Determine Need for Immediate Action)
such as the Local Authority applying for an EPO under Section 44 of the Children Act 1989 or
the police exercising powers under Section 46 of the Children Act 1989. If determined
that the child DOES NOT meet the criteria for s31, then, if the child is to be looked
after, parental agreement to accommodate the child under Section 20 of the Children
Act 1989, must be obtained (see P1.4.6 Level 3 Process: Obtain Parental Agreement
to Accommodate a Child (Section 20)).
If determined that a core assessment HAS been undertaken, then the next step is to
formulate a Care Plan for the child (see P1.4.8 Level 3 Process: Formulate a Care
Plan). If determined that a core assessment HAS NOT been undertaken, then a core
assessment must be undertaken first (see P1.1.5 Level 3 Process: Undertake a Core
Assessment) before the Care Plan is formulated.
It is essential that a core assessment be carried out for all children who need to be
looked after. This may have been undertaken prior to the child becoming looked after.
If this is not the case a core assessment must be carried out to support the application
for care proceedings so that recommendations to the court can be made on the basis of
the fullest possible information. A child may be looked after for a short period by
agreement with those with parental responsibility, on the basis of an initial assessment.
However, this would be exceptional and any child whose return home may not be
certain should be the subject of a core assessment. The core assessment on a child
looked after by the Local Authority is undertaken in exactly the same way as a core assessment
in any other circumstances. This is described in more detail in P1.1.5 Level 3 Process:
Undertake a Core Assessment.
Data Management
Becoming looked after results in a change in LEGAL STATUS. The granting of consent (either voluntary by
the child or parent, or by the placing of a Court Order) is also recorded under LEGAL STATUS by relation to
SERVICE USER, EXTERNAL PERSON or EXTERNAL BODY (as appropriate). Being Looked After is also a
PROVISION OF SERVICE. A court order is also a PROVISION OF SERVICE.
If a core assessment has not been undertaken, then the information gathered in compiling an Essential
Information Record would be very similar to that gathered by the core assessment Process (see Undertake a
Core Assessment, page 34).
The SERVICE USER PLAN and SERVICE USER PLAN OBJECTIVE will be consulted (in particular the
Placement Plan, which encompasses the Foster Placement Agreement) and a Care Plan will be drawn up or
updated as appropriate. A Personal educational Plan will also be produced. All of these different plans are
different types of SERVICE USER PLAN.
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P1.4.2 Level 3 Process: Decide on Immediate Placement
1. The procedures must allow for decision making when a child is in immediate need of a
placement and before the assessment is completed or a plan to meet the child’s needs
has been formulated.
2. If decided that an immediate placement is necessary, then the appropriate placement
will be provided. It may also be necessary to provide additional services (such as
transport or counselling) to meet the child’s immediate needs. Immediate placements
and other services are all provisions of service (see P2.1 Level 2 Process: Provide
Services).
Data Management
Decisions on immediate placements will be recorded under SERVICE USER PLAN and SERVICE USER
PLAN OBJECTIVE. The date of each review must be recorded within the PROVISION OF SERVICE.
P1.4.3 Level 3 Process: Initiate Appropriate Placement
1. Once it is decided that the child’s needs can only be met through being looked after an
appropriate placement will be sought5. Local Authorities are required to look first within the
extended family and, if this is not possible or appropriate, are then likely to look for a
foster placement or residential placement. If a placement is not available from in-house
resources then it is likely that an external placement will be purchased. This is likely to
require agreement from a senior manager. An invoice will at some stage be received
and, if correct, certified for payment against the appropriate cost centre budget code.
Placements are a type of provision of service (see P2.1 Level 2 Process: Provide
Services).
2. Once the placement has been made a Placement Information Record will be drawn up.
Data Management
The placement is recorded as a PROVISION OF SERVICE for a specific child (a SERVICE USER), as
determined via SERVICE USER SERVICE RECIPIENT. In addition, the SERVICE TYPE CATEGORY (eg
“Social Care Services”) and SERVICE TYPE (eg “Residential Care”) will be populated.
P1.4.4 Level 3 Process: Initiate a Planned Series of Short-Term Breaks
1. The needs of some children and their families, including disabled children, can
sometimes be best met by the provision of a planned series of short term breaks with
the same carer(s). The purpose of these arrangements is primarily a family support
service designed to provide a break for parents and additional opportunities and
experiences for the child or young person where appropriate but for the parents to
continue to be the primary carers.
2. If it is decided that a series of short-term placements are required, then the appropriate
placement will be provided. Once the agreement has been made and the arrangements
set up, the practicalities may be sorted out directly between the child’s permanent
carers and those providing the placements. These may form part of a package of
support services. It may also be necessary to provide additional services (such as
transport or counselling) to meet the child’s immediate needs. Short term placements
5
This version of the Process Model does not deal with applications for secure accommodation under Section
25 of the Children Act 1989
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and other services are all provisions of service (see P2.1 Level 2 Process: Provide
Services).
3. When arrangements are made for the child to receive short-term breaks, a plan and
placement information record will be completed (see P1.4.17 Level 3 Process: Complete
Placement Information Record) to ensure that all consents are in place and carers have
the information which is necessary for them to provide appropriate care to the child.
Data Management
Each short-term break is recorded as a PROVISION OF SERVICE for a specific child (a SERVICE USER),
as determined via SERVICE USER SERVICE RECIPIENT. In addition, the SERVICE TYPE CATEGORY (eg
“Social Care Services”) and SERVICE TYPE (eg “Short-term break”) will be populated.
P1.4.4.1 Level 4 Process: Produce Regulation 13 Agreement
1. The arrangements for short-term breaks must be pre-planned and an agreement drawn
up in accordance with Regulation 13 (as amended by LAC(95)14 Respite Care: Series
of Short Term Placements of Children) of the Arrangements for Placement of Children
(General) Regulations 1991. The agreement is between the Local Authority and the parents or
people with parental responsibility who look after the child normally The maximum
number of days allowed in any 12 month period is 120.
2. The child must be cared for by the same carer(s) on each occasion in order to fall
within Regulation 13. The agreement will formalise this link and state the number of
nights of care that can be provided before a new agreement is drawn up. There may be
a pre-arranged series of breaks arranged directly between parent(s) and carer(s). It is
not necessary for the requirements of the ‘Arrangements for Placement’ Regulations to
be gone through on each occasion a break is taken and a placement made. However,
the requirements are for the arrangements to be reviewed within 3 months of the
commencement of the first placement and subsequent reviews at intervals of no less
than 6 months.
3. The Regulation 13 agreement should be drawn up in writing with copies going to the
parents or permanent carers and the short term breaks carers.
Data Management
The Regulation 13 Agreement would be held within the CASE NOTES or as a SERVICE USER
DOCUMENT. The planned short-term breaks may be recorded as PROVISIONS OF SERVICE in advance,
so it can be clear whether or not the 120 days limit in any 12 month period is breached. The carers will be
determined via instances of SERVICE PROVIDER. Reviews are also PROVISIONS OF SERVICE and may
be recorded in advance to ensure that the stipulated review intervals are complied with.
P1.4.5 Level 3 Process: Initiate Care Proceedings
1. The decision to initiate care proceedings will be taken if there are concerns that the
child is suffering or is likely to suffer significant harm. The criteria are set out in Section
31 Children Act 1989.
2. While this process initiates care proceedings, other processes within looked after
children operations necessary to meet the needs of the child will continue in parallel.
3. Processes required to be undertaken where the child is subject to a section 31 application
are set out in the Public Law Outline.
Data Management
To be completed in a later version.
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P1.4.6 Level 3 Process: Obtain Parental Agreement to Accommodate a Child
(Section 20)
1. Local Authorities have a duty to provide accommodation for children in need in their
area. Accommodation under Section 20 requires the agreement of a person with
parental responsibility for the child. The agreements are recorded on the Placement
Information Record within the ICS (exemplar ‘o’) - see P1.4.17 Level 3 Process:
Complete Placement Information Record. The legal status will be recorded (see P1.4.7
Level 3 Process: Record Legal Status) and a care plan will then be formulated (see
P1.4.8 Level 3 Process: Formulate a Care Plan).
Data Management
This will be recorded under LEGAL STATUS.
P1.4.7 Level 3 Process: Record Legal Status
1. The legal basis for a child to be looked after is very significant in terms of how it affects
the rights of those with parental responsibility for the child. It is important that the legal
status is recorded and updated (as it may change over time). The key legal statuses
are:
•
Section 20 – the provision of care and accommodation by agreement with those
with parental responsibility for the child.
•
Interim Care Order under Section 38 - an order committing a child to the care of
the local authority during the course of, and before the final resolution of, care
proceedings.
•
Care Order under Section 31 of the Children Act 1989 – an order placing the
child in the care of the local authority until the child is 18 years of age unless the
court, on application, revokes the order before that date or an Adoption Order is
made.
•
Emergency Protection Order under Section 44 of the Children Act – a shortterm order taken in an emergency that permits a local authority to place, or
maintain, a child in a safe environment.
2. The Legal Status will appear on a number of exemplar templates of the Integrated
Children’s System. Once recorded the information will be reproduced on other
exemplar templates where it is required.
Data Management
This will be recorded under LEGAL STATUS.
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P1.4.8 Level 3 Process: Formulate a Care Plan
1. A Care Plan will build on the Child’s Plan, if already completed. It should be completed
before the child starts to be looked after. In emergencies on other circumstances where
this is not practicable, the Care Plan should be completed as soon as possible and no
later than 14 days from the start of the placement.
2. The Care Plan will set out the overall aim of the services being provided including the
plan for permanence within the appropriate timescales. In addition, it will identify
services and actions required to meet the child’s identified developmental needs in the
context of birth parents’ capacity and family and environmental factors. It also
addresses corporate parenting capacity and environmental factors. The Care Plan also
sets out detailed arrangements for contact.
3. The Care Plan addresses:•
•
•
•
•
•
The overall plan for the child/young person and reasons why this plan was chosen;
Identification and prioritisation of long term needs in a number of key areas of the
life of the child/young person;
Type of placement being sought;
Length of time child/young person is likely to need to be looked after;
Agreements and arrangement in the event of disagreements; and
Date of first review of this Plan.
4. The importance of a contingency plan is also recognised so that if the preferred
placement is not available or breaks down a crisis can be avoided.
5. The child must also have a Personal Education Plan within 20 school days of starting
to be looked after. This will be prepared jointly by the school, education service and
children's social care services (see P1.4.8.1 Level 4 Process: Complete Personal Education Plan).
6. Local Authorities are also required to arrange a health assessment for all children and young
people who start to be looked after (see P1.4.8.2 Level 4 Process: Complete Health
Assessment).
7. The Integrated Children’s System provides an exemplar for recording the Care Plan
(see ICS exemplar ‘p’).
Data Management
The SERVICE USER PLAN and SERVICE USER PLAN OBJECTIVE are updated as appropriate. The
Service User Plan Type will be “Care Plan”.
Existing planned PROVISIONS OF SERVICE may be amended; new PROVISIONS OF SERVICE may be
created as a result.
The involvement of other individuals (EXTERNAL PERSONS) and/or Organisations (EXTERNAL
ORGANISATIONS) in providing a specific PROVISION OF SERVICE will be recorded as separate instances
of SERVICE PROVIDER. In particular the Service Provider Role will be determined and recorded.
Cost attributes are included in various entities in the Logical Data Model (PROVISION OF SERVICE,
SERVICE PROVIDER, EMPLOYEE, GROUP and EXTERNAL BODY). These attributes should be regarded
as indicative only. This is because the exact way services are charged (for example using timesheets to
capture costs and apportionment to distribute costs) will vary considerably across Local Authorities. Each
Local Authority will need to devise a means of costing services (planned and actual) that fits in with their
existing systems and accounting practices. Whatever solution is implemented, the key data requirements are
to record planned and actual costs so that they can be:• Attributed against individual clients (SERVICE USERS);
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• Collated by service categories and types (Service Provider Category and Service Provider Type);
and
• Recorded as items of committed and actual expenditure.
P1.4.8.1 Level 4 Process: Complete Personal Education Plan
1. Regulation 4 & Schedule 3 of the Arrangements for the Placement of Children (General)
Regulations 1991 emphasises the importance of education within the overall planning framework
for children. Local authorities are under a duty to promote the educational achievement of the
children they look after.
2. Each looked after child must have a personal education plan (PEP). The PEP is initiated as part of
a young person’s care plan when they become looked after. If child becomes looked after as an
emergency care placement then the PEP should be initiated within 14 days of becoming looked after.
3. A PEP is a record of what needs to happen for looked after children to enable them to fulfil their
potential. It is important for the PEP to address out of school as well as academic activities. It
should:
• identify developmental and educational needs as well as what the child is good at;
• set short term targets;
• be linked to information in any other education plans (e.g. statements of SEN);
• set long term plans, educational targets and aspirations;
• be an achievement record.
It should form the basis of a discussion between those who are actively involved in promoting the
child’s education – social worker, carer, parent if appropriate, designated teacher and the pupil –
about what needs to be done to help a child to achieve.
4. The first actions for the designated teacher on receiving a PEP for a child newly looked after will be
to have initial discussions with the social worker, carer and the child to ascertain what might need to
be included within the initial plan. The most important of these will be an initial assessment of the
child’s teaching and learning needs and whether there are any problems that need to be quickly
addressed. The plan should note any particular factors (such as existing special educational needs)
that need to be considered as the plan is developed.
5. A copy of the PEP needs to be available for the first statutory review of the care plan (28 day
review). At this stage the PEP should detail all of the initial work to identify the child’s educational
needs and that there is a timetable in place to address these needs.
6. As it is developed, the PEP should give details of what action/services/support needs to be put in
place; who will take forward the various actions needed; the timescales of those actions and
identify sources of funding for implementing those parts of the PEP that require further funding.
This may take the form of, for example, extra catch- up tuition or more specialised or remedial
services or opportunities to build on strengths (see P2.1 Level 2 process: Provide Services).
7. The PEP should be formally reviewed at the same time as each review of the care plan (i.e. 28
days, 3 months, 6 months and every 6 months thereafter).
8. The PEP may be a stand alone document outside of the Care Plan but linked to it, in which case a
summary of the plan will be recorded in the education dimension of the Care Plan.
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Statutory guidance issued under section 7 of the Local Authority Social Services Act 1970 gives more
details on how local authorities should take forward actions around the PEP. (Statutory guidance on the
duty on local authorities to promote the educational achievement of looked after children under section
52 of the Children Act 2004).
Data Management
The SERVICE USER PLAN and SERVICE USER PLAN OBJECTIVE are updated as appropriate. The
Service User Plan Type will be “Personal Education Plan”.
Existing planned PROVISIONS OF SERVICE may be amended; new PROVISIONS OF SERVICE may be
created as a result.
The involvement of other individuals (EXTERNAL PERSONS) and/or Organisations (EXTERNAL
ORGANISATIONS) in providing a specific PROVISION OF SERVICE will be recorded as separate instances
of SERVICE PROVIDER. In particular the Service Provider Role will be determined and recorded.
P1.4.8.1.1 Level 5 Process: Prepare a Care Plan for Court Proceedings
1. A Care Plan Prepared for Court Proceedings is a new ICS Exemplar
released as part of ICS phase 1c.
2. A Care Plan Prepared for Court Proceedings will be largely pre-populated
from the existing ICS data set (primarily information recorded on the Care
Plan).
Data Management
The SERVICE USER PLAN and SERVICE USER PLAN OBJECTIVE are updated as
appropriate. The Service User Plan Type will be “Care Plan Prepared for Court
Proceedings”.
Existing planned PROVISIONS OF SERVICE may be amended; new PROVISIONS OF
SERVICE may be created as a result.
The involvement of other individuals (EXTERNAL PERSONS) and/or Organisations
(EXTERNAL ORGANISATIONS) in providing a specific PROVISION OF SERVICE will be
recorded as separate instances of SERVICE PROVIDER. In particular the Service Provider
Role will be determined and recorded.
Cost attributes are included in various entities in the Logical Data Model (PROVISION OF
SERVICE, SERVICE PROVIDER, EMPLOYEE, GROUP and EXTERNAL BODY). These
attributes should be regarded as indicative only. This is because the exact way services are
charged (for example using timesheets to capture costs and apportionment to distribute
costs) will vary considerably across Local Authorities. Each Local Authority will need to devise a means of
costing services (planned and actual) that fits in with their existing systems and accounting
practices. Whatever solution is implemented, the key data requirements are to record planned
and actual costs so that they can be:• Attributed against individual clients ( SERVICE USERS);
P1.4.8.2 Level 4 Process: Complete Health Assessment
1. Local Aurthorities are required to arrange a health assessment for all children and young people
who start to be looked after. Health assessments are to be undertaken at least once in
every period of 6 months before the child’s 5th birthday and at least once in every
period of 12 months after the child’s 5th birthday.
2. If there is concern about possible abuse or neglect then the child should be seen
immediately at the start of a care episode, or if the child has an acute medical problem
then he/she should be seen for this without delay. These consultations alone, however,
will not normally provide the information required for a full health assessment.
3. Increasingly it will be found that children being looked after have recently had a core
assessment as children in need. When this is the case the assessment should be
updated to ensure that there are no gaps in information or planning. If the child has
been seen for a health assessment by a suitably qualified doctor in the previous three
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months, a new assessment is unlikely to be necessary. However, ensuring
appointments are rebooked and researching family health history may need to be
undertaken and any existing health plan should be reviewed and updated. Although the
child’s needs may not have changed the actions required to meet these needs may
require amendment to take account of the child’s changed circumstances.
4. The recommended content of the health assessment for different developmental
stages is outlined in Appendix 4 of Promoting the Health of Looked After Children (DH
2002).
Data Management
A health assessment is a PROVISION OF SERVICE.
P1.4.8.3 Level 4 Process: Complete Health Plan
1. The health plan will be developed from the health assessment. A child’s health plan is
part of the overall plan for meeting the child’s developmental needs. While the health
assessment is led by the team of health professionals, the social worker will bring
together all the information gathered in the assessment, with all professionals involved,
including the child, carers and parents, except where there are specific reasons for not
including them, in which case these should be clearly recorded on the file.
2. Each child or young person’s health plan should follow a broadly similar structure, but
the content will vary. It should set out both short-term and longer-term objectives
together with the actions needed to achieve them. It should address how to provide
health advice and health promotion, including age-appropriate information on lifestyle,
diet, exercise, sexual behaviour, risky behaviours (eg. substance misuse), in addition to
guidance and support on the management of specific health problems.
3. Additional needs, requiring additional services may be identified in the course of
completing the health care plan. This may be in the format of advice or “extra help” or
more specialised therapeutic or remedial services. This may result in additional
services being provided (see P2.1 Level 2 Process: Provide Services).
4. The health plan is recorded within the health dimension of the Care Plan within the
Integrated Children’s System (see exemplar ‘p’).
Data Management
The process of undertaking a Health Assessment is a PROVISION OF SERVICE. The involvement of other
individuals (EXTERNAL PERSONS) and/or Organisations (EXTERNAL ORGANISATIONS) in providing this
PROVISION OF SERVICE will be recorded as separate instances of SERVICE PROVIDER.
Details gathered in a health assessment are recorded under SERVICE USER IMPAIRMENT. Details of
functional impairment, caused by health conditions and/or disabilities are recorded under SERVICE USER
DISABILITY. If appropriate, a Disability Register entry can be made under DISABILITY REGISTRATION.
The SERVICE USER PLAN and SERVICE USER PLAN OBJECTIVE are updated as appropriate. The
Service User Plan Type will be “Health Plan”.
Existing planned PROVISIONS OF SERVICE may be amended; new PROVISIONS OF SERVICE may be
created as a result.
P1.4.9 Level 3 Process: Review Care Plan (Pathway Plan/Adoption Plan)
1. Reviewing is a planning process, which starts from the monitoring of the existing plan.
The purpose is to ensure that the overall care plan remains appropriate, that actions to
implement the care plan are being undertaken and that the child’s welfare is being
safeguarded and promoted in the most effective way during the period of being looked
after.
2. It is important to distinguish between reviewing as a process of continuous monitoring
and reassessment and the review meeting as an event when a Child’s Plan will be
considered, reconfirmed or changed and such decisions agreed and recorded. Key
issues to be addressed in the review process are:
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•
•
•
•
Children’s participation
Participation of birth family including wider family and cases
The appropriate involvement of other agencies
Supervision and oversight by responsible managers
3. The review meeting is a key point in the assessment, planning, intervention and review
process. The purpose of the review meeting is to consider the care plan for promoting
the welfare of the child and then to monitor the progress of the plan and make
decisions to amend the plan as necessary in the light of changed knowledge and
circumstances. This will require consideration of the child’s progress in the placement
and the child’s wider environment, as well as the overall care plan. The review will also
take account of objectives and progress in relation to the Personal Education Plan and
the Health Plan.
4. The minimum requirement is that each case must be reviewed within four weeks of
the date on which the child starts to be looked after, within three months of that first
review and subsequently at intervals not exceeding six months. Although intervals for
the meeting are laid down in Review of Children’s Cases Regulations 1991, they must
be regarded as a minimum standard in a system which should be used flexibly to meet
the needs of an individual child and family. The Local Authority must monitor their arrangements
for reviews to ensure compliance with the Regulations (see P3.1.1.3 Level 4 Process:
Monitor Compliance with Reviews of Children’s Cases Regulations 1991).
5. Only a statutory review can change a Care Plan. The first review is the opportunity to
confirm/amend an initial Plan.
6. The review meeting must consider the child’s needs for permanency and produce
within the revised Care Plan, a plan for permanence within the identified timescales.
7. The Care Plan becomes the Pathway Plan if the child is 16 years or over, but otherwise
the process is the same.
8. At the point at which a review meeting decides to pursue a plan for adoption, an
Adoption Plan will be commenced. There is an exemplar template for the Adoption
Plan in the Integrated Children’s System (see ICS exemplar ‘x’).
9. In addition, if the young person is disabled or has special educational needs (SEN), a
Transition Plan may be required.
10. Information and decisions are recorded under headings:
•
•
•
•
•
•
•
Essential information;
Social worker’s report;
Consultation and assessment;
Issues for discussion;
Record of discussion;
Review of decisions; and
Administration.
11. If there are no plans for a return home by the time of the child’s second review, then a
re-assessment of the child’s developmental needs and progress is likely to be required.
Local Authorities may make special arrangements for this critical review to take a long-term view
of the child’s interest, whether it be rehabilitation, long term care or adoption. This
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assessment is currently recorded within the Assessment and Progress Records (see
P1.4.9.6 Level 4 Process: Complete Assessment and Progress Record), which use the
same child developmental dimensions as the Assessment Framework. The summary
of the work to be undertaken from the Assessment and Action Records is taken to the
review in order to inform the review of the child’s progress and any necessary
amendments to the Care Plan.
12. The review must make the following determinations/observations:♦
♦
♦
♦
♦
♦
♦
♦
♦
Is the Plan for the Child to Return Home Imminently?
Is the Child in Care Under S31?
Is the Plan for the Child to be Adopted?
Is the Plan for Long-Term Care?
Does a Care Order need to be Revoked?
Is this the last Review Before the Child is 16?
Is this the last Review Before the Child is 18?
Is this the Second Review of the Plan?
Is a Transition Plan Required?
13. If determined that the child SHOULD return home imminently then there are two
alternate routes, depending on whether the child is looked after under Section 20 or
Section 31 of the Children Act 1989 (see following paragraph). If it is agreed that the
child SHOULD NOT return home imminently, then it needs to be further determined
whether or not the child is to be adopted (see below).
14. If the child IS in Local Authority care under the criteria set out in Section 31 Children Act 1989,
then ‘return home’ enquiries will be commenced with a view to the child being placed at
home under the Placement of Children with Parents Regulations 1991 (see P1.4.10
Level 3 Process: Undertake Return Home Enquiries and P1.4.11 Level 3 Process:
Prepare for Child in Care Under s31 to be Placed with Parents). It will then need to be
further determined whether or not a Care Order needs to be revoked (see following
paragraph). If the child IS NOT in Local Authority care under the criteria set out in Section 31
Children Act 1989 (ie they are looked after under Section 20 instead), on return home
the child will cease to be looked after and no longer reviewed under the Review of
Children’s Cases Regulations 1991. The plan to support the child and family on return
must therefore be formulated within a Child in Need Plan (see P1.1.6 Level 3 Process:
Formulate Child in Need Plan).
15. If there IS a Care Order that needs to be revoked then the Local Authority will apply to the
Family Court to have it revoked (see P1.4.11.4 Level 4 Process: Revoke Care Order).
The child will remain looked after until the Care Order is revoked or the child reaches
18, even if the child returns home. If there IS NOT a Care Order that needs to be
revoked then there is no further action in response to this question.
16. If determined that the child SHOULD be adopted, then the agency adoption of looked
after children process will be initiated (see P1.6 Level 2 Process: Agency Adoption of
Looked After Children) and preparations for transition to an Adoption Plan will be made
(see P1.4.13 Level 3 Process: Make a Formal Transition from Care Plan to Adoption
Plan). If determined that the child SHOULD NOT be adopted, then it need to be further
determined whether or not some form of long-term care such as fostering or secure
accommodation is the most appropriate plan.
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17. If determined that long-term care IS appropriate, then the appropriate placement will be
initiated (see P1.4.3 Level 3 Process: Initiate Appropriate Placement). If determined
that long-term care IS NOT appropriate, then the child will remain looked after and the
possibilities of a return home, adoption or some form of long-term care will not be
formally reconsidered again until the next review.
18. If the review IS the last review before the child is 16, then preparations for transition to
a Pathway Plan will be made (see P1.4.14 Level 3 Process: Make a Formal Transition
from Care Plan to Pathway Plan). Further details about developing Pathway Plans and
preparing for the eventual ceasing to be looked after are described in P1.11 Level 2
Process: Sixteen Plus Leaving Care Operations.
19. If the review IS the last review before the child is 18, then preparations are made for
the child to cease being looked after (see P1.4.16 Level 3 Process: Prepare for Young
Person Reaching 18). If this IS NOT the last review before the child is 18, then no
further action is taken in respect of this specific question.
20. The process of assessment continues whilst the child is looked after. If this IS the
second review of the Care Plan, then this assessment is recorded on the Assessment
and Progress Record (see P1.4.9.6 Level 4 Process: Complete Assessment and
Progress Record). If this IS NOT the second review of the Care Plan, then no further
action is taken in respect of this specific question.
21. If determined that a Transition Plan IS required because the young person is disabled
or has special educational needs (SEN), then a Transition Plan will need to be
produced (see P1.4.15 Level 3 Process: Formulate a Transition Plan). If determined
that a Transition Plan IS NOT required, then no further action is taken in respect of this
specific question.
22. A record must be made of the review of the Care Plan (see P1.4.9.7 Level 4 Process:
Complete Looked After Children Review Record).
Data Management
A Care Plan Review is a PROVISION OF SERVICE. Each review can be planned for a specific date to meet
Regulations (ie recorded in Provision Of Service Planned Start Date). The actual date of the last review is
recorded as the Service User Plan Last Reviewed Date.
Monitoring is a PROVISION OF SERVICE. The authorisation by the Director of Social Services (an
EMPLOYEE) is recorded via the SERVICE PROVIDER entity.
Visits etc are also PROVISIONS OF SERVICE.
Information gathered will be recorded as appropriate in various entities (eg EXTERNAL PERSON, FAMILY
MEMBER and FAMILY to record details about members of the household, CASE NOTES for other
information).
The SERVICE USER PLAN and SERVICE USER PLAN OBJECTIVE are updated as appropriate. The
Service User Plan Type will be “Care Plan”, “Pathway Plan” or “Adoption Plan” as appropriate”.
The involvement of other individuals (EXTERNAL PERSONS) and/or Organisations (EXTERNAL
ORGANISATIONS) in providing a specific PROVISION OF SERVICE will be recorded as separate instances
of SERVICE PROVIDER. The Service Provider Role may be determined and recorded.
P1.4.9.1 Level 4 Process: Consult with Key Parties for Review
1. Before the review meeting the Local Authority are required to consult the child, parents and any
other person with parental responsibility. The Local Authority must consult about any particular
matter that will be considered during the course of the review.
2. For simplicity, this process is not shown on the process flow diagram for looked after
children.
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Data Management
A consultation prior to the review is recorded as a PROVISION OF SERVICE. This will record data such as
dates. It will also allow recording of ‘soft’ unstructured data under Provision Of Service Comment.
Note that the Logical Data Model allows a pre-review consultation with a child (SERVICE USER) or their
parent(s) etc (EXTERNAL PERSON(S)) to be recorded as separate PROVISIONS OF SERVICE in their own
right. Alternatively, a single instance of PROVISION OF SERVICE may be recorded, with all of the
participants being recorded as separate instances of SERVICE PROVIDER. This will allow either a number
of individual consultations, a single consultation with all interested parties or a combination of the two,
depending on how the consultations are performed.
Particular matters requiring discussion and their outcomes could be recorded under PROVISION OF
SERVICE OBJECTIVE.
P1.4.9.2 Level 4 Process: Issue Review Meeting Invitations
1. The Local Authority are required, as far as practicable and appropriate, to invite the people
involved in the consultation to attend the review meeting.
2. For simplicity, this process is not shown on the process flow diagram for looked after
children.
Data Management
Issuing invitations could be recorded as a PROVISION OF SERVICE, and the recipients of the invites
recorded as SERVICE USER RECIPIENTS and NON SERVICE USER RECIPIENTS respectively – this will
allowing logging of who received an invite and when it was issued.
P1.4.9.3 Level 4 Process: Hold Care Plan Review Meeting
1. The review meeting must consider (among other things):
•
•
•
•
•
•
•
•
•
•
Whether an application should be made to discharge a care order;
Whether to seek another change to the child’s legal status;
Arrangements for contact and any need to change those arrangements;
Any special arrangements or assessments which the child may need;
The immediate and long-term plan for the child;
Whether the child needs an independent visitor;
Whether arrangements need to be made for when the child no longer needs to be
looked after;
Whether the child needs a permanent substitute family;
The child’s educational needs, progress and development;
The child’s state of health and health needs.
2. For simplicity, this process is not shown on the process flow diagram for looked after
children.
Data Management
A Care Plan Review Meeting is a PROVISION OF SERVICE.
The SERVICE USER PLAN and SERVICE USER PLAN OBJECTIVES are reviewed. The Service User
Plan Type will be “Care Plan (Looked After Children)”.
The involvement of Local Authority staff (EMPLOYEES) other individuals, such as other professionals, parents,
people with parental responsibility etc (EXTERNAL PERSONS) and/or Organisations (EXTERNAL
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ORGANISATIONS) in attending the meeting will be recorded as separate instances of SERVICE
PROVIDER. The child (SERVICE USER) can also be recorded as a SERVICE PROVIDER if they attend the
meeting.
Progress and changes in development and needs will be reflected within SERVICE USER NEED and
SERVICE USER NEED SUMMARY.
Particular matters requiring discussion, such as those listed above, and their outcomes could be recorded
under PROVISION OF SERVICE OBJECTIVE.
In addition, other documents, such as minutes of the review meeting, could be recorded under SERVICE
USER DOCUMENT.
P1.4.9.4 Level 4 Process: Revise Care Plan
1. The care plan will need to be revised in light of the decisions reached and actions
agreed at the care plan review meeting.
2. This will mean updating the Care Plan record (see ICS exemplar ‘p’).
3. For simplicity, this process is not shown on the process flow diagram for looked after
children.
Data Management
Revising the care plan is a PROVISION OF SERVICE.
The SERVICE USER PLAN and SERVICE USER PLAN OBJECTIVES are reviewed and updated as
appropriate. The Service User Plan Type will be “Care Plan (Looked After Children)”.
P1.4.9.5 Level 4 Process: Notify Care Plan Review Results
1. The Local Authority are required to notify details of the results of the review of the care plan to:•
•
•
•
The child;
The child’s parents;
Any other person with parental responsibility;
Any other person who they consider ought to be notified.
2. For simplicity, this process is not shown on the process flow diagram for looked after
children.
Data Management
Notifying the results of the review of the care plan is a PROVISION OF SERVICE. Details about who is
offered, receives, agrees and comments on documents, such as the care plan, are recorded under
DOCUMENT RECIPIENT.
Details of the care plan are recorded under SERVICE USER PLAN and SERVICE USER PLAN
OBJECTIVE.
Details about who was offered, who received and who agreed the care plan (including any comments) are
recorded under DOCUMENT RECIPIENT. This allows details about who receives the plan to be recorded,
whether they are a parent, a person with parental responsibility, a carer (eg foster carer or residential social
worker (ie an EXTERNAL PERSON or an EMPLOYEE).
P1.4.9.6 Level 4 Process: Complete Assessment and Progress Record
1. The process of assessment continues whilst the child is looked after. If this is the
second review of the Care Plan, then this assessment is recorded on the Assessment
and Progress Record.
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2. The Records are intended to help those professionally responsible for someone else’s
children/young people and have been designed to measure progress, assess the
standard of care and plan improvements.
3. The questions in the Records are based on the best available research evidence and
ask if work has been undertaken which is known to be likely to lead to good outcomes
for children/young people.
4. Six age-related Assessment and Action Records are designed to:
•
•
•
promote quality of care;
record quality of care received and progress across the seven dimensions of health,
education, identity, family and social relationships, social presentation, emotional
and behavioural development and self-care skills described earlier; and
identify necessary action to be undertaken and who is responsible.
5. The summary of the work to be undertaken from the Assessment and Action Records
is taken to the review in order to inform the review of the child’s progress and any
necessary amendments to the Care Plan.
6. A template is provided within the Integrated Children’s System for the Assessment and
Progress Record (see ICS exemplars ‘t' to 'w’).
Data Management
Details about the review will be recorded under various entities as appropriate, for example:• PROVISION OF SERVICE (the placement itself);
• PROVISION OF SERVICE (other services related to the placement, such as visits by the social worker
and visits by the family placement worker);
• SERVICE USER (the subject of the placement);
• SERVICE PROVIDER (for the placement itself, details about who the placement is with (eg parents,
relatives/friends, etc, recorded as EXTERNAL BODY or FAMILY as appropriate);
• SERVICE PROVIDER (for visits to the placement, details about who will visit (eg EMPLOYEE for the
social worker, EMPLOYEE or EXTERNAL BODY as appropriate for the family placement worker);
• SERVICE USER NEED SUMMARY (summary by assessment dimension for the emotional and
behavioural development summary and the health summary);
• SERVICE USER DOCUMENT (the paper version of the Placement Information Record).
Note: Restrictions, such as who should not be given the child/young person’s address and consents, such as
consent to medical treatment are not within the Logical Data Model at present.
P1.4.9.7 Level 4 Process: Complete Looked After Children Review Record
1. A record must be made of the review of the Care Plan.
2. A template is provided within the Integrated Children’s System for recording the
discussion and outcomes of the Care Plan review (see ICS exemplar ‘s’).
P1.4.9.8 Level 4 Process: Complete Child/Young Person’s Review of
Pathway Plan
1. A record must be made of the review of the Pathway Plan.
2. A template is provided within the Integrated Children’s System phase 1c for
recording the discussion and outcomes of the Pathway Plan review.
P1.4.10 Level 3 Process: Undertake Return Home Enquiries
1. Placements at home made under the Placement of Children with Parents Regulations
require prior enquiries as to the child’s health, education and social needs, the
suitability of the person with whom they will be living, and others in household and
suitability of the accommodation. Information gathered will be recorded and it is likely
that a written report would be produced for review.
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Data Management
Undertaking a return home enquiry is a PROVISION OF SERVICE.
Information gathered will be recorded as appropriate in various entities (eg EXTERNAL PERSON, FAMILY
MEMBER and FAMILY to record details about members of the household, CASE NOTES for other
information).
A written report would be referenced under SERVICE USER DOCUMENT.
The SERVICE USER PLAN and SERVICE USER PLAN OBJECTIVE are updated as appropriate. The
Service User Plan Type will be “Care Plan (Looked After Children)”.
P1.4.11 Level 3 Process: Prepare for Child in Care Under s31 to be Placed with
Parents
1. A Care Plan/review decision may be for the child to return home. This decision triggers
the need to formulate a Care Plan that sets out how the child’s needs will be met when
the child returns to the family.
2. If the child/young person has been accommodated then return home will be monitored
using the Assessment Framework domains to ensure that the child’s needs will be met
and a Child’s Plan will be drawn up. If the child/young person is on a Care Order then
the child’s progress at home will be monitored through the Placement of Children with
Parents (etc) Regulations 1991 using the core assessment to monitor the child and the
family’s progress. These placements may only be made with the agreement of the
Director of Social Services or by a person nominated by the Director. If it is an
immediate placement then the person with whom the child is to be placed must be
interviewed. As much information about other members of the household as possible
must be obtained in the interview and the accommodation must be inspected. The
arrangements for the placement must be drawn up in the Plan, including visiting,
support services and a statement of objectives. A child on a Care Order remains
looked after regardless of placement and therefore a Care Plan will be completed.
3. If decided that a child should be returned home imminently and if that child is looked
after under s31 of the Children Act 1989, then preparations need to be made for the
child to be placed with their parents. This will not happen until:•
•
•
•
•
the return home enquiries have been completed;
the decision on a return home is formally agreed
the return home conditions have been agreed;
the relevant agencies notified; and
the child is returned home (but continues to be looked after until a court revokes the
Care Order or the child turns 18 years of age).
P1.4.11.1 Level 4 Process: Decide on Return Home Placement
1. Once the return home enquiries have been conducted the Director of Social Services
or person nominated in writing by the Director will decide:♦ Has Return Home been Agreed?
2. If the return home IS agreed, then the next step is to agree the return home placement
conditions (see P1.4.11.2 Level 4 Process: Agree Return Home Placement Conditions.
If the return home IS NOT agreed, then the decision will be fed back to the next care
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plan review (see P1.4.9 Level 3 Process: Review Care Plan (Pathway Plan/Adoption
Plan)).
3. The decision will be recorded.
Data Management
Deciding on a return home placement is a PROVISION OF SERVICE. The authorisation by the Director of
Social Services (or other nominated person) (an EMPLOYEE) is recorded via the SERVICE PROVIDER
entity.
The SERVICE USER PLAN and SERVICE USER PLAN OBJECTIVE are updated as appropriate. The
Service User Plan Type will be “Care Plan (Looked After Children)”.
P1.4.11.2 Level 4 Process: Agree Return Home Placement Conditions
1. Local Authorities are required to reach agreements with the person with whom the child is to be
placed about a range of matters specified in Schedule 2 to the Placement of Children
with Parents (etc) Regulations 1991, which include:•
•
•
•
•
•
Aims and objectives of the placement;
Support to be provided, including visits and reviews of the case;
Arrangements for contact;
The child’s health needs
The child’s education needs; and
Arrangements for meeting them, including consents.
Data Management
The SERVICE USER PLAN and SERVICE USER PLAN OBJECTIVE are updated as appropriate. The
Service User Plan Type will be “Care Plan (Looked After Children)”.
Details of specific consents are not included in the Logical Data Model at present, but may be included in
later versions.
P1.4.11.3 Level 4 Process: Notify Relevant Parties of Return Home
1. The Local Authority is required to notify all those whose wishes and feelings have been sought
in relation to the decision for the child to return home. This will include the following:•
•
•
•
•
Primary Care Trust (PCT)/Primary Care Group (PCG)/Health Authority and the
Local Education Authority where the child is living:
The child’s GP;
The area Local Authority the child may be moving back to (ie if different from the Local Authority that
is legally and financially responsible for the child);
Any person previously caring for the child prior to placement; and/or
Any other person with parental responsibility.
2. The Child in Need Plan will need to be updated to reflect the return home plan and
conditions (see P1.1.8.3 Level 4 Process: Revise Child in Need Plan).
Data Management
Notification is a PROVISION OF SERVICE. The authorisation by the Director of Social Services (an
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EMPLOYEE) is recorded via the SERVICE PROVIDER entity.
Potential recipients will be identified via SERVICE USER RELATIONSHIP or previous instances of relevant
PROVISIONS OF SERVICE (eg a former foster care placement to determine a person that previously cared
for the child), via the SERVICE PROVIDER entity.
Those in receipt of a notification will be identified via NON SERVICE USER SERVICE RECIPIENT.
P1.4.11.4 Level 4 Process: Revoke Care Order
1. If necessary, the Care Order will be revoked. Once revoked, the legal status will be
recorded as appropriate (see P1.4.7 Level 3 Process: Record Legal Status).
Data Management
Revocation is a PROVISION OF SERVICE.
LEGAL STATUS will be amended as appropriate.
P1.4.12 Level 3 Process: Return Child Home
1. The child will return home in the context of a plan.
2. If the child was looked after under Section 20 of the Children Act 1989 then the core
case management processes will apply (see P1.1 Level 2 Process: Core Case
Management Operations).
3. If the child is looked after under Section 31 of the Children Act 1989 then he or she will
remain looked after and subject to a Care Plan and reviews under Section 26 of the
Children Act 1989 until the Care Order is revoked by a court or the child turns 18 years
of age.
4. When the child ceases to be looked after, these services will be terminated (see P2.1.2
Level 3 Process: Terminate Service).
Data Management
The return home will result in the end of the being looked after, which will end that particular PROVISION OF
SERVICE.
This outcome is recorded under the child’s Care Plan (under SERVICE USER PLAN and SERVICE USER
PLAN OBJECTIVE).
LEGAL STATUS will be amended if appropriate.
P1.4.13 Level 3 Process: Make a Formal Transition from Care Plan to
Adoption Plan
1. If a review of the Care Plan determines that adoption of the child is
planned, then it will be necessary at this review to make the transition from
the Care Plan to Adoption Plan.
Data Management
The child’s Adoption Plan is recorded under SERVICE USER PLAN and SERVICE USER
PLAN
OBJECTIVE. The Service User Plan Type will be “Adoption Plan”
P1.4.13.1 Level 4 Process: Complete a Child/Young Person’s Adoption
Plan
1. The Child/Young Person’s Adoption Plan is recorded in a different format to
the Care Plan. An exemplar is provided as part of the ICS Phase 1c
documentation.
Data Management
The child’s Adoption Plan is recorded under SERVICE USER PLAN and SERVICE USER
PLAN
OBJECTIVE. The Service User Plan Type will be “Adoption Plan”
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P1.4.14 Level 3 Process: Make a Formal Transition from Care Plan to Pathway Plan
1. If a review of the care plan is the last review before the child becomes 16 years of age,
it will be necessary at this review to make the transition from the Care Plan to Pathway
Plan in accordance with the Children (Leaving Care) Act 2000.
2. The Pathway Plan is recorded in a different format. The Integrated Children’s System
provides an exemplar template for the Pathway Plan (see ICS exemplar ‘y’).
Data Management
The child’s Pathway Plan is recorded under SERVICE USER PLAN and SERVICE USER PLAN
OBJECTIVE. The Service User Plan Type will be “Pathway Plan”.
P1.4.15 Level 3 Process: Formulate a Transition Plan
1. If a young person is disabled or has special educational needs (SEN), a Transition Plan
may be required.
2. The Transition Plan is really the disability equivalent of the Pathway Plan but is
recognised across education and social care and does not apply to just looked after
children. This process will be developed further in later releases of the Core
Information Requirements.
Data Management
The child’s Transition Plan is recorded under SERVICE USER PLAN and SERVICE USER PLAN
OBJECTIVE. The Service User Plan Type will be “Transition Plan”.
P1.4.16 Level 3 Process: Prepare for Young Person Reaching 18
1. Whether the young persons were looked after under Section 20 or Section 31, in either
case they cease to be looked after when they become 18 years of age. This will need
to be anticipated (flagged) and recorded in information systems and early referrals to
adult services, other Local Authority services and other agencies should be made in preparation
(see P1.11.8 Level 3 Process: Refer to Adult Services, other Local Authority Services or other
Agencies).
2. When the child ceases to be looked after services will be terminated (see P2.1.2 Level
3 Process: Terminate Service). Whilst services provided for children looked after will
terminate, adult services or leaving care services for which the young person is eligible
will continue (see P1.11 Level 2 Process: Sixteen Plus Leaving Care Operations).
Data Management
The Service User Date Of Birth will be used to determine when a young person is reaching 18. Alerts or
th
reports could be generated to advise when the 18 birthday is approaching.
P1.4.17 Level 3 Process: Complete Placement Information Record
1. CSSRs will provide practical information necessary for the carers about the day to day
care needs of the child in the form of a Placement Information Record. This will include
information about the child’s personal history, religious, cultural and linguistic
background, health and educational needs, arrangements for visitors etc. It should also
include information about the child’s personal preferences, for example diet, hobbies
etc. This is required as part of the Foster Placement Agreement, under Schedule 6 of
the Fostering Services Regulations 2002.
2. The Integrated Children’s System provides an exemplar for completing this record (see
ICS exemplar ‘o’).
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NOTE: This process occurs whenever a placement is made (eg immediate, shortterm or other), so rather than repeating the same text a number of times, it is
located here, with cross-references to it, where appropriate.
Data Management
Details about the review will be recorded under various entities as appropriate, for example:• PROVISION OF SERVICE (the act of the review itself);
• SERVICE USER (the subject of the review);
• SERVICE PROVIDER (details about who is consulted and their roles), receives, agrees and comments
on documents, such as the care plan, are recorded under DOCUMENT RECIPIENT;
• ASSESSMENT TOOL USAGE (details of assessment instruments used);
• PROVISION OF SERVICE (history of previous assessments);
• SERVICE USER NEED (individual assessment items);
• SERVICE USER NEED SUMMARY (summary by assessment dimension);
• DOCUMENT RECIPIENT (details of who were offered, received, agreed and commented on the
assessment and progress record).
P1.4.18 Level 3 Process: Notify Relevant Persons of the Child’s Placement
1. It is required under Regulation 5 of the Arrangements for Placement of Children (APCR)
(General) Regulations 1991 to notify key relevant persons when a child is placed after
becoming looked after. The full list of relevant persons is given in the Regulation. It
includes, for example people consulted before a decision is made to look after the
child, the child’s GP, the child’s Education Authority etc. The notification must be made
in writing.
NOTE: This process occurs whenever a placement is made (eg immediate, shortterm or other), so rather than repeating the same text a number of times, it is
located here, with cross-references to it, where appropriate.
Data Management
Notification is a PROVISION OF SERVICE. Recipients of the notification will be recorded via NON SERVICE
USER SERVICE RECIPIENT.
P1.4.19 Level 3 Process: Notify Register of Looked After Children
1. Regulation 10 of the Arrangements for Placement of Children (General) Regulations
1991 require that each local authority maintain a register or all looked after children
placed in their area. This means that the appropriate register must be notified
whenever a placement is made. If a child is placed in the area of another authority then
the other authority must be notified.
2. In order that registers remain up to date the appropriate Local Authority’s register must be
notified whenever a child moves from a placement.
NOTE: This process occurs whenever a placement is made (eg immediate, shortterm or other), so rather than repeating the same text a number of times, it is
located here, with cross-references to it, where appropriate.
Data Management
Notification is a PROVISION OF SERVICE. Recipients of the notification will be recorded via NON SERVICE
USER SERVICE RECIPIENT.
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P1.5 Level 2 Process: Secure Special Guardianship
1. Special guardianship for children is a provision designed to provide legal security and
permanence for children whose parents cannot care for them but where, for whatever
reason, adoption is not the most appropriate option for that child. It could be considered
in cases with older children who do not wish to be legally separated from their parents,
where children are being cared for by wider members of their family and for some
minority ethnic groups who have cultural or religious difficulties with adoption as it is set
out in law.
2. It is a private law order under the Children Act 1989 (an amendment to Section 14).
The process is begun by the carers who notify the local authority of their interest in
seeking a special guardianship order. They then apply to the court. The local authority
makes a report to the court on the suitability of the proposal (the nature of the report
will depend upon the aetiology of the case). The court considers the application and
report and decides whether or not to make an Order.
3. Carers may be able to apply for support analogous to adoption support in certain
circumstances.
Data Management
Special guardianship is a PROVISION OF SERVICE. Recipients of the notification will be recorded via NON
SERVICE USER SERVICE RECIPIENT. LEGAL STATUS will be recorded as appropriate.
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P1.6 Level 2 Process: Agency Adoption of Looked After Children
1. This process describes the agency adoption of looked after children, and other children
in particular circumstances.
2. For children and young people who are looked after who cannot return to their birth
family, plans may be made to seek a permanent adoptive family. Their current foster
carers may adopt a child or new carers may be recruited and assessed as prospective
adopters.
3. The Adoption and Children Act 2002 distinguishes two broad routes through which
children become adopted, those involving an adoption agency – an agency placement
and those not involving an agency – a non-agency placement. The former always
entails a child being referred to an adoption agency with a view to the agency finding
suitable adoptive parent(s). The latter covers any cases not involving an adoption
agency where the child has lived with the applicants for a length of time prior to any
formal steps being taken to seek adoption for the child.
4. Non-agency placements include stepparent adoptions and where a child has been
living with relatives or foster carers.
5. A child looked after by a CSSR, who is living with foster carers, may become adopted
by their foster carers either through an agency placement (where, for example the
CSSR placed the child with foster carers who have been approved as adopters) or as a
non-agency placement. The latter would be the case if foster carers wishing to adopt
exercised their right in law to apply to a court to adopt a child who had been
continuously in their care for one year or more (see P1.7 Level 2 Process: Adoption
Through Non-Agency Placement).
6. The adoption of a child by his or her foster carers, using the agency placement route,
will involve exactly the same procedures as for cases where the child has not been
living with the prospective adoptive family. However, the content of the work will be
different because much of the evidence needed will have already been gathered and
assessed for approval as foster carers.
7. When a local authority comes to a decision that a plan for a child to be adopted is in
the child’s best interests, it cannot place the child for adoption until either the witnessed
consent of the parent(s) is obtained or, after application by the authority, a court makes
a Placement Order. The effect of this new provision is to resolve disputes between the
birth parents and the authority at an earlier stage in the adoption process.
8. At the time of writing this version, the Adoption and Children Act 2002 had received
Royal Assent. Implementation of the Act, through secondary legislation, will be put into
effect after consultation. There may therefore be some revision of these processes as
sections of the Act are consulted on and finalised. These will appear as “point”
revisions of Version 3, that is Version 3.1, 3.2 etc.
Data Management
Specific Data Management requirements are described in detail below under the following sub-processes.
P1.6.1 Level 3 Process: Review Care Plan Decision to Adopt
1. The purpose of the child’s review under Section 26 of the Children Act 1989 is to
review the Care Plan (see P1.4.9 Level 3 Process: Review Care Plan (Pathway
Plan/Adoption Plan)). If it becomes clear that reunification plans are unsuccessful, then
having explored other options, a decision may be made to make a plan for adoption.
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2. The initial phase of the process depends upon the legal basis for the child being looked
after, ie:♦ Is the Child Looked After under Section 20?
3. If the child IS looked after under Section 20 of the Children Act 1989 then the birth
parents will be notified (see P1.6.1.1 Level 4 Process: Notify Birth Parents of the Plan
for the Child to be Adopted). If the child IS NOT looked after under Section 20 of the
Children Act 1989 (ie they are looked after under Section 31 of the Children Act 1989
then the next step is to proceed to preparing a report on the child’s needs for an
Adoption Panel to consider (see P1.6.1.2 Level 4 Process: Prepare Report on Child’s
Needs to the Adoption Panel).
Data Management
The review will be a PROVISION OF SERVICE.
The Care Plan is comprised of SERVICE USER PLAN and SERVICE USER PLAN OBJECTIVES (where
the Service User Plan Type will be “Care Plan”).
The legal status is recorded under LEGAL STATUS.
P1.6.1.1 Level 4 Process: Notify Birth Parents of the Plan for the Child to be
Adopted
1. The CSSR will notify the birth parents if the plan is for the child to be adopted.
2. Two decisions must be made at this point:♦ Do Parents Wish the Child Returned?
♦ Does the Child Meet the Criteria for S31?
3. The birth parents may object to this plan and seek the return of the child to their care. If
the parents DO wish the child returned, then a decision has to be made about whether
the circumstances of the child meets the criteria for taking care proceedings under
Section 31 of the Children Act 1989 (see following paragraph). If the parents DO NOT
wish the child returned, then the next step is to proceed to preparing a report on the
child’s needs for an Adoption Panel to consider (see P1.6.1.2 Level 4 Process: Prepare
Report on Child’s Needs to the Adoption Panel).
4. If the parents wish the child returned and the child DOES NOT meet the criteria for
taking care proceedings under Section 31 of the Children Act 1989, then the child must
be returned home (see P1.4.12 Level 3 Process: Return Child Home) and supported as
a Child in Need (see P1.1 Level 2 Process: Core Case Management Operations). If the
parents wish the child returned and the child DOES meet the criteria for taking care
proceedings under Section 31 of the Children Act 1989, then care proceedings need to
be initiated (see P1.4 Level 2 Process: Looked After Children Operations).
Data Management
The date of notification to the birth parents is an attribute of ADOPTION CANDIDATE (Adoption Candidate
Parents Notified of Intent To Adopt Date). If the parents wish the child to be returned home it will be
recorded in the Care Plan ie SERVICE USER PLAN and SERVICE USER PLAN OBJECTIVES (where the
Service User Plan Type will be “Care Plan”).
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P1.6.1.2 Level 4 Process: Complete a Child’s Permanence Report
1. A Child’s Permanence Report is a new ICS Exemplar released as part of
ICS phase 1c.
2. A Child’s Permanence Report provides all of the information specified in
Regulation 17 and parts 1 and 3 of Schedule 1 of the Adoption Agencies
Regulations 2005.
3. A Child’s Permanence Report is created and sent to the Adoption Panel.
2. A Child’s Permanence Report will be largely pre-populated from the
existing ICS data set.
Data Management
The information on the Child’s Permanence Report will be held in several entities on the
Logical Data Model, for example:• SERVICE USER;
• SERVICE USER PLAN;
• SERVICE USER PLAN OBJECTIVE;
• SERVICE USER NEED etc;
P1.6.2 Level 3 Process: Adoption Panel Consider the Report on the Needs of the
Child
1. The Adoption Panel has to consider whether adoption is in the best interests of the
child.
Data Management
The sitting of an Adoption Panel is a PROVISION OF SERVICE.
P1.6.3 Level 3 Process: Adoption Panel Make ‘Best Interests’ Recommendation
1. The child’s social worker presents the case to the Adoption Panel, who may make a
recommendation to the Agency on whether or not adoption is in the child’s best
interests.
Data Management
The recommendation, the date of the recommendation and the main reasons for the recommendation are
recorded under ADOPTION CANDIDATE (Adoption Candidate Adoption Panel Best Interests
Recommendation, Adoption Candidate Adoption Panel Best Interests Recommendation Date and
Adoption Candidate Adoption Panel Best Interests Recommendation Reason).
The SERVICE USER PLAN and SERVICE USER PLAN OBJECTIVE are updated as appropriate. The
Service User Plan Type will be “Adoption Plan”.
P1.6.4 Level 3 Process: Adoption Agency Make ‘Best Interests’ Decision
1. On receiving the recommendation from the Adoption Panel, the Adoption Agency must
decide:♦ Is Adoption is in the Child’s Best Interests?
2. If the Agency decides that adoption IS NOT in the child’s best interests then a review of
the Care Plan must be undertaken immediately (see P1.4.9 Level 3 Process: Review
Care Plan (Pathway Plan/Adoption Plan)).
3. If the Agency decides that adoption IS in the child’s best interests then, in order to
reduce delay, work will commence on preparing a report on the child for prospective
adopters (see P1.6.5 Level 3 Process: Adoption Agency Prepares a Report on Child)
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and the issue of parental consent will be addressed concurrently. The issue of parental
consent has been brought forward in the process so that it can be substantially
resolved well before an adoptive placement or the Adoption Court hearing.
4. Therefore, if decided that adoption is in the best interests of the child, it will also be
determined at this stage:♦ Will Parental Consent be Sought?
5. If decided that parental consent WILL be sought, then the CSSR will notify the Children
& Families Court Advisory and Support Service (CAFCASS) to witness the consent
(see P1.6.6 Level 3 Process: CSSR Notify CAFCASS to Witness Consent by Child’s
Birth Parent(s)). In some circumstances it may be inappropriate to seek parental
consent. If decided that parental consent WILL NOT be sought, then the CSSR will
apply to Court for a placement order (see P1.6.7 Level 3 Process: CSSR Apply to
Court for a Placement Order).
Data Management
The decision, the date of the decision and the main reasons for the decision are recorded under ADOPTION
CANDIDATE (Adoption Candidate Adoption Agency Best Interests Decision, Adoption Candidate
Adoption Agency Best Interests Decision Date and Adoption Candidate Adoption Agency Best
Interests Decision Reason).
The SERVICE USER PLAN and SERVICE USER PLAN OBJECTIVE are updated as appropriate. The
Service User Plan Type will be “Adoption Plan”.
P1.6.5 Level 3 Process: Adoption Agency Prepares a Report on Child
1. The Adoption Agency will prepare a report on the child.
2. The purpose of this report is to facilitate a link between the child’s needs and
circumstances and prospective adopters (see P1.6.9 Level 3 Process: Adoption
Agency Consider Matching of Applicant and Child).
Data Management
The report will be comprised of information already held about the child, for example in the SERVICE USER
PLAN and SERVICE USER PLAN OBJECTIVE entities; CASE NOTES, SERVICE USER NEED, SERVICE
USER NEED SUMMARY etc, etc.
P1.6.6 Level 3 Process: CSSR Notify CAFCASS to Witness Consent by Child’s Birth
Parent(s)
1. The Children & Families Court Advisory and Support Service (CAFCASS) are given
details of the proposal and the birth parents so that one of its officers can arrange to
meet the birth parents in order to witness their consent to the adoption of the child in
question.
Data Management
The date CAFCASS are notified to witness the consent is under ADOPTION CANDIDATE PARENTAL
CONSENT STATUS (Adoption Candidate Parental Consent Status CAFCASS Notified To Witness
Date).
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P1.6.6.1 Level 4 Process: CAFCASS Meet Birth Parents
1. The CAFCASS officer will meet with the birth parents in order to obtain consent. At the
meeting it will need to be determined:♦ Do Birth Parents Consent?
2. If the birth parents DO consent to adoption, then the consent form will be returned to
the CSSR (see P1.6.6.2 Level 4 Process: CAFCASS Return Consent Form to CSSR).
If the birth parents DO NOT consent to adoption, then CAFCASS will inform the CSSR
that the birth parents refuse consent. The CSSR must then apply to the court for a
Placement Order (see P1.6.7 Level 3 Process: CSSR Apply to Court for a Placement
Order).
3. When the CAFCASS official witnesses the consent to adoption the form will set out
clearly what the parents are required to consent to. This may be a general consent to
adopt or it may be to consent to adoption by particular people. The form itself does not
provide for refusal. If the parents refuse or if they stipulate conditions for their approval
that are not on the consent form then CAFCASS must write officially to the agency
advising them of the situation.
Data Management
The meeting may be recorded as a PROVISION OF SERVICE (as it is an external meeting it is not
necessarily automatic that the CSSR would want to record this, but it can be if required).
If consent is refused it will be recorded under ADOPTION CANDIDATE PARENTAL CONSENT STATUS
(Adoption Candidate Parental Consent Status Type, Adoption Candidate Parental Consent Status
Start Date, Adoption Candidate Parental Consent Status CAFCASS Witnessed Date and Adoption
Candidate Parental Consent Status Reason).
P1.6.6.2 Level 4 Process: CAFCASS Return Consent Form to CSSR
1. The signed and witnessed form is sent to the CSSR who are then able to proceed with
the adoption process.
Data Management
If consent is forthcoming it will be recorded under ADOPTION CANDIDATE PARENTAL CONSENT
STATUS (Adoption Candidate Parental Consent Status Type, Adoption Candidate Parental Consent
Status Start Date, Adoption Candidate Parental Consent Status CAFCASS Witnessed Date and
Adoption Candidate Parental Consent Status Reason).
P1.6.7 Level 3 Process: CSSR Apply to Court for a Placement Order
1. The CSSR will apply to the Court for a placement order if:•
•
•
The CSSR do not consider it appropriate for birth parent consent to be sought;
Birth Parent consent is sought, but is not given;
Birth Parent consent is initially sought and given, but is then subsequently
withdrawn.
Data Management
An application for a Placement Order is a PROVISION OF SERVICE. The state of consent at any given time
is held under ADOPTION CANDIDATE PARENTAL CONSENT STATUS (Adoption Candidate Parental
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Consent Status Type).
P1.6.7.1 Level 4 Process: Court Notify CAFCASS of the Placement Order Application
1. The court will notify CAFCASS if an application for a Placement Order is made.
Data Management
The notification by the court to CAFCASS may be recorded as a PROVISION OF SERVICE (as it is an
external activity it is not necessarily automatic that the CSSR would want to record this, but it can be if
required).
P1.6.7.2 Level 4 Process: CAFCASS Appoint Guardian
1. On receiving notification of the application for a Placement Order, CAFCASS will
appoint a guardian.
Data Management
The appointment of a CAFCASS Guardian may be recorded as a PROVISION OF SERVICE (as it is an
external activity it is not necessarily automatic that the CSSR would want to record this, but it can be if
required). Where the CAFCASS Guardian is known it can be recorded (as an instance of EXTERNAL
PERSON and as a foreign key under ADOPTION CANDIDATE).
P1.6.7.3 Level 4 Process: CSSR Receive Notification From Court of Placement Order
Hearing
1. The CSSR will be notified by the court of the Placement Order hearing.
Data Management
The notification by the court to the CSSR is recorded as a PROVISION OF SERVICE (as it is an external
activity it is not necessarily automatic that the CSSR would want to record this, but it can be if required).
P1.6.7.4 Level 4 Process: CSSR Prepare Placement Order Hearing Court Report
1. Once notified by the court of the Placement Order hearing, the CSSR must prepare a
written report to court giving the grounds for pursuing adoption for the child despite the
parent(s) refusal to consent.
Data Management
The report will be based on the Adoption Plan, which is comprised of SERVICE USER PLAN and SERVICE
USER PLAN OBJECTIVES (where the Service User Plan Type will be “Adoption Plan”).
P1.6.7.5 Level 4 Process: CSSR Submit Placement Order Hearing Report to Court
1. The CSSR must submit the written Placement Order Hearing Report to the court.
Data Management
The date the report is submitted is recorded under ADOPTION CANDIDATE (Adoption Candidate
Placement Order Court Report Submitted Date).
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P1.6.8 Level 3 Process: Court Undertakes Placement Order Hearing
1. The Court considers the case for adoption being in the best interests of the child on the
basis of the report from the local authority and representations from the birth parent(s).
Two key outcomes are possible from the hearing:♦ Is a Placement Order Made?
♦ Does the Court Order Return Home?
2. If the court DOES make a Placement Order, then the local authority is free to proceed
with matching (see P1.6.9 Level 3 Process: Adoption Agency Consider Matching of
Applicant and Child) and placing the child (see P1.6.15 Level 3 Process: Place Child
with Approved Prospective Adopters) with a prospective adopter. In some cases the
child may already have been matched with the applicants but in most cases matching
will follow consent or the making of a Placement Order.
3. If the court DOES NOT make a Placement Order, then two courses of action are
possible. If the court DOES makes an order to return the child home then this will be
carried out on a date set by the court as with all children looked after who return home
(see P1.4.12 Level 3 Process: Return Child Home).
4. If the Court refuses to make a Placement Order but DOES NOT make an order to
return the child home, then the Care Plan for the child should be reviewed immediately
(see P1.4.9 Level 3 Process: Review Care Plan (Pathway Plan/Adoption Plan)).
5. At this juncture, whether by virtue of parental consent to adoption or because a court
has made a Placement Order, the CSSR is authorised to place the child with
prospective adopters. That will only be possible immediately if, in parallel with dealing
with parental consent, work has gone on to match the child with prospective adopters
as described under P1.6.9 Level 3 Process: Adoption Agency Consider Matching of
Applicant and Child).
Data Management
The Placement Order hearing may be recorded as a PROVISION OF SERVICE (as it is an external activity it
is not necessarily automatic that the CSSR would want to record this, but it can be if required).
The date of the hearing, the outcome of the hearing and the date the Placement Order comes into effect are
recorded under ADOPTION CANDIDATE (Adoption Candidate Placement Order Hearing Date, Adoption
Candidate Placement Order Hearing Outcome and Adoption Candidate Placement Order Start Date.
P1.6.9 Level 3 Process: Adoption Agency Consider Matching of Applicant and Child
1. From the perspective of both the child and the prospective adopters, matching the child
with the adopters is a key stage in the adoption process. The starting points for this
matching are:•
•
the Report on the Child (see P1.6.5 Level 3 Process: Adoption Agency Prepares a
Report on Child); and
the report submitted to the Adoption Panel (see P1.6.1.2 Level 4 Process: Prepare
Report on Child’s Needs to the Adoption Panel), on the basis of which the panel
recommends suitability of the prospective adopters.
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2. More than one possible match may be pursued at a time. That is, the suitability of
several prospective adopters for a particular child may be considered in parallel. This
makes no difference to the process.
3. The Adoption Agency will determine:♦ Has a Local Match Been Found?
4. If a local match HAS been found, then the Agency suggests this as a suitable match
and gives the Report on the Child to the Applicant to consider (see P1.6.12 Level 3
Process: Adoption Agency Suggest a Suitable Match). If a local match HAS NOT been
found, then the Agency will send details of the child to the Adoption Register (see
P1.6.10 Level 3 Process: Adoption Agency Sends Child Details to the Adoption
Register).
Data Management
The needs and other information about the child to be matched are already held, for example in the
SERVICE USER PLAN and SERVICE USER PLAN OBJECTIVE entities; CASE NOTES, SERVICE USER
NEED, SERVICE USER NEED SUMMARY etc, etc. The approved matching criteria for the prospective
adopter are held within SERVICE PROVIDER APPROVAL and ADOPTER APPROVAL AGREED
MATCHING CRITERION.
P1.6.10 Level 3 Process: Adoption Agency Sends Child Details to the Adoption
Register
1. When the decision has been made that adoption is in a child's best interests the child's
details must be referred to the Adoption Register using the standard form. The child's
details will then be entered onto the Adoption Register.
2. When referring the child's details to the Register a decision must be taken about
whether or not the child's details "go live" on the Register straight away. If a child's
details go live immediately then they are actively searched against by the Register.
Alternatively the Register can be instructed to "hold" the child's details, and not search
against them, for a period of 6 months to allow searches for a family to be made locally.
If a match is made within this 6 month time period then the Register must be notified
immediately. On the expiry of the 6 month period, if no local match has been found, the
child's details will go live on the Register and active searches will be made. The CSSR
can request that the Adoption Register treat the referral as an active case immediately
if a local match is inappropriate or is unlikely to be found.
Data Management
The needs and other information about the child to be sent to the Adoption Register are already held, for
example in the SERVICE USER PLAN and SERVICE USER PLAN OBJECTIVE entities; CASE NOTES,
SERVICE USER NEED, SERVICE USER NEED SUMMARY etc, etc.
The date details are sent to the Adoption Register is recorded under ADOPTION CANDIDATE (Adoption
Candidate Details Sent To Adoption Register Date).
P1.6.11 Level 3 Process: Receive Information from Adoption Register
1. The Agency will receive suggested viable links for possible applicants from the
Adoption Register for England and Wales. It must decide whether it is appropriate to
pursue any of the suggested links. Applicants drawn from the Adoption Register are
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♦ Is an Adoption Register Match Viable?
2. If the Agency decides an Adoption Register match IS viable, then it pursue matching
prospective adopters for the child suggested by the Register (see P1.6.12 Level 3
Process: Adoption Agency Suggest a Suitable Match). If the Agency decides an
Adoption Register match IS NOT viable, then the Agency will continue to consider
matching further (see P1.6.9 Level 3 Process: Adoption Agency Consider Matching of
Applicant and Child).
Data Management
The decision on viability on the Adoption Register Match is recorded under ADOPTION MATCH (Adoption
Match Adoption Agency Matching Decision, Adoption Match Adoption Agency Matching Decision
Reason and Adoption Match Adoption Agency Matching Decision Date).
P1.6.12 Level 3 Process: Adoption Agency Suggest a Suitable Match
1. The Adoption Agency will suggest a suitable matching for the child with a prospective
adopter.
Data Management
The decision on viability on a suitable match is recorded under ADOPTION MATCH (Adoption Match
Adoption Agency Matching Decision, Adoption Match Adoption Agency Matching Decision Reason
and Adoption Match Adoption Agency Matching Decision Date).
P1.6.12.1 Level 4 Process: Adoption Agency Give Applicant Report on Child
1. Once a suitable match has been identified, the Adoption Agency will give the applicants
the Report on the Child (see P1.6.5 Level 3 Process: Adoption Agency Prepares a
Report on Child). The applicants consider whether the child might be suitable for them,
namely:♦ Does Applicant Wish to Adopt this Child?
2. If they DO wish to have the child placed with them for adoption, then they will inform
the Agency. The Agency will then prepare a Matching Report for the Adoption Panel to
consider (see P1.6.12.2 Level 4 Process: Adoption Agency Prepare Matching Report
for Adoption Panel). If they DO NOT wish to have the child placed with them for
adoption, then the search for a match continues (see P1.6.9 Level 3 Process: Adoption
Agency Consider Matching of Applicant and Child).
Data Management
The issuing of the Report on the Child to the applicant is recorded under SERVICE USER DOCUMENT and
DOCUMENT RECIPIENT. The decision by the applicant on whether or not they wish to proceed with a match
is recorded under ADOPTION MATCH (Adoption Match Applicant Wish To Adopt Decision and
Adoption Match Applicant Wish To Adopt Decision Date).
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P1.6.12.2 Level 4 Process: Adoption Agency Prepare Matching Report for Adoption
Panel
1. The agency should prepare a report on the proposed match between the child and the
prospective adopters. This should incorporate information on the child’s needs and
background, the adopters and their capacity to provide for the child’s needs and the
views of the child, the prospective adopters and the birth parents.
Data Management
The report will be comprised of information already held about the child (and where relevant birth parents),
for example in the SERVICE USER PLAN and SERVICE USER PLAN OBJECTIVE entities; CASE NOTES,
SERVICE USER NEED, SERVICE USER NEED SUMMARY etc, etc.
Details about the prospective adopter are found under SERVICE PROVIDER APPROVAL, ADOPTER
APPROVAL and ADOPTER APPROVAL AGREED MATCHING CRITERIA.
The birth parents’ views on consent to adoption will be held under ADOPTION CANDIDATE PARENTAL
CONSENT STATUS.
P1.6.13 Level 3 Process: Adoption Panel Make Matching Recommendation
1. The Panel considers the matching report and makes it recommendation on the
proposed matching to the Adoption Agency.
Data Management
An Adoption Panel is a PROVISION OF SERVICE.
The involvement of CSSR Staff (EMPLOYEES) other individuals (EXTERNAL PERSONS) and/or
Organisations (EXTERNAL ORGANISATIONS) in providing a specific PROVISION OF SERVICE will be
recorded as separate instances of SERVICE PROVIDER. In particular the Service Provider Role will be
determined and recorded.
The Panel’s recommendation is recorded under ADOPTION MATCH (Adoption Match Adoption Panel
Matching Recommendation, Adoption Match Adoption Panel Matching Recommendation Reason and
Adoption Match Adoption Panel Matching Recommendation Date).
The SERVICE USER PLAN and SERVICE USER PLAN OBJECTIVE are updated as appropriate with the
Panel’s recommendation. The Service User Plan Type will be “Adoption Plan”.
P1.6.14 Level 3 Process: Adoption Agency Make Matching Decision
1. The Adoption Agency will consider the recommendations of the Adoption Panel and
then determine:♦ Is the Matching Suitable?
2. If the Agency decide that the proposed matching IS suitable, then the child will be
placed with the prospective adopter (see P1.6.15 Level 3 Process: Place Child with
Approved Prospective Adopters). If the Agency decide that the proposed matching IS
NOT suitable, then the search for a match continues (see P1.6.9 Level 3 Process:
Adoption Agency Consider Matching of Applicant and Child).
3. If the Agency decide a proposed matching is suitable, it must inform the Adoption
Register and record the date this was done.
Data Management
The Adoption Agency’s decision is recorded under ADOPTION MATCH (Adoption Match Adoption
Agency Matching Decision, Adoption Match Adoption Agency Matching Decision Reason and
Adoption Match Adoption Agency Matching Decision Date).
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P1.6.15 Level 3 Process: Place Child with Approved Prospective Adopters
1. After a period of introductions the child will be placed for adoption with the adoptive
family. However, when the child has been placed by a local authority he or she will
continue to be treated as a ‘looked after child’ until such time as an Adoption Order is
made. The child will have an Adoption Plan, which will be reviewed in a similar way to
the review of a Care Plan for a looked after child.
Data Management
A placement of a child (SERVICE USER) with adoptive parents (EXTERNAL PERSONS) is a PROVISION
OF SERVICE.
The placement start date is recorded under ADOPTION MATCH (Adoption Match Placement Start Date).
The SERVICE USER PLAN and SERVICE USER PLAN OBJECTIVE are updated as appropriate. Both the
Adoption Plan and Placement Plan will need to be updated. The Service User Plan Type will be “Adoption
Plan” and “Placement Plan” respectively.
P1.6.16 Level 3 Process: Review Care Plan (Adoption Plan)
1. This review is essentially the same as the process for reviewing the Care Plan of
looked after children (see P1.4.9 Level 3 Process: Review Care Plan (Pathway
Plan/Adoption Plan), but it is duplicated here for convenience.
2. The reviews following the placement of a child with prospective adopters must address,
amongst other things, whether the placement is working. In particular a decision has to
be made about whether the child’s needs are being met and can be met in the
placement. Other issues that need to be considered include whether the prospective
adopters should be encouraged to apply for an Adoption Order; contact arrangements;
the sharing of parental responsibility; and adoption support services (see P1.8 Level 2
Process: Provision of Adoption Support Services).
3. The key decisions at this particular review then is:♦ Are the Child’s Needs Being Met in this Placement?
♦ Is Birth Parent Consent Still Standing?
4. If the child’s needs ARE being met then the adoption can proceed (see P1.6.19 Level 3
Process: Prospective Adopters Apply to Court for an Adoption Order Hearing),
provided that birth parent consent IS still standing or a Placement Order remains in
force (see following paragraph). If child’s needs ARE NOT being met then the review
must decide to end the placement (see P1.6.17 Level 3 Process: End Placement With
Approved Prospective Adopters). If this is the case then the Review of the Care Plan
will need to reassess the child’s suitability for adoption (see P1.4.9 Level 3 Process:
Review Care Plan (Pathway Plan/Adoption Plan)).
5. CSSRs are not required to formally check with birth parents that they still consent to
the adoption, but parents can withdraw their consent at any time until the application for
an Adoption Order Hearing has been made by the applicants. If birth parent consent IS
NOT still standing (ie it has been withdrawn before the application for an Adoption
Order is made) then the applicants must be notified (see P1.6.18 Level 3 Process:
CSSR Notify Applicants Consent has been Withdrawn). The child must be returned to
the birth parents (if the parents wish the child returned) unless the CSSR decides to
apply to a court for a Care Order or a Care Order is already in force.
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6. The following determinations therefore have to be made if parental consent has been
withdrawn:♦
♦
♦
♦
♦
Is the Child Looked After under Section 20?
Do Parents Wish the Child Returned?
Does the Child Meet the Criteria for Section 31?
Is a Care Order Appropriate?
Is a Placement Order Appropriate?
7. If any of the following are true:•
•
•
The child IS NOT looked after under Section 20 of the Children Act 1989; or
The child IS looked after under Section 20 of the Children Act 1989 but the birth
parents DO NOT wish the child returned; or
The child IS looked after under Section 20 of the Children Act 1989, the birth
parents DO wish the child returned and the child’s circumstances DO meet the
criteria for being looked after under Section 31 of the Children Act 1989 and a Care
Order IS NOT appropriate
8. Then it needs to be further determined whether or not a Placement Order is
appropriate (see next paragraph). Otherwise, If the child IS looked after under Section
20 of the Children Act 1989, the birth parents DO wish the child returned and the child
DOES NOT meet the criteria for being looked after under Section 31 of the Children
Act 1989, then the child must be returned home (see P1.4.12 Level 3 Process: Return
Child Home).
9. If a Placement Order IS appropriate, then the CSSR will apply to the court for a
Placement Order (see P1.6.7 Level 3 Process: CSSR Apply to Court for a Placement
Order). If a Placement Order IS NOT appropriate, then it will be necessary to go back
and review the Care Plan and reassess the child’s suitability for adoption (see P1.4.9
Level 3 Process: Review Care Plan (Pathway Plan/Adoption Plan)).
10. If the child IS looked after under Section 20 of the Children Act 1989, the birth parents
DO wish the child returned and the child’s circumstances DO meet the criteria for being
looked after under Section 31 of the Children Act 1989 and a Care Order IS
appropriate (Note: if the child’s circumstances do meet the Section 31 criteria then
CSSR may either apply for a Placement Order, or for a Care Order as appropriate),
then care proceedings will be initiated as described under P1.4 Level 2 Process:
Looked After Children Operations.
Data Management
The SERVICE USER PLAN and SERVICE USER PLAN OBJECTIVE are updated as appropriate following
the review. Both the Adoption Plan and Placement Plan will need to be updated. The Service User Plan
Type will be “Adoption Plan” and “Placement Plan” respectively.
P1.6.17 Level 3 Process: End Placement With Approved Prospective Adopters
1. If the review of the Care Plan (see P1.6.16 Level 3 Process: Review Care Plan
(Adoption Plan)) determines that the child’s needs are not being met in their placement
with prospective adopters the placement will be ended.
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Data Management
The end of the placement is recorded under ADOPTION MATCH (Adoption Match Placement End Date
and Adoption Match Placement End Reason).
P1.6.18 Level 3 Process: CSSR Notify Applicants Consent has been Withdrawn
1. The CSSR will notify the applicants if birth parent consent to the proposed adoption is
withdrawn before an Adoption Order is made. This notification will be accompanied by
appropriate support to the applicants.
Data Management
The withdrawal of birth parent consent is recorded under ADOPTION MATCH PARENTAL CONSENT
STATUS.
The notification of withdrawal to the applicant is recorded under ADOPTION MATCH (Adoption Match
Notification To Applicant Consent Withdrawn Date.
P1.6.19 Level 3 Process: Prospective Adopters Apply to Court for an Adoption
Order Hearing
1. Once determined that the child’s needs are being met by the placement and (where
birth parent consent has been sought), birth parent consent has not been withdrawn, or
a court has made a Placement Order, then an application may be made.
2. The other pre-requisite is that the child must have been placed with them for at least 10
weeks before applying.
3. The prospective adoptive parents may apply to adopt the child by submitting an
application to the court for an Adoption Order hearing.
Data Management
An application to a Court is a PROVISION OF SERVICE.
The SERVICE USER PLAN and SERVICE USER PLAN OBJECTIVE are updated as appropriate. The
Service User Plan Type will be “Adoption Plan”.
The date of the application is recorded under ADOPTION ORDER (Adoption Order Application Date).
P1.6.19.1 Level 4 Process: Court Notify CAFCASS of the Adoption Order Application
1. The court will notify CAFCASS if an application for an Adoption Order is made.
Data Management
The notification by the court to CAFCASS may be recorded as a PROVISION OF SERVICE (as it is an
external activity it is not necessarily automatic that the CSSR would want to record this, but it can be if
required).
P1.6.19.2 Level 4 Process: CAFCASS Appoint Guardian
1. On receiving notification of the application for an Adoption Order, CAFCASS will
appoint a guardian.
Data Management
The appointment of a CAFCASS Guardian may be recorded as a PROVISION OF SERVICE (as it is an
external activity it is not necessarily automatic that the CSSR would want to record this, but it can be if
required). Where the CAFCASS Guardian is known it can be recorded (as an instance of EXTERNAL
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PERSON and as a foreign key under ADOPTION CANDIDATE).
P1.6.19.3 Level 4 Process: CSSR Receive Notification from Court of Adoption
Hearing
1. The CSSR will be notified by the court of the Adoption Order hearing.
Data Management
The notification by the court to the CSSR is recorded as a PROVISION OF SERVICE (as it is an external
activity it is not necessarily automatic that the CSSR would want to record this, but it can be if required).
P1.6.19.4 Level 4 Process: CSSR Prepare Adoption Order Hearing Report for Court
1. Once notified by the court of the Adoption Order hearing, the Adoption Agency must
prepare a written report to court giving the grounds for making an Adoption Order.
Data Management
The production of a Court Report is a PROVISION OF SERVICE.
The report will be based on the Adoption Plan, which is comprised of SERVICE USER PLAN and SERVICE
USER PLAN OBJECTIVES (where the Service User Plan Type will be “Adoption Plan”).
P1.6.19.5 Level 4 Process: CSSR Submit Adoption Order Hearing Report to Court
1. The completed Adoption Order Hearing Report is submitted to the court.
Data Management
The submission of a Court Report is a PROVISION OF SERVICE.
The date of the submission of the report is recorded under ADOPTION ORDER (Adoption Order Hearing
Court Report Submitted Date).
P1.6.20 Level 3 Process: Court Undertakes Adoption Order Hearing
1. The Court considers the case for adoption being in the best interests of the child on the
basis of the report from the Adoption Agency. Two key outcomes are possible from the
hearing:♦ Is an Adoption Order Made?
♦ Does the Court Order Return Home?
2. If the court DOES make an Adoption Order for the child to be adopted the process of
adoption comes to an end, but adoption support services may be provided (see below).
3. If the court DOES NOT make an Adoption Order, then two courses of action are
possible. If the court DOES makes an order to return the child home then this will be
carried out on a date set by the court as with all children looked after who return home
(see P1.4.12 Level 3 Process: Return Child Home).
4. If the Court refuses to make an Adoption Order but DOES NOT make an order to
return the child home, then the child remains looked after and hence is a Child in Need.
In these circumstances the Care Plan for the child should be reviewed immediately
(see P1.4.9 Level 3 Process: Review Care Plan (Pathway Plan/Adoption Plan)).
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♦ Is Adoption Support Requested?
6. Adoption support services may continue or be initiated if the CSSR considers it
appropriate (see P1.8.1 Level 3 Process: Identify The Requirement To Carry Out An
Assessment Of The Need For Adoption Support Services) or support to a child in need
may be provided subsequently as explained in core case management operations (see
P1.1 Level 2 Process: Core Case Management Operations).
Data Management
The Adoption Order hearing may be recorded as a PROVISION OF SERVICE (as it is an external activity it is
not necessarily automatic that the CSSR would want to record this, but it can be if required).
The date of the hearing, the outcome of the hearing and the date the Adoption Order comes into effect are
recorded under ADOPTION ORDER (Adoption Order Hearing Date, Adoption Order Status and
Adoption Order Start Date.
The SERVICE USER PLAN and SERVICE USER PLAN OBJECTIVE are updated as appropriate with the
Panel’s decision. The Service User Plan Type will be “Care Plan (Looked After Children)”.
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P1.7 Level 2 Process: Adoption Through Non-Agency Placement
1. Children living with relatives, with stepparents, or in any circumstances where the child
has been living with his or her carers for some length of time, may become adopted
through the Non-Agency Placement route. This is also available to foster carers
wishing to adopt children living with them who are looked after by CSSRs.
2. Stepparent families cannot apply to adopt the child without leave of the court until the
child has lived with them for six months. They may apply to the court for leave to make
an earlier application.
3. Relatives caring for a child cannot apply to adopt the child without leave of the court
until the child has lived with them for three years or more out of the last five years.
They may apply to the court for leave to make an earlier application. During this period,
the expectation is that other means of securing the child’s family through arrangements
such as residence order or special guardianship will have been pursued. These are
generally regarded as preferable because they do not make irrevocable changes in law
to parental responsibility for the child, which would have consequences for family
relationships as happens with adoption within families.
Data Management
Details of data requirements are set out in the following sub-processes.
P1.7.1 Level 3 Process: CSSR Receives Notification of Intention to Adopt
1. Relatives, step-parents and any other people who have been looking after a child for
three years or more may apply to a court to adopt the child but they must first give
notice of their intention to apply to adopt to the CSSR.
2. In the case of foster carers, where foster carers have had a child with them for 1 year
or more, they may make a direct application to court to adopt without the consent of the
CSSR. To commence the process they are required under to give notice of intent to the
CSSR. The foster carers must then wait three months before they can apply to the
court. During this time the child cannot be removed from the foster carers without leave
of the court or unless there are grounds for an emergency protection order. During this
three-month period the CSSR must consider the implications for the child of the
notification, investigate the circumstances and the merits of the proposal and to
prepare for the court hearing.
3. This notification should be treated like any other piece of incoming contact information
(see P1.1.1 Level 3 Process: Reception and Initial Contact). It is via this route that the
needs and the welfare of the child will be assessed and addressed as appropriate.
Data Management
The receipt of a notice of intent to adopt is recorded under ADOPTER APPROVAL (Adopter Approval
Notice Of Intent To Adopt Date).
P1.7.2 Level 3 Process: Check Eligibility of the Applicant to Apply for an Adoption
Order
1. The eligibility will depend upon the relationship of the child to the applicant(s) and how
long this child has lived with the applicant(s). Stepparents cannot apply to adopt until
the child has lived with them for at least six months. Relatives caring for a child cannot,
without leave of the court, apply to adopt until the child has lived with them for three or
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more years out of the last five years. Local authority foster carers cannot (without leave
of the court) apply to adopt until the child has lived with them for at least a year.
2. The following determination is made:♦ Is the Applicant Eligible?
3. If the applicant IS eligible to apply for an Adoption Order, then
•
•
the applicant is notified and informed of the need for them to apply to the Court (see
P1.7.2.2 Level 4 Process: Notify Applicant That They Are Eligible To Apply To
Court); and
the CSSR will commence the assessment of the suitability of the prospective
adopter (see P2.4 Level 2 Process: Assess Potential Foster Carers/Adoptive
Parents).
4. If the applicant IS NOT eligible to apply for an Adoption Order, then the applicant is
notified and informed of their right to seek the courts leave to apply for an Adoption
Order (see P1.7.2.1 Level 4 Process: Notify Applicant Why Not Eligible and the Right to
Seek Leave of Court).
Data Management
The eligibility status is recorded under ADOPTER APPROVAL (Adopter Approval Non-Agency Placement
Eligibility Indicator).
P1.7.2.1 Level 4 Process: Notify Applicant Why Not Eligible and the Right to Seek
Leave of Court
1. If the applicant(s) is not eligible then the CSSR should advise the applicant(s) of the
eligibility criteria that they could seek the court’s leave to apply earlier, but they would
need to reapply at the appropriate time/point if the court does not grant leave.
2. If the applicant(s) do seek the leave of the Court, then the key outcome will be:♦ Does the Court Give Leave?
3. If the Court DOES give leave to make an application for an Adoption Order before all
the eligibility criteria are met, then:•
•
the applicant is notified and informed of the need for them to apply to the Court (see
P1.7.2.2 Level 4 Process: Notify Applicant That They Are Eligible To Apply To
Court); and
the CSSR will commence the assessment of the suitability of the prospective
adopter (see P2.4 Level 2 Process: Assess Potential Foster Carers/Adoptive
Parents).
4. If the Court DOES NOT give leave, then the request for adoption will cease, although
the applicant may apply again at a later date at which point the whole process will
commence again.
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5. The needs and welfare of the child concerned will have been addressed by treating the
notice of intent to adopt like any other piece of incoming contact information (see
P1.1.1 Level 3 Process: Reception and Initial Contact).
Data Management
The notification to the applicant of their non-eligibility is recorded under ADOPTER APPROVAL (Adopter
Approval Notified Not Eligible Reason and Adopter Approval Notified Not Eligible Date).
P1.7.2.2 Level 4 Process: Notify Applicant That They Are Eligible To Apply To Court
1. If the applicant(s) is eligible or has been given leave of the court to apply for an
Adoption Order, they will be notified accordingly.
2. The applicant(s) must wait for at least 3 months from the date that the CSSR received
the notice of the intention to adopt before they can make application to the court for an
Adoption Order. This is to allow sufficient time for CSSR to consider the implications for
the child of the notification, to investigate the circumstances and assess the
prospective adopters of the proposal and to prepare for the court hearing.
3. Once the 3 months have elapsed the prospective adopter may apply to the court for an
Adoption Order Hearing. From this point onwards the process of adoption as described
under P1.6 Level 2 Process: Agency Adoption of Looked After Children, from the
process P1.6.19 Level 3 Process: Prospective Adopters Apply to Court for an Adoption
Order Hearing onwards.
4. At this point applicants should be advised about their right to apply at any time in the
course of the adoption application for an assessment of their needs for adoption
support services. If they wish to apply the processes relating to adoption support will be
applied in parallel to the application to adopt (see P1.8 Level 2 Process: Provision of
Adoption Support Services).
Data Management
The eligibility status is recorded under ADOPTER APPROVAL (Adopter Approval Non-Agency Placement
Eligibility Indicator).
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P1.8 Level 2 Process: Provision of Adoption Support Services
1. This new provision gives certain people affected by adoption the right to request an
assessment of their needs for adoption support services. These include children who
may be adopted, their parents and guardians, those wishing to adopt a child and
adopted persons, their parents, natural parents and former guardians. The processes
envisaged include:
•
•
•
•
•
•
•
Receiving a request for assessment
Carrying out the assessment
Deciding on services needed
Deciding whether to provide those services
Preparing a plan for providing adoption support services
Provision of services
Review of services
2. When this process is applied to the need for support for children it is the same as (or
compatible with) the assessment of children in need and their families.
Data Management
Details of data requirements are set out in the following sub-processes.
P1.8.1 Level 3 Process: Identify The Requirement To Carry Out An Assessment Of
The Need For Adoption Support Services
1. The requirement to carry out an assessment for adoption support will arise in the
course of:•
•
•
•
Considering whether adoption is in the child’s best interests
Considering a match between child and prospective adopters
A review of the placement for adoption of a child looked after within 4 weeks of
placement
At the request of
-
children who may be adopted, their parents and guardians
persons wishing to adopt a child
adopted persons, their parents, natural parents and former guardians and
adoptive parents
a child of an adoptive parent
Data Management
This is a ‘triggering process’ – no data created as a direct result of this process.
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P1.8.2 Level 3 Process: Undertake Assessment of the Needs for Adoption Support
Services
1. The assessment should address whether there are services that would benefit the
adoptive child. A child may benefit from services provided to others involved in the
adoption.
2. The assessment of need should be based upon the Framework of Assessment for
Children in Need and their Families.
3. The key outcome of the assessment is to determine:♦ Are Adoption Support Services Appropriate?
4. If decided that adoption support services ARE appropriate, then a named worker will be
assigned (see P1.8.3 Level 3 Process: Assign Named Worker to Provide and Coordinate Adoption Support) and an Adoption Support Plan will be produced (see P1.8.4
Level 3 Process: Produce an Adoption Support Plan). If decided that adoption support
services ARE NOT appropriate, then no further action will be taken in response to this
specific question.
Data Management
An assessment of the needs for adoption support services is a PROVISION OF SERVICE.
P1.8.3 Level 3 Process: Assign Named Worker to Provide and Co-ordinate Adoption
Support
1. Where adoption support services are planned or provided a named worker will be
assigned to provide direct support it required and to co-ordinate the delivery of agreed
services. This should be a worker already engaged with the people concerned with the
adoption who are requiring support (eg the child’s social worker, the adoptive parents’
link worker, the birth parents’ support worker).
Data Management
Assigning a named worker to provide and co-ordinate adoption support services is a PROVISION OF
SERVICE.
P1.8.4 Level 3 Process: Produce an Adoption Support Plan
1. This plan is produced by the CSSR but will embrace the provision of services by other
agencies. The plan will be written after consultations specified in regulations and
supporting guidance.
2. The plan should set out clearly:
•
•
•
•
•
The objectives of the adoption support services provided
The timescale for carrying out the plan
Those responsible for implementation
The criteria to evaluate the success of the plan
The procedures for reviewing the services and the plan
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Data Management
Producing an Adoption Support Plan is a PROVISION OF SERVICE.
P1.8.4.1 Level 4 Process: Record Adoption Support Plan
1. The plan must be written down and copies sent to the recipient of the services (or the
appropriate adult), the named worker, and any party involved in the services that
implement the plan.
Data Management
The Adoption Support Plan is recorded under SERVICE USER PLAN and SERVICE USER PLAN
OBJECTIVES (where the Service User Plan Type will be “Adoption Support Plan”).
P1.8.5 Level 3 Process: Implement the Adoption Support Plan
1. The Adoption Support Plan will be implemented by providing one or more services (see
P2.1 Level 2 Process: Provide Services).
2. These services may include the following:
•
•
•
•
•
•
Counselling, advice and information
Financial support
Support groups for adoptive parents and adoptive children
Assistance with contact arrangements between adoptive children and their birth
relatives or others who have a significant relationship with an adoptive child that is
beneficial to the child
Therapeutic services for the child
Services to ensure the success of an adoption placement or adoption
Data Management
Implementing an Adoption Support Plan will be realised by providing one or more services, each of which are
recorded as PROVISIONS OF SERVICE.
P1.8.6 Level 3 Process: Review the Adoption Support Plan
1. The Adoption Support Plan will be reviewed. The services provided should be reviewed
in accordance with the arrangements set out in the plan. Where it comes to the notice
of the CSSR that there has been a change in the circumstances of the person(s)
receiving support, there should be a review.
2. Where there is a financial element to the support package this should be reviewed at
least annually.
3. Two key determinations have to be made at the review:♦ Are Adoption Support Services Still Required?
♦ Do the Plan and Services Need to Change?
4. If decided that the adoption support services ARE still required, then it will need to be
further determined whether or not the Plan and the services provided need to change.
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•
•
•
the Adoption Support Plan will be revised (see P1.8.6.1 Level 4 Process: Revise
Adoption Support Plan);
new services will be implemented (or existing services modified), see P1.8.5 Level 3
Process: Implement the Adoption Support Plan); or
existing services will be terminated (see P2.1.2 Level 3 Process: Terminate
Service), as appropriate.
5. If decided that the adoption support services ARE NOT still required, then the adoption
support services will be terminated (see P2.1.2 Level 3 Process: Terminate Service). A
decision may be made in the Review of Adoption Services that the objectives have
been achieved. These services can then be terminated after notifying the recipients. If
financial support continues this must be reviewed. If financial support does not need to
continue then after notifying recipients these can be stopped. Adoption Support
Services are then fully terminated. The decision to terminate services will be recorded
in the final revision of the Adoption Support Plan (see P1.8.6.1 Level 4 Process: Revise
Adoption Support Plan).
Data Management
Reviewing an Adoption Support Plan is a PROVISION OF SERVICE.
P1.8.6.1 Level 4 Process: Revise Adoption Support Plan
1. A new plan should be written only when there is a need for a change of services, as
identified in the Adoption Support Plan review.
Data Management
Revisions to the Adoption Support Plan are recorded under SERVICE USER PLAN and SERVICE USER
PLAN OBJECTIVES (where the Service User Plan Type will be “Adoption Support Plan”).
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P1.9 Level 2 Process: Inter-Country Adoption Operations
1. This process describes inter-country adoptions for countries that are signatories the
Hague Convention. A later version of the Core Information Requirements will detail the
processes for adoption from non-Hague Convention countries.
2. CSSRs may be required to act in two ways when children from abroad are entering the
UK to be adopted.
3. Firstly, CSSRs may be asked to assess and approve adopters who wish to adopt a
child from abroad. These are inter-country Agency Placements and are dealt with
through the processes described below.
4. Secondly, CSSRs may have to deal with cases where children are brought into the
country by people wishing to adopt them. This may occur in the following
circumstances:
•
As a result of an inter-country Agency Placement in which the CSSR has already
been involved reaching the stage when applicants bring the matched child into the
UK;
•
As a result of an inter-country Agency Placement reaching the stage when
applicants bring the matched child into the UK but where the assessment and
approval was conducted by a voluntary adoption agency and the CSSR had no
prior knowledge of the case.
•
As a result of those who have been living abroad and adopted children whilst there,
who on return wish to adopt in the UK so that the adoption is recognised.
•
As a result of applicants not complying with the legal requirement to be assessed
and approved by a CSSR or Voluntary Adoption Agency but nevertheless travelling
abroad and bringing back a child with the intention of adopting in the UK.
5. The process is basically the same for each of these circumstances.
6. The term ‘applicant’ is used in describing the detailed processes below, regardless of
whether it refers to a single applicant or joint applicant.
Data Management
To be completed.
P1.9.1 Level 3 Process: Agency Receives Request for Inter-Country Adoption
Assessment
1. CSSRs will be asked by prospective inter-country adopters to make an assessment of
the suitability of prospective inter-country adopters to provide an adoptive home for a
child (having regard to ethnic and cultural factors).
Data Management
To be completed.
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P1.9.1.1 Level 4 Process: Agency Assigns Social Worker
1. The case is allocated to a social worker.
Data Management
To be completed.
P1.9.1.2 Level 4 Process: Social Worker Tests Eligibility Of Applicant
1. The assigned social worker must check the eligibility of the applicant. Under UK law
they must be over 21 and can be married or single. They must have been habitually
resident in the British Islands for no less than one year ending with the date of the
application. the key decision is:♦ Is the Applicant Eligible?
2. If determined that the applicant IS eligible, then the next step is to assess the
application (see P1.9.2 Level 3 Process: Assess Application). If determined that the
applicant IS NOT eligible, then the applicant will be notified and offered counselling
(see P1.9.1.3 Level 4 Process: Agency Notify Applicant of Ineligibility and P1.9.1.4
Level 4 Process: Offer Counselling)
Data Management
To be completed.
P1.9.1.3 Level 4 Process: Agency Notify Applicant of Ineligibility
1. If applicants are not eligible they will be advised by the agency of the reasons. The
applicant will also be offered counselling (see below).
Data Management
To be completed.
P1.9.1.4 Level 4 Process: Offer Counselling
1. Counselling is offered at several stages of the process of inter-country adoption. The
key determination is:♦ Is Counselling Accepted?
2. If counselling IS accepted, then appropriate services are provided (see P2.1 Level 2
Process: Provide Services). If counselling IS NOT accepted then that is the end of the
matter.
Data Management
To be completed.
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P1.9.2 Level 3 Process: Assess Application
1. The Social Worker carries out an assessment of the applicants in the same way as for
all adoptions through an Agency. This is described in more detail in the following subprocesses.
Data Management
To be completed.
P1.9.2.1 Level 4 Process: Produce Report on Eligibility and Suitability
1. The Social Worker produces a written report on the eligibility and suitability of the
applicant.
Data Management
To be completed.
P1.9.2.2 Level 4 Process: Send Eligibility and Suitability Report to Applicant
1. The eligibility and suitability report is sent to the applicant for comment. This is in the
interests of transparency in the adoption decision making processes.
2. The applicant has 28 days in which to submit comments on the report.
Data Management
To be completed.
P1.9.2.3 Level 4 Process: Applicant Submits Comments on the Report to Agency
1. The applicant may submit their comments on the report to the Agency within the 28 day
timeframe.
Data Management
To be completed.
P1.9.2.4 Level 4 Process: Agency Forwards the Report and Applicant’s Comments
to the Adoption Panel
1. The Adoption Agency will forward the report on eligibility and suitability compiled by the
social worker, together with any comments made by the applicants, to the Adoption
Panel. The applicant’s comments are appended in their entirety so that the Adoption
Panel can consider them without them being edited.
Data Management
To be completed.
P1.9.3 Level 3 Process: Make Adoption Panel Recommendation
1. The Adoption Panel will make a recommendation to the Adoption Agency on whether
or not it considers the applicants to be suitable and eligible to undertake an intercountry adoption.
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P1.9.4 Level 3 Process: Adoption Agency Decision-Maker Considers the
Recommendation
1. The adoption agency officer responsible for making the decision will consider the
recommendation of the Adoption Panel. They will decide:♦ Is the Applicant Suitable and Eligible to Adopt?
2. If the decision-maker decides the applicant IS eligible and suitable, then the applicant
is notified in writing (see P1.9.6 Level 3 Process: Notify Decision To Approve To
Applicant).
3. If the decision maker decides the applicant IS NOT eligible and suitable, then the
applicants must be notified and informed of there right to submit representations (see
P1.9.5 Level 3 Process: Notify Applicant of Non-Approval and of Right to Submit
Representations).
Data Management
To be completed.
P1.9.5 Level 3 Process: Notify Applicant of Non-Approval and of Right to Submit
Representations
1. The applicant is advised that the agency is minded to refuse the application.
2. The applicant is also notified of their right to appeal against the decision of the agency
by making representations within 28 days.
♦ Has Applicant Submitted Representations?
3. If the applicant HAS made representations within 28 days, then these are considered
by the social worker who resubmits the suitability and eligibility report with the
representations to the Adoption Panel (see P1.9.5.1 Level 4 Process: Re-submit
Report and Representations to Adoption Panel). If the applicant HAS NOT made
representations within 28 days, then
4. There is only a right to make representations once, when the initial decision is made. If,
following the representations being made, the decision is still non-approval then no
further representations can be made.
Data Management
To be completed.
P1.9.5.1 Level 4 Process: Re-submit Report and Representations to Adoption Panel
1. The assigned social worker will re-submit the eligibility and suitability report that has
already been produced (see P1.9.2.1 Level 4 Process: Produce Report on Eligibility
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and Suitability), together with the representations made by the applicant, to the
Adoption Panel.
2. The Adoption Panel will reconsider the report and the representations and will make a
recommendation on eligibility and suitability (as per P1.9.3 Level 3 Process: Make
Adoption Panel Recommendation). This recommendation will then be considered again
by the responsible decision-maker in the agency (as per P1.9.4 Level 3 Process:
Adoption Agency Decision-Maker Considers the Recommendation) before a final
decision is made.
Data Management
To be completed.
P1.9.5.2 Level 4 Process: Agency Confirms Application is Declined
1. If the applicant does not make representations with 28 days, or if the applicant makes
representations but is unsuccessful in being approved, then the Agency confirms to the
applicant in writing of the decision to decline their application. Applicants rejected at
this stage are offered counselling (see P1.9.1.4 Level 4 Process: Offer Counselling).
Data Management
To be completed.
P1.9.6 Level 3 Process: Notify Decision To Approve To Applicant
1. If the Agency decides applicants are eligible and suitable then the applicant is informed
in writing.
2. As a consequence of approval, the following sub-processes are initiated.
Data Management
To be completed.
P1.9.6.1 Level 4 Process: Send Papers And Approval Report to Department of
Health
1. Once the agency decision to approve the applicants as applicants is made the case
papers, assessment and approval report are sent to the Department of Health (DH).
Data Management
To be completed.
P1.9.6.2 Level 4 Process: DH Checks Adoption Papers are Correct
1. These papers are checked by DH to ensure that they are complete and the process
has been complied with under the relevant Regulations. DH will determine:♦ Is Documentation Complete?
2. If the documentation IS complete, then DH will proceed with checking that all
appropriate regulations have been complied with (see P1.9.6.5 Level 4 Process: DH
Check Regulations Have Been Complied With).
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3. If the documentation IS NOT complete, then DH will request additional documentation
(see P1.9.6.3 Level 4 Process: DH Request Additional Documentation from Agency).
4. This process may be repeated a number of times until the documentation is finally
assess as being complete and correct.
Data Management
To be completed.
P1.9.6.3 Level 4 Process: DH Request Additional Documentation from Agency
1. If the adoption papers are incomplete or incorrect, DH will request additional
documentation from the Agency.
Data Management
To be completed.
P1.9.6.4 Level 4 Process: Agency Submit Additional Documentation
1. The Agency will provide the requested documents to DH.
2. DH will then check again that the paper are correct and complete as described above
(see P1.9.6.2 Level 4 Process: DH Checks Adoption Papers are Correct).
Data Management
To be completed.
P1.9.6.5 Level 4 Process: DH Check Regulations Have Been Complied With
1. DH will check that Regulations have been complied with.
♦ Have Regulations Been Complied With?
2. If the Regulations HAVE been complied with, then DH will issue the applicant a
certificate of eligibility and suitability (see P1.9.7 Level 3 Process: DH Issue Certificate
of Eligibility and Suitability). If the Regulations HAVE NOT been complied with, then the
papers must be sent back to the Adoption Agency (see P1.9.6.6 Level 4 Process: DH
Refer Papers Back to the Adoption Agency).
3. This process may be repeated more than once if necessary, until DH determines that
the regulations have been complied with.
Data Management
To be completed.
P1.9.6.6 Level 4 Process: DH Refer Papers Back to the Adoption Agency
1. If DH determines that Inter-Country Adoption Regulations have not been complied with,
the papers will be returned and the Agency must begin the assessment again (see
P1.9.2 Level 3 Process: Assess Application).
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P1.9.7 Level 3 Process: DH Issue Certificate of Eligibility and Suitability
1. If DH determines that Inter-Country Adoption Regulations have been complied with, DH
issues a Certificate of Eligibility and Suitability.
Data Management
To be completed.
P1.9.7.1 Level 4 Process: DH Notifies Applicant and Adoption Agency of Certificate
Issue
1. DH advises applicant and agency that the Certificate of Eligibility and Suitability has
been issued.
Data Management
To be completed.
P1.9.7.2 Level 4 Process: DH Arranges Translation/Legalisation And Notarisation Of
Papers
1. DH undertakes whatever is necessary to make the papers acceptable to overseas
Government.
Data Management
To be completed.
P1.9.7.3 Level 4 Process: DH Sends Case Papers to Overseas Government or
Agency
1. The Department of Health sends the case papers to the overseas Government or
Agency who take their decision about the suitability of the applicants and convey this
back to DH. DH in turn conveys this decision to the Agency who conducted the
assessment.
Data Management
To be completed.
P1.9.8 Level 3 Process: Overseas Government or Agency Consider Application
1. The Overseas Government or Agency will consider the application. The key
determination from this is:♦ Is the Applicant Considered Acceptable by the State of Origin?
2. If the applicant IS considered suitable, then the Overseas Government or Agency will
match a child with the applicant and send the matching report to DH (see P1.9.10 Level
3 Process: Matching Report Received by DH).
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3. If the applicant IS NOT considered suitable, then the Overseas Government or Agency
will notify DH, who will then in turn notify the agency (see P1.9.9 Level 3 Process: DH
Notify Agency that Applicant is Unsuitable to Overseas Government or Agency).
Data Management
To be completed.
P1.9.9 Level 3 Process: DH Notify Agency that Applicant is Unsuitable to Overseas
Government or Agency
1. DH simply acts as a conduit for the overseas Government or Agency’s decision, by
passing it on to the UK Adoption Agency.
Data Management
To be completed.
P1.9.9.1 Level 4 Process: Agency Notifies Applicant of their Unsuitability
1. If DH notify the Agency that the overseas Government or Agency has decided the
applicant is unsuitable, the Agency will notify the applicant and offer to counsel them
about the decision (see P1.9.1.4 Level 4 Process: Offer Counselling).
Data Management
To be completed.
P1.9.10 Level 3 Process: Matching Report Received by DH
1. If the overseas Government or Agency decides the applicant is suitable, then they
match them with a child. They inform DH of the decision and the details of the child
they wish to match with the applicants.
Data Management
To be completed.
P1.9.10.1 Level 4 Process: DH sends Matching Report to Agency
1. DH sends the matching report to the Agency.
Data Management
To be completed.
P1.9.10.2 Level 4 Process: Agency Sends Matching Report to Applicant
1. The Agency notifies the applicant of the decision and provides details of the child
proposed for matching, by way of the matching report.
Data Management
To be completed.
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P1.9.10.3 Level 4 Process: Agency Meets Applicants to Discuss the Proposed Match
1. The applicant considers whether they wish to proceed and will meet with their social
worker to discuss the proposed match.
2. After the meeting it will need to be determined:♦ Does Applicant Wish to Proceed with Match?
3. If the applicant DOES wish to proceed with the match, then the next step is for them to
notify the Agency, who will then notify DH, who will notify the overseas authority that
they accept the match. They then travel to meet the child (see P1.9.13 Level 3
Process: Applicant Travels to Meet Child).
4. If the applicant DOES NOT wish to proceed with the match, then the applicant must
notify the Agency (see P1.9.11 Level 3 Process: Applicant Notifies the Agency of
Decision not to Proceed With Match). In addition it must be further determined:♦ Does the Applicant Still Wish to Adopt?
♦ Does the Applicant Still Wish to Adopt from the Same Country?
5. If the applicant DOES still wish to adopt, then it needs to be further determined if they
still wish to adopt from the same country. If the applicant DOES still wish to adopt
another child from the same country, then the Agency will notify DH accordingly (see
P1.9.12 Level 3 Process: Agency Notifies DH of Wish to Adopt Another Child from
Same Country). If the applicant DOES still wish to adopt, but DOES NOT still wish to
adopt another child from the same country, then the application must revert back to the
stage of producing the Eligibility and Suitability Report (see P1.9.2.1 Level 4 Process:
Produce Report on Eligibility and Suitability).
Data Management
To be completed.
P1.9.11 Level 3 Process: Applicant Notifies the Agency of Decision not to Proceed
With Match
1. If the applicant no longer wishes to proceed with the proposed adoption match, they
must notify the Agency.
Data Management
To be completed.
P1.9.11.1 Level 4 Process: Agency Notifies DH of Decision not to Proceed with
Match and Returns all Papers
1. The Agency will in turn notify DH that the applicant no longer wishes to proceed with
the proposed match and will return all papers to DH.
Data Management
To be completed.
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P1.9.11.2 Level 4 Process: DH Notifies Overseas Government of Decision not to
Proceed with Match and Returns all Papers
1. DH will in turn notify the overseas government that the applicants no longer wish to
proceed with the proposed match and will return all papers.
Data Management
To be completed.
P1.9.12 Level 3 Process: Agency Notifies DH of Wish to Adopt Another Child from
Same Country
1. Agency advises DH that the applicant wants to adopt another child from the same
country.
Data Management
To be completed.
P1.9.12.1 Level 4 Process: DH Notifies Overseas Government or Agency of Wish to
Adopt Another Child from Same Country
1. DH will notify the Overseas Government or Agency that the applicant wishes to adopt a
different child from the same country. The overseas Government considers whether the
applicant is suitable for another child (see P1.9.8 Level 3 Process: Overseas
Government or Agency Consider Application); the application reverts back to that
stage.
Data Management
To be completed.
P1.9.13 Level 3 Process: Applicant Travels to Meet Child
1. If the applicants indicate that they provisionally accept the proposed match, they then
travel to meet the child. How this transpires will vary from case to case but as a rule DH
is notified by the agency that applicants are travelling to meet the child.
2. The applicants then decide whether they wish to proceed with the adoption having met
the child.
♦ Does Applicant Still Wish to Proceed With Match?
3. If the applicant decides they DO wish to proceed with the match and adopt the child,
then they will notify the Agency (see P1.9.14 Level 3 Process: Applicant Notifies
Adoption Agency of Intent to Proceed). If the applicant decides they DO NOT wish to
proceed with the match and adopt the child, then they will notify the Agency
accordingly (see P1.9.17.6 Level 4 Process: Applicant Notifies Agency they no Longer
Wish to Adopt the Child).
Data Management
To be completed.
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P1.9.14 Level 3 Process: Applicant Notifies Adoption Agency of Intent to Proceed
1. If the applicant still wishes to proceed with adoption they will notify the Agency.
Data Management
To be completed.
P1.9.14.1 Level 4 Process: Agency Notifies DH of Intent to Proceed
1. In turn the Agency will notify DH that the applicant wishes to proceed with adoption.
The Agency will also confirm that they are still content for the adoption to proceed.
Data Management
To be completed.
P1.9.14.2 Level 4 Process: DH Notify Overseas Government or Agency of Intent to
Proceed
1. DH issues notification to overseas Government or Agency that, provided immigration
requirements are met, the child will be allowed to enter the UK.
♦ Are Immigration Issues Satisfactory?
2. If immigration issues ARE satisfactory, then the application can proceed to the next
stage of making a formal agreement (see P1.9.15 Level 3 Process: DH Make Hague
Convention Article 17(C) Agreement). If immigration issues ARE NOT satisfactory, then
it will be necessary for DH and the applicant to liaise with the Home Office to try and
resolve the issues (see P1.9.14.3 Level 4 Process: DH and Applicant Liaise with Home
Office).
Data Management
To be completed.
P1.9.14.3 Level 4 Process: DH and Applicant Liaise with Home Office
1. Parties attempt to resolve the immigration issues.
♦ Are Immigration Issues Resolved?
2. If immigration issues ARE resolved, then the application can proceed to the next stage
of making a formal agreement (see P1.9.15 Level 3 Process: DH Make Hague
Convention Article 17(C) Agreement). If immigration issues ARE NOT resolved (and a
view is taken that they cannot be resolved), then the applicant notifies the Agency who
in turn notifies DH that the application can no longer proceed due to unresolved
immigration problems (see P1.9.11.1 Level 4 Process: Agency Notifies DH of Decision
not to Proceed with Match and Returns all Papers).
Data Management
To be completed.
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P1.9.15 Level 3 Process: DH Make Hague Convention Article 17(C) Agreement
1. If all parties are in agreement with wishing to proceed and any immigration issues have
been resolved, then DH will issue a Hague Convention Article 17(C) Agreement.
Data Management
To be completed.
P1.9.15.1 Level 4 Process: DH Notify Agency that Hague Convention Article 17(C)
Agreement Made
1. Once the Hague Convention Article 17(C) Agreement is issued, DH will notify the
Agency.
Data Management
To be completed.
P1.9.15.2 Level 4 Process: Adoption Agency Notifies Applicant that Hague
Convention Agreement Made
1. Once the Agency is notified by DH that Hague Convention Article 17(C) Agreement is
issued, they will notify the applicant. This means that applicants are free to travel to
bring child into the UK. It may be that the applicant decides not to proceed:♦ Does Applicant Still Wish to Proceed?
2. If the applicant DOES still wish to proceed, then the application will proceed to the next
stage (see P1.9.16 Level 3 Process: Applicant Makes Arrangements With Overseas
Government Or Agency. If the applicant DOES NOT still wish to proceed, then they
must notify the Agency (see P1.9.11 Level 3 Process: Applicant Notifies the Agency of
Decision not to Proceed With Match).
Data Management
To be completed.
P1.9.16 Level 3 Process: Applicant Makes Arrangements With Overseas
Government Or Agency
1. There are three alternative routes that may be chosen through this process. These
routes are determined by which of three alternative processes follow the making of
these arrangements. They are:
•
•
•
Route A: Overseas authorities place child with applicant with the intention that child
is adopted in the UK
Route B: Applicant receives interim adoption order in state of (child’s) origin and
applies for full Convention Adoption Order in state of origin
Route C: Applicant obtains Convention Adoption Order in state of origin
Data Management
To be completed.
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Route A: Overseas authorities place child with applicant with the intention that child
is adopted in the UK
P1.9.17 Level 3 Process: Overseas Authority Place Child With Applicant With the
Intention that the Child be Adopted in the UK
1. The Overseas Authority places the child with the applicant, with the intention that the
child be adopted In the UK.
Data Management
To be completed.
P1.9.17.1 Level 4 Process: Applicant Applies for Entry Clearance for the Child
1. Applicants will need to apply to the Entry Clearance Officer at the UK Embassy in the
country of origin. This should not be problematic given that immigration issues would
have already been resolved to enable the Hague Convention Article 17(c) agreement
to be made.
Data Management
To be completed.
P1.9.17.2 Level 4 Process: Applicant and Child Return to the UK
1. Once a British passport or an entry clearance has been obtained (as appropriate), the
applicant may return to the UK with the child.
Data Management
To be completed.
P1.9.17.3 Level 4 Process: Applicant Notifies their CSSR that they have Brought a
Child into the Country with the Intention to Adopt
1. The applicant is responsible for notifying their CSSR that they have brought the child
into the UK, with the intention to adopt. This notification must be made within 14 days
of the child’s entry into the UK.
2. The CSSR checks that the Adoption Agency has been notified that child is in the UK. It
will be determined:♦ Has Applicant Notified Adoption Agency that Child is in the UK?
♦ Does the Applicant Still Wish to Adopt?
3. If the applicant HAS NOT notified the Adoption Agency that the child is now in the UK,
then the Adoption Agency must check with the applicant (see P1.9.17.4 Level 4
Process: Adoption Agency Check with Applicant if the Child is in the UK). If the
applicant HAS notified the Adoption Agency that the child is now in the UK, then it will
need to be further determined whether or not the applicant still wishes to adopt the
child.
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4. If the applicant DOES still wish to adopt the child, then the adoption process will
continue and the CSSR will monitor the placement until the Adoption Order is made
(see P1.9.17.9 Level 4 Process: CSSR Monitors Placement Until Adoption Order is
Made). If the applicant DOES NOT still wish to adopt the child, then they must notify
the Adoption Agency accordingly (see P1.9.17.6 Level 4 Process: Applicant Notifies
Agency they no Longer Wish to Adopt the Child).
Data Management
To be completed.
P1.9.17.4 Level 4 Process: Adoption Agency Check with Applicant if the Child is in
the UK
1. The Adoption Agency should be aware of the need to notify that a child has been
brought to the UK and should check with the applicant that these requirements are
complied with. The Adoption Agency must determine:♦ Is the Child in the UK?
♦ Does Applicant Still Wish to Proceed?
♦ Has the Child Exceeded 14 Days in the UK without Notification?
2. If the child IS in the UK, then it must be further determined whether or not the child has
been in the UK for more than 14 days without being notified. If the child HAS exceeded
14 days in the UK without notification, then an offence has been committed and must
be notified to the police (see P1.9.17.5 Level 4 Process: Adoption Agency Notify
Police). If the child IS in the UK, but HAS NOT exceeded 14 days in the UK without
notification, then notification will be deemed to have been made, the adoption process
will continue and the CSSR will monitor the placement until the Adoption Order is made
(see P1.9.17.9 Level 4 Process: CSSR Monitors Placement Until Adoption Order is
Made).
3. If the child IS NOT in the UK, then it needs to be further determined whether or not the
applicant still wishes to proceed with the match. If the child IS NOT in the UK and the
applicant DOES still wish to proceed, then it is a case of awaiting the child being
brought into the UK (see P1.9.17.2 Level 4 Process: Applicant and Child Return to the
UK) and the subsequent notification (see P1.9.17.3 Level 4 Process: Applicant Notifies
their CSSR that they have Brought a Child into the Country with the Intention to Adopt).
If the child IS NOT in the UK and the applicant DOES NOT still wish to proceed, then
the applicant must notify the Agency that they no longer wish to proceed with the match
(see P1.9.11 Level 3 Process: Applicant Notifies the Agency of Decision not to Proceed
With Match).
Data Management
To be completed.
P1.9.17.5 Level 4 Process: Adoption Agency Notify Police
1. The police must be notified if a child has been brought to the UK with the intention of
being adopted, but their presence has not been notified to the Adoption Agency within
the statutory 14 day period.
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2. The police will investigate this and deal as they see fit. It need not have any bearing on
the adoption processes that ensue unless evidence comes to light that is pertinent to
the best interests of the child; the adoption process will continue (see P1.9.17.9 Level 4
Process: CSSR Monitors Placement Until Adoption Order is Made), unless the
investigation dictates otherwise.
Data Management
To be completed.
P1.9.17.6 Level 4 Process: Applicant Notifies Agency they no Longer Wish to Adopt
the Child
1. If the Adoption Agency learns that applicants no longer wish to adopt the CSSR must
be notified.
Data Management
To be completed.
P1.9.17.7 Level 4 Process: CSSR Notifies DH and Makes Arrangements for the Child
1. For a child brought into the UK with a view to adoption by an applicant who then
withdraws, it will need to be decided whether or not it is in the best interests of the child
to return them to their country of origin or for the child to remain in the UK, namely:♦ Is the Child to be Returned to State of Origin?
2. If the child IS to be returned to their state of origin, then they will be returned as soon
as is practicable (see P1.9.17.8 Level 4 Process: Return Child to Country of Origin)
and DH will need to notify the Overseas Government or Agency (see P1.9.11.2 Level 4
Process: DH Notifies Overseas Government of Decision not to Proceed with Match and
Returns all Papers).
3. If the child IS NOT to be returned to their state of origin, then is a child in need and will
be treated by CSSR through assessment and the provision of services (see P1.1 Level
2 Process: Core Case Management Operations). It is likely that the child will become
looked after (see P1.4 Level 2 Process: Looked After Children Operations) and an
alternative adoption placement found.
4. Note that even if the intent is to return the child home to their state of origin, it is likely
that services will need to be provided until the return is made (eg a foster-care
placement – see P2.1 Level 2 Process: Provide Services).
Data Management
To be completed.
P1.9.17.8 Level 4 Process: Return Child to Country of Origin
1. If may be decided that it is in the best interests of a child that has been brought to the
UK with the intent to adopt, but the adoption falls through, to return the child to their
country of origin.
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To be completed.
P1.9.17.9 Level 4 Process: CSSR Monitors Placement Until Adoption Order is Made
1. Once a child has been brought into the UK with the intention of adopting, the CSSR
must monitor the placement (under Sections 22 and 32 of the Adoption Act 1976) until
such time that an Adoption Order is made.
Data Management
To be completed.
P1.9.17.10 Level 4 Process: Applicant Applies to Court for Convention Adoption
Order
1. The applicant must apply to the family court for a Hague Convention Adoption Order.
Data Management
To be completed.
P1.9.17.11 Level 4 Process: Court Requests Report
1. The family court requests a report from the CSSR. This will be equivalent to the report
required under Schedule 2 of Adoption (Court) Rules 1984.
Data Management
To be completed.
P1.9.17.12 Level 4 Process: CSSR Produces Report
1. The CSSR produces the report for the family court. The report will be made on the
basis of information supplied by the applicant and the Adoption Agency.
Data Management
To be completed.
P1.9.17.13 Level 4 Process: CSSR Submits Report to Court
1. The CSSR submits the report to the family court.
Data Management
To be completed.
P1.9.17.14 Level 4 Process: Court Considers the Adoption Order Application
1. The family court will hear the Adoption Order application and will decide:♦ Is an Adoption Order Made?
2. If an Adoption Order IS made, then the inter-country adoption process is complete.
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3. If an Adoption Order IS NOT made, then the CSSR must ensure that any other court
orders are complied with and that appropriate arrangements are made for the child
(see
Data Management
To be completed.
P1.9.17.15 Level 4 Process: CSSR Complies With any Court Orders and Makes
Arrangements for the Child
1. If an Adoption Order is not made, the CSSR must ensure that any other orders made
by the court are complied with.
2. The CSSR must also notify DH and make sure that any other arrangements necessary
(such as returning the child to their state of origin, providing services to the child as a
child in need, or looking after the child – see P1.9.17.7 Level 4 Process: CSSR Notifies
DH and Makes Arrangements for the Child) are undertaken.
Data Management
To be completed.
Route B: Applicant receives interim adoption order in state of (child’s) origin and
applies for full Convention Adoption Order in state of origin
P1.9.18 Level 3 Process: Applicant Pursues Adoption Order In State Of Origin
1. In this route, the issues are entry into the UK and the monitoring of the child’s welfare
until the Convention Adoption Order is made in child’s country of origin. The UK
recognises the Adoption Orders of Hague Convention countries and therefore there are
no court proceedings in the UK.
2. Initially this will be via an interim Adoption Order allowing the applicants to bring the
child into the UK. This will lead onto an application for a full Hague Convention
Adoption Order, made in the country of origin.
Data Management
To be completed.
P1.9.18.1 Level 4 Process: Applicant Applies for Entry Clearance for the Child
1. Applicants will need to apply to the Entry Clearance Officer at the UK Embassy in the
country of origin. This should not be problematic given that immigration issues would
have already been resolved to enable the Hague Convention Article 17(c) agreement
to be made.
Data Management
To be completed.
P1.9.18.2 Level 4 Process: Applicant Notifies CSSR of Private Fostering Placement
1. On return to the UK the applicant must notify the CSSR that the child is resident with
them and treated as a private fostering placement. In this route, private fostering is the
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basis for monitoring the welfare of the child before adoption (see P1.10 Level 2
Process: Ensure The Welfare of Privately Fostered Children).
Data Management
To be completed.
P1.9.18.3 Level 4 Process: Adoption Order Made in Court of the Country of Child’s
Origin
1. In due course an Adoption Order will be made in the child’s country of origin, at which
point the private fostering placement will cease. This brings the process to an end.
Data Management
To be completed.
Route C Applicant obtains Convention Adoption Order in state of origin
P1.9.19 Level 3 Process: Applicant Obtains Full Convention Adoption Order in the
Child’s State of Origin
1. If the applicant obtains a full convention Adoption Order in the adopted child’s state of
origin, then the only issue is the basis of child’s entry into the UK. The next step
depends on whether or not the applicant (or in the case of joint applicants, either one of
the applicant’s) is a British citizen, namely:♦ Is the Applicant a British Citizen?
2. If the applicant IS a British citizen, then the child automatically receives British
citizenship, so the applicant is free to apply for a British passport for the child (see
P1.9.19.1 Level 4 Process: Adopters Apply For Child’s British Passport). If the
applicant IS NOT a British citizen, then entry clearance must be obtained before the
child can enter the UK (see P1.9.19.2 Level 4 Process: Applicant Applies for Entry
Clearance for the Child).
Data Management
To be completed.
P1.9.19.1 Level 4 Process: Adopters Apply For Child’s British Passport
1. If the applicant is a British Citizen then it is simply a matter of applying for a UK
passport for the child before the child can enter the UK.
Data Management
To be completed.
P1.9.19.2 Level 4 Process: Applicant Applies for Entry Clearance for the Child
1. Applicants will need to apply to the Entry Clearance Officer at the UK Embassy in the
country of origin. This should not be problematic given that immigration issues would
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have already been resolved to enable the Hague Convention Article 17(c) agreement
to be made.
Data Management
To be completed.
P1.9.19.3 Level 4 Process: Adopters and Child Return to the UK
1. In due course the adopters and the child will enter to the UK. This ends the process.
Data Management
To be completed.
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P1.10 Level 2 Process: Ensure The Welfare of Privately Fostered
Children
1. Private fostering is the arrangement made between the birth parent or
someone who holds parental responsibility for the child under 16, or 18 if
disabled, and the private foster parent who agrees to care for the child for a
period exceeding 27 days.
2. Under Part IX of the Children Act 1989, as amended by section 44 of the
Children Act 2004, CSSRs have a duty to satisfy themselves that the welfare
of children who are privately fostered, or who are proposed to be but not yet
privately fostered, in their area is being satisfactorily safeguarded and
promoted. The CSSR has a duty to give such advice as appears to them to
be needed to all those concerned with a child who is or is proposed to be
privately fostered.
3. The important differences between private fostering and CSSR fostering is
that the CSSR does not approve or register private foster carers, the children
are not looked after children and the role of the CSSR is to satisfy themselves
that the arrangements are satisfactory and the foster carers are suitable.
4. In order to exercise their functions under this part of the Children Act,
CSSRs are dependent on birth parents and private foster carers notifying
them of proposed arrangements in advance in order to be able to undertake
the statutory checks before the placement takes place. It is therefore
important that the CSSR publicises these requirements in their local area to
ensure that all parties involved in private fostering are aware of their
responsibilities.
5. Education, health and other professionals, should notify the CSSR of a
private fostering arrangement that comes to their attention where they are not
satisfied that the CSSR have been, or will be, so notified.
6. Paragraph (7A) of Schedule 8 to the Children Act 1989, inserted by section
44 of the Children Act 2004, places a duty on the CSSR to promote public
awareness of the notification requirements.
7. This process of ensuring the welfare of a privately fostered child is
summarised within the process flow diagram “P1.10 Ensure the Welfare of
Privately Fostered Children”.
Data Management
The act of private fostering would be recorded as a PROVISION OF SERVICE. Details about
the child being privately fostered would be recorded under SERVICE USER. Details about the
proposed fosterer would be recorded under EXTERNAL PERSON, with their address details
under ADDRESS and ADDRESS USAGE respectively. Details of parents would be recorded
under EXTERNAL PERSON, linked to the child (SERVICE USER) that is the subject of the
proposed PRIVATE FOSTER ARRANGEMENT via SERVICE USER RELATIONSHIP.
Details about the fostering arrangements would be recorded under PRIVATE FOSTER
ARRANGEMENT (a sub-type of SERVICE PROVIDER APPROVAL).
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P1.10.1 Level 3 Process: Receive Notification of Intention to Enter into a
Private Fostering Arrangement
1. Notifications of a private fostering arrangement must be received not less than
6 weeks or immediately where the arrangement is to begin within six weeks or has
begun and no prior notification has been made.
2. The notification may be made by a birth parent, a person with parental
responsibility, a proposed private foster carer and/or any other party involved
in the arrangement.
3. The notification will specify:• Personal details of the child;
• Name and current address of person providing the notification and any
previous addresses within the last 5 years;
• Name of the actual/prospective foster carer and any previous addresses
within the last five years; Name and current address of the parent(s)/person
with parental responsibility and (if different) of any person from whom the child
is to be, or was, received; Name and address of minor siblings and the details
of arrangements for their care; Name and address of any other person
involved in arranging for the child to be privately fostered;
• Date on which the arrangement started or is due to start and the duration of
placement;
• Particulars of convictions, disqualifications, prohibitions or offences of
applicant and of household members.
4. Disqualification and prohibitions refer to Section 68 and 69 of the Children
Act 1989.
Data Management
Personal details about the child being privately fostered would be recorded under SERVICE
USER.
Details about the fosterer would be recorded under EXTERNAL PERSON, with their address
details for the last 5 years under ADDRESS and ADDRESS USAGE respectively. The
notifier’s details are recorded under EXTERNAL PERSON, linked to the PRIVATE FOSTER
ARRANGEMENT via a relationship to EXTERNAL PERSON.
Details about the purpose of the placement would be recorded under PRIVATE FOSTER
ARRANGEMENT (a sub-type of SERVICE PROVIDER APPROVAL).
The act of private fostering is a PROVISION OF SERVICE – the planned duration of the
placement is recorded under Provision Of Service Planned Start Date and Provision Of
Service Planned End Date.
Details of convictions, disqualifications, prohibitions or offences for an applicant would be
recorded under OFFENCE. Other household members would be separate instances of
EXTERNAL PERSON and details of convictions and offences for each of them would be
recorded under OFFENCE also, where appropriate.
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P1.10.2 Level 3 Process: Undertake Private Fostering Statutory
Enquiries
1. In order to assess the suitability of the private foster carer the CSSR must
carry out a range of statutory checks to cover:• the suitability of the person and his household (including checking for any
convictions, disqualifications, prohibitions or offences of applicant and
convictions etc of household members not declared on the notification);
• the suitability of the accommodation;
• that neither would be prejudicial to the child’s welfare;
• that arrangements or proposed arrangements are likely to provide a safe
and stable environment for the child, that the intended duration of the
arrangement is understood and agreed by the parents (or any other person
with parental responsibility) and the proposed/actual private foster carer; the
arrangements for and suitability of contact arrangements between the child,
the parents (or any other person with parental responsibility) and any other
significant others (e.g. siblings, family members, friends); that there are
agreed financial arrangements for the care and maintenance of the child; that
there are arrangements for the child’s health and education; that there are
adequate arrangements for how decisions about day to day care will be
taken. Where the notification is made following the start of the arrangement
the CSSR should also ensure: that the physical, intellectual, emotional and
behavioural development of the child is appropriate and satisfactory; that the
child’s needs arising from religious persuasion, racial origin and cultural and
linguistic background are being met.
2. As part of the statutory enquiry to determine the suitability of persons who
propose to privately foster, the CSSR must visit the actual/proposed private
foster home.
The CSSR must visit and speak to the child who is or is proposed to be
privately fostered (alone unless the officer considers it inappropriate) and
ascertain the child’s wishes and feelings regarding the actual proposed
arrangement (in the light of age and understanding).
The CSSR should speak to, and if practicable to do so, visit the parents (or
any other person with parental responsibility) of the child.
The CSSR must give such advice to the proposed/actual private foster carer,
parents (or any other person with parental responsibility) or any other person
concerned with the child as seems necessary.
The CSSR should complete the above within seven days utilising the Private
Fostering Arrangement Assessment Record (If appropriate an Initial Assessment
see P1.1.4 Level 3 Process and a Core Assessment see P1.1.5 Level 3 Process
should also be completed).
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Data Management Information gathered in the course of the statutory
enquiry will be recorded under CASE NOTE and OFFENCE (if required). The
outcome of the statutory enquiries are recorded under Private Foster
Arrangement Household Suitable Indicator
.
P1.10.3 Level 3 Process: Consider Outcomes of Private Fostering
Statutory Enquiries
1. Following on from the statutory enquiries, the CSSR will consider the
outcomes and determine:! Should Consent be Given?
! Should Requirements be Imposed?
! Should a Notification of Refusal be Issued?
! Should a Notification of Prohibition be Issued?
2. If consent to the private fostering placement IS given, then the CSSR will
need to determine whether or not any requirements need to be imposed on
the placement. If decided that requirements SHOULD be imposed before the
private fostering placement commences (or retrospectively if the placement
has exceptionally commenced already), then see P1.10.4 Level 3 Process:
Impose Requirements on a Private Foster Carer). If the appeal is successful
(ie consent to the private fostering placement is given and it is decided that
requirements SHOULD NOT be imposed, the private fostering placement may
commence (see P1.10.5 Level 3 Process: Commence Private Fostering
Placement).
3. If consent to the private fostering placement IS NOT given, then a CSSR
will need to determine whether to issue a Notification of Refusal (see
P1.10.3.1 Level 4 Process: Issue Notification of Refusal) and/or a Notification
of Prohibition (see P1.10.3.2 Level 4 Process: Issue Notification of
Prohibition). At least one of these notifications must be issued.
Data Management
If consent is given, the date of it is recorded under Private Foster Agreement Consent
Date.
P1.10.3.1 Level 4 Process: Issue Notification of Refusal
1. If the statutory enquiries determine that a person falls into the category of
being disqualified from private fostering the CSSR may issue a Notification of
Refusal to consent to the arrangements. The notification may be issued both
before or after a child is placed. If issued after the private fostering has
started, then the private fostering arrangements should be terminated (see
P1.10.7 Level 3 Process: Terminate Private Fostering Placement).
2. The CSSR is required to notify persons of their right to appeal and the
timescales within which an appeal may be lodged.
Data Management
Whether or not a Notification of Refusal is issued in respect to a particular PRIVATE FOSTER
AGREEMENT is recorded under Private Foster Arrangement Notice Of Refusal Indicator.
The date of the notice is recorded under Private Foster Arrangement Notice Of Refusal
Date. The disqualification is also recorded against the prospective fosterer under OFFENCE.
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P1.10.3.2 Level 4 Process: Issue Notification of Prohibition
1. If the CSSR consider that either the person proposing to foster or their
accommodation would be prejudicial to the welfare of the child they may issue
a Notification of Prohibition. The notification may be issued both before or
after a child is placed. If issued after the private fostering has started, then the
private fostering arrangements should be terminated (see P1.10.7 Level 3
Process: Terminate Private Fostering Placement).
2. The CSSR is required to notifying persons of their right to appeal and the
timescales within which an appeal may be lodged.
Data Management
Whether or not a Notification of Prohibition is issued in respect to a particular PRIVATE
FOSTER AGREEMENT is recorded under Private Foster Arrangement Notice Of
Prohibition Indicator. The date of the notice is recorded under Private Foster Arrangement
Notice Of Prohibition Date. The disqualification is also recorded against the prospective
fosterer under OFFENCE.
P1.10.3.3 Level 4 Process: Advise Parents to Make Alternative
Arrangements
1. In imposing a Notification of Refusal and/or a Notification of Prohibition, the
CSSR will inform the parents that they need to make alternative arrangements
instead of the proposed private fostering arrangement. It will therefore need to
be determined:! Can Alternative Arrangements Be Made?
2. If the CSSR is satisfied that voluntary arrangements CAN be made and are
satisfactory, then the parents may proceed with making the alternative
arrangements (see P1.10.7.1 Level 4 Process: Parents Make Alternative
Arrangements to Accommodate Child). If the CSSR believes that voluntary
arrangements CANNOT be made, then looked after children operations will
be initiated (see P1.4 Level 2 Process: Looked After Children Operations) and
the change to the legal status of the child will need to be formally recorded
(see P1.4.7 Level 3 Process: Record Legal Status).
Data Management
The issuing of advice that alternative arrangements are necessary is a PROVISION OF
SERVICE.
P1.10.3.4 Level 4 Process: Consider an Appeal Against a Notification of
Refusal or a Notification of Prohibition
1. In imposing a Notification of Refusal and/or a Notification of Prohibition, the
subject of the notification(s) has a right of appeal. The CSSR is required to
consider an appeal that is lodged within the stated timescales.
2. The outcome of an appeal is that the issue of the respective notification is
either confirmed or withdrawn.
3. What happens next depends on the following:! Is the Appeal Successful?
! Has Private Fostering Already Commenced?
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4. If the appeal IS successful then the Notification of Refusal and/or a
Notification of Prohibition that were issued will be withdrawn (see P1.10.3.5
Level 4 Process: Withdraw Notification of Refusal and/or Notification of
Prohibition). Also it will need to be further determined whether any
requirements need to be imposed before the private fostering placement can
commence. If decided that requirements SHOULD be imposed before the
private fostering placement commences (or retrospectively if the placement
has exceptionally commenced already), then see P1.10.4 Level 3 Process:
Impose Requirements on a Private Foster Carer). If the appeal IS successful
and it is decided that requirements SHOULD NOT be imposed, the private
fostering placement may commence (see P1.10.5 Level 3 Process:
Commence Private Fostering Placement).
5. If the appeal IS NOT successful and the private fostering placement HAS
already commenced then it will be necessary to terminate the placement (see
P1.10.7 Level 3 Process: Terminate Private Fostering Placement). If the
private fostering placement HAS NOT already commenced then the parents
will be advised of the need to make alternative arrangements (see P1.10.3.3
Level 4 Process: Advise Parents to Make Alternative Arrangements).
Data Management
Considering an appeal is a PROVISION OF SERVICE. Whether or not an appeal is made
and considered in respect to a particular PRIVATE FOSTER AGREEMENT is recorded under
Private Foster Arrangement Appeal Lodged Date, Private Foster Arrangement Appeal
Determined Date and Private Foster Arrangement Appeal Outcome.
P1.10.3.5 Level 4 Process: Withdraw Notification of Refusal and/or
Notification of Prohibition
1. If the appeal is successful then the Notification of Refusal and/or a
Notification of Prohibition that were issued will be withdrawn.
Data Management
Whether or not a Notification of Prohibition is withdrawn in respect to a particular PRIVATE
FOSTER AGREEMENT is recorded under Private Foster Arrangement Notice Of
Prohibition Withdrawal Date and/or Private Foster Arrangement Notice Of Prohibition
Withdrawal Date (as appropriate).
P1.10.4 Level 3 Process: Impose Requirements on a Private Foster Carer
1. In considering the suitability of a private foster carer the CSSR may impose
requirements as to:• number, age and sex of the children (subject to usual fostering limit);
• accommodation and equipment; • health and safety; • particular provisions
of care; • other requirements.
2. The CSSR must also inform the applicant of the right to appeal against the
requirements and notify them of the timescale in which the appeal must be
lodged by (14 days).
3. At this stage, there is a decision point, namely:! Have Applicants Appealed Against Imposed Requirements?
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4. If the applicants HAVE appealed within the allowable timescale of 14 days
then the appeal has to be considered (see P1.10.4.1 Level 4 Process:
Consider an Appeal Against Imposed Requirements on a Private Foster
Carer). If the applicants HAVE NOT appealed within the allowable timescale
then the placement is free to commence (see P1.10.5 Level 3 Process:
Commence Private Fostering Placement).
Data Management
Details of the number, age and gender are recorded under SERVICE PROVIDER
APPROVAL (the supertype of PRIVATE FOSTER ARRANGEMENT).All other requirements
are recorded under SERVICE PROVIDER APPROVAL NOTE.
P1.10.4.1 Level 4 Process: Consider an Appeal Against Imposed
Requirements on a Private Foster Carer
1. Where requirements have been imposed by a CSSR on a private fostering
agreement, the private fosterer has 14 days within which to lodge an appeal.
2. If an appeal is made it must be considered and the proposed imposed
requirements reviewed.
Data Management
Considering an appeal against imposed requirements is a PROVISION OF SERVICE.
P1.10.4.2 Level 4 Process: Confirm/Amend Imposed Requirements on a
Private Foster Carer
1. The outcome of the appeal may result in some or all of the requirements
being confirmed, removed or changed as appropriate.
2. The placement may then go ahead (see P1.10.5 Level 3 Process:
Commence Private Fostering Placement).
Data Management
If any changes to the imposed requirements are agreed by the appeal, then the details of the
number, age and gender recorded under SERVICE PROVIDER APPROVAL (the super-type
of PRIVATE FOSTER ARRANGEMENT) will be deleted or amended as appropriate.
All other requirements are recorded under SERVICE PROVIDER APPROVAL NOTE and
these will be deleted or amended as appropriate.
P1.10.5 Level 3 Process: Commence Private Fostering Placement
1. The CSSR will record when a private fostering placement commences. This
is important as the CSSR has a statutory requirement to visit the private foster
home within specified time limits of the placement commencing (see the
following process P1.10.6 Level 3 Process: Undertake Statutory Visit).
Once the agreement has commenced the private foster carer must inform the
CSSR of any change of address. If the new address is in the area of another
local authority the current CSSR must pass on to that authority the name and
address of the private foster carer, the name of the privately fostered child
and the name and address of the child’s parents (or any other person with
parental responsibility). It is also good practice to draw the authority’s
attention to any important matters relating to the child’s welfare, special
education needs or the suitability of the private foster carer.
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Once the agreement has commenced the private foster carer must inform the
CSSR of any further convictions, disqualifications, prohibitions or offences
relating to themselves or household members that have occurred/become
known since notification.
Data Management
A private fostering placement is recorded as a PROVISION OF SERVICE.
P1.10.6 Level 3 Process: Undertake Statutory Visit
1. Once a private foster placement commences, the CSSR is required to
undertake regular visits to ensure the child’s welfare continues to be
safeguarded and promoted.
2. The frequency of the visits to the child and private foster carer will be
determined by the circumstances of the case but during the first year of the
arrangement must be at intervals of not more than 6 weeks and in second
and subsequent year at intervals of not more than 3 months.
3. The CSSR will make a written report following each visit utilising the Private
Fostering Arrangement Record (Visit Under Regulation 8) of the Integrated
Children's System. The report will include some or all of the following: When child,
private foster carer, other household members and parents (or any person with
parental responsibility) have been seen; Suitability of the arrangement Capacity of
the private foster carer to look after the child; Arrangements for meeting the child
needs; Advice given. When carrying out the visit the CSSR must speak to
the child alone unless this is considered inappropriate.
4. As part of the statutory visit, the CSSR must determine:
! Is the Child’s Welfare is Being Safeguarded and Promoted?
5. If determined that the child’s welfare IS being safeguarded and promoted,
then this will be recorded and there will be no action required. This will not be
considered again until the next statutory visit. If determined that the child’s
welfare IS NOT being safeguarded and promoted then this will be recorded .
This is essentially the same as asking, “Is this a Child in Need?”. A child’s
welfare not being safeguarded or promoted is effectively the same as the child
being in need and therefore it is equivalent to instigating the core case
management operations (see P1.1 Level 2 Process: Core Case Management
Operations).
An outcome may be that:• An initial assessment is required (see P1.1.4 Level 3 Process: Undertake an
Initial Assessment)
• A core assessment is required (see P1.1.5 Level 3 Process: Undertake a
Core Assessment)
• A Section 47 enquiry is required (see P1.3.4 Level 3 Process:
Undertake Core Assessment under Section 47)
• The private fostering placement continues, but additional services need to
be offered to safeguard and promote the welfare of the child (see P2.1 Level 2
Process: Provide Services).
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• The private fostering placement is terminated (see P1.10.7 Level 3 Process:
Terminate Private Fostering Placement) and either:- i. a recommendation is
made that the private foster placement ceases and the child is accommodated
with a parent, relative or a person with parental responsibility instead (see
P1.10.7.1 Level 4 Process: Parents Make Alternative Arrangements to
Accommodate Child); or ii. the child becomes looked after by the CSSR (see
P1.4 Level 2 Process: Looked After Children Operations).
6. The key determinations will be:! Is a Core Assessment Required?
! Is a Core Assessment Under S47 Required?
! Are Additional Services Required?
! Should the Private Fostering Placement be Terminated?
7. If a core assessment IS required, then see P1.1.5 Level 3 Process:
Undertake a Core Assessment, otherwise no further action is taken in
response to this question.
8. If a core assessment under section 47 IS required, then see P1.3.4 Level 3
Process: Undertake Core Assessment under Section 47, otherwise no further
action is taken in response to this question.
9. If additional services are required then they will be provided (see P2.1
Level 2 Process: Provide Services), otherwise no further action is taken in
response to this question.
10. If decided that the private fostering placement SHOULD be terminated,
then see P1.10.7 Level 3 Process: Terminate Private Fostering Placement,
otherwise no further action is taken in response to this question.
Data Management
A statutory visit to a private fostering placement is recorded as a PROVISION OF SERVICE.
An Initial assessment is a PROVISION OF SERVICE.
The information gathered in an assessment will be recorded under various entities in the
Logical Data Model.
This would include personal information of the child and their family (see the sub-processes
under P1.1.4 Level 3 Process: Undertake an Initial Assessment for greater detail).
The need for services and the objectives of those services will be recorded under SERVICE
USER PLAN and SERVICE USER PLAN OBJECTIVE respectively.
Additional services that are required (either planned or actual) would be recorded under
PROVISION OF SERVICE.
Details about why the CSSR consider the child’s welfare is not being safeguarded will be
recorded under CASE NOTE. When the child is accommodated with a different person there
will be other changes that need to be recorded (eg SERVICE USER RELATIONSHIP,
ADDRESS and ADDRESS USAGE)
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P1.10.7 Level 3 Process: Terminate Private Fostering Placement
1. A CSSR may decide that there are sufficient grounds to consider that the
child’s welfare is at risk and that the private foster placement should be
terminated. A private fostering placement may be terminated in the following
circumstances:• Voluntarily, by the instigation of one or more of the relevant parties (eg
fosterer,child, parent, person with parental responsibility etc). Any person
who ceases to be a private foster carer should inform the CSSR within 48
hours and include in this notification the name and address of the person into
whose care the child was received and that person’s relationship with the
child. A parent (or any person with parental responsibility) who has given
notification of a private fostering arrangement should inform the CSSR of the
ending of the arrangement and must include the name and address of the
person into whose care the child was received and that person’s relationship
with the child.
• Voluntarily, following a recommendation by the CSSR to accommodate the
child with a parent, person with parental responsibility or a relative (see
P1.10.7.1 Level 4 Process: Parents Make Alternative Arrangements to
Accommodate Child);
• Compulsorily, by deciding that the child needs to become looked after by the
CSSR.
2. The CSSR will therefore determine:! Can Alternative Arrangements Be Made?
3. If the CSSR is satisfied that voluntary arrangements CAN be made and are
satisfactory, then the parents may proceed with making the alternative
arrangements (see P1.10.7.1 Level 4 Process: Parents Make Alternative
Arrangements to Accommodate Child). If the CSSR believes that voluntary
arrangements CANNOT be made, then looked after children operations will
be initiated (see P1.4 Level 2 Process: Looked After Children Operations) and
the change to the legal status of the child will need to be formally recorded
(see P1.4.7 Level 3 Process: Record Legal Status).
Data Management
The relevant instance of private fostering placement (a PROVISION OF SERVICE) will have
the Provision of Service Actual End Date recorded.
The LEGAL STATUS for the child (SERVICE USER) will be amended as required.
P1.10.7.1 Level 4 Process: Parents Make Alternative Arrangements to
Accommodate Child
1. If the CSSR decides that the child’s welfare is not being safeguarded then it
has a duty to ensure that the child is accommodated with a parent, person
with parental responsibility or a relative. If the CSSR is satisfied with the
alternative arrangements, then a child may be voluntarily accommodated as
appropriate.
Data Management
Details of the arrangements will be recorded in CASE NOTES.
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P1.11 Level 2 Process: Sixteen Plus Leaving Care Operations
1. In response to serious concern about the quality of lives of young people who leave
CSSR care, the government has introduced legislation that requires CSSRs to be
pro-active in the support of these young people. These duties require that CSSRs take
reasonable steps to keep in touch with (or re-establish contact if they lose touch) young
people up to the age of 21 or, if they are being helped with education or training, to the
end of an agreed programme or education or training, even if it takes them past the
age of 21.1 This has implications for record keeping and information systems.
2. Under the Children (Leaving Care) Act 2000 all children and young people aged 16 and
over who have been looked after by a council for an aggregate of 13 weeks since their
14th birthday will qualify for this enhanced leaving care support. The whereabouts,
activity and wellbeing of these young people will be kept under review until they are 21
years of age or beyond if they are in an agreed programme of education or training.
Data Management
Details of data requirements are set out in the following sub-processes.
P1.11.1 Level 3 Process: Identify Eligible Care Leavers
1. CSSRs will need to have a system which identifies the names of young people aged 16
or more who have been looked after for at least 13 weeks since their 14th birthday.
These 13 weeks can be continuous or made up of separate episodes of care,
excluding short-term placements made by way of planned respite care.
2. It applies whether they were in care because of a care order or accommodated by a
council in the exercise of its children's social care services functions such as those under
Section 20 of the Children Act 1989.
3. These provisions apply regardless of any other special status they may have. For
example, unaccompanied asylum-seeking children who are looked after under section
20 of the Children Act as looked after children are also covered. Children remanded
into council accommodation are also looked after and the provisions also apply to
them.
4. These young people will qualify for, and automatically be part of, the leaving
care provision. Their names will form a subset of all children known to the CSSR and
they will be in receipt of a process of reviews at not longer than six monthly intervals
until they reach the age of 21 and beyond, if being supported in education or training.
This subset will be supported by database functions designed to track the whereabouts
and progress of each care leaver.
Data Management
The age of the young person (SERVICE USER) is determined from Service User Date Of Birth – the length
of time looked after is determined by summating all of the instances of PROVISIONS OF SERVICE (where
the Service Type Name is “Looked After Child”).
The subsequent reviews are each a PROVISION OF SERVICE.
P1.11.2 Level 3 Process: Appoint Personal Adviser
1. At the same time as the young person qualifies for the new arrangements a personal
adviser is appointed. This person will normally act as the Connexions Service adviser.
1. The Children and Young Persons Bill includes provision to extend entitlement to a
Personal Advisor to any care leaver, remaining in or resuming education or training,
up to the age of 25.
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Data Management
Appointing a Personal Advisor is a PROVISION OF SERVICE. The person appointed (an EXTERNAL
PERSON) is determined via SERVICE PROVIDER.
P1.11.3 Level 3 Process: Undertake Multi-Agency Assessment
1. The identification of a young person as entitled to care leaving services will trigger a
multi-agency assessment of their anticipated needs as care leavers. There will already
be in existence a Care Plan for the young person, which is updated at reviews as part
of the process for children who are looked after (see P1.4 Level 2 Process: Looked
After Children Operations). This assessment will be a contiuation and build on the
assessment work required for the review of the Care Plan. It seeks inputs from those
agencies and individuals that will be significant in supporting the young person until they
are 21 years of age or beyond if they are in an agreed programme of education or training.
A review of the young person’s education, training and employment needs, including their
qualifications will form part of this assessment.
Data Management
The multi-Agency assessment is itself a PROVISION OF SERVICE, undertaken by an EMPLOYEE,
associated via SERVICE PROVIDER. Other parties may also have a role in the initial assessment. For
example, a consultation with another Agency (an EXTERNAL ORGANISATION) by the social worker doing
the assessment (an EMPLOYEE) can also be associated to the initial assessment (a PROVISION OF
SERVICE) via a separate instance of SERVICE PROVIDER. Similarly each other party that participates in
some way, such as a supervisor/manager (an EMPLOYEE) or a family member (an EXTERNAL PERSON)
etc, will each have their own SERVICE PROVIDER record, with a specific Service Provider Role for the
same PROVISION OF SERVICE. The specific child (a CHILD SERVICE USER) that receives the service is
determined via relationships to SERVICE USER SERVICE RECIPIENT.
The SERVICE USER PLAN and SERVICE USER PLAN OBJECTIVE are updated as appropriate. The
Service User Plan Type will be “Care Plan (Looked After Child)”.
P1.11.4 Level 3 Process: Formulate Pathway Plan
1. Once a looked after child reaches 16 the Care Plan formally becomes their
Pathway Plan (see P1.4.14 Level 3 Process: Make a Formal Transition from Care Plan
to Pathway Plan).
2. The outcome of the multi-agency assessment is written into a Pathway Plan. This will
in part be an extension of the care plan for the young person by virtue of their being
looked after, but the Pathway Plan covers the period the young person remains looked
after and extends after they leave CSSR care until they are 21 years of age or beyond
if they are in an agreed programme of education or training. It addresses the
responsibility of the CSSR to fully maintain 16 and 17 year old care leavers financially.
3. It will record the young person’s career goals and milestones and the services that will
be provided to help them achieve these, including financial help and housing services.
For 16 and 17 year olds it will include details of whether accommodation and
maintenance are to be provided and how they are to be funded.
4. The Integrated Children’s System provides exemplar templates for Pathway Plans (see
ICS exemplar ‘y’).
Data Management
The SERVICE USER PLAN and SERVICE USER PLAN OBJECTIVE are updated as appropriate. The
Service User Plan Type will be “Pathway Plan”.
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P1.11.5 Level 3 Process: Implement Pathway Plan
1. The Personal Adviser will, with the young person leaving care, drive the Pathway Plan
by ensuring that the tasks, programmes and services that make up the Plan are carried
through by the persons identified in the Plan.
2. The implementation of the pathway may be achieved by either
•
•
providing services from children’s social care services (see P2.1 Level 2 Process:
Provide Services); or
referring the young person to adult social services, other local authority services or
other agencies (see P1.11.8 Level 3 Process: Refer to Adult Services, other CSSR
Services or other Agencies).
Data Management
See the processes referred to.
P1.11.6 Level 3 Process: Review Pathway Plan
1. If the child is under 18 and still looked after, Care Plan/Pathway Plan reviews will be required
under the Reviews of Children’s Cases Regulation 1991. Reviews will occur at intervals
not exceeding six months. They can be called at any time if there is a need e.g. if a
significant event takes place in the plan. Reviews will sometimes be full-scale meetings.
2. A review event, in which whatever is salient and known about the young person is
recorded, must occur. If a young person declines this level of involvement with CSSR,
or even disappears altogether, a review must take place. The local authority has a
duty to be proactive in trying to stay in touch with a young person. Data from reviews
will be aggregated. CSSRs will need to judge the effectiveness of their leaving care
service from reviews which record the extent young people remain in touch and their
educational, training or employment status.
3. At each review there will be a number of actions that are determined by the age of the
young person as follows:♦
♦
♦
♦
♦
Is this the last Review before Child is 18?
Is the Care Leaver 19?
Is the Care Leaver 21 or Over?
Are They Continuing an Agreed Programme of Education or Training?
Does the Care Leaver Require Continuing Support?
4. If the review IS the last review before the child is 18, then preparations are made for
the child to cease being looked after (see P1.4.16 Level 3 Process: Prepare for Young
Person Reaching 18). When a care leaver reaches 18 they cease to be looked after
(see P1.4 Level 2 Process: Looked After Children Operations), so looked after services
will be terminated (see P2.1.2 Level 3 Process: Terminate Service). Whilst looked after
services will no longer be provided, other services such as adult services or leaving
care services to which the young person is entitled will continue in accordance with the
Pathway Plan under the provisions of the Children (Leaving Care) Act 2000. In addition
their legal status will be amended to reflect that they are no longer looked after (see
P1.4.6 Level 3 Process: Obtain Parental Agreement to Accommodate a Child (Section
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20)). If the review IS NOT the last review before the child is 18, then no further action is
taken in response to this specific question.
5. If the care leaver is 19 CSSRs will need to seek information about whether they are in
education, training or employment and what accommodation they occupy, in order to
provide data for the DH OC3 return (see P1.11.7 Level 3 Process: Gather Care Leaver
Performance Indicator Information).
6. If the care leaver IS 21 or over then it has to be further determined whether or not they
are continuing an agreed programme of education or training. If they are then they will
continue to be entitled to receive children’s social care services and therefore continue with
their Pathway Plan Review. If they are over 21 and are not continuing an agreed
programme of education or training then they are no longer eligible to receive children’s
social care services. However, it must then be further determined whether or not the care
leaver requires continuing support. If they do, then they will be referred to adult social
services, other CSSR services or other agencies as appropriate (see P1.11.8 Level 3
Process: Refer to Adult Services, other CSSR Services or other Agencies). If they do
not require continuing support, then services will be terminated (see P2.1.2 Level 3
Process: Terminate Service), the case closed (see P1.1.9 Level 3 Process: Close
Case) and a case closure record will be completed (see P1.1.9.1 Level 4 Process:
Complete Closure Record). If the care leaver IS NOT 21 or over then they remain
entitled to receive children’s social care services and will therefore continue with their
Pathway Plan Review.
Data Management
A Pathway Plan review is a PROVISION OF SERVICE. Each review can be planned for a specific date to
meet Regulations (ie recorded in Provision Of Service Planned Start Date). The actual date of the last
review is recorded as the Service User Plan Last Reviewed Date.
Monitoring is a PROVISION OF SERVICE. The authorisation by the Director of Social Services (an
EMPLOYEE) is recorded via the SERVICE PROVIDER entity.
Visits etc are also PROVISIONS OF SERVICE.
P1.11.6.1 Level 4 Process: Complete Pathway Plan Review Record
1. Information, details of the proceedings at the Review and details of any decisions made
must be recorded in writing.
2. The Integrated Children System provides an exemplar template for this record (see ICS
exemplar ‘y’).
Data Management
The information on the Pathway Plan Record will be held in several entities in the Logical Data Model, for
example:• SERVICE USER;
• ADDRESS and ADDRESS USAGE;
• FAMILY MEMBER and FAMILY;
• PROVISION OF SERVICE;
• SERVICE USER NEED and SERVICE USER NEED SUMMARY;
• LEGAL STATUS;
• SERVICE USER PLAN and SERVICE USER PLAN OBJECTIVE;
• SERVICE USER DOCUMENT;
• SERVICE USER DOCUMENT RECIPIENT etc;
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P1.11.6.2 Level 4 Process: Revise Pathway Plan
1. The revised goals, tasks, programmes and services must be recorded in the Pathway
Plan.
Data Management
The SERVICE USER PLAN and SERVICE USER PLAN OBJECTIVE are updated as appropriate. The
Service User Plan Type will be “Pathway Plan”.
P1.11.7 Level 3 Process: Gather Care Leaver Performance Indicator Information
1. For each care leaver aged 19 CSSRs will need to seek information about whether they
are in education, training or employment and what accommodation they occupy in
order to provide data for the DH OC3 return. This is regarded as a key indicator of the
performance of CSSRs with respect to young people who need to be looked after and
is part of the National Indicator set (NIs).
Data Management
This information is recorded under Service User Age 19 Education/Employment Status.
P1.11.7.1 Level 4 Process: Extract Information for DH OC3 Return
1. The information needed for the DH OC3 return will be extracted from the information
records. Ideally this information would be extracted electronically from an IT system.
Data Management
This information is extracted from Service User Age 19 Education/Employment Status.
P1.11.7.2 Level 4 Process: Submit DH OC3 Return
1. Once extracted, the information has to be submitted in the prescribed format to the
Department of Health.
Data Management
No data management – this is the submission of the information extracted under the previous process.
P1.11.8 Level 3 Process: Refer to Adult Services, other CSSR Services or other
Agencies
1. A referral may be made to adult social services, other CSSR services or other agencies
as a result of either:•
•
The multi-agency Pathway Plan assessment (see P1.11.3 Level 3 Process:
Undertake Multi-Agency Assessment); or
The Pathway Plan review (see P1.11.6 Level 3 Process: Review Pathway Plan).
2. An early referral at the initial multi-agency assessment is likely to be particularly
important for young people for learning and other disabilities who will continue to be
entitled to services as adults. Adults services can be helped to provide better services
if a referral is made at the right time so that services can be in place that will be
needed once a young person moves into adulthood.
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other young people support groups or Child and Adolescent Mental Health Services
(CAMHS) may make a major contribution to their successful transition.
3. If a Care Leaver, at the time of the Pathway Plan review is 21 years of age or older and
is not continuing with an agreed programme of training and education then if continuing
support is required, a referral should be made to appropriate adult services or other
agencies.
Data Management
A referral is a PROVISION OF SERVICE. The recipient of the referral is recorded via NON SERVICE USER
SERVICE RECIPIENT.
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P2 LEVEL 1 PROCESS: SUPPLY SERVICES AND OTHER RESOURCES
1. The activities described within this process include the recruitment, assessment,
approval, training, management and support of foster carers and adoptive parents. It
does not include the recruitment and training of staff who are employees of the CSSR
e.g. residential social workers, social workers. Because of the particular nature and
status of services provided by foster carers and adopters to the CSSR, the processes
are dealt with discretely from the purchasing of other services.
Data Management
Details of data requirements are set out in the following sub-processes.
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P2.1 Level 2 Process: Provide Services
1. This process is where all general services are provided. This covers the whole range of
services and will include:•
•
•
•
•
•
•
•
In house professional staff-based services;
Helpdesk and reception services;
Social Work services
Occupational Therapy services;
Community based services;
Residential services;
Transport; and
Equipment.
2. Activities such as review meetings, assessment interviews and case conferences etc
are also regarded as services. In short any activity undertaken directly or indirectly for a
child or their family is a provision of service.
3. Services are provided in response to needs identified in the assessment processes and
as a consequence of implementing the Child in Need Plan (see P1.1 Level 2 Process:
Core Case Management Operations).
Looked After Children Placements
4. The making of a placement for a child is a provision of service. This service will be a
residential or family placement and will be provided by the CSSR itself (“in-house”) or
commissioned from an external provider. In each case a cost is involved.
5. The exact way services are charged will vary considerably across CSSRs. Each CSSR
will need to devise a means of costing services (planned and actual) that fits in with
their existing systems and accounting practices. Whatever solution is implemented, the
key data requirements are to record planned and actual costs so that they can be:•
•
•
Attributed against individual clients (SERVICE USERS);
Collated by service categories and types (Service Provider Category and Service
Provider Type); and
Recorded as items of committed and actual expenditure.
6. See Annex B: Financial Systems Overview for a high level overview of financial
management functions and systems.
7. The provision of a series and short-term placements is a service. Once the agreement
has been made and the arrangements set up, the practicalities may be sorted out
directly between the child’s permanent carers and those providing the placements.
These may form part of a package of support services.
8. The cost implications of the agreed series of short-term placements will need to be
authorised and the committed expenditure recorded on the financial information
system. The substitute carers will notify the children's social care services department when they have
received or looked after child in accordance with these arrangements in order that the
payment of their allowance is triggered and the committed expenditure converted to
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actual. Some of the placements may be with private and voluntary organisations and
may be funded by more than one Agency.
Data Management
All services provided are recorded under PROVISION OF SERVICE. The service provided is classified by
Provision Of Service Category and Provision Of Service Type. NOTE: There remains further work to be
done on classifying services.
The recipient of a PROVISION OF SERVICE may either be a child (a SERVICE USER), and/or someone
other than a child, for example the child’s family (a FAMILY) or an individual person, such as a carer (an
EXTERNAL PERSON). The recipients are determined via SERVICE USER SERVICE RECIPIENT and NON
SERVICE USER SERVICE RECIPIENT respectively.
The provider of the service is determined via SERVICE PROVIDER and may be an EMPLOYEE, GROUP,
EXTERNAL BODY or SERVICE USER. This allows all participants in the service provision to be recorded.
For example an assessment interview with a child (SERVICE USER) could record the social worker taking
the interview (an EMPLOYEE) as well as the child (SERVICE USER). The role can be recorded under
Service Provider Role.
P2.1.1 Level 3 Process: Initiate Service
1. This process represents the initiation of a specific service.
Data Management
This is recorded as a PROVISION OF SERVICE. When the service starts the Provision Of Service Actual
Start Date will be recorded (and if appropriate, the Provision Of Service Actual Start Time).
Details about who is providing (or participating in) the service will be recorded as EMPLOYEE, GROUP,
EXTERNAL BODY or in some circumstances SERVICE USER (eg a meeting with the child present) as
appropriate, via SERVICE PROVIDER.
Details about who is receiving the service will be recorded as SERVICE USER, via SERVICE USER
SERVICE RECIPIENT. If a service is provided to someone other than the individual child, then this is record
as EXTERNAL BODY, FAMILY or GROUP (as appropriate), via NON SERVICE USER SERVICE
RECIPIENT.
P2.1.2 Level 3 Process: Terminate Service
1. This process represents the termination of a specific service.
Data Management
When a particular PROVISION OF SERVICE ends the Provision Of Service Actual End Date will be
recorded (and if appropriate, the Provision Of Service Actual End Time).
Reasons for termination may be recorded under PROVISION OF SERVICE END REASON.
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P2.2 Level 2 Process: Recruit Foster Carers and Adoptive Parents
1. The recruitment of both foster carers and adoptive parents and, possibly, the initial
training may be regarded as a single process for the purposes of the Logical Data
Model. However it must be born in mind that, although the processes are the same, the
content of information exchanged and training will be distinct to correspond with the
different expectations of prospective foster cares and adopters. The recruitment activity
may be general e.g. an advertising campaign or other activity to increase or maintain
the general pool of foster carers/adoptive parents or specific recruitment to find foster
carers/adoptive parents for a particular child or sibling group. These will be described in
this model as general recruitment and child specific recruitment.
2. Recruitment may encompass a number of different activities, for example:
•
•
•
•
Placing general advertisements in national or local press
Using local networks e.g. churches and other community groups;
Using current carers to ‘spread the word’ that new carers are needed;
Holding a local recruitment day or week, which may include leaflets in local
resources such as libraries and GP surgeries and publicity in shopping centres.
3. To find carers for specific children, advertisements are most usually placed in the
professional journals published by the voluntary sector such as British Agencies for
Adoption and Fostering (BAAF) and National Foster Care Association (NFCA).
Advertisements for individual children may also appear in the national and local press.
4. Whichever recruitment method is used it is important that the results of each campaign
are monitored and the analysis used to tailor future recruitment/advertising activity.
5. A CSSR may choose to contract with an independent agency to provide a number of
foster carers or to find an adoptive family for a particular child.
6. All recruitment and advertising activity for foster carers will need to be undertaken in
line with the Code of Practice on the recruitment, assessment, approval, training,
management and support of foster carers, the National Minimum Standards for
Fostering Services and the National Standards for Adoption.
Data Management
Details of data requirements are set out in the following sub-processes.
P2.2.1 Level 3 Process: Decide to Run a Recruitment Campaign
1. The decisions to run a recruitment campaign (e.g. by advertising or leafleting) may be
taken to find a long-term family for a particular child/children, recruitment to the general
pool of foster carers or to join a particular scheme e.g. a professional scheme for
fostering adolescents. The decisions will also include the choice of advertising media.
Data Management
Advertising is a PROVISION OF SERVICE. The person (EMPLOYEE) authorising the decision is determined
via SERVICE PROVIDER.
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P2.2.1.1 Level 4 Process: Advertise
1. The advertisement is written, agreed and posted for appearance in the chosen media
on agreed dates and at an agreed cost. The whole of this stage may be contracted out
to an advertising agency for an agreed cost.
Data Management
Advertising is a PROVISION OF SERVICE. The advertising agency (an EXTERNAL ORGANISATION) (if
any) and the media company producing the advert (an EXTERNAL ORGANISATION) are determined via
SERVICE PROVIDER.
Cost is recorded as either a flat rate (Service Provider Flat Rate Charged) or as a unit cost (Service
Provider Unit Cost Unit, Service Provider Unit Cost Units Charged and Service Provider Unit Cost Unit
Amount).
P2.2.1.2 Level 4 Process: Pay for Advertising
1. An invoice will be received which will need to be checked and if correct certified for
payment against the appropriate cost centre budget code.
Data Management
Advertising is a PROVISION OF SERVICE. Cost is recorded as either a flat rate (Service Provider Flat Rate
Charged) or as a unit cost (Service Provider Unit Cost Unit, Service Provider Unit Cost Units Charged
and Service Provider Unit Cost Unit Amount). These attributes should be regarded as indicative only. This
is because the exact way services are charged, orders placed, invoices processed and payments made will
vary considerably across CSSRs. Each CSSR will have their own systems (manual and computerised).
Whatever solution is implemented, the key data requirements are to record costs so that they can be:• Attributed against individual clients (SERVICE USERS) if appropriate;
• Collated by service categories and types (Service Provider Category and Service Provider Type);
and
• Recorded as items of committed and actual expenditure.
P2.2.1.3 Level 4 Process: Record Response to Advertisements
1. Respondents to the advertisement must be carefully logged against each
advertisement and media/publication to ensure proper follow up and for subsequent
analysis of the effectiveness of particular advertisements.
Data Management
NOTE: Recording the response to the advertisements is not covered in Logical Data Model at present. This
may be addressed in later versions.
P2.2.1.4 Level 4 Process: Place Recruitment Leaflets
1. This may be a continuing recruitment method, one undertaken in order to launch a new
scheme or as part of a specific local recruitment campaign e.g. Foster Care Week.
Decisions will include target audience and where leaflets are to be located.
Data Management
A recruitment campaign is a PROVISION OF SERVICE. The person (EMPLOYEE) authorising the decision
is determined via SERVICE PROVIDER.
The objectives of the campaign may be recorded as PROVISION OF SERVICE OBJECTIVES.
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P2.2.1.5 Level 4 Process: Produce Recruitment Leaflets
1. Leaflets are designed and written for agreed target audiences and locations. This
whole process may be subcontracted out to a designer for an agreed cost.
Data Management
Leaflet production is a PROVISION OF SERVICE. The designer (an EXTERNAL ORGANISATION) (if any)
and the company producing the leaflets (an EXTERNAL ORGANISATION) are determined via SERVICE
PROVIDER.
Cost is recorded as either a flat rate (Service Provider Flat Rate Charged) or as a unit cost (Service
Provider Unit Cost Unit, Service Provider Unit Cost Units Charged and Service Provider Unit Cost Unit
Amount).
P2.2.1.6 Level 4 Process: Pay for Leaflets
1. An invoice will be received which will need to be checked and if correct, certified for
payment against the appropriate cost-centre budget code.
Data Management
Leafleting is a PROVISION OF SERVICE. Cost is recorded as either a flat rate (Service Provider Flat Rate
Charged) or as a unit cost (Service Provider Unit Cost Unit, Service Provider Unit Cost Units Charged
and Service Provider Unit Cost Unit Amount). These attributes should be regarded as indicative only. This
is because the exact way services are charged, orders placed, invoices processed and payments made will
vary considerably across CSSRs. Each CSSR will have their own systems (manual and computerised).
Whatever solution is implemented, the key data requirements are to record costs so that they can be:• Attributed against individual clients (SERVICE USERS) if appropriate;
• Collated by service categories and types (Service Provider Category and Service Provider Type);
and
• Recorded as items of committed and actual expenditure.
P2.2.1.7 Level 4 Process: Record Response to Leaflet Campaign
1. Respondents to the leaflet campaign must be carefully logged in order to ensure follow
up within the locally agreed timescales. It will be important to log which source
respondents obtained the information in order to analyse the effectiveness of the
leaflets and the overall recruitment strategy.
Data Management
NOTE: Recording the response to the advertisements is not covered in Logical Data Model at present. This
may be addressed in later versions.
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P2.3 Level 2 Process: Establish and Maintain Fostering Panel
1. The local authority (fostering service provider) must establish at least one panel to be
known as a fostering panel. Its purpose is to consider applications for approval as
foster carers and to make recommendations. It must be constituted in accordance with
Regulation 24 of the Fostering Services Regulations 2002. Authorities and fostering
service providers will need to keep records with details of fostering panel members in
order to ensure that the panel is properly constituted, that meetings are quorate and
communication with panel members is facilitated. Written records of panel proceedings
and reasons for its recommendations must be kept.
Data Management
A Fostering Panel will be recorded as a GROUP. Members of the Foster Panel will recorded as individual
instances of EMPLOYEE or EXTERNAL BODY as appropriate, via GROUP MEMBER. An EMPLOYEE will
be responsible for establishing and maintaining the GROUP (as shown by “the manager of” relationship
between EMPLOYEE and GROUP MEMBER).
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P2.4 Level 2 Process: Assess Potential Foster Carers/Adoptive Parents
1. The following processes are activated by an applicant making an application to the
Adoption Agency to become a prospective adopter.
Data Management
Details of data requirements are set out in the following sub-processes.
P2.4.1 Level 3 Process: Applicant Applies to Adoption Agency
1. After an initial enquiry by the applicant the adoption agency will ask the applicant to
complete an application and then meet with the applicants to explain how the
assessment process works, the information the agency will need to facilitate the
assessment, the legal consequences of adoption, and the practical consequences of
adopting a child.
Data Management
The meeting with applicant is a PROVISION OF SERVICE.
P2.4.1.1 Level 4 Process: Adoption Agency Conducts Checks with National Criminal
Records Bureau
1. If the applicant wishes to proceed, checks will need to be conducted through the
National Criminal Records Bureau (NCRB). This will reveal whether the applicants
have committed any offences that would disqualify them from becoming adopters.
NCRB checks are either satisfactory or unsatisfactory.
2. If the NCRB checks are unsatisfactory then the applicant will be notified (see P2.4.1.2
Level 4 Process: Adoption Agency Notify Applicant of NCRB Check Issue).
Data Management
A National Criminal Records Bureau (NCRB) check is a PROVISION OF SERVICE.
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P2.4.1.2 Level 4 Process: Adoption Agency Notify Applicant of NCRB Check Issue
1. The Agency will explain to the applicant why the offences recorded against the
applicant require the agency to discontinue the assessment process.
Data Management
The notification is a PROVISION OF SERVICE.
P2.4.1.3 Level 4 Process: Adoption Agency Terminate Application
1. If NCRB checks are unsatisfactory that is the end of the application.
Data Management
To be completed.
P2.4.2 Level 3 Process: Adoption Agency Conducts Assessment of Applicant
1. This process may begin in parallel with conducting National Criminal Records Bureau
(NCRB) checks.
Data Management
To be completed.
P2.4.2.1 Level 4 Process: Adoption Agency Prepare Report for Adoption Panel
1. A social worker will assess the suitability of the applicant to provide an adoptive home
for the child and prepare a report that presents the case for their suitability to the
Adoption Panel.
Data Management
To be completed.
P2.4.3 Level 3 Process: Adoption Agency Sends Applicant Copy of Report
1. The Adoption Agency will send a copy of the report prepared for the Adoption Panel to
the applicant.
Data Management
To be completed.
P2.4.4 Level 3 Process: Applicant Makes Observations on Report to Agency
1. The applicant may make observations on the report prepared for the Adoption Panel
and submit them to the Adoption Agency.
Data Management
To be completed.
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P2.4.5 Level 3 Process: Agency Submits Report and Applicant’s Observations to
Adoption Panel
1. The Adoption Agency will submit the report that they have prepared that presents the
case for the suitability of the applicant to the Adoption Panel, together with any
observations made by the applicant in regard to the report.
Data Management
To be completed.
P2.4.6 Level 3 Process: Adoption Panel Make Suitability Recommendation
1. The Panel will consider the report and any other information it may require and make a
recommendation to the Agency as to whether applicant is suitable or not.
Data Management
To be completed.
P2.4.7 Level 3 Process: Adoption Agency Makes Suitability Determination
1. The Agency must make a determination on the basis of the panel recommendation
whether the applicant is suitable to adopt.
2. If applicant is considered unsuitable then they will be notified (see P2.4.8 Level 3
Process: Adoption Agency Notify Applicant of Non-Approval).
Data Management
An Adoption Agency decision meeting is a PROVISION OF SERVICE.
The involvement of the Agency (an EXTERNAL ORGANISATION) in providing a specific PROVISION OF
SERVICE will be recorded as separate instances of SERVICE PROVIDER. In particular the Service
Provider Role will be determined and recorded.
The ADOPTION entity will also be updated as appropriate.
The SERVICE USER PLAN and SERVICE USER PLAN OBJECTIVE are updated as appropriate with the
Adoption Agency’s decision. The Service User Plan Type will be “Care Plan (Looked After Children)”.
P2.4.8 Level 3 Process: Adoption Agency Notify Applicant of Non-Approval
1. If the agency makes a determination that the applicant is not suitable to adopt, then the
agency should notify the applicant in writing as soon as possible, giving its reasons and
explaining that the applicant may ask for the case to be reviewed by an independent
review panel or to be referred back to the agency’s panel with additional information
provided by the applicant.
Data Management
To be completed.
P2.4.8.1 Level 4 Process: Adoption Agency Notify Applicant of Right to a Review
1. If the applicant does not seek a review then see P2.4.1.3 Level 4 Process: Adoption
Agency Terminate Application.
2. If the applicant does seek a review then there are two routes: either the applicant seeks
an independent review, that is a review panel that is independent of the adoption
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agency, or the applicant submits further information for the original adoption panel to
consider.
Data Management
To be completed.
P2.4.9 Level 3 Process: Adoption Agency Refers Case to Independent Review Panel
1. If the applicant seeks an Independent Review, the adoption agency refers the matter to
an independent review panel.
Data Management
To be completed.
P2.4.10 Level 3 Process: Independent Review Panel Review Case
1. The independent review panel considers all the information concerning the application.
Data Management
To be completed.
P2.4.10.1 Level 4 Process: Independent Review Panel Make Suitability
Recommendation
1. If the applicant wants a review but does not seek an independent Review Panel then:
Data Management
To be completed.
P2.4.11 Level 3 Process: Applicant Submits Further Information to Adoption Agency
1. If the applicant has information that they consider additional to that considered by the
adoption panel at the first meeting, then they can ask for this further information to be
put before the panel and for the application to be reconsidered.
Data Management
To be completed.
P2.4.11.1 Level 4 Process: Adoption Agency Refers Additional Information to
Adoption Panel
1. The adoption agency refers the new information together with any revisions to its own
report to the adoption panel.
Data Management
To be completed.
P2.4.12 Level 3 Process: Adoption Panel Review Case
1. The adoption panel reconsiders the application in the light of all the information now
before it.
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P2.4.13 Level 3 Process: Adoption Panel Makes Suitability Recommendation
1. This will be the second and final time the Adoption Panel would consider the
applicant’s suitability.
Data Management
To be completed.
P2.4.14 Level 3 Process: Adoption Agency Makes Suitability Decision
1. This is the final decision on the suitability of the applicant(s).
2. If the applicant is deemed unsuitable or suitable they are notified accordingly (see
processes P2.4.14.1 Level 4 Process: Adoption Agency Notify Applicant of NonApproval Decision and P2.4.14.2 Level 4 Process: Adoption Agency Notifies Applicant
of Approval as appropriate).
Data Management
To be completed.
P2.4.14.1 Level 4 Process: Adoption Agency Notify Applicant of Non-Approval
Decision
1. If the Agency decision is that the applicant is unsuitable having regard to the findings of
the Review then:
2. This will be the second and last time this notification will have occurred. This time there
is no question of a Review (See P2.4.1.3 Level 4 Process: Adoption Agency Terminate
Application).
3. If the Agency decision is that the applicant is suitable having regard to the findings of
the Review then:
Data Management
To be completed.
P2.4.14.2 Level 4 Process: Adoption Agency Notifies Applicant of Approval
1. At this point, the adoption process brings together the considerations and decisions
made regarding the applicant with those made regarding the child to suggest a
matching of approved prospective adopters with a child. Where the agency has made
a best interests decision that the child should be adopted (see P1.6.9 Level 3 Process:
Adoption Agency Consider Matching of Applicant and Child).
Data Management
To be completed.
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P2.5 Level 2 Process: Train Applicants, Approved Foster Carers and Adoptive
Parents
1. Training is key to equipping carers for their often difficult and demanding task to ensure
that they are able to provide good quality care for the children. It will be provided at 3
levels:
•
•
•
support, discussion and evaluation in the home (supervising social worker role)
participation in foster carer/adoptive parent groups
participation in formal training events with other foster carers/adopters and social
workers
2. A training strategy will be a key part of the agency’s support services taking into
account the aims of the foster care service and the range of competencies and skills
required in the carer’s tasks.
3. Training will take place at all different stages of the assessment and post approval
processes. Continuing training may be part of the terms of approval for carers and will
need to be provided in a flexible manner to take account of the child care
responsibilities of many if not most of the participants. Each foster carer/adoptive
parents should be encouraged to build up a training portfolio, which can be used as
part of their annual review.
4. A strategy for reviewing the content and quality of the foster care training programme
will need to be in place to ensure that the training content and delivery is in line with
good practice and research findings.
5. It is increasingly likely that training for carers will be linked to the acquisition of more
formal qualifications such as National Vocational Qualifications (NVQs).
Data Management
Specific Data Management requirements are described in the following sub-processes.
P2.5.1 Level 3 Process: Audit Training Needs
1. Staff and managers in family placement services will undertake a continuing audit of
the carers training needs in conjunction with the CSSR Training Unit. This will be
informed by training needs identified during the foster carer’s annual review (see
P2.6.4 Level 3 Process: Undertake Annual Review of Carer) or through post placement
support provided to adoptive parents or from foster carer schemes under development.
Data Management
Auditing of training needs and a foster carer’s annual review are both examples of a PROVISION OF
SERVICE. Training needs and objectives can be recorded under CARER TRAINING PLAN.
P2.5.2 Level 3 Process: Prepare Training Programme
1. The training programme will be derived from the audit and the requirements arising
from preparation and induction training. There may be continuing general requirements
for child protection training through to more focussed training for specialist carers.
Data Management
Drawing up a training programme is a PROVISION OF SERVICE. Training courses can be recorded as one
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or more planned PROVISIONS OF SERVICE.
P2.5.3 Level 3 Process: Purchase Training
1. Some training events such as preparation and induction training will be provided by
social service staff, usually from the family placement unit. Other more specialist
courses will be purchased from outside trainers, requiring contracts and invoices. If
training has been funded through the Training Support Programme (TSP), then a
record of type of courses, attendance and expenditure will need to be kept for the
return to the Department of Health.
Data Management
The record of who (an EXTERNAL BODY) is providing a course (a PROVISION OF SERVICE) and
therefore, in the case of training, who the training has been purchased from, is recorded under SERVICE
PROVIDER.
The recipient of the training (ie attendance) is recorded via NON SERVICE USER SERVICE RECIPIENT.
Expenditure is recorded as either a flat rate (Service Provider Flat Rate Charged) or as a unit cost (Service
Provider Unit Cost Unit, Service Provider Unit Cost Units Charged and Service Provider Unit Cost Unit
Amount).
P2.5.4 Level 3 Process: Record Training Portfolio
1. Each foster carer/adoptive parent will have a training portfolio, which will contain a
personal training plan, identified needs and a list of courses attended and successfully
completed. This information will be available for consideration at the annual review.
Data Management
Each courses actually attended and those planned to attend for a carer/adoptive parent (an EXTERNAL
PERSON) are recorded as PROVISIONS OF SERVICE, associated to the carer/adoptive parent via NON
SERVICE USER SERVICE RECIPIENT. This is where details of dates and costs are recorded.
Details of the name of the course and whether or not it was successfully completed are recorded under
CARER TRAINING COURSE.
P2.5.5 Level 3 Process: Evaluate Training Events
1. Training courses should be evaluated both by participants and the CSSR training unit
in order to inform the future training strategy and to ensure that the training is effective
in content and delivery. Training courses contribute to the skills resource in foster
carers and successful completion of good quality courses needs to be recorded on the
record of each foster care.
Data Management
NOTE: Recording the evaluation of training is not covered in Logical Data Model at present. It is not thought
essential to record ‘hard’ data at present, but may be addressed in later versions.
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P2.6 Level 2 Process: Manage and Support Foster Carers
1. The family placement service is a valuable but costly resource for CSSRs. It is the
main placement resource for children looked after and it is therefore essential that
there is a management strategy in place for the whole service, which is also linked to
wider placement options. A key part of the management strategy will be the support
services available to assist foster carers in their task. Good quality support is more
closely linked to retention than higher rates of pay and is key to placement stability.
Early support is particularly important for new carers, and/or where particularly
challenging children are in placement. Support services may include regular visits from
the child’s supervising social worker, out of home services, good accurate information
about the child, assistance in working with health and education agencies, and respite
care.
2. One of the roles of the supervising social worker is to connect the carer who is working
for the organisation but not as an employee, with those working inside it. S/he should
provide continuity and an overview of the agency’s procedures and practices. Carers
see availability, speed of response and accessibility as key characteristics of a good
quality support service.
Data Management
Specific Data Management requirements are described in detail below under the following sub-processes.
P2.6.1 Level 3 Process: Make Foster Care Agreement
1. The CSSR is required to enter into a written agreement with a foster carer at the time
of approval. The purpose of the agreement is to provide written information about the
terms and conditions for the partnership between the agency and the foster carer. The
support and training to be given to the foster carer and procedures for the annual
review are key areas for inclusion in the agreement. The foster carer’s terms of
approval contained in the foster care agreement must be accessible to authorised
managers and practitioners for use when deciding appropriate placements including
when working out of office hours (see P1.4.2 Level 3 Process: Decide on Immediate
Placement).
2. The procedures must allow for decision making when a child is in immediate need of a
placement and before the assessment is completed or a plan to meet the child’s needs
has been formulated.
Data Management
NOTE: Recording the details of the Foster Placement Agreement would be done under SERVICE
PROVIDER AGREEMENT. Terms of approval would be recorded under SERVICE PROVIDER APPROVAL.
P2.6.2 Level 3 Process: Supervise and Support Foster Carers
1. Family placement teams will provide supervising social workers or ‘link’ workers to visit
carers and record the visits. The supervising social workers will discuss any issues
arising in the placement, link carers to local foster care support groups and out of hours
services. They will also identify when placements are under stress and a respite break
may be required.
Data Management
Any activity that is a ‘support’ function (eg a visit, a support group meeting, respite care, etc), whether
planned or actual, is an example of a PROVISION OF SERVICE.
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Information that is gathered, issues identified and decisions made in response to the information and issues
will be documented in a SERVICE USER PLAN and SERVICE USER PLAN OBJECTIVE as appropriate.
Carers, such as Foster Carers, are, by virtue of the support they receive, will be in receipt of services. They
will therefore be SERVICE USERS in their own right.
P2.6.3 Level 3 Process: Agree Foster Carer Payments
1. In conjunction with approving a foster carer and reaching a formal Foster Placement
Agreement (under Schedule 6(2) of the Fostering Services Regulations 2002), a CSSR
may also agree payments to the foster carer in relation to the fostering. Payments will
vary according to the scheme, age and need of the individual child.
2. It is considered appropriate that the costs are recorded in relation to the child as part of
the placement cost.
3. Details of the agreed payments will need to be notified to the appropriate unit for
processing.
Data Management
The act of fostering is a PROVISION OF SERVICE. The cost of payments may be recorded here or under
SERVICE PROVIDER.
Cost attributes are also included in various entities in the Logical Data Model (PROVISION OF SERVICE,
SERVICE PROVIDER, and EXTERNAL BODY) that may be relevant for a foster carer providing a fostering
service. These attributes should be regarded as indicative only. This is because the exact way services are
charged (for example using timesheets to capture costs and apportionment to distribute costs) will vary
considerably across CSSRs. Each CSSR will need to devise a means of costing services (planned and
actual) that fits in with their existing systems and accounting practices. Whatever solution is implemented, the
key data requirements are to record planned and actual costs so that they can be:• Attributed against individual clients (SERVICE USERS);
• Collated by service categories and types (Service Provider Category and Service Provider Type);
and
• Recorded as items of committed and actual expenditure.
P2.6.4 Level 3 Process: Undertake Annual Review of Carer
1. The review process is a continuing two-way activity culminating in the formal annual
review as required by regulation. It involves discussion with the child/young person and
carer. Information from the case records of children placed with the carer will be
brought to the review of carer. It provides an opportunity for issues to be discussed with
the carer and for the carer to raise concerns about the CSSR. The review is both a
support mechanisms for the carer and a quality assurance mechanism. Management
information from all the annual reviews should be presented to the Family Placement
panel to inform the management strategy for the service. Where there are difficulties in
relation to individual carers the panel may wish to see the annual review in order to
consider the terms of approval and future needs of the carer. Any change to the carer’s
terms of approval or de-registration decisions must be recorded.
2. A process for gathering information relating to de-registration decisions will support a
strategy for recruitment and retention of foster carers and an evaluation of the quality
and safety of the service. Categories for de-registration might include:
•
•
•
Retirement;
Move to foster for another CSSR;
Move to foster in the independent sector;
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•
•
Become adopters;
Unsatisfactory care.
3. The annual review provides an opportunity to review the Foster Care Agreement
(under Schedule 5 of the Fostering Services Regulations 2002) and consider training
needs for the coming year (see P2.5.1 Level 3 Process: Audit Training Needs).
Data Management
An Annual Review of Carer is a PROVISION OF SERVICE. Each review can be planned for a specific date
to meet regulations (ie recorded in Provision Of Service Planned Start Date).
The involvement of the carer (an EXTERNAL PERSON) and the child/young person (SERVICE USERS) in
the specific PROVISION OF SERVICE will be recorded as separate instances of SERVICE PROVIDER. In
particular the Service Provider Role will be determined and recorded.
The SERVICE PROVIDER APPROVAL and SERVICE PROVIDER APPROVAL NOTE entities will be
updated as appropriate (eg the date and reasons for de-registration – Service Provider Approval Cancellation
Date and Service Provider Approval Cancellation Reason respectively).
The SERVICE USER PLAN and SERVICE USER PLAN OBJECTIVE are updated as appropriate. The
Service User Plan Type will be “Care Plan”.
Changes to the Foster Care Agreement may be reflected in SERVICE PROVIDER APPROVAL and
SERVICE PROVIDER APPROVAL NOTE.
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P2.7 Level 2 Process: Train and Develop Staff
1. Maintaining a skilled workforce requires an ongoing training and staff development
process. It is possible to identify the following levels or types of training and staff
development which may comprise a whole range of experiences, including shadowing,
visits, secondments as well as training events and formal vocational and academic
courses.
•
•
•
•
Induction
Core skill development
Specialised skill development
Qualifying and post qualifying courses
2. The seven level 3 processes that are described below apply to each of these four
types.
Data Management
NOTE: Training and developing staff is not covered in the Logical Data Model at present.
P2.7.1 Level 3 Process: Determine Individual Training Needs
1. Individual training needs are identified in dialogue between the staff member and their
supervisor or line manager. Training needs may come to light during routine
supervision and staff development interviews, but they must be addressed in annual
appraisals. In either of these situations the identification of the need is recorded and
transmitted to the training section.
2. All staff maintain their own training a development folder that serves as their personal
record of identified needs and how these needs were fulfilled. Individual training and
development needs may be met by a variety of means including shadowing, visits,
secondments and personal study as well as training events.
3. It may be helpful to classify needs according to the level or type, i.e. induction, core
skills, specialised skills, qualifying or post qualifying courses
Data Management
NOTE: Training and developing staff is not covered in the Logical Data Model at present.
P2.7.2 Level 3 Process: Audit and Analyse Training Needs
1. Training and staff development sections will collect, collate and analyse notifications of
training needs from individuals. The analysis will be used to devise training
programmes of various types. Classification needs according to the level or type, i.e.
induction, core skills, specialised skills, qualifying or post qualifying courses may be a
helpful framework for analysis.
2. Training and staff development sections will also be required to take account of
strategic management requirements identified by senior managers to enhance skills,
disseminate knowledge or support changes to practices or cultures.
Data Management
NOTE: Training and developing staff is not covered in the Logical Data Model at present.
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P2.7.3 Level 3 Process: Plan and Prepare Training Programme
1. The audit and analysis of training needs will produce an aggregated profile. Large
numbers of staff with similar needs will signal a priority but so too will strategic direction
set by managers. It is likely that the training and staff development plan will be drawn
up in close consultation with senior management. Specialist trainers will devise the
best means of meeting training needs within the budget set for staff development and
training. Strategic decisions may be made about how training resources are distributed
between the main types and levels of training.
2. A central training programme will be drawn up. This may provide for subsidiary
discretion within sub-budgets. However it is likely that there will be a departmental
programme that will address the main training levels and types (i.e. induction, core
skills, specialised skills, qualifying and post qualifying courses).
Data Management
NOTE: Training and developing staff is not covered in the Logical Data Model at present.
P2.7.4 Level 3 Process: Commission Training And Staff Development
1. The training plan needs to be firmed up into a programme. This will require training and
staff development inputs to be commissioned. Some of these inputs will be provided
within the resources of the department, some from within the resources of the council
but others will have to be bought in. The commissioning activity required for training
and staff development is in principle no different from commissioning generally (see
P2.8 Level 2 Process: Commission Services).
Data Management
NOTE: Training and developing staff is not covered in the Logical Data Model at present.
P2.7.5 Level 3 Process: Monitor Training Activity And Take Up
1. Training is certainly time consuming and can be expensive. Training opportunities once
established should be taken up. Otherwise resource is expended to no effect. It is
therefore crucial to the management of a training and staff development programme
that levels of activity and the take up of such activity is rigorously monitored. This
means recording attendance at events and following up on the non-attendees for
reasons. This information is needed to manage the tension between training and other
demands. Senior managers monitor regular short bulletins on training and staff
development take up (see P3.2.3 Level 3 Process: Check Workforce is being Trained
and Developed).
Data Management
NOTE: Training and developing staff is not covered in the Logical Data Model at present.
P2.7.6 Level 3 Process: Evaluate Training Events And Overall Impact
1. Those attending training events must be asked about their experience of it. This is
most timely and conveniently carried out by means of requiring each attendee to
complete a short questionnaire at the end of each event but there may be value in
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occasional retrospective surveys of staff attending events to see what longer term
impact events have had.
2. This will provide qualitative information that can be used to modify the programme or
how future events are conducted. Evaluation information is primarily for those
responsible for the training programme whereas the monitoring of training activity and
take up serves a wider management perspective.
Data Management
NOTE: Training and developing staff is not covered in the Logical Data Model at present.
P2.7.7 Level 3 Process: Identify Practice Teachers and Diploma in Social Work
Placements
1. CSSRs contribute to training the workforce by identifying suitably experienced and
qualified practitioners to provide practice learning for social work students. A record of
these practice teachers is necessary for planning practice placements with colleges
and for future returns to DH. The number of planned and actual assessed social work
placement days will need to be recorded against each practice teacher.
Data Management
NOTE: Training and developing staff is not covered in the Logical Data Model at present.
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P2.8 Level 2 Process: Commission Services
1. Increasingly CSSRs require a diverse range of services to enable them to provide the
specialisms, the quality and the capacity required. Some services are provided
internally within the CSSR, some externally. This process covers both internally
provided services and externally provided services.
2. Purchasing from external providers extends the volume and diversity of services a
CSSR can provide. Children looked after may have complex needs requiring specialist
service provision and a higher level of personal care than may be available within the
CSSR’s own resource. The extent of demand may exceed local supplies of family
support and family placement services. There may be very good reason for the service
users to exercise choice in the selection of a service provider, for example, in the
choice of advocacy or representation services that may be perceived by service users
as having a higher degree of independence. Users may also exercise choice through
direct payment schemes.
3. In some ways this process will resemble the contracting of community service
providers (see P2.10 Level 2 Process: Support Community Services). However there
are important differences which make it necessary to separate the processes. Most
notably here we are considering purchasing services for named children in need and
their families for whom the CSSR has very well defined responsibilities. This is
particularly the case for services purchased for children looked after. Contracts will
need to have very precise service specifications and agreements, and the quality of the
services will need to be monitored as if they were provided directly by the CSSR. Some
of these services, for example the provision of residential care, whether purchased or
provided directed by the CSSR will, in future, be subject to the same registration and
inspection standards and procedures (Care Standards Act 2000).
4. There are specific statutory requirements under regulation 40 of the Fostering Services
Regulations 2002 that apply when a local authority makes arrangements with an
independent fostering agency (see P2.8.3.1 Level 4 Process: Make Agreement with
Independent Fostering Agencies).
5. CSSRs have developed arrangements for commissioning, purchasing and contracting
of services. These arrangements are either undertaken solely by the CSSR, or jointly
with partner agencies (for example, in the joint purchasing with Health and Education of
external placements or other services).
6. Feedback from the first version of this document identified that the interests of
uniformity across large CSSRs and consortia can be served by the standardisation of
basic documentation. This may include agreed standards, which can be applied
generically. This documentation should be drawn off from electronic files available on
the information system. These physical requirements are a matter for CSSRs and their
partners, to negotiate with their system suppliers.
Data Management
Specific Data Management requirements are described below under the following sub-processes.
P2.8.1 Level 3 Process: Specify Service Requirements
1. Before an internal or external service provider is identified, it would normally be
necessary to specify the service requirements first, based on the assessment of the
child/ren before assessing and matching the provider’s offered services to the services
required.
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2. The detail and format of the service requirement is likely to vary. The nature of it is
likely to depend on the nature of the service required. An arrangement may be anything
from an informal internal arrangement to a complex, legally binding contract, or
anywhere in between. Localised standards and procedures will apply within each
CSSR.
3. The appropriate person/unit (possibly a CSSR manager, or possibly a Contracting Unit,
for example) will, in consultation with other relevant professionals, managers and
partner agencies, draw up a service specification. It is common for the Contracting Unit
to set the general specification of standards but the detailed requirements for individual
service users will be completed by the fieldwork team responsible for the management
of the service user’s case. The specification, however, put together will stipulate the
detailed nature of the services required and the standards to which they must be
delivered.
Data Management
NOTE: Recording the specification of services is not covered in Logical Data Model at present.
P2.8.2 Level 3 Process: Select Service Provider
1. This will be conducted in accordance with procedures, for example tendering, designed
to ensure fairness, assessment of capacity to meet service specification and value for
money.
2. CSSRs will want to assure themselves that the provider they select will meet at least
minimum requirements against national standards, regulations and guidance. CSSRs
may wish to develop a list of preferred suppliers (see P2.9 Level 2 Process: Accredit
Suppliers as Preferred Providers).
Data Management
The selection of a service provider could be regarded as a PROVISION OF SERVICE if it is necessary to
record specific details (dates etc about the selection process itself. Note that selection could be broken down
into a number of separate activities (eg “tendering”), each of which could be recorded as a separate instance
of PROVISION OF SERVICE. Alternatively, if the only information that needs to be recorded about the
selection is that a particular provider (eg an EXTERNAL ORGANISATION) provided a specific service (a
PROVISION OF SERVICE), this can be recorded by associating the two via SERVICE PROVIDER (including
details of costs).
P2.8.3 Level 3 Process: Make Formal Service Agreement
1. Once a service provider is identified, it is likely that a ‘formal’ service agreement will be
made.
2. If the agreement is with an internal service provider, then it may be that the agreement
is informally reached between managers. Even though the nature of the agreement
may be informal, it still may form the basis of a formal commitment to provide a service.
3. Where the agreement is with an external provider, and then it is likely that there will be
a formal, legally binding contract, agreed and signed by the authorised representative
of the CSSR and the supplier. Some CSSRs may have a specialised Contracting Unit
to help draw up a bespoke contract or advise on the use of a standard contract.
4. In addition, there may be supplementary arrangements that form part of the Service
Agreement (eg Service Level Agreements, Terms & Conditions, payment schedules
etc).
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5. It should be noted that a service agreement may be for a ‘spot’ agreement (eg to
provide a one-off, specific service, possibly for a specific individual), or may be a ‘block’
agreement (eg to provide a certain level of service over a set period, such as 8 beds at
a residential centre for a 12 month period).
6. These agreements (particularly when they refer to individual children) should be
constantly accessible to authorised practitioners and managers who may need to refer
to them when working out of office hours.
Data Management
Details of the agreement are recorded under SERVICE PROVIDER AGREEMENT and SERVICE
PROVIDER AGREEMENT TERMS AND CONDITIONS.
P2.8.3.1 Level 4 Process: Make Agreement with Independent Fostering Agencies
1. There are particular requirements for making service agreements with Independent
Fostering Agencies. No arrangement can be made for the care and accommodation of
a child looked after to be provided by an Independent Fostering Agency unless the
local authority has entered into a written agreement with the registered person
responsible for the agency. This agreement must set out:
•
•
•
•
•
Which of its duties the local authority proposes to delegate to the agency (in
accordance with Regulation 40);
The services to be provided to the local authority by the registered person;
The arrangements for the selection by the local authority of particular foster carers
from those approved by the registered person;
A requirement for the registered person to submit reports to the local authority on
any placements as may be required by the authority, and particularly following any
visits to supervise the placement;
The arrangements for the termination of agreements.
2. Agreements that relate to a particular child shall set out:
•
•
•
•
•
•
Details of the particular foster carers with who the child is to be placed;
Details of any services the child is to receive;
The terms (including payments) of the proposed Foster Placement Agreement
(under Schedule 6 of the Fostering Services Regulations 2002);
The arrangements for record keeping about the child, and the return of records at
the end of the placement;
A requirement for the registered person to notify the local authority immediately in
the event of any concerns about the placement;
Whether and on what basis other children may be placed with the foster carer.
Data Management
The agreements will be recorded under SERVICE PROVIDER AGREEMENT and SERVICE PROVIDER
AGREEMENT TERMS AND CONDITIONS.
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P2.8.3.2 Level 4 Process: Monitor and Evaluate Service Agreement
1. It is likely that the CSSR will want to collect information about the quality of the service
provided by each supplier from a number of sources including:
•
•
•
•
Reports from caseworkers on children and families’ experience
Reports from the case record about whether those parts of care plans that are the
supplier’s responsibility have been carried out satisfactorily ;
Inspection reports; and
Complaints and compliments.
2. This will ensure that the expectations of the service purchaser and the service user are
met. The CSSR will use this information to determine, subject where necessary to legal
advice, whether:
•
•
•
The service agreement is terminated on the grounds that it has been breached
(potentially very important where formal legally binding contracts form the service
agreement)
The service agreement will not be renewed when it reaches the end of its currency
The service agreement will be renewed when it reaches the end of its currency
Data Management
Service Agreement monitoring and evaluation is a PROVISION OF SERVICE. Each review can be planned
for a specific date (ie recorded in Provision Of Service Planned Start Date).
The involvement of a member of the child’s family (an EXTERNAL PERSON), a caseworker (an
EMPLOYEE) and the child/young person (SERVICE USERS) in the specific PROVISION OF SERVICE will
be recorded as separate instances of SERVICE PROVIDER. In particular the Service Provider Role will be
determined and recorded.
The SERVICE PROVIDER AGREEMENT and SERVICE PROVIDER AGREEMENT TERMS AND
CONDITIONS entities will be referenced as appropriate.
P2.8.4 Level 3 Process: Review Service Agreement
1. The results of the monitoring and evaluation of service agreements will determine if
and when a review of the service agreement is required. In any event, it is anticipated
that CSSRs may wish to review the service agreement at regular intervals and when
the agreement is reaching its end. If concerns are identified before a planned review, a
CSSR may wish to undertake an ad hoc review.
Data Management
A review of a Service Agreement is a PROVISION OF SERVICE. Each review can be planned for a specific
date (ie recorded in Provision Of Service Planned Start Date).
The involvement of a member of the child’s family (an EXTERNAL PERSON), a caseworker (an
EMPLOYEE) and the child/young person (SERVICE USERS) in the specific PROVISION OF SERVICE will
be recorded as separate instances of SERVICE PROVIDER. In particular the Service Provider Role will be
determined and recorded.
The SERVICE PROVIDER AGREEMENT and SERVICE PROVIDER AGREEMENT TERMS AND
CONDITIONS entities will be referenced as appropriate.
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P2.8.5 Level 3 Process: Amend Service Agreement
1. If a review of a service agreement identifies the need to change it, it may be necessary
to negotiate and agree an amended service agreement with the service provider.
Data Management
The SERVICE PROVIDER AGREEMENT and SERVICE PROVIDER AGREEMENT TERMS AND
CONDITIONS entities will be amended as appropriate.
P2.8.6 Level 3 Process: Terminate Service Agreement
1. A service agreement may be terminated, possibly because of:
•
•
•
•
A mutual agreement between the CSSR and the service provider;
Defaulting on the agreement by the CSSR or the service provider (eg by way of a
default clause in a Contract);
Unilateral termination of the agreement by the CSSR or service provider, possibly
with an agreed notice period, possibly not (may be subject to follow-up actions); or
The service agreement reaching its end date.
2. CSSRs will wish to record the date of termination and the reason for termination.
3. When a service agreement is terminated there may be other internal processes
triggered, such as notifying those responsible for arranging placements and notifying
payment processing units so that no unnecessary payments are made.
Data Management
Termination of the service agreement is recorded under SERVICE PROVIDER AGREEMENT, specifically
under Service Provider Agreement Cancellation Date and Service Provider Agreement Cancellation
Reason.
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P2.9 Level 2 Process: Accredit Suppliers as Preferred Providers
1. Before any contract with an external provider is entered into, a CSSR will undertake
enquiries, including visits to premises, examination of inspection reports and
consultation with other users to ensure compliance with statutory regulations and local
quality standards.
2. In some cases this may be known as accreditation, in others as approval. Its purpose is
to establish which suppliers the CSSR prefers to use. These may be called Preferred
Providers and information systems will be in place to facilitate their usage and keep
records of purchases and the providers performance.
3. Increasingly different CSSRs and other agencies are co-operating in assessing and
accrediting service providers, so a CSSR may not need to do their own accreditation or
may do a limited appraisal to their own local quality standards.
4. The pricing record of suppliers will be germane to their accreditation.
5. There will be some circumstances where suppliers are approved for services which are
purchased directly by users using funds made available to them through direct
purchasing schemes.
Data Management
Specific Data Management requirements are described in detail below under the following sub-processes.
P2.9.1 Level 3 Process: Apply For/Identify Accreditation as a Preferred Provider
1. A potential service provider may apply for accreditation as a preferred provider.
Alternatively, in the course of commissioning services (see P2.8 Level 2 Process:
Commission Services) a CSSR may identify (for example by tendering) a supplier that
they wish to use that is not yet accredited, in which case this will trigger the need for
accreditation/approval.
Data Management
The application for accreditation/approval will be recorded under SERVICE PROVIDER APPROVAL.
P2.9.2 Level 3 Process: Inspect/Check Supplier
1. This sub-process may entail a very detailed check (e.g. an inspection of a residential
home) or may be a more limited check on reports and/or references from other CSSRs
or clients.
2. Providers of care and accommodation services for children will be inspected by Ofsted.
CSSRs will study inspection reports prepared by Ofsted and make sure all current
information about the prospective providers are to hand.
3. Where there are statutory regulations governing standards of service provider (e.g. the
Children’s Homes Regulations 2002) these must be thoroughly checked and complied
with. Standards laid down in statutory regulations, will invariably be augmented by such
documents as best practice guidance, nationally published minimum standards, agreed
consortia standards and their own local quality standards to inspect and check
suppliers.
Data Management
Inspections and visits to premises are examples of a PROVISION OF SERVICE. Information gathered will be
recorded under SERVICE PROVIDER APPROVAL and SERVICE PROVIDER APPROVAL NOTE as
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appropriate.
P2.9.3 Level 3 Process: Accept/Reject Accreditation
1. The results of any inspections and checks that take place in the previous sub-process
will be used by a CSSR to either accept or reject a service provider accreditation as a
preferred provider.
2. Where accreditation is undertaken jointly with other CSSRs or other Agencies, then
part of this process will be to notify these partners accordingly.
Data Management
The results of the inspection/check will be recorded under SERVICE PROVIDER APPROVAL.
P2.9.4 Level 3 Process: Review Accreditation
1. In the course of time it may be necessary to review the accreditation of a preferred
service provider. For example, this may be because:
•
•
•
•
•
the service provider requests it because they have changed the nature of services
they offer;
the CSSR wishes to use the service provider for something that they are not
currently accredited for;
of a regular scheduled review as part of quality and performance monitoring;
the accreditation is time limited and is nearing expiry; or
of a complaint(s) about the service provider.
2. The above examples are illustrative only and are not definitive.
3. The review may involve further inspections and checks, if relevant (see P2.9.2 Level 3
Process: Inspect/Check Supplier).
Data Management
A review of an accreditation/approval is a PROVISION OF SERVICE. Information gathered will be recorded
under SERVICE PROVIDER APPROVAL and SERVICE PROVIDER APPROVAL NOTE as appropriate.
P2.9.5 Level 3 Process: Remove Accreditation
1. In the course of time it may be necessary to remove an accreditation. This may be
because:
•
•
•
•
the service provider requests it because they no longer wish to offer the service that
that they have been accredited/approved for;
the CSSR no longer considers a service provider to be suitable for
accreditation/approval (eg because of a review or because of a breach of contract);
the accreditation/approval is time limited and has reached expiry;
the service provider goes out of business.
2. The above examples are illustrative only and are not definitive.
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3. Where accreditation/approval is undertaken jointly with other CSSRs or other
Agencies, then part of this process will be to notify these partners accordingly that
accreditation/approval has been withdrawn.
Data Management
The removal of an accreditation/approval will be recorded under SERVICE PROVIDER APPROVAL.
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P2.10 Level 2 Process: Support Community Services
1. Social Services Departments extend their interest in the wellbeing of children and
families beyond those cases that are directly referred for services. They support the
wider community by promoting various forms of pro-active assistance to vulnerable
groups. These may be support groups, drop in centres, advocacy services and so forth.
The children's social care services department may not know users of these services and therefore no
individual records will normally be kept. Indeed part of the value of some of these
services is their informal nature.
2. CSSRs have an interest in the way other bodies such as schools or health visitors work
effectively together and operate agreed protocols for information giving and referral so
that families, not known to the CSSR, are put in touch with local services easily and
effectively.
3. Most CSSRs will fund projects or initiatives which provide help and promote the welfare
of children and their families who may not be known as children in need to children's social
care services departments. These community services will be funded or part-funded by
means of grants paid to voluntary or (less likely) private organisations by the CSSR.
However, because of the nature of the service there will not be any case records in
respect of these children unless they are referred as individuals or as families.
4. CSSRs need to collect some information about these activities although the nature of
information will not be based on data about an individual child. They will need to know
the level of grant funding for each of these activities. They will need returns from these
facilities that give some measure of the level of take-up, activity and outcome. This will
be needed to account for the public expenditure, to assess compliance with service
agreements and for service planning purposes.
Data Management
Specific Data Management requirements are described below under the following sub-processes.
P2.10.1 Level 3 Process: Commission (Agree to Fund) Community Service
Providers
1. The CSSR will make a service agreement with another agency to provide a range of
services that support children and families who are not necessarily referred to the
CSSR for direct help. In some cases, commissioning of a service may involve the
payment of a grant to fund the service. Indeed, CSSRs may be approached by
community based agencies for grants to help them sustain their work. The nature and
volume of these services will be specified in the service agreement together with the
value of the grant agreed.
Data Management
Details of the Agency providing services are recorded in the EXTERNAL BODY entity (specifically the subtype EXTERNAL ORGANISATION).
Note that other details, such as address, could also be recorded at this stage (in the ADDRESS and
ADDRESS USAGE entities).
The service agreement is recorded under SERVICE PROVIDER AGREEMENT and SERVICE PROVIDER
AGREEMENT TERMS AND CONDITIONS.
P2.10.2 Level 3 Process: Provide Usage and Cost Information
1. On an agreed basis the agency will submit to the CSSR an account of expenditure
against budget and returns on the numbers and user profile of children / families who
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received the service over a specified period and outcomes of this service delivery. By
“numbers and user profile” is meant an indication of the breakdown of types of users in
terms of the reason why they need the services provided.
Data Management
Cost attributes are also included in various entities in the Logical Data Model (PROVISION OF SERVICE,
SERVICE PROVIDER, EMPLOYEE, GROUP and EXTERNAL BODY). These attributes should be regarded
as indicative only. This is because the exact way services are charged (for example using timesheets to
capture costs and apportionment to distribute costs) will vary considerably across CSSRs. Each CSSR will
need to devise a means of costing services (planned and actual) that fits in with their existing systems and
accounting practices. Whatever solution is implemented, the key data requirements are to record planned
and actual costs so that they can be:• Attributed against individual clients (SERVICE USERS);
• Collated by service categories and types (Service Provider Category and Service Provider Type);
and
• Recorded as items of committed and actual expenditure.
P2.10.3 Level 3 Process: Review Service Provider Performance
1. A decision will be made on the basis of this information from the agency, together with
any inspections or inquiries, whether the service is effective and whether the grant
should continue at the same or a different level. Service agreements may be
terminated, renewed or not renewed.
Data Management
A review of Service Provider performance is a PROVISION OF SERVICE.
The SERVICE PROVIDER AGREEMENT and SERVICE PROVIDER AGREEMENT TERMS AND
CONDITIONS entities will be referenced as appropriate.
P2.10.4 Level 3 Process: End Service Agreement and Grant Funding
1. If a contract is terminated or not renewed, the agency must be given due notice,
together with other interested parties such as the community representatives,
councillors and council officers. Finance must be notified to cease payments.
Data Management
Termination of the service agreement is recorded under SERVICE PROVIDER AGREEMENT.
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P3 LEVEL 1 PROCESS: MANAGE SERVICES
1. Information derived from the CSSR’s funding Social Services Operations (section P1)
and the Supply of Services (section P2) for children has to be brought together for
management purposes. This is in itself a process. This information can be voluminous
and can be used in several contexts described below. Which data is really significant
will be determined in the light of experience and local needs. Information systems
should be flexible enough to be able to draw off data in different ways as and when
required without the need to redesign the whole system.
2. For the purposes of this document we distinguish processes in which information is
utilised for management purposes:
•
•
•
•
Managing operations – the use of information to support, monitor and control the
day to day activity of delivering children’s social care services
Managing resources – both human and physical - the use of information to ensure
that the resources are available to be deployed as and when needed.
Developing services – the use of information, including that required by central
government, to ensure that services improve in terms of their quality and
performance.
Managing finance – the use of information to account for and plan expenditure and
to demonstrate probity.
Data Management
Specific Data Management requirements are described below under the following sub-processes.
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P3.1 Level 2 Process: Manage Operations
1. Information for operational management relates to keeping the day to day provisions of
services running efficiently. It will encompass volume, workflow, case allocation,
compliance with regulations and best practice, and so forth. Regulation and statutory
guidance control many activities required to deliver children’s social care services, so
one aspect of operational management is to ensure that legislation and regulation are
complied with. Information systems must help ensure compliance.
2. Data on children in need and service provision will be aggregated regularly and
provided for management meetings at several levels in the organisation up to and
including meetings of elected Members. Councillors and officers must know what is
going on in the services they are responsible for. Regular meetings of managers with
specialist responsibility will monitor performance of, for example, services for children
supported in their families, services for children who are the subject of a child protection
plan, services for children looked after and those who have left care. It is important
that, within each CSSR, a consistent approach is followed when collecting data, so that
the statistics generated are accurate. If all CSSRs use a common approach, there will
also be the added benefit that centrally collected statistical returns will also be
consistent and accurate across all CSSRs. This will be achieved if the right culture is
created and front line staff receive information which tells them how well they are
doing.
Data Management
Specific Data Management requirements are described in detail below under the following sub-processes.
P3.1.1 Level 3 Process: Monitor Compliance with Time Limits and Regulations
1. Time is of the essence in children’s social care. This explains the appearance of time
limits in regulation and guidance. Managers will require information to assess
compliance with regulatory and best practice requirements and performance in meeting
specific time limits (in particular for the assessment of children in need, convening of
initial child protection conferences and all types of review).
Data Management
Each service undertaken is a PROVISION OF SERVICE. The date and time each particular service started
and ended can be recorded under this entity. It will therefore be possible to determine duration of particular
activities and the elapsed time between two different activities.
P3.1.1.1 Level 4 Process: Monitor Compliance with the Framework for the
Assessment of Children in Need and their Families and Working Together
1. For each new referral a CSSR will need to confirm the date a decision is made about
the action to be taken in response to a referral and compare this with the date of
referral.
2. For each case remaining open beyond 24 hours of referral, a CSSR will want to
confirm the date the initial assessment is completed and compare this with the date of
referral.
3. For each case which, as a result of the initial assessment, or where new information
comes to light, a decision is made that a core assessment is necessary, a CSSR will
need to record the date of the decision and the date of completion of the core
assessment and compare these two dates.
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4. For each case where there is a decision to initiate section 47 enquiries the date of that
decision, which is the date of the strategy discussion, should be recorded. The date of
the holding of the initial child protection conference, if one is held, and the date of
completion of the core assessment (required in all such cases) should be recorded and
these three dates compared.
Data Management
Dates of each service provided (eg referral, initial assessment, section 47 enquiry, child protection
conference and completion of core assessment) are recorded under PROVISION OF SERVICE. These will
be compared to monitor performance in meeting time limits.
P3.1.1.2 Level 4 Process: Monitor Compliance with Arrangements for Placement of
Children (General) Regulations 1991
1. CSSRs will want information on hand that tells them the extent regulations are being
complied with. Appropriate indicators are given below.
2. Each time a child becomes looked after a CSSR will need to:
•
•
•
•
•
Record the date on which the arrangements were written down, that is the date the
initial care plan was completed, and compare this with the date the child became
looked after;
Record the dates on which the notifications required under regulation 5 were made
in writing and compare these with the date the child became looked after;
Record the date on which the child’s health was assessed and compare this with
the date the child became looked after;
Record the entry of required particulars of children looked after in the placement
register as required by regulation 10; and
Identify each child for whom an agreed plan for a series of short-term placements
applies (regulation 13).
Data Management
Dates of each service provided (eg Child Looked After, Health Assessment etc) are recorded under
PROVISION OF SERVICE. These will be compared to monitor performance in meeting time limits.
P3.1.1.3 Level 4 Process: Monitor Compliance with Reviews of Children’s Cases
Regulations 1991
1. CSSRs will want information on hand that tells them the extent regulations are being
complied with. Appropriate indicators are given below.
2. For every instance of a child being looked after a CSSR will need to:
•
•
•
•
Record the date the first review occurred and compare this with the date of
becoming looked after
Record the date the second review occurred and compare this with the date of
becoming looked after
Record the date of all subsequent reviews and compare this with the last date the
review could have occurred to keep within regulations
For each review, record the date on which the child, his/her parents, persons with
parental responsibility, other significant persons were consulted prior to the review.
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•
For each review, record the date on which the child, his/her parents, persons with
parental responsibility, other significant persons were notified of the outcome of the
review and compare this with the date of the review
Data Management
Dates of each service provided (eg a case review, a consultation prior to the review or a notification of the
outcome of a review etc) are recorded under PROVISION OF SERVICE. These will be compared to monitor
performance in meeting time limits.
Note that an interview with a child (SERVICE USER) or their parent(s) (EXTERNAL PERSON(S)) for
example are all PROVISIONS OF SERVICE in their own right.
P3.1.1.4 Level 4 Process: Monitor Compliance with Fostering Services Regulations
2002
1. CSSRs will want information on hand that tells them the extent regulations are being
complied with. Appropriate indicators are given below.
2. The following require monitoring for foster care placements:
•
•
•
•
•
•
•
•
•
•
•
Confirmation that the foster carers are approved by either a) the responsible
authority proposing to make the placement or b) another fostering service provider.
(Reg. 34 (1)(a))
Confirmation that the terms of approval are consistent with the proposed placement
Reg. (1)(b)
Confirmation that there is a Foster Care Agreement for the placement. (Reg. 34(c)
Confirm that the placing CSSR approves the placement (Reg.33).
Record each case of a child being placed in an immediately (under Regulation
38(2)) with a person not approved as a foster carer and enter the name and
required particulars of this emergency carer on the register of foster carers.
For each case of a child being placed in as an immediate placement with a person
not approved as a foster carer, record the date of the placement and compare with
today’s date to ensure placement does not exceed six weeks. (Reg. 38(2))
For each case of a child being placed in as an immediate placement with a person
not approved as a foster carer, record the number of visits a person authorised by
the CSSR and compare this with the number of weeks the child has been in
placement, (Reg. 35(2))
For each child placed under the Fostering Services Regulations 2002, record the
date the Foster Placement Agreement was signed and compare this with the date
child was actually placed. (Reg. 34(3)
For each child placed under the Fostering Services Regulations 2002, confirm the
date of the last visit by a person authorised by the CSSR and compare this with
today’s date (and check against the requirements of regulation 35(1).
For each child placed under an agreement for a series of short term-placements
confirm the date of the agreement and compare with today’s date.
For each child placed under an agreement for a series of short-term placements
record the cumulative days of placement and check that it does not exceed 120 in
last twelve months. (Reg. 37(1))
Data Management
Dates of each service provided (eg Foster Care Placement, Emergency Carer Placement etc) are recorded
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under PROVISION OF SERVICE. These will be compared to monitor performance in meeting time limits.
The date the written agreement was signed is determined from Service Provider Approval Date.
P3.1.1.5 Level 4 Process: Monitor Compliance with Placement of Children with
Parents etc Regulation 1991
1. CSSRs will want information on hand that tells them the extent regulations are being
complied with. Appropriate indicators are given below.
2. For each child in the care of the CSSR who is placed with his or her parents etc,
•
•
•
Record date of decision by the Director or nominated officer to place child with
parents (etc.) and compare with date child returned to live with parents etc.
Record date that a written copy of the agreement between the CSSR and the
parents etc was given/sent to the parents etc and compare this with the date the
child returned to live with parents etc.
Record the date of the last visit by an authorised person and compare this with
today’s date.
Data Management
Dates of each service provided (eg a placement with parents, home visit etc) are recorded under
PROVISION OF SERVICE. These will be compared to monitor performance in meeting time limits.
P3.1.1.6 Level 4 Process: Monitor Compliance with Children (Secure
Accommodation) Regulations 1991
1. CSSRs will want information on hand that tells them the extent regulations are being
complied with. Appropriate indicators are given below.
2. For each child placed in secure accommodation, record the date:
•
•
•
A Court made an order under section 25 Children Act 1989 and compare this with
date the child entered secure accommodation;
A Court made an order under section 25 Children Act 1989, the maximum period of
accommodation in secure accommodation authorised by the court and compare this
with today’s date; and
Of the last review (regulation 15) of the need for secure accommodation with the
date child entered secure accommodation and today’s date.
Data Management
Dates of each service provided (eg a Court Order, Secure Accommodation Placement, case review etc) are
recorded under PROVISION OF SERVICE. These will be compared to monitor performance in meeting time
limits.
P3.1.1.7 Level 4 Process: Monitor Compliance with Children’s Home Regulations
2002 – Regulation 33 Visits
1. CSSRs will want to ensure that each community home, which they maintain, is visited
monthly. These visits must be undertaken by councillors or their representatives.
Representatives should not have day to day operational involvement with the home.
The purpose of these visits is to ensure that councillors are regularly and fully apprised
of the conditions in the children’s homes for which they are responsible.
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2. For each community home maintained by the CSSR, the CSSR should record the date
of each visit conducted by a person authorised by the CSSR to conduct regulation 22
visits and compare this with the date on which the previous visit occurred.
3. For each visit the CSSR should record:
•
•
•
•
the name of the councillor or representative making the visit,
whether the visit was unannounced,
the date the report of the visit was made submitted to the CSSR, and
any recommendations for action arising out of the visit.
Data Management
A regulation 33 visit is a PROVISION OF SERVICE. Submitting the report is also a PROVISION OF
SERVICE (a separate instance). The involvement of other individuals (EXTERNAL PERSONS or
EMPLOYEES) making the visit is determined via SERVICE PROVIDER.
At present there are no specific attributes to record whether the visit was announced or not, so this would be
recorded under Provision Of Service Comment.
Recommendations arising from the report are not captured in the Logical Data Model at present. However,
the adoption of recommendations may impact on SERVICE PROVIDER APPROVAL, SERVICE PROVIDER
APPROVAL NOTE, SERVICE PROVIDER AGREEMENT and SERVICE PROVIDER AGREEMENT TERMS
AND CONDITIONS. These will be assessed and amended as appropriate by the processes P2.8.4 Level 3
Process: Review Service Agreement and P2.9.4 Level 3 Process: Review Accreditation respectively.
P3.1.2 Level 3 Process: Undertake Case Allocation
1. Allocation is the process by means of which the executive responsibility for a case is
identified. An allocated case has a named officer responsible for ensuring the
necessary work is taken forward. The extent to which cases are allocated, awaiting
allocation or not allocated is a barometer of how well a CSSR is coping with pressure
stemming from exceptional demand or staff shortages. Managers are likely to require
up to date (at least daily) information about the allocation of cases including case
status or type of case, in particular lists of unallocated cases.
2. All children’s cases will require a period of activity undertaken by, or under the direction
of, the allocated social worker, occupational therapist or similar officer. Most cases will
be closed after a period of activity. Some will remain open and active for a long time. A
third option applies when a child or family receives a service that is effective over a
period of time such as attendance at day care, or the provision of an aid. In these
cases a decision is made to take no additional action until a specified review date or
until new information comes to light. Managers must have ready access to information
on which cases are treated in this way.
Data Management
Case allocation is a PROVISION OF SERVICE. The person allocated the case (an EMPLOYEE) is
determined via SERVICE PROVIDER. The status of a case (eg “Current”, “On Review”, “Closed”) is explicitly
recorded under Service User Case Status.
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P3.2 Level 2 Process: Manage Human Resources
1. Personnel Departments will handle the bulk of information requirements about human
resources. There are, however, some aspects of HR management which children's social
care services managers will want readily to hand. These are information about:
•
•
•
•
•
•
•
How authorised posts are filled by employees, agency staff, absences etc;
The length of time taken to fill vacancies;
The annual turnover of staff;
The reason why people leave;
Recruitment procedures to ensure only satisfactory people are employed to work
with children have been carried out fully;
The ethnicity and disability status of staff; and
Staff qualifications.
Data Management
Specific Data Management requirements are described below under the following sub-processes.
P3.2.1 Level 3 Process: Check Completeness of Workforce
1. Managers need to know that posts are filled and that those occupying these posts are
present at work. They will require:
•
•
•
•
•
•
•
•
•
•
•
•
•
A list of authorised posts for which they have line management responsibility;
Against each authorised post a coded statement of the minimum qualifications and
training required of the post holder.
Temporary amendments to the list because posts cannot be filled for financial or
other reasons;
The names and particulars of the employees occupying each post with ethnicity,
disability, qualifications status and accrued post-qualification experience;
A list of unfilled vacancies with the date the post became vacant.
The time elapsed between a post becoming vacant and being filled by a permanent
appointment broken down by phases:
i. Resignation to advertisement;
ii. Advertisement to selection;
iii. Selection to commencement of employment.
The names and particulars of agency staff occupying each post in lieu of a
permanent appointment, with ethnicity, disability and qualifications status;
A flag against each employer indicating absence from work and the classified
reasons (e.g. leave, sickness, etc);
For each classified reason, a running total of continuous days absence from work;
For each classified reason, a cumulative total of days absent from work;
A profile of occupied posts by ethnicity, gender and disability;
A profile of occupied posts by qualifications with a flag when the qualification of the
post holder (permanent or temporary) does not meet requirements of the post; and
Annual turnover of staff by grade, team and location and reason for leaving.
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Data Management
NOTE: Recording comprehensive details about the workforce is not fully covered in the Logical Data Model
at present. Some basic information, such as name, staff number and qualifications are represented. It may be
considered that other details, such as absences, are primarily concerned with general Human Resources
functions and as such are not core for children’s social care services per se.
P3.2.2 Level 3 Process: Check Suitability of Prospective Employees
1. Each CSSR will draw up a set of checks and tests that it requires to be satisfactorily
completed with respect to each prospective employee before an offer of permanent
employment can be made. These will be based on guidance provided by central
government and the “Warner” recommendations.
2. Managers will need to see that each check and test has a satisfactory result or an
acceptable reason why the check or test was not completed in particular cases. The
responsible manager will need to sign off that he is satisfied that the selection
procedure has been completed properly.
Data Management
NOTE: Recording comprehensive details about checks upon prospective employees is not covered in the
Logical Data Model at present. This will be addressed in later versions.
P3.2.3 Level 3 Process: Check Workforce is being Trained and Developed
1. In addition to keeping abreast of the numbers and suitability of staff, managers need to
ensure that staff are being trained to develop the workforce, enhance skills and
improve quality (see P2.7.5 Level 3 Process: Monitor Training Activity And Take Up).
Data Management
NOTE: Training and developing staff is not covered in the Logical Data Model at present.
P3.2.3.1 Level 4 Process: Ensure New Staff are Inducted
1. Managers will want to satisfy themselves that new staff are routinely inducted so that
they are quickly familiarised with the workings of the authority and the requirements of
their post. Senior managers will want to check with the line managers of new staff that
induction training has been completed within an agreed period from new staff joining.
This will entail a rolling record of new staff set against the components of the
appropriate induction programme with time limits and a date check of when each
component was completed. This record should also include attendance at training
events and reasons for non-attendance. Induction will be recorded in the staff
member’s personal training record that they will be responsible for maintaining (see
P2.7 Level 2 Process: Train and Develop Staff).
Data Management
NOTE: Training and developing staff is not covered in the Logical Data Model at present.
P3.2.3.2 Level 4 Process: Ensure Staff Receive Core Skills Training And Refreshers
1. Managers will require line managers to maintain records of the induction and training
experiences each of their staff have undertaken and use this to audit the overall
training needs of their team. This record should also include attendance at training
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events and reasons for non-attendance. This will be the basis for a team training plan
that senior managers must ensure is translated to a Departmental training programme
within the agreed budget. Team managers should keep records of the cost of each
training experience that is funded from the training budget. Senior managers should
indicate indicative annual training investment per head for different staff groups. Senior
managers will want to receive cumulative expenditure (in-house or commissioned) on
training for each staff against indicative per capita investment, and seek explanation for
variance.
2. The pursuit of NVQs (up to level 3) will be managed within this framework (see P2.7
Level 2 Process: Train and Develop Staff).
Data Management
NOTE: Training and developing staff is not covered in the Logical Data Model at present.
P3.2.3.3 Level 4 Process: Ensure that Key Staff Receive Necessary Specialised
Training
1. Managers must ensure that the availability of specialised skills is maintained through
appropriate training for selected staff. Specialised skills are particularly acute in child
protection, family support in families with multiple difficulties, care planning for children
looked after, but every aspect of children’s social care is likely to require skilled
intervention or oversight at some stage.
2. Managers need to identify their priorities for specialised training, including postqualifying training, and seek staff able and willing to undertake such training.
Management will need to be pro-active in ensuring the right staff are trained in the right
numbers, rather than reacting simply to individual staff’s enthusiasm. This will require
an audit of skill levels in crucial practice and management areas and, where there are
deficits, the creation of a managed programme to lay on specialised training for
selected staff (see P2.7.3 Level 3 Process: Plan and Prepare Training Programme).
3. Staff attendance at training events with reasons for non-attendance should be recorded
(see P2.7.5 Level 3 Process: Monitor Training Activity And Take Up).
Data Management
NOTE: Training and developing staff is not covered in the Logical Data Model at present.
P3.2.3.4 Level 4 Process: Promote the Pursuit of Qualifications by Appropriate Staff
1. Senior managers must agree a policy on supporting staff to gain formal qualifications.
This must take into account the expense to the council and the protection of such an
investment (see P2.7.3 Level 3 Process: Plan and Prepare Training Programme and
P2.7.5 Level 3 Process: Monitor Training Activity And Take Up).
Data Management
NOTE: Training and developing staff is not covered in the Logical Data Model at present.
P3.2.4 Level 3 Process: Discipline Staff
1. Staff may be disciplined for a number of reasons. So far, within this version of the
process model, the only detailed disciplinary processes documented concern Child
Protection Operations (see P1.3 Level 2 Process: Child Protection Operations), so this
process concentrates on this at present.
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2. The information available to a Child Protection Strategy Discussion (see P1.3.2 Level 3
Process: Hold Strategy Discussion) may indicate that a member of staff may have
caused or contributed to a child suffering significant harm. This will set in train staff
disciplinary procedures. Consideration will need to be given to whether the member of
staff should be suspended whilst the investigation of the disciplinary case against the
person proceeds. Suspension will be indicated if the staff member’s continuing at work
is likely to prejudice the investigation or put children at continuing risk of significant
harm.
Data Management
NOTE: Staff discipline is not covered in the Logical Data Model at present.
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P3.3 Level 2 Process: Produce Statistical Returns for Central Government
1. The Children in Need (CIN) census will be a continuous data collection that
monitors the characteristics of CIN from 1 October 2008. All Local Authorities will
output CIN data from their systems through an XML file that is loaded into the
DCSF COLLECT system. COLLECT is DCSF’s Centralised Data Collection
System. The COLLECT Portal can be used by Local Authorities and DCSF for
processing CIN and other data returns. The final deadline for Local Authorities to
complete their return is the end of June following each financial year.
Data Management
The data collected is recorded in a number of different places in the Logical Data Model. (NOTE: Only DH
Returns are currently included).
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P3.4 Level 2 Process: Manage Physical Resources
1. The CSSR will collect information that will support effective management of resources.
CSSRs will employ a wide range of resources supporting children in need and their
families. This section includes the four major blocks of expenditure.
2. The nature and volume of services provided (resource profile) will be determined by a
process of planning which carries strategic intentions through to implementation of new
or revised services at local level. The utilisation of existing services is resource
management information that will be fed into the planning process. Over or under
utilisation must be addressed through planning which takes account of how one service
impacts on another. For example, a shortage of foster carers may put pressure on
residential care. Planning is reliant on good information derived from resource
management.
3. CSSRs keep records of the resources that they have at their disposal. These records
typically include the capacity of a resource, the extent the capacity is constrained by
circumstances (e.g. staff shortages), and the utilisation expressed in terms of
attendance, occupancy or throughput depending upon the nature of the service.
Registers of attendance at day centres or occupancy of children’s homes should meet
two needs:•
•
To account for the presence of children or parents; and
To indicate the take up or occupancy.
4. These figures will be of immediate importance as knowledge of the availability of a
service is of daily significance. Information systems that transmit this information to
managers must also be stored so as to provide a time series of utilisation from which
trends can be discerned. These trends will be important, in an operational sense, to the
managers and staff responsible for the services and, in the longer term, for planning
purposes.
5. These same considerations apply to purchased services. It may be a contractual
obligation on the supplier to provide up to date information about occupancy,
throughput and vacancy. This would enable the data to be used in exactly the same
way as with in-house provision. “Contract compliance” is an aspect of resource
management. Service agreements should be reviewed annually and performance
tested against the service specification. An assessment of performance will be derived
from information about the quality of care provided derived from case reviews or
complaints. This information should be logged continuously. This might be facilitated
electronically by allowing access of field staff and service managers to a centrally held
file log for each service where there is a service level agreement and hence is used
frequently (see 0 Make Agreement with Independent Fostering Agencies)
Data Management
Specific Data Management requirements are described below under the following sub-processes.
P3.4.1 Level 3 Process: Utilise Family Centre and Day Care Services
1. These services are characterised by daily attendance of children and family members
to a centre, which generally offers a range of services. These services are typically
offered to a group of children or family members, and several staff may be working with
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a number of children. There is not usually a clear correspondence between an
individual service and an individual.
2. Managers will wish to know the current and past:
•
•
•
•
•
•
Total number of places available per day or half day (session);
Daily or half daily (session) actual attendance against planned attendance of
children and/or their carers;
Proportion of available sessions that were actually attended by children and/or
carers;
Numbers of children and carers on waiting lists for attendance
Identified needs (identified as per the Assessment Framework dimensions) and
priority rating of the children attending;
Identified needs and priority rating of the children on the waiting list.
3. Sometimes a family centre may be provided as a flexible community bases service in
which the attendance of individual children and families is not planned or even known
to the CSSR. The places are not amenable to the management described in this
process. Such services are accounted under Supporting Community Services (see
P2.10 Level 2 Process: Support Community Services).
Data Management
Family Centre attendance and Day Care centre attendance are both examples of a PROVISION OF
SERVICE, whether planned or actual.
NOTE: The Logical Data Model does not support recording of current number of places available per day/half
day. It can record attendance (PROVISION OF SERVICE occurrences) and it can record number of places
approved (Service Provider Approval Number Of Places), but the number of places free can only be
calculated if all and every attendance is recorded each day. Comments are welcomed on whether, and to
what extent, this area should be included in later versions.
It is possible to determine who is on a waiting list for example where the Provision Of Service Status is
“Planned – on waiting list”.
The prioritisation of need, as determined by an assessment of the child’s need, is recorded under Service
User Assessment Priority Level. This priority level will be used as part of allocating services.
P3.4.2 Level 3 Process: Utilise Children’s Residential Care
1. These services are characterised by their providing a child with care on an overnight
basis in premises that are not private family homes. Children’s Homes should be able
to receive new children when a place is required. Although specialist homes may have
waiting lists, some children’s homes should maintain a certain level of vacancy.
Historical information should be collected so that trends can be discerned.
2. CSSRs require information on the utilisation of residential care that they do not manage
directly depending upon the nature of the contractual relationship with the provider.
3. Managers will wish to know:
•
•
•
The current and past capacity in terms of the maximum number of children the
home can accommodate;
The current and past occupancy of the home over a given period measured in terms
of child days of occupation;
The current and past occupancy expressed as a proportion of the capacity;
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•
•
The current and past classified need of resident children and whether admission
was emergency or planned.
The past classified circumstances of children leaving (eg. planned or disrupted) and
the extent to which placement objectives were achieved.
Data Management
Residential Care centre attendance is a PROVISION OF SERVICE, whether planned or actual.
NOTE: The Logical Data Model does not support recording of current number of places available per day/half
day. It can record attendance (PROVISION OF SERVICE occurrences) and it can record number of places
approved (Service Provider Approval Number Of Places), but the number of places free can only be
calculated if all and every attendance is recorded each day. Comments are welcomed on whether, and to
what extent, this area should be included in later versions.
It is possible to determine who is on a waiting list for example where the Provision Of Service Status is
“Planned – on waiting list”.
P3.4.3 Level 3 Process: Utilise Foster Care
1. Foster Care services are characterised by approved foster carers looking after children
in the foster carers’ own homes. Foster carers may be recruited and managed in
several ways. They may be approved and managed by the CSSR responsible for the
child. They may be approved and managed by another CSSR. They may be recruited
and managed by and independent fostering agency (although the CSSR would need to
approve these foster carers). Foster homes may be some distance from the CSSR
area or the child’s home. This has implications for the care of the child as well as
supply issues; hence data on geographic location is pertinent. Different conditions
apply to the supply of foster carers in different CSSRs. Local knowledge of the supply
characteristics is crucial to ensuring sufficient foster carers to offer a proper choice for
each child needing a placement.
2. Historical information will need to be collected so that trends can be discerned.
3. Managers will wish to know for a) carers approved by their own CSSR, b) carers
approved by other CSSRs and c) carers provided through independent agencies:
•
•
•
The current and past numbers of foster carers approved by the CSSR according to
a classification of their conditions of approval;
The numbers of these foster carers by their geographic location;
The current and past levels of occupancy of foster care places approved by the
CSSR according to a classification of their conditions of approval;
Data Management
A Foster Care Placement is a PROVISION OF SERVICE, whether planned or actual. Current and past
occupancy of foster care places is determined from PROVISION OF SERVICE occurrences. Current and
past approval of foster carers is determined from SERVICE PROVIDER APPROVAL occurrences.
NOTE: To record who approved a foster carer if done by another CSSR it will be necessary to add another
relationship from EXTERNAL BODY to SERVICE PROVIDER APPROVAL (mutually exclusive to the
“authorised by” relationship to EMPLOYEE).
Classification is determined from Service Provider Approval Level. Conditions of approval are recorded in
SERVICE PROVIDER APPROVAL, SERVICE PROVIDER APPROVAL NOTE and APPROVED
ADDITIONAL CRITERION respectively.
Geographic location of a foster carer (an EXTERNAL BODY) is determined from their ADDRESS, via
ADDRESS USAGE.
The Logical Data Model supports recording of purchased foster care in two ways. The first would be to have
two separate SERVICE TYPES – one for “Non-Purchased Foster Care Placement”, the other for “Purchased
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Foster Care Placement”. The other way would be to record the Independent Foster Agency (an EXTERNAL
BODY) as a SERVICE PROVIDER for the PROVISION OF SERVICE, with the Service Provider Role of
“Independent Foster Agency”.
The prioritisation of need, as determined by an assessment of the child’s need, is recorded under Service
User Assessment Priority Level. This priority level will be used as part of allocating services.
P3.4.4 Level 3 Process: Utilise Fieldwork Teams
1. Typically fieldwork teams are designed to deliver a component of the overall service.
This component may be defined geographically (eg an area team), by specialism (eg a
long term care team), by function (eg emergency duty team) or possibly by a
combination. CSSRs will want to deploy their human resources across teams for
maximum effectiveness and will therefore wish to have some measure of the demands
upon each team. Historical information will need to be collected so that trends can be
discerned.
2. Managers will wish to know for each team:
•
•
•
•
The current and past designated staffing complement;
The current and past actual staff complement;
The current and past designated number of current cases, classified according to
type of case (e.g. case status or legal basis for intervention), the team is expected
to work with at a given time or over a defined period of time;
The current and past number of current cases, classified according to type of case
(e.g. case status or legal basis for intervention), the team is actually working with at
a given time or over a defined period of time.
Data Management
A Team (a GROUP) is made up of a number of GROUP MEMBERS, who are in turn also EMPLOYEES. The
current and historical complement can be determined by a count of GROUP MEMBERS.
NOTE: The Logical Data Model does not hold a designated staffing complement attribute or number of
designated open cases at present. These will be added in a later version.
The current number of cases is determined from the number of different PROVISIONS OF SERVICE the
GROUP provides as a SERVICE PROVIDER.
Geographic coverage of a Team (a GROUP) is determined from their ADDRESS, via ADDRESS USAGE.
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P3.5 Level 2 Process: Develop Services
1. Children’s social care services can be regarded as a business that must develop if it is to
meet changing needs and expectations of children, families and the wider community.
The use of the term “business” here connects children’s social careservices to the broader
world of quality assurance, ideas of business excellence and continuous improvement.
Rather than taking a narrow view that profit is the sole arbiter of success, businesses
today recognise the complexity of the activity they are engaged in and draw on
indicators from a range of perspectives to build up a holistic picture of the quality of
their enterprise.
2. There are several stakeholders in the business of providing social care services for children.
First and foremost are the children receiving services and of course their families. But
other stakeholders include elected councillors and the community they represent, the
staff who provide the services, other agencies affected by the social service operations
and so forth. Financial managers will be concerned about economy and best value.
3. For services to develop they must be planned. Effective services for children rely on
the co-ordination of a range of services so that planning has to be conducted on a joint,
cross-agency basis. Planning requires information. In part this will be information about
levels of need as measured by socio-demography, by demand or by representation.
But information about the quality and performance of existing services is also essential
to being able to plan improved services.
Data Management
Specific Data Management requirements are described below under the following sub-processes.
P3.5.1 Level 3 Process: Monitor Quality and Performance
1. CSSRs will wish to monitor the quality of their services. To put some structure around
the variety of perspectives and stakeholders, various quality assurance business
models have been devised, for example the Balanced Score Card and European
Foundation for Quality Management Model. Many CSSRs have applied these models
and their associated ideas to social care. They hold in common the necessity to draw
together management information from across the system and to consider qualitative
information (such as user or staff opinions) alongside quantitative data.
2. CSSRs will also wish to monitor their performance in terms of measurable results.
Selected measures of performance are required for the National Outcome and Indicator
set.
3. The process here is to draw this information together to support regular reporting to
managers and to support strategic and business planning activity.
Data Management
Specific Data Management requirements are described below under the following sub-processes.
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P3.5.1.1 Level 4 Process: Gather Information on Quality and Performance
1. All CSSRs will need to identify performance measures that are required by central
government, which include the National Outcome and Indicator set. Individual CSSRs
will want to decide for themselves exactly what information they wish to assemble in
order to provide a holistic assessment of the quality and performance of their children’s
social care services.
2. Managers will wish to bring together information as follows;
•
•
•
•
•
•
The operational and management processes derived from the data identified in
earlier sections of this document, for example the volume and flow of work, the
timeliness of dealing with referrals, assessments and provision of services;
The outcomes for children of providing social care services, for example the stability
of the placements of children looked after, educational attainment, the numbers of
disabled children receiving respite services, the numbers of children where
outcomes were in line with planned objectives;
The perspective of service users derived from complaints procedures and surveys,
for example the number and nature of complaints, the attendance of children and
their families at key meeting such as review, the proportion of users who report that
they are satisfied;
The perspective of staff derived from personnel information and surveys, for
example levels of absenteeism, disciplinary and grievance proceedings, staff turn
over, level of staff contentment, take up of training opportunities;
The financial state of children’s social care services, for example the extent to which
cost centres are operating within budget, prevailing unit costs of staff, teams and
operational units.
The prevailing culture of the organisation and readiness to change, for example the
numbers of changes to service provision introduced and whether completed on
time.
Data Management
The data use here is a combination of multiple entities, as well as data from sources other than those on the
current Logical Data Model.
P3.5.1.2 Level 4 Process: Report on Quality and Performance
1. Assembling and reporting information are linked but distinct processes. Once
information is assembled it has to be checked and cleaned up. For performance
indicators, calculations will be required to derive rates and ratios. Some performance
data is for use within the CSSR, whilst some is required for the Audit Commission or
central government usually returned via the Key Statistics collection.
2. The information system should be capable of generating figures for national returns.
These are defined as the National Outcome and Indicator set
http://www.communities.gov.uk/publications/localgovernment/nationalindicator.
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P3.5.2 Level 3 Process: Monitor Demand and Capacity
1. In order to develop and plan services, it is necessary to monitor both the demand
placed on current services and the current capacity of the CSSR to meet that demand.
2. Demand may be monitored by reviewing services already provided over a given time
span and services already committed and services provisionally planned for the future.
3. Current capacity may be monitored by reviewing permanent staffing levels, the use of
agency staff and the formally agreed service provider arrangements (eg contracts for
external providers, service agreements for internal suppliers).
4. Note that the data used for the process of monitoring demand and capacity is very
similar to that required for the process of managing finances (see P3.6 Level 2
Process: Manage Finances).
5. Managers must be able to measure demand and the capacity of the CSSR to meet
demand. Typically, cases should be counted at different stages of the process, at
referral, at initial and core assessment stages, when children become the subject of a
child protection plan, at becoming looked after, and at review and closure. This
will be more meaningful if different types of cases are distinguished although the
categories chosen may vary form CSSR to CSSR and be less than ideal for some
purposes. For example, the CIN needs categories are meant to provide a broad profile
of how different types of need contribute to the pressure on CSSR to expend
resources. These categories can be used for the purpose of building up a statistical
picture, and only for that purpose. They must not be used as a crude diagnosis of an
individual child. CSSRs will want to use additional administrative categories that are
pertinent to their local pressures, for example the needs of asylum seeking children
and families.
Data Management
Counts may be made of each different SERVICE TYPE of a PROVISION OF SERVICE (eg to count the
number of referrals) over a given time period.
Measurements may also be made against other criteria, such as the count of the number of children
(SERVICE USERS) assigned a specific CIN code (recorded under SERVICE USER NEED) over a given time
period.
P3.5.2.1 Level 4 Process: Determine Unmet Need
1. Determining the level of unmet need is one aspect of demand and capacity monitoring
and is important for service planning. Unmet need is determined by considering the
assessed need for services (A) against services actually received (B). Unmet need
would therefore be A minus B.
Data Management
The Logical Data Model allows assessed need for services to be recorded at a high level within a Child in
Need Plan (under SERVICE USER PLAN) and at a detailed level as specific instances of planned services
(a PROVISION OF SERVICE with the Provision Of Service Status of “planned”). Each services actually
received is a PROVISION OF SERVICE with the Provision Of Service Status of “delivered” or “delivered in
part”.
P3.5.3 Level 3 Process: Agree Service Plans
1. The process of monitoring demand and capacity may lead to the revision of existing
service plans, or the creation of new service plans. These will be influenced by
strategic planning activities (see P3.7 Level 2 Process: Set Strategic Direction).
Data Management
It is likely that service plans will exist as separate documents, not in a database. They are therefore not
included within the Logical Data Model.
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P3.6 Level 2 Process: Manage Finances
1. The management of finances is key for CSSRs as financial resources are finite.
Because each CSSR will manage their finances differently, both at corporate level and
children's social care services department level, it has proved difficult to describe the core processes
other than in very general terms. For this reason, an overview of general financial
management has been added at Annex B: Financial Systems Overview. However, we
believe the description here represents a common logical core to all CSSR finances for
children’s social care services.
2. The overall CSSR budget for children’s social care services will be devolved to a number
of cost centres, each with its own budget. A cost centre may be broken down to more
detailed levels, until ultimately the lowest level (activity line or budget line) is reached.
These describe the type of expenditure within the cost centre. Typically, whenever any
expenditure is made the expenditure code is recorded against the expenditure. The
cumulative expenditure against each cost centre and expenditure type can be
ascertained at any time. At the end of agreed periods (usually monthly) bulletins of
expenditure against budget are prepared for managers. This allows a manager to
monitor expenditure against budget.
Data Management
Cost attributes are included in various entities in the Logical Data Model (PROVISION OF SERVICE,
SERVICE PROVIDER, EMPLOYEE, GROUP and EXTERNAL BODY). These attributes should be regarded
as indicative only. This is because the exact way services are charged (for example using timesheets to
capture costs and apportionment to distribute costs) will vary considerably across CSSRs. Each CSSR will
need to devise a means of costing services (planned and actual) that fits in with their existing systems and
accounting practices. Whatever solution is implemented, the key data requirements are to record planned
and actual costs so that they can be:• Attributed against individual clients (SERVICE USERS);
• Collated by service categories and types (Service Provider Category and Service Provider Type);
and
• Recorded as items of committed and actual expenditure.
P3.6.1 Level 3 Process: Agree Budget
1. The overall budget for children' social care services will be broken down by cost centres. Within these
cost centres, the detailed budgets will be broken down further within cost centres for
component activities and expenditure types. It will be for each CSSR to determine the
level of detail they wish to record down to. There is an expectation that, as a minimum,
CSSRs will wish to break down detailed budgets to the level and structure used for the
CIPFA/DH PSS EX1 returns so that all costs can be readily summated to these
categories.
2. How and when the budgets are agreed will be a matter for each CSSR.
3. The agreed budgets will be recorded as appropriate. Note that it is for individual
CSSRs/suppliers to determine precisely where this information is recorded. Ultimately
this is likely to be done within a corporate finance system that maintains a general
ledger. However, the data may first be captured on a care management system or an
order/invoicing system. The exact time and location that the data is captured will vary
CSSR by CSSR, depending on how their IT systems have been scoped.
Data Management
This is not included in the Logical Data Model.
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P3.6.2 Level 3 Process: Allocate Costs
1. Whenever a cost is planned (committed) or incurred (actual) it should be recorded
against the appropriate budget entry (or entries where a cost needs to be attributed to
more than one budget line). Again, note that it is for individual CSSRs/suppliers to
determine precisely where this information is recorded (eg on a general ledger within a
corporate finance system, within a departmental care management system, or within a
spreadsheet for example). It may well be that an order and invoicing system will be
used to capture all commitments (orders) and actuals (paid invoices), which are then
posted to a General Ledger, matching an appropriate budget line to an appropriate
ledger account entry. It could be that a care system will post entries to the order and
invoicing system whenever a particular provision of service is set up within the care
system.
2. Each CSSR will also need to consider how internally provided services are costed. For
example, employees may be asked to record time spent on particular activities within a
time recording system, which are then used to charge their time (and therefore cost) to
a particular budget line entry. Again, the exact mechanism for recording data and how
the data will be integrated across systems will vary for each CSSR.
Data Management
Cost attributes are included in various entities in the Logical Data Model (PROVISION OF SERVICE,
SERVICE PROVIDER, EMPLOYEE, GROUP and EXTERNAL BODY). These attributes should be regarded
as indicative only. This is because the exact way services are charged (for example using timesheets to
capture costs and apportionment to distribute costs) will vary considerably across CSSRs. Each CSSR will
need to devise a means of costing services (planned and actual) that fits in with their existing systems and
accounting practices. Whatever solution is implemented, the key data requirements are to record planned
and actual costs so that they can be:• Attributed against individual clients (SERVICE USERS);
• Collated by service categories and types (Service Provider Category and Service Provider Type);
and
• Recorded as items of committed and actual expenditure.
P3.6.2.1 Level 4 Process: Record Committed Costs
1. When a commitment is made that will result in financial expenditure at a later date (e.g.
the placing of an order or the letting of a contract), the likely cost should be recorded
against the appropriate budget line entry.
Data Management
Cost attributes are included in various entities in the Logical Data Model (PROVISION OF SERVICE,
SERVICE PROVIDER, EMPLOYEE, GROUP and EXTERNAL BODY). These attributes should be regarded
as indicative only. This is because the exact way services are charged (for example using timesheets to
capture costs and apportionment to distribute costs) will vary considerably across CSSRs. Each CSSR will
need to devise a means of costing services (planned and actual) that fits in with their existing systems and
accounting practices. Whatever solution is implemented, the key data requirements are to record planned
and actual costs so that they can be:• Attributed against individual clients (SERVICE USERS);
• Collated by service categories and types (Service Provider Category and Service Provider Type);
and
• Recorded as items of committed and actual expenditure.
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P3.6.2.2 Level 4 Process: Record Actual Costs
1. When an actual cost is incurred (e.g. the paying of an invoice or a scheduled payment
against a contract), it should be recorded against the appropriate budget line entry.
Data Management
Cost attributes are included in various entities in the Logical Data Model (PROVISION OF SERVICE,
SERVICE PROVIDER, EMPLOYEE, GROUP and EXTERNAL BODY). These attributes should be regarded
as indicative only. This is because the exact way services are charged (for example using timesheets to
capture costs and apportionment to distribute costs) will vary considerably across CSSRs. Each CSSR will
need to devise a means of costing services (planned and actual) that fits in with their existing systems and
accounting practices. Whatever solution is implemented, the key data requirements are to record planned
and actual costs so that they can be:• Attributed against individual clients (SERVICE USERS);
• Collated by service categories and types (Service Provider Category and Service Provider Type);
and
• Recorded as items of committed and actual expenditure.
P3.6.3 Level 3 Process: Monitor and Forecast Costs
1. In order to manage budgets, it is necessary to regularly monitor costs and to forecast
likely future costs, so that any deficits or surpluses can be identified in a timely manner.
This will give managers the opportunity of changing and re-prioritising planned
services, reallocating budgets if necessary, so that they can utilise the budget as
effectively and as fully as possible. The frequency and nature of the monitoring and
forecasting cycle will vary by CSSR, but it is envisaged that a monthly cycle would be
commonly adopted.
Data Management
This is not included in the Logical Data Model.
P3.6.4 Level 3 Process: Revise Budgets
1. As a result of monitoring and forecasting expenditure, there may be a process of
revising budgets. Any budget revisions would need to be recorded against the
appropriate budget line entry.
Data Management
This is not included in the Logical Data Model.
P3.6.5 Level 3 Process: Report on Financial Management
1. It is anticipated that there will be numerous reporting requirements for financial
management, from cost centre managers, finance managers, senior managers and
councillors. There are also central financial returns, such as the CIPFA/DH PSS EX1
and DCSF Section 52 returns that have to be reported.
Data Management
This is not included in the Logical Data Model.
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P3.7 Level 2 Process: Set Strategic Direction
1. This process has still to be developed. It will be concerned with drawing together
information that has been identified in other processes described in this model and the
use of that information to help make strategic decisions about the way services should
be delivered in the future. This will include information about levels of demand for
services and the capacity of the supply. It will include information about patterns of
expenditure. It will also draw on information from sources outside of these
requirements, for example about health and education services. There is interdependency between the profiles of these other services and how children’s social
care services should develop.
2. The processes clustered within P3.5 Level 2 Process: Develop Services and P3.6
Level 2 Process: Manage Finances will contribute to the broad task of setting the
strategic direction.
Data Management
Not defined at present.
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ANNEX A: A Note on Assessment
A.1
Assessment Framework Overview
A.1.1
During the assessment process the Assessment Framework should be used. This
underpins both initial and core assessments. It sets out the dimensions within
which each assessment will be undertaken and enables the CSSR to identify both
where it should consult with other agencies, and when to involve them in
undertaking an assessment collaboratively.
A.1.2
The Assessment Framework has three domains as follows:•
Child’s Developmental Needs;
• Parenting Capacity; and
• Family and Environmental Factors.
A.2
Assessment Dimensions and Domains
A.2.1 The dimensions of each domain are as follows:
Child’s Developmental Needs
• Health
• Education
• Emotional and Behavioural Development
• Identity
• Family and social relationships
• Social presentation
• Self-care skills
Parenting Capacity
• Basic care
• Ensuring safety
• Emotional warmth
• Stimulation
• Guidance and Boundaries
• Stability
Family and Environmental Factors
• Family history and functioning
• Wider family
• Housing
• Employment
• Income
• Family’s social integration
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•
A.2.2
Community resources
Information relating to each of the dimensions along each domain will be recorded
for the most part as text. The practice of assessing and then recording against
these dimensions is of such importance that this statement of requirements
includes these as necessary text fields. The expectation is that as IT systems
develop social workers will enjoy the use of front-end facilities which help them to
organise and record the information in a combination of (mainly) text and some
data which can be usefully aggregated. Assessments will be stored against the
date they are written. Updating of assessments will not overwrite and replace
earlier assessments. The system should allow for the revision of assessments to
be traced over time.
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ANNEX B: Financial Systems Overview
B.1
Introduction to Financial Systems Overview
B.1.1
Because each CSSR will manage their finances differently, both at corporate level
and children's social care services department level, it has proved difficult to describe
the core processes other than in very general terms.
B.1.2
The purpose of this Annex is to give a brief overview of possible financial systems
to aid the general understanding, and to complement the processes described
under “P3.6 Level 2 Process: Manage Finances”.
B.1.3
It is recognised that all CSSRs will be different, but it is believed the basic
principles described here will be common to most, if not all CSSRs.
B.2
Identifying Cost Centres
B.2.1
It is assumed that the Finance Director will set an overall budget for children's
social care services. Within the overall budget, it is assumed that budgets will be allocated by
senior managers to more detailed levels. It is recognised that each CSSR will have
different cost centre structures, depending on their own geographical,
organisational and managerial structures.
B.2.2
In addition, it is assumed that each cost centre budget may be broken down to a
number of component lines. The extent of dis-aggregation of the budget will
depend on the requirements of the cost centre so that the number of lines in each
cost centre budget are likely to vary.
B.2.3
Senior managers within children's social care services will determine those service activities
whose costs should be accounted for within an identifiable and discrete cost
centre, with the agreement of the appropriate CSSR finance officers. The costs
associated with these activities will usually be completely contained within the cost
centre budget or, where appropriate, a means of apportioning costs to multiple
cost centres will be applied. CSSRs are referred to CIPFA accounting
codes of practice for a description of the principles of apportionment. It is
assumed that each cost centre will have a cost centre manager who is responsible
for managing expenditure within the budget. A cost centre manager will probably
be an operational manager responsible for decision making about the services to
be provided. This manager is likely to be closely linked to a finance officer who will
be required offer advice of a financial nature. The assumption is that the
arrangements applied by each CSSR will vary. The main expectations are that
there will be cost centres with agreed budgets, with a manager responsible for
each cost centre.
B.2.4
An advantage of delegating financial responsibility away from the centre, with the
appropriate guidelines, controls and support, is that it allows financial and
operational expertise to be combined.
B.2.5
The costs associated with all cost centres within children services will sum to the
total budget for delivering children's social care services within the CSSR. Cost centres
may be changed, added to or redefined in such circumstances as new services
being implemented or greater degrees of financial delegation introduced.
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B.2.6
The cost centre budget may want to record, for each budget, line the following:
•
The approved annual budget for current year
The cumulative actual expenditure to date for current year
The projected out-turn for the total annual expenditure (assuming expenditure at
current rate)
Variation between the approved budget and actual expenditure
Forecast out-turn (taking into account non-financial information)
Last year’s actual out-turn
Last year’s variation between approved and actual
Percentage spend against percentage of year passed
•
•
•
•
•
•
•
B.3
Coding for Each Budget Line for Each Cost Centre
B.3.1
CSSRs will usually wish to summarise up expenditure information and drill-down
to detailed costs. They will also want to be able to identify capital, income and
CIPFA expenditure categories. Some sort of budget coding structure is likely to be
employed that allows those familiar with it to quickly and easily identify expenditure
in terms of:
•
Which committee or CSSR department is making the expenditure;
Whether revenue of capital;
Whether income or expenditure;
Whether children’s and families social services budget (Client group);
CIPFA PSS (cost allocations/apportionment) codes;
Which cost centre; and
Type of expenditure (to identify budget lines).
•
•
•
•
•
•
B.3.2
A systematic hierarchical coding facilitates expenditure to be identified,
aggregated and dis-aggregated in a fully flexible way through interrogation of a
“general ledger” or similar means of accounting for overall expenditure.
B.4
Identifying Levels of Delegation for Authorising Expenditure
B.4.1
The cost centre manager will normally have authority to authorise expenditure that
comes within the cost centre budget. However, CSSRs are not bound by the cost
centre structure for determining levels of delegation for expenditure authorisation.
Higher levels of authorisation may be required for individual items of a certain type
or amount. (It is possible for expenditure to be highly devolved to cost centres but
for authority to spend to remain highly centralised). CSSRs may set out a protocol
specifying who can agree different types of expenditure. It may be necessary to
achieve agreements of different sorts from different sources before an expenditure
can be finally authorised (for example, a placement panel recommendation plus
and Head of Children's Services authorisation to spend money of the placement).
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B.5
Linking to a General Ledger
B.5.1
The general ledger or similar collects together all expenditure and income into a
system that allows for the expenditure of the children's social care services department to be
accounted for at any point in time. The workings of the general ledger are
analogous to a bank account. The financial effect of all transactions is recorded. It
is likely that each transaction will have an expenditure code that permits detailed
analysis of the ledger.
B.5.2
The departmental general ledger may be linked with others to account for the
corporate expenditure of the CSSR.
B.6
Identification of Feeder Systems
B.6.1
All expenditure is associated with a single cost centre but the way in which money
is transferred will vary with the nature of the expenditure. For example, a foster
carer will be paid through a process that is different from how a book might be
purchased. CSSRs will have systems that feed financial information into the
general ledger.
B.6.2
Some systems may be integrated within bigger systems. Some of the data feeds
may be automated (eg real time or batch loading of data from one system to
another), or manual (eg re-keying of data manually).
B.6.3 Possible feeder systems are as follows:
Payroll: – the payroll system will generate payments on a regular basis and will report
these payments as actual expenditure to the general ledger.
Foster Carer Payments: – these payments are likely to take place on a different
schedule from payroll although will be very similar operationally. Actual payments
will be reported to the general ledger.
Shared Care Payments: – depending upon local arrangements, these payments may
be operated as a separate feeder because the payments, although committed,
may be made irregularly.
Purchasing: - this is likely to comprise two systems that closely interrelate.
Orders and Commitments: - a decision to make a purchase is authorised,
orders raised (contracts may be signed) and the money is committed. This
commitment is fed to the general ledger so that it can be taken into account
for forecasting purposes. The commitment may be to pay regular invoices
over an extended period, for example a long term specialised residential
facility. The commitment will be made in advance of actual payments but in
budgeting terms is nonetheless real.
Invoices and Payments: - when a purchase is made directly or an invoice is
paid actual expenditure is incurred. This is reported to the central ledger.
Where payments are made against committed expenditure the ledger should show up
this expenditure as actual and reduce the committed expenditure by the same
amount.
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Income: - this will be identified by cost centre budget line. The code will identify it as
income and entries on the ledger will be negative.
Internal Invoicing: - CSSRs will have internal transactions whereby one department
charges another for services and a “paper transfer” of funds made. Legal services
provided by the CSSR’s solicitors are most common. One department is likely to
raise an invoice. This will be credited to the service provider and debited from
service “purchaser”. Some CSSRs may have more elaborate “internal markets”
and their financial information systems will reflect this.
Time Recording: - some CSSRs may use time recording systems to record time (and
therefore cost) of staff spent on each budget line activity. This may or may not
include casual/contractor staff, as well as permanent staff.
Forecasting: - some CSSRs may require their cost centre managers to take account
of expenditure to date and what they know of anticipated expenditure to make a
forecast of the likely out-turn. This takes account of softer information than actual
spend to date. This is in part a management discipline to help keep expenditure
within budget but it is also an early warning system that allows over or under
expenditure to be anticipated so that sensible operational and financial
management decision can be made in good time. This forecasting discipline
requires an additional column in the general ledger and an additional stream of
forecast information from cost centre managers.
B.7
Budget and Financial Reporting
B.7.1
The general ledger is the source of ad hoc or routine reporting of budget and
financial information. The alphanumeric budget line coding is the key to powerful
reporting capability. Councillors and senior managers will need to agree what
routine financial information they require to be generated.
B.7.2
Cost centre managers may have ad hoc access to the general ledger and, if so,
will need to be trained in how to interrogate it. There will normally be a system of
passwords and authorisations to control access to the general ledger.
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