Public Law Outline

1. Public Law Outline

1.1 Introduction - what is Public Law Outline (PLO)?

The Public Law Outline (PLO) process takes place when the Local Authority is concerned about a child's wellbeing and unless positive steps are taken to address and alleviate those concerns, the Local Authority may consider making an application to the Court. The PLO process is therefore the last opportunity for parents to make changes to enable their child/ren to remain in their care before Care Proceedings are issued.

The PLO process sets out the duties that the Local Authority has when thinking about applying to the Court to ask for a Care Order or Supervision Order to be made. The PLO process usually lasts for around 3 months. There may be circumstances where the immediate safeguarding needs of a child are such that a Court application is required with urgency.

In all but exceptional circumstances when PLO is initiated, the child will be supported by a Child Protection Plan and that plan will have had sufficient time to support change. Child Protection Core Group meetings and Conferences or Child Looked After reviews continue throughout the PLO process. In circumstances where the child/ren is open to Family Safeguarding teams, delivery of the Family Safeguarding Programme should have started. Work around Family Group Conferencing and identifying a family's informal support network should be initiated at the earliest opportunity.

As well as the Court-set timetable, the case management tools also involve the case management documentation to be filed by the local authority and other parties, (including case summaries and a schedule of proposed findings), advocates' discussions/meetings, a Case Management Hearing and an issues resolution hearing before the final hearing.

Under the revised section 32(1)(a) of the Children Act 1989 (introduced by section 14 of the Children and Families Act 2014), care and supervision proceedings must be completed 'without delay, and, in any event, within twenty-six weeks beginning with the day on which the application was issued' unless the case is exceptional. In no case can an extension beyond 26 weeks be authorised unless it is 'necessary' to enable the court to resolve the proceedings 'justly'.

1.2 Flowchart of the PLO process

Click here to see Flowchart of the PLO Process.

1.3 Documentation

Local Authority Documentation

(Note that some Courts may require electronic submissions. Your legal department will be able to advise).

The following documents must be attached to the application filed with the court on Day 1:

The social work Chronology;
The social work statement and genogram;
Any current Assessment relating to the child and/or the family and friends of the child to which the social work statement refers and on which the local authority relies;
The Care Plan (for each child);
Index of Checklist documents;
Any other documents relevant to threshold.

See General Guidance on Electronic Court Bundles.

Documents to be Served on the Other Parties (but not filed with the court)

On Day 2 the local authority must serve on the other parties (but must not file with the court unless expressly directed to do so) the application form and annex documents as set out above, together with the 'evidential checklist documents'. These are evidential and other documents which already exist on the local authority's files, including:

Previous court orders (including foreign orders) and judgments/reasons;
Any assessment materials relevant to the key issues, including capacity to litigate, Section 7 or Section 37 reports;
Single, joint or inter-agency reports, such as health, education, Home Office and Immigration Tribunal documents).

Documents to be Disclosed on Request by any Party

Decision-making records, including:
- Records of key discussions with the family;
- Key local authority minutes and records for the child;
- Pre-existing Care Plans (e.g. Child in Need Plan, Looked After child plan and Child Protection Plan;
- Letters before proceedings.

Principles

The filing and service of documents must be focused on what is relevant, central and key, rather than what is peripheral or historical. Local authority materials are expected to be succinct, focused on analysis rather than on history and narrative. Even if there has been local authority involvement with the family extending over many years, both the social work Chronology and the summary of the background circumstances as set out in the social work statement must be kept appropriately short, focusing on the key significant historical events and concerns and rigorously avoiding all unnecessary detail.

Documents must be recent - restricted to the most recent, limited to those from the last two years. Documents need not be served or listed if they are older than two years before issue of the proceedings, unless reliance is placed on them in the local authority's evidence.

Documents must be focused and succinct:

In accordance with Practice direction 27A – Family Proceedings: court bundles, the social work Chronology can be a maximum length of 10 pages. It is a schedule containing:

A succinct summary of the length of involvement of the local authority with the family and in particular with the child;
A succinct summary of the significant dates and events in the child's life in chronological order, i.e. a running record up to the issue of the proceedings, providing such information under the following headings:
1. Serial number;
2. Date;
3. Event-detail;
4. Witness or document reference (where applicable);
Also in accordance with Practice direction 27A, the social work statement can be a maximum of 25 pages in length and is to be limited to the following evidence:
1. Summary:
  - The order sought;
  - Succinct summary of reasons with reference as appropriate to the Welfare Checklist.
2. Family:
  - Family members and relationships especially the primary carers and significant adults / other children;
  - Genogram.
3. Threshold:
  - Precipitating events;
  - Background circumstances:
    - Summary of children's services involvement. This must be cross-referenced to the Chronology;
    - Previous court orders and emergency steps;
    - Previous assessments.
  - Summary of significant harm and / or likelihood of significant harm which the local authority will seek to establish by evidence or concession;
4. Parenting capacity:
  - Assessment of child's needs;
  - Assessment of parental capability to meet needs;
  - Analysis of why there is a gap between parental capability and the child's needs;
  - Assessment of other significant adults who may be carers.
5. Child impact:
  - Wishes and feelings of the child(ren);
  - Timetable for the child;
  - Delay and timetable for the proceedings.
6. Permanence and contact:
  - Parallel planning;
  - Realistic placement options by reference to a welfare and proportionality analysis;
  - Contact framework.
7. Case management:
  - Evidence and assessments necessary and outstanding;
  - Any information about any person's litigation capacity, mental health issues, disabilities or vulnerabilities that is relevant to their capability to participate in the proceedings;
  - Case management proposals.

The local authority materials must be succinct, analytical and evidence-based. Assessment and analysis are crucial. They need to distinguish clearly between what is fact and what is professional evaluation, assessment, analysis and opinion, and between the general background and the specific matters relied on to establish 'threshold'.

Threshold Statement

'Threshold Statement' means a written outline by the legal representative of the local authority in the application form, of the facts which the local authority will seek to establish by evidence or concession to satisfy the threshold criteria under s31(2) of the Children Act 1989, limited to no more than 2 pages.

Local Authority Case Summary

A document prepared by the Local Authority legal representative for each case management hearing in the prescribed form.

Case Analysis

A written (or, if there is insufficient time, an oral) outline of the case from the perspective of the child's best interests prepared by the Children's Guardian or Welsh family proceedings officer for the CMH or FCMH (where one is necessary) and IRH or as otherwise directed by the court, incorporating an analysis of the key issues that need to be resolved in the case including:

A threshold analysis;
A case management analysis, including an analysis of the timetable for the proceedings, an analysis of the Timetable for the Child and the evidence which any party proposes is necessary to resolve the issues;
A parenting capability analysis;
A child impact analysis, including an analysis of the ascertainable wishes and feelings of the child and the impact on the welfare of the child of any application to adjourn a hearing or extend the timetable for the proceedings;
An early permanence analysis including an analysis of the proposed placements and contact framework, by reference to a welfare and proportionality analysis;
Whether and if so what communication it is proposed there should be during the proceedings with the child by the court.

Parents' Response

A document from either or both of the parents containing:

In no more than two pages, the parents' response to the Threshold Statement;
The parents' placement proposals including the identity and whereabouts of all relatives and friends they propose be considered by the court;
Information which may be relevant to a person's capacity to litigate including information about any referrals to mental health services and adult services.

1.4 Use of Experts

Revised Rules and Practice Directions relating to expert evidence were put onto a statutory footing by section 13 of the Children and Families Act 2014:

The test for permission to put expert evidence before the court is that it should be 'necessary to assist the court to resolve the proceedings justly'. This test also applies to permission to instruct an expert and for a child to be examined or assessed for the purpose of the provision of expert evidence;
There are specific factors which the court should give particular regard to when reaching a decision whether to give permission relating to expert evidence, including :
- Any impact which giving permission would be likely to have on the child(ren);
- The impact on the timetable and conduct of the proceedings;
- The cost;
- What other expert evidence is available (whether obtained before or after the start of the proceedings), and whether evidence could be given by another person, such as a social worker or the Children's Guardian.
No expert can now be instructed in a children case unless the court is satisfied in accordance with s 13(6) of the Children and Families Act 2014, that the expert is 'necessary' to assist the court to resolve the proceedings 'justly';
An application for permission to instruct an expert should state the questions which the expert is required to answer and the court will give directions approving the questions that are to be put to the expert.

PD36C, paragraph 7.1, substitutes a new FPR 25.6, which requires the parties to apply for permission under FPR 25.4 "as soon as possible and…no later than the case management hearing"; see also PD25C, paragraphs 3.7-3.9.

FPR 25.7(2)(a) sets out what the application notice "must" include; amongst other things the matters set out in PD25C, paragraph 3.10:

"the discipline, qualifications and expertise of the expert (by way of CV where possible);
the expert‟s availability to undertake the work;
the timetable for the report;
the responsibility for instruction;
whether the expert evidence can properly be obtained by only one party (for example, on behalf of the child);
why the expert evidence proposed cannot properly be given by an officer of the service, Welsh family proceedings officer or the local authority (social services undertaking a core assessment) in accordance with their respective statutory duties or any other party to the proceedings or an expert already instructed in the proceedings;
the likely cost of the report on an hourly or other charging basis;
the proposed apportionment (at least in the first instance) of any jointly instructed expert‟s fee; when it is to be paid; and, if applicable, whether public funding has been approved."

1.5 Expectations of the Local Authority by the Court

Timetabling and conduct of the case - throughout the proceedings, the local authority must comply with court directions made regarding the timetabling and conduct of the case and the delivery of additional information and any specialist reports or up-dated assessments relevant to the local authority's case which the court decides are necessary. This additional material should be delivered within the timeframes set by the court. Where compliance becomes problematic the local authority will notify the court without delay and in advance of the deadline and seek an extension.

Both the local authority social worker and the local authority advocate should be in command of the essential evidence and equipped to present this clearly and confidently to the court. The social worker should also be clear on the degree of certainty in the conclusions they have drawn and have to hand the key facts and dates to support their judgements.

Where significant new factors or circumstances bearing on the case emerge late in the proceedings, the local authority (or the children's guardian or parent/ lawyer) will draw these to the court's attention, sharing the information with other parties at the earliest opportunity and seeking to reach a common approach on handling before the next court hearing.

Interim placements - pending final decisions by the court, children's need for stability and security remains a priority and will be reflected in any interim Care Plans, including plans for contact, which the local authority puts forward to the court. The local authority should ensure appropriate, high quality and stable placements are provided, where necessary, while a child's future is decided.

Communication - it is essential that the social worker and the local authority solicitor have regular contact during the course of the proceedings, and that the progress of the case is kept under constant review.

This will include discussion of any disclosure issues, which may need to be the subject of directions by the Court. Any correspondence received by the social worker from solicitors/experts during court proceedings, should be forwarded as soon as possible to the local authority solicitor, together with detailed instructions for the reply.

The social worker must keep the local authority solicitor and Children's Guardian up to date with any changes in relation to the child during the proceedings, for example, placement, contact, school/education, health. Arrangements must not be made for any change to the child's placement without prior consultation with the Children's Guardian.

Recording - the Family Court, in the case of RE M and N (Children) (Local authority gathering, preserving and disclosing evidence) made clear the need for good practice in relation to note-taking and record-keeping, and disclosure of relevant evidence to all parties:

Social workers/practitioners must make contemporaneous notes which form a coherent, contemporaneous record. The notes should be legible, signed and dated and record persons present during the meeting/conversation in question. The notes should be detailed and accurately attribute descriptions, actions and views etc. Sketches/diagrams may be helpful in establishing the veracity of explanations given, e.g. in relation to how injuries were sustained;
Formal case-notes based upon these contemporaneous notes must be created as soon as possible in order to reduce the potential for inaccuracy/faulty recall as a result of delay. The original notes should be retained and be available to the court if required. Legal advice should be sought as to the need for disclosure of these notes to other parties in the case. If the notes constitute 'material evidence', then they must be disclosed;
The local authority must ensure full disclosure of all material evidence to all relevant parties at the earliest opportunity. This includes ensuring that expert witnesses have had sight of one another's evidence – a full picture must be presented to the expert witnesses in the case.

Special Guardianship Orders - The Family Justice Council: Guidance on Special Guardianship reflected on:

The importance of the Pre-proceedings stage;
The issue of delay - there are often tensions with the court 26 week timetable when seeking the best outcome for the permanent placement for the child, particularly with regard to potential applicants: for example, where 'a realistic family carer' emerges late in proceedings; where there has been limited or no contact between the applicant and the child and so the quality of this needs to be assessed; possible training needs for the special guardians; assessments of potential special guardians living in another country.

It is expected a full assessment of potential special guardians will usually require a 3-month time scale and that a Special Guardianship Order may not be made for up to 12 months from the initial Application. However, decisions must be made on a case-by-case basis. See also: Timetabling and timescale for full family and Friends Assessments, (Family Justice Council, Family and Friends Care Policy);

Quality of special guardian reports - all assessments/suitability reports should comply with the schedule set out in regulation 21 of the Special Guardianship Regulations 2005 (as amended 2016). Where local authorities commission assessments from independent social workers, it is essential that there is clarity about the standard of the assessment commissioned before it is filed;
The interim placement of the child - the identification of family members who, as a result of an initial assessment, are then considered as a prospective Special Guardian will raise a number of issues about the placement of the child in the interim.

These issues will need to be addressed in the interim plan for the child. It must be considered that making an interim placement which does not develop into a long-term placement could have serious implications for the child.

2. Case Management Checklist and Flowcharts

Care, Supervision and other Part 4 Proceedings: Guide to Case Management (Including Flexible powers of the Court, Compliance with pre-proceedings checklist, Allocation, timetable for the child and the timetable for proceedings, Extensions to the timetable for proceedings and Interpretation)

Public Law Outline 2014 Flowchart

3. Letter templates

PLO - initiating - To follow

PLO - ending - To follow

4. LCS forms

Please see how to generate the PLO form /adding a case status on LCS.

5. Useful Information

Protocol and Good Practice Model: Disclosure of Information in Cases of Alleged Child Abuse and Linked Criminal and Care Direction Hearings (October 2013)

Pre-proceedings and Family Justice Hub (Research in Practice)

Legal Planning Meetings Procedure

Sir James Munby, the previous President of the Family Division, set out in 'The Process of Reform: the revised PLO and the Local Authority', the expectations of the local authority.

Support for and work with families prior to court proceedings

Protocol and Good Practice Model: Disclosure of Information in Cases of Alleged Child Abuse and Linked Criminal and Care Direction Hearings (October 2013)

Recommendations to achieve best practice in the child protection and family justice systems (2021)