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FORMAT OF THE GUIDELINESThere are three main sections to these guidelines:SECTION 1 – PRINCIPLES & PRACTICESThis section explores what case management is, in general terms, and the principles thatshould inform and underpin case management practice.SECTION 2 – IMPLEMENTING CASE MANAGEMENT SERVICESThis section considers the main dynamics and factors that should be taken into accountwhen either introducing case management services, or seeking to strengthen them. It isprimarily aimed at policy makers and programme managers – including child protectionadvisors and coordinators.SECTION 3 - CASE MANAGEMENT STEPSThis section examines in greater detail the different steps that form part of the casemanagement process, and the key elements to be considered. It is aimed primarily atfrontline caseworkers and their supervisors – that is to say those who actually have theday-to-day contact with children and families. It will also be of use to managers andadvisors who have responsibility for either establishing or implementing case managementresponses and supervising caseworkers.Throughout the text other key resources that are available have been signposted. Inaddition, the Resource Section at the end of the guidelines contains a comprehensive listof references and other useful materials.10 Child protection working group Inter agency guidelines

PRINCIPLES &PRACTICES

SECTION 1PRINCIPLES & PRACTICESWHAT IS CASE MANAGEMENT?CASE MANAGEMENT is a way of organising and carrying out work to address anindividual child’s (and their family’s) needs in an appropriate, systematic and timelymanner, through direct support and/or referrals, and in accordance with a project orprogramme’s objectives.Case management can be provided in emergency and development settings to addressa range of issues, including child protection concerns. Case management services canbe provided as part of programmes that address the needs of children with particularvulnerabilities or risks (such as separation or commercial sexual exploitation) or may beprovided as part of programmes or services that address a broader range of child welfareand social protection concerns. Having case management procedures in place ensuresquality, consistency, and coordination of services.CASE MANAGEMENT IS NOT:A type of programme or intervention – it is a service for identifying children’s needsand coordinating services to meet those needs.Appropriate to be used in all circumstances (explored further in Section 2)A quick and easy fix solution – it needs well trained staff, supported by appropriatesupervision and is often a medium to long-term work in progressKEY POINTS ABOUT CASE MANAGEMENT:1. Should focus on the needs of an individual child and their family, ensuring that concernsare addressed systematically in consideration of the best interests of the child andbuilding upon the child and family’s natural resilience.2. Should be provided in accordance with the established case management process, witheach case through a series of steps (as shown below) involving children’s meaningfulparticipation and family empowerment throughout.Child protection working group Inter agency guidelines 13

SECTION 1: PRINCIPLES & PRACTICES3. Involve the coordination of services and supports within an interlinked or referral system4. Require systems for ensuring the accountability of case management agencies (withina formal or statutory system where this exists)5. Are provided by one key worker (referred to as a caseworker or case manager) who isresponsible for ensuring that decisions are taken in best interests of the child, the caseis managed in accordance with the established process, and who takes responsibilityfor coordinating the actions of all actors.CASE MANAGEMENT WHERE FEW SERVICES ARE AVAILABLEIt is sometimes thought that case management cannot be provided where thereare limited services for referrals. However, case management services can stillbe effective when only one agency is working with the child and their family. Withappropriate training and supervision, case management staff can address manyprotection issues themselves and work collaboratively with the community and nonprotection services to address potential gaps.CORE STEPS IN THE CASE MANAGEMENT PROCESSThere are a number of core steps in the case management process (which aredescribed in more detail in Section 3) as shown in the diagram8 below:1. Identify and registervulnerable children, includingraising awareness amongaffected communities.2. Assess the needs ofindividual children and families.6. Close case.3. Develop an individual caseplan for each child addressing theneeds identified. Set time-bound,measureable objectives.5. Follow up and review.4. Start the case plan, includingdirect support and referralservices.8. Diagram adapted from the CP MS, Standard 15. Note that in the CPMS case management contains 5 steps as ‘Assessment’and ‘Case planning’ are combined into a single step. In these guidelines, these two aspects of case management are presentedas separate steps.14 Child protection working group Inter agency guidelines

1. IDENTIFICATION & REGISTRATION – A child who is in need of case managementservices can be identified through a variety of pathways. Staff members in child protectionand other sector programmes might identify a child in the course of their regular activities,or an agency or community member might refer the child to receive case managementservices. In some cases, the child or their family might present themselves directly. Everyprogramme involving case management services should outline specific vulnerabilitycriteria to help guide this identification process and raise awareness on these within acommunity.Registration occurs when the child meets the vulnerability or risk criteria and both the childand their family give informed consent/assent to accept services. Registration includesthe initial collection of data on the child (intake).2. ASSESSMENT – The systematic evaluation of the situation of the child. This shouldconsider the vulnerabilities, risks and harm factors, and also the protective influences andstrengths and resilience of a child and their family. In emergencies, this may be a relativelyquick and straightforward process concentrating on basic needs (for example food andshelter). Where there is an immediate risk to the child (for example the child is living withthe perpetrator of abuse or violence), immediate intervention will be prioritized before acomprehensive assessment and case plan is developed.In a second phase, a subsequent in-depth (comprehensive) assessment is conductedto gain a holistic understanding of the child’s situation. The holistic needs of a child arealways considered even if an agency is not able to address every concern directly. In sucha case, the case would be referred to another agency/service provider able to addressspecific concern. (See later sections on referrals).3. CASE PLANNING – A case plan lists the needs identified in the assessment and sets astrategy for addressing them through direct service provision, referrals and/or communitybased programmes. In complex cases, a multi-disciplinary, inter-agency case conferencemay be called to develop a case plan. Specific, measurable, time-bound case objectivesare set at this time and should ideally be reached prior to case closure. Case plans are fluiddocuments that can be revised at any time if a child’s situation or needs change.4. IMPLEMENTING THE CASE PLAN – The actions taken in order to realise the planincluding direct support and services and referral to other agencies/service providers, asappropriate. A caseworker or manager is responsible for coordinating all of these services,documenting progress, and ensuring case objectives are being met.5. FOLLOW UP AND REVIEW –Follow up involves checking that a child and his/her family are receiving appropriateservices and support.Follow-up also involves monitoring the child’s situation and identifying any changes in achild or family’s circumstances. Follow-up takes place throughout the case managementprocess.Review is a reflection on how the implementation of the plan is progressing, whether theobjectives outlined in the case plan are being met, whether the plan remains relevant,and how to make adjustments to the plan if necessary.Child protection working group Inter agency guidelines 15

SECTION 1: PRINCIPLES & PRACTICES6. CASE CLOSURE – The point at which work with the child ends. This can be for avariety of reasons – for example because the situation is resolved, (i.e. the case plan hasbeen completed and the child no longer requires support). In some cases an organisationwould close a case and transfer the child to another organisation – for example if the childmoves to a different location or, in emergency situations, if the organisation is no longerworking in the area, The case will also be closed where the child becomes 18 years old(unless there are good reasons to remain involved, such as additional vulnerabilities) or ifthe child dies.Managers and caseworkers should keep in mind that case management is not a linearprocess. The six steps shown in the diagram above (Core steps in the case managementprocess p 12) are inter-linked and may at some time trigger a return to an earlier stageor process. Managers and caseworkers should constantly be analysing the situation ofchildren and their family and use the case management steps as flexible tools to organisetheir work.GUIDING PRINCIPLES FOR CASE MANAGEMENTAgencies and staff engaged in child protection case management should comply witha core set of principles to guide their behaviour and interaction with children and theirfamilies. This also provides a foundation of care and responsibility for decisions andactions taken. These core principles are similar to those which underpin all good practicewith children. They also reflect the Protection Principles in the SPHERE Handbook9and the key principles and approaches developed in the CPMS10.DO NO HARMThis means ensuring that actions and interventions designed to support the child (and theirfamily) do not expose them to further harm. At each step of the case management process,care must be taken to ensure that no harm comes to children or their families as a resultof caseworker conduct, decisions made, or actions taken on behalf of the child or family.Caution should also be taken to ensure that no harm comes to children or families as a resultof collecting, storing or sharing their information. For example, care should be taken to avoidcreating conflict between individuals, families or communities, and collecting unnecessaryinformation that, if in the wrong hands, could put the child or family at risk of violence. Unlesscare is taken, this may expose a child and his/her family to further harm such as revengeacts or violence.PRIORITISE THE BEST INTERESTS OF THE CHILDThe “best interests of the child” encompass a child’s physical and emotional safety (theirwell-being) as well as their right to positive development. In line with Article 3 of the UnitedNations Convention on the Rights of the Child (UNCRC), the best interests of the childshould provide the basis for all decisions and actions taken, and for the way in which serviceproviders interact with children and their families. Caseworkers and their supervisors mustconstantly evaluate the risks and resources of the child and his environment as well aspositive and negative consequences of actions and discuss these with the child and theircaregivers when taking decisions. The least harmful course of action is the preferred one.9. Sphere Minimum Standards10. Minimum Standards for Child Protection in Humanitarian Action, Child Protection Working Group, 201211. Action on the Rights of the Child, http://www.arc-online.org/using/index.html16 Child protection working group Inter agency guidelines

All actions should ensure that the child’s rights to safety and on-going development arenever compromised.11The Best Interests Principle must guide all decisions made during the case managementprocess. Often in child protection there is no one ‘’ideal’’ solution possible, but rathera series of more or less acceptable choices that must be balanced with a child’s bestinterests.NON-DISCRIMINATIONAdhering to the non-discrimination principle means ensuring that children are notdiscriminated against (treated poorly or denied services) because of their individualcharacteristics or a group they belong to (e.g. gender, age, socio-economic background,race, religion, ethnicity, disability, sexual orientation or gender identity).Children in need of protective services should receive assistance from agencies andcaseworkers that are trained and skilled to form respectful, non-discriminatory relationshipswith them, treating them with compassion, empathy and care. Case management staff mustactively work to be non-judgemental and avoid negative/ judgemental language in theirwork. Whether engaged in awareness raising, prevention or response activities agenciesand caseworkers should challenge discrimination, including policies and practices thatreinforce discrimination.ADHERE TO ETHICAL STANDARDSFor agencies and staff working with children, professional ethical standards and practicesshould be developed and applied; these may be professional codes of conduct and childprotection policies. National laws and policies may exist in addition to international normsand standards to protect children that are relevant and have to be respected. Adheringto ethical standards includes following the guidelines presented in this document. Theseguidelines are fundamental to the delivery of professional and quality care and protectionfor children.SEEK INFORMED CONSENT AND/OR INFORMED ASSENTInformed consent is the voluntary agreement of an individual who has the capacity togive consent, and who exercises free and informed choice. In all circumstances, consentshould be sought from children and their families or caregivers prior to providing services.To ensure informed consent, caseworkers must ensure that children and their familiesfully understand: the services and options available (i.e. the case management process),potential risks and benefits to receiving services, information that will be collected andhow it will be used, and confidentiality and its limits. Caseworkers are responsible forcommunicating in a child-friendly manner and should encourage the child and their familyto ask questions that will help them to make a decision regarding their own situation. (Seeannex 14, the sample of guidance note for informed consent).Informed assent is the expressed willingness to participate in services12. It requires thesame child-friendly communication of information outlined above. However, for youngerchildren who are by nature or law too young to give informed consent, but old enough tounderstand and agree to participate in services, the child’s “informed assent” is sought.Even for very young children (those under 5 years old) efforts should be made to explainin language appropriate to their age,

Case Management: The process of helping individual children and families through direct social-work type support, and information management. Caseworker: The key worker in a case who maintains responsibility for the child's care from identification to case closure