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Contents

1. Criteria for Initial Assessments 
2. Purpose of Initial Assessments 
3. Timescales of Initial Assessments 
4. Process of Initial Assessments 
5. Outcome of Initial Assessments 
6. Recording and Communication  of Initial Assessments 

1. Criteria for Initial Assessments

An Initial Assessment must be undertaken in the following circumstances:

• Upon receipt of information which indicates a child meets the Prioritisation Criteria for a Child in Need at Level 2 or above:  if it appears that a child may have moderate to high needs;
• Upon obtaining new information or concerns about a child already receiving services, which indicates that a further Initial Assessment should be undertaken. (If an Initial Assessment has been undertaken in the preceding 6 months it is likely that an addendum to that assessment will suffice if the issues are similar).

Managers may also authorise an Initial Assessment upon a child in any other circumstances.

Where an assessment under CAF has been completed, see Common Assessment Framework Procedure - Integrated Working Guidance.

2. Purpose of Initial Assessments

An Initial Assessment is defined as a brief assessment of each child referred to Children's Social Care Services with a request for services to be provided.

The purpose of the Initial Assessment is to gather enough information to determine whether a child is in need of services, which may be provided by the authority.

All relevant information (including information about the history and functioning of the family both currently and in the past, and adult problems such as domestic violence, substance misuse, mental illness and criminal behaviour/convictions) should be taken into account.

3. Timescales of Initial Assessments

We will aim to complete most Initial Assessments within 7 working days. All Initial Assessments must be completed and authorised by a Team Manager within a maximum of 10 working days.

Exceeding 7 days should only occur in exceptional circumstances and in such cases, the reasons for a more prolonged assessment, as well as the added value to the assessment will be clearly evident on the case file. For example, a more complex chronology; ensuring the carer or the child have had the assessment shared with them where it was not possible to do so within 7 days.

The urgency of the situation may dictate that the timescale is much shorter than ten days; for example, where it is immediately clear a child is suffering or likely to suffer Significant Harm. 

In such circumstances, the Initial Assessment may be completed on the same day as a Referral is received, and a decision reached to conduct a Strategy Discussion (See West Yorkshire Consortium Procedures, 3.3b Strategy Discussions in Bradford) leading to a Core Assessment incorporating a Child Protection Enquiry. See section 2.1 of the Core Assessments Procedure.

At the end of ten days, the manager must decide whether to initiate a Core Assessment.

If information in relation to the assessment is outstanding, the manager should decide, on the basis of the information available, whether a Core Assessment is necessary. That decision can then be reviewed once further information comes to light.

4. Process of Initial Assessments

The Initial Assessment should be undertaken in line with Initial and Core Assessment Guidance and the Assessment Framework. 

The Initial Assessment should be led by a qualified social worker (Children’s Advisers should not be undertaking Initial Assessments), supervised by a highly experienced social work manager and should carefully plan to carry out the following:

• The child should be seen by the Lead social worker without their caregivers when appropriate and this should be recorded in the Initial Assessment Record;

• Interview the child;

• Interview the parents and any other relevant family members;

• Determine what the parents should be told of any concerns;

• Consult with and consider contributions from all relevant agencies, including agencies covering previous addresses in the UK and abroad. Children's Advisors may assist with this task.

All children who are the subject of an Initial Assessment must be seen by a Social Worker as part of the assessment. The only exception to children not being seen during the IA is where the Referral & Initial Assessment immediately conclude that a Section 47 and Core Assessment is required, which will record the interview and visit to the child.

The parent’s consent should usually be sought, before discussing a Referral about them with other agencies, unless this may place the child at risk of Significant Harm, in which case the manager should authorise the discussion of the referral with other agencies without parental knowledge or consent. The authorisation should be recorded with reasons.

If during the course of the Initial Assessment, it is discovered that a school age child is not attending an educational establishment, the social worker should contact the local education authority to establish a reason for this. 

If there is suspicion that a crime may have been committed including sexual or physical assault or Neglect, the Police must be notified immediately.

For Initial Assessments carried out in relation to a pre-birth referral, see West Yorkshire Consortium Procedures.

The records to be completed during an Initial Assessment are outlined in the Section 6, Recording and Communication of Initial Assessments.

5. Outcome of Initial Assessments

The Initial Assessment is deemed completed once the assessment has been discussed with the child and family and the authorised manager. The Team Manager must authorise the outcome of the Initial Assessment which may be one of the following:

1. The child is not a Child in Need; which may result in the provision of information, signposting to another agency and/or no further action;
2. The child is a Child in Need but does not appear to be suffering or likely to suffer Significant Harm. 
   
   In these circumstances the manager may authorise the immediate provision of services and a Core Assessment if it is thought that further information is required and further assessment is necessary. If the referral of the child followed the completion of a CAF the Lead Professional should be notified of the outcome immediately;
3. The child is a Child in Need and appears to be suffering or likely to suffer Significant Harm. In these circumstances a Strategy Discussion must be arranged with a view to conducting a Child Protection Enquiry and commencing a Core Assessment.

If it is determined that the child is a Child in Need, whether or not a Core Assessment is initiated, the manager may authorise or recommend the provision of protective, family support, other services or referrals to the Looked After services within the authority or partner agencies.

Children in Need who have an identified Complex Health Need or a Disability which fulfils the criteria of the Children’s Complex Health or Disability Team (CCHDT) can be referred directly to the Team. At the conclusion of an initial or Core Assessment a transfer request may be made to CCHDT, this will involve a discussion with the Assessment Social Worker from CCHDT. In these circumstances the Assessment will need to have identified the needs of the child and the carer and the issues that affect them. The identified work to be completed will need to be in line with the Protocol. See Manual Contents List for section on Services to Disabled Children and Children with Complex Health Needs.

Where services include financial assistance, the social worker should complete the appropriate Financial Commitment Form and send it to the appropriate manager – See also Financial Assistance to Children in Need Procedure.

If the manager authorises the provision of services immediately or at a later date when they become available, a Child in Need Plan must be drawn up outlining the child’s needs and the services to be provided.

If the child needs to be Looked After, see Decision to Look After, Care Plans and Permanence Plans Procedure.

6. Recording and Communication of Initial Assessments

An Initial Assessment Record Form on ICS must be completed by the social worker.

All activity and enquiries during an Initial Assessment should be recorded on the Initial Assessment and not on case records.

Agreed actions and recommendations at the end of the Initial Assessment must be recorded as a plan, with all relevant professionals, family members and young people informed of the outcome.

A copy should be provided to the parents, and, where appropriate, professional referrers and other agencies unless to do so would place the child at risk.

All families who are the subject of assessments will receive a verbal summary of the worker’s findings and recommendations as part of finalising the assessment process.  No information, conclusions, or recommendations contained within the final, completed, written assessment document should be a ‘surprise’ to the family, although there may not always be agreement about those conclusions and recommendations.

It is acknowledged that not all parents are literate and there will be occasions that require the worker to read the assessment to the parent if they are aware that no one else can. In cases where the family do not speak English and the assessment is transferring to the fieldwork team or resource units an interpreter should be used.

Where assessments are posted to non English speaking families, an accompanying letter should be sent with the assessment (in the appropriate language) to advise that if the family cannot obtain help in reading the document, they should contact the social worker.

Further demographic details that are obtained during the assessment must be recorded, with service user contact details kept up to date.

(Feedback on the outcome should be provided to non-professional referrers in a manner consistent with respecting the confidentiality of the child). 

The chronology on the front of the child’s file must be updated. 

End