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Contents

1. Introduction and Background
2. Undertaking an Initial Assessment 
3. Completing the Initial Assessment Record
   
   APPENDIX A - Assessment Triangle
   APPENDIX B - Domains & Dimensions

1. Introduction and Background  

1.1

All local authorities with Children’s Social Care responsibilities are required to follow the guidance in the Framework for the Assessment of Children In Need and their Families (Assessment Framework) to undertake assessments of Children in Need, including children in need of protection.

1.2

The Assessment Framework was developed to support the principle that assessments:              are child centred are rooted in child development are ecological in their approach ensure equality of opportunity involve working with children and families build on strengths as well as identify difficulties are inter agency in their approach to assessment and the provision of services are a continuing process, not a single event are carried out in parallel with other action and providing services are grounded in evidence based knowledge  The Assessment Framework gives an excellent description and explanation of the importance of these principles – see paragraphs 1.33 to 1.60.

2. Undertaking an Initial Assessment 

2.1	An Initial Assessment must be undertaken for every child referred to Children’s Services with a request for the services we provide as part of our statutory responsibilities.
2.2	It is a brief assessment which must be completed within 7 working days of the referral being received.
2.3	The Initial Assessment Record See also Section 3, Completing Initial Assessment Record. The Initial Assessment Record helps the worker structure the assessment. It follows a logical process, moving from information collection to analysis to professional judgement and decision making.
2.4	Length and Detail of an Initial Assessment Record
2.4.1	The source of the information in the Initial Assessment will be available in case file recording so it is not necessary to repeat all the detail on the Initial Assessment Record.  The use of bullet point recording may be helpful.
2.4.2	When the focus of the assessment is clear the Domains and Dimensions (the child’s developmental needs, the parenting capacity and the impact of family and environmental factors on the child and parent see Appendix A, Assessment Triangle) that are most relevant to the assessment are usually self evident. In these circumstances it is not necessary to explore all the domains and dimensions in detail. It is enough to ask whether there are any concerns or strengths in each area and note anything relevant on the form.
2.4.3	The main focus of the assessment will usually be clear from the referral.  For example a referral relating to a socially isolated family, where a child of preschool age is receiving little stimulation or interaction with peers would focus on basic care, education and behavioural and emotional development, parental capacity and the impact of the wider family and environment on the child and on parenting capacity. Although questions should be asked about the other dimensions such as employment, income and housing they may not be relevant to the issues identified by the referrer, child or parent and a simple statement such as ‘nothing relevant’ should be entered under that dimension.
2.4.4	Specific Communication Needs for Child/Parent Where English is not the first language for the child or parent the use of an interpreter should be considered unless both the child/parent and the social worker are sure that it is not necessary. Signing may be required for parents or children with hearing disabilities and Makaton or similar may be required for children and parents with specific communication needs.
2.4.5	If the Initial Assessment domain requires further exploration or is presented as complex, consideration should be given to closing the Initial Assessment and opening a Core Assessment.
2.5	Seeing and Communicating with the Child As part of the Initial Assessment, the child should be seen. This includes observing and communicating with the child in an age appropriate manner.  The social worker carrying out the Initial Assessment will, in almost every case, be the person who sees and communicates with the child. However, when a professional who already knows the child, such as a teacher or health visitor, sees and communicates with him or her about all the issues involved in the assessment sufficiently to able to comment on the child’s welfare, wishes and demeanour it may be unhelpful for the person carrying out the assessment to repeat this. A team manager or assistant team manager needs to approve any decision that the child is seen by a professional other than the worker carrying out the assessment. If there are child protection concerns, the worker carrying out the assessment will always see and communicate with the child as part of the Initial Assessment.  The only other exception to this is when a more detailed Core Assessment is required and the child will be seen as part of the Core Assessment.
2.6	Inter agency assessment
2.6.1	An Initial Assessment is intended to be undertaken with input from other professionals who have been involved with the child including midwives, health visitors, GPs, nursery staff and teachers.
2.6.2	A registered social worker is required to lead the Initial Assessment but other professionals involved with the child or family should be asked to contribute to the assessment.

3. Completing the Initial Assessment Record 

PAGE NO. OF INITIAL ASSESSMENT
1.	When a Core Assessment is required The practice guidance at the start of the form reminds practitioners that if it is clear that a Core Assessment is required they need only fill in part of the Initial Assessment Record. For example in the case of a pre-mobile baby, with a spiral fracture, diagnosed as likely to be non accidental: The family details and date of referral should be completed on page 1. The reason for the Initial Assessment should be recorded (briefly) on page 2. On page 6, under Further Action, the Core Assessment box should be ticked. The date the Core Assessment started and the section of the Children Act 1989 (in this case Section 47), the Initiate Section 47 Enquires box should be ticked and the date inserted. The date of the Strategy Discussion and any legal action taken should be completed and the record signed off by the social worker and team manager Finally the date the Initial Assessment was completed should be inserted on page 1. In this case it is likely to be the same day that the Initial Assessment was commenced.
2.	When a Core Assessment is not anticipated Page 1 holds information (together with the Referral and Initial Information Record) required in planning the assessment such as the address and contact numbers of the child and parents, the first language or means of communication of the child, their ethnicity and religion. The professionals / agencies contacted as part of the assessment should be recorded here
3.	The reason for undertaking the Initial Assessment should reflect the team manager’s reason for making the decision as recorded on the Referral and Initial Information Record (last page) and may include the reason for referral and/or the assessing social worker’s reason for recommendation from the Referral and Initial Information Record. The views of the child and parents or carers recorded here are about their response to the referral and decision to undertake an Initial Assessment. They may well be brief as their views about the assessment itself will be recorded later. It is best if the parent and child complete this themselves but the worker may complete it on their behalf, after ensuring it reflects their wishes, feelings and opinions.
4.	Information about each of the child’s developmental needs should be recorded here. Please see the Dimensions of Child’s Developmental Needs in the Framework for the Assessment of Children In Need and their Families for useful examples of information that could be considered in each dimension (Appendix B, Domains and Dimensions) Remember to record strengths as well as any concerns
5.	Provides space to record parents’/carers’ capacity to respond to the child’s needs. Please see the Dimensions of Parenting Capacity in the Framework for the Assessment of Children In Need and their Families for useful examples of information that could be considered in each dimension (Appendix B, Domains and Dimensions) Remember to include strengths as well as any concerns
6.	Provides space to record parental characteristics that may affect their ability to parent their children. Strengths should be recorded as well as any difficulties. For example: a parent might have the ability to recognise when the family is under stress and they are unable to meet the child’s needs adequately and to ask for help at these times. This would be a strength because it increases the likelihood the family will receive extra support when necessary. Where difficulties are recorded it is important to describe exactly how it affects parenting. For example if a parent misuses alcohol, it may be that the consequence for the child is that the parent sleeps late in the mornings causing the child to be late for school and without a proper breakfast or adequate clothes.
7.	Issues affecting parents’/carers’ capacity to respond appropriately to the child’s needs. Any adults who may pose a risk of Significant Harm to the child, whether they are formally part of the household or not, should be recorded here. For instance, a family friend who is may pose a risk of harm to children (Risk to Child Offender), or who brings drug taking equipment into the home. If the parent has specific difficulties such as substance misuse, mental illness, disability or learning disabilities the worker needs to consider whether a referral could be made to Adult Services to meet the parent’s own needs. If the parent is caring for a disabled child the worker will need to consider whether a separate carer’s assessment should be carried out. The Carers and Disabled Children Act 2000 gives carers the right to an assessment of needs in their own right.
8.	Provides space to record the Family and Environmental factors which impact on the child and family. Please see the Family and Environmental Factors in the Framework for the Assessment of Children In Need and their Families for useful examples of information that could be considered in each category. (Appendix A) Again the strengths, such as the grandmother who offers care to the child when the family is under stress as well as any difficulties should be noted.
9.	The summary records the fundamental part of the assessment i.e. the analysis. Having gathered the information the social worker’s professional task is to analyse that information so that it has meaning and can inform a plan that will meet the child’s needs. The following questions may help in undertaking the analysis: What are the expressed wishes of the child? What are the child’s developmental needs? How able are the parents to meet the child’s identified needs? What are the strengths of the family? What are the parents needs? How do they impact on their care of the child? What impact is the wider family and community having on the parenting capacity? What impact is the wider family and community having on the child’s needs? What are the consequences for the child if nothing changes? Is the child a Child in Need? If so, under what category? A child whose vulnerability is such that they are unlikely to reach or maintain a satisfactory level of health or development without the provision of services A child whose health or development will be significantly impaired without the provision of services (i.e. is suffering or likely to suffer Significant Harm) A child whose health or development is being significantly impaired, what are the services required? A child who is disabled What outcomes does the child want? What outcomes do the parents/carers want? What is your professional judgement about the outcomes that are needed? What services are proposed in order to achieve the outcomes? Sec 53. Having formulated the plan of service you should record the child’s and parents’ views on the actions proposed. After the analysis the worker should be in a position to decide whether the child is a Child in Need
10.	The views of the child and parents or carers on the assessment should be recorded here. As before, it is best if the parent and child complete this themselves but the worker may complete it on their behalf, after ensuring it reflects their wishes feelings and opinions. The parents and the child (if of sufficient age and understanding) should always be given a copy of the completed Initial Assessment record.  Please record the date that the parent/carer and child were given a copy.
11.	Further Action The worker should record the actions taken as a result of the Initial Assessment. If the Initial Assessment has identified that the child is a Child in Need and services should be provided a Child In Need Plan should be completed with the details of the objectives of the plan, the desired outcomes and who will do what and by when – see Child in Need Plans and Review Procedure.

APPENDIX A - Assessment Triangle, Domains & Dimensions

The Assessment Triangle and the Domains and Dimensions of the Assessment Framework are intended as a reminder to professionals undertaking the assessment and to be given to parents to help them understand the areas the worker will want to explore. It is good practice to give a blank copy of the Initial Assessment Record to parents on first meeting them to enable them to understand and participate in the process. 

Click here to view Assessment Framework Triangle

“Developing a detailed understanding of a child’s needs, identity and best interests enables us to take the actions required to meet and fulfil them.”

(Sir William Utting ‘The care of children: Principles & Practice in Regulations and Guidance’ 1989)

APPENDIX B – Domains and Dimensions (taken from the Framework for the Assessment of Children in Need and Their Families)

CHILD’S DEVELOPMENTAL NEEDS

Health

Includes growth and development as well as physical and mental wellbeing.  The impact of genetic factors and of any impairment should be considered.  Involves receiving appropriate health care when ill, an adequate and nutritious diet, exercise, immunisations where appropriate and developmental checks, dental and optical care and, for older children, appropriate advice and information on issues that have an impact on health, including sex education and substance misuse.

Education

Covers all areas of a child’s cognitive development which begins from birth.  Includes opportunities: for play and interaction with other children; to have access to books; to acquire a range of skills and interests; to experience success and achievement.  Involves an adult interested in educational activities, progress and achievements, who takes account of the child’s starting point and any special educational needs.

Emotional and Behavioural Development

Concerns the appropriateness of response demonstrated in feelings and actions by a child, initially to parents and caregivers and, as the child grows older, to others beyond the family.

Includes nature and quality of early attachments, characteristics of temperament, adaptation to change, response to stress and degree of appropriate self-control.

Identity

Concerns the child’s growing sense of self as a separate and valued person.  Includes the child’s view of self and abilities, self-image and self esteem, and having a positive sense of individuality.  Race, religion, age, gender, sexuality and disability may all contribute to this.  Feelings of belonging and acceptance by family, peer group and wider society, including other cultural groups.

Family and Social Relationships

Development of empathy and the capacity to place self in someone else’s shoes. 

Includes a stable and affectionate relationship with parents or caregivers, good relationships with siblings, increasing importance of age appropriate friendships with peers and other significant persons in the child’s life and response of family to these relationships.

Social Presentation

Concerns child’s growing understanding of the way in which appearance, behaviour, and any impairment are perceived buy the outside world and the impression being created.

Includes appropriateness of dress for age, gender, culture and religion; cleanliness and personal hygiene; and availability of advice from parents or caregivers about presentation in different settings.

Self Care Skills

Concerns the acquisition by a child of practical, emotional and communication competencies required for increasing independence.  Includes early practical skills of dressing and feeding, opportunities to gain confidence and practical skills to undertake activities away from the family and independent living skills as older children.

Includes encouragement to acquire social problem solving approaches.  Special attention should be given to the impact of a child’s impairment and other vulnerabilities, and on social circumstances affecting these in the development of self care skills.

PARENTING CAPACITY

Basic Care

Providing for the child’s physical needs, and appropriate medical and dental care. 

Includes provision of food, drink, warmth, shelter, clean and appropriate clothing and adequate personal hygiene.

Ensuring Safety

Ensuring the child is adequately protected from harm or danger.

Includes protection from significant harm or danger, and from contact with unsafe adults/others children and from self-harm.  Recognition of hazards and danger both in the home and elsewhere.

Emotional Warmth

Ensuring the child’s emotional needs are met and giving the child a sense of being specially valued and a positive sense of own racial and cultural identity.

Includes ensuring the child’s requirements for secure, stable and affectionate relationships with significant adults, with appropriate sensitivity and responsiveness to the child’s needs.  Appropriate physical contact, comfort and cuddling sufficient to demonstrate warm regard, praise and encouragement.

Stimulation

Promoting child’s learning and intellectual development through encouragement and cognitive stimulation and promoting social opportunities.

Includes facilitating the child’s cognitive development and potential through interaction, communication, talking and responding to the child’s language and questions, encouraging and joining the child’s play, and promoting educational opportunities.  Enabling the child to experience success and ensuring school attendance or equivalent opportunity.  Facilitating child to meet challenges of life.

Guidance and Boundaries

Enabling the child to regulate their own emotions and behaviour.

The key parental tasks are demonstrating and modelling appropriate behaviour and control of emotions and interactions with others, and guidance which involves setting boundaries, so that the child is able to develop an internal model of moral values and conscience, and social behaviour appropriate for the society within which they will grow up.  The aim is to enable the child to grow into an autonomous adult, holding their own values, and able to demonstrate appropriate behaviour with others rather than having to be dependent on rules outside themselves.  This includes not over protecting children from exploratory and learning experiences.

Includes social problems solving, anger management, consideration for others, and effective discipline and shaping of behaviour.

Stability

Providing a sufficiently stable family environment to enable a child to develop and maintain a secure attachment to the primary caregiver(s) in order to ensure optimal development.

Includes ensuring secure attachments are not disrupted, providing consistency of emotional warmth over time and responding in a similar manner to the same behaviour.  Parental responses change and develop according to child’s developmental progress.  In addition, ensuring children keep in contact with important family members and significant others.

FAMILY AND ENVIRONMENTAL FACTORS

Family History and Functioning

Family history includes both genetic and psycho-social factors.

Family functioning is influenced by who is living in the household and how they are related to the child; significant changes in family/household composition; history of childhood experiences of parents; chronology of significant life events and their meaning to family members; nature of family functioning, including sibling relationships and its impact on the child; parental strengths and difficulties, including those of an absent parent; the relationship between separated parents.

Wider Family

Who are considered to be members of the wider family by the child and the parents?

Includes related and non-related persons and absent wider family.  What is their role and importance to the child and parents and in precisely what way?

Housing

Does the accommodation have basic amenities and facilities appropriate to the age and development of the child and other resident members?  Is the housing accessible and suitable to the needs of disabled family members?

Includes the interior and exterior of the accommodation and immediate surroundings.  Basic amenities include water, heating, sanitation, cooking facilities, sleeping arrangements and cleanliness, hygiene and safety and their impact on the child’s upbringing.

Employment

Who is working in the household, their pattern of work and any changes?  What impact does this have on the child?  How is work or absence of work viewed by family members?  How does it affect their relationship with the child? 

Includes children’s experience of work and its impact on them.

Income

Income available over a sustained period of time.  Is the family in receipt of all its benefit entitlements? Sufficiency of income to meet the family’s needs.  The way resources available to the family are used.  Are there financial difficulties which affect the child?

Family’s Social Integration

Exploration of the wider context of the local neighbourhood and community and its impact on the child and parents.

Includes the degree of the family’s integration or isolation, their peer groups, friendship and social networks and the importance attached to them.

Community resources

Describes all facilities and services in a neighbourhood, including universal services of primary health care, day care and schools, places of worship, transport, shops and leisure activities.

Includes availability, accessibility and standard of resources and impact on the family, including disabled members.

End