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Contents

Flowchart: Assessment Framework Guidance

1. Universal Assessment Procedures
2. Initial Assessments
3. Core Assessments Without a Child Protection Assessment
4. Conducting a Core Assessment with a Child Protection Assessment

1. Universal Assessment Procedures

Users must be familiar with this Section before undertaking any Assessment.

1.1 Timescales

The following maximum timescales may not be compromised unless there are exceptional circumstances and the manager approves it, in writing.

In some circumstances cases can be ‘Fast Tracked’ where, for example, there are clear indications that a child is suffering Significant Harm at the point of Referral.  In which case, the Initial Assessment can be conducted very quickly leading to a Strategy Discussion and Core Assessment/Child Protection Assessment.

Initial Assessments should be undertaken within a maximum of 10 working days from the receipt of the referral.

All Core Assessments must be concluded within a maximum of 35 working days of the end of the Initial Assessment, or the date when the decision to undertake a Core Assessment was made, for example the date when a child is Accommodated will trigger a Core Assessment. 

N.B. Core Assessments incorporating a Child Protection Assessment will be concluded in time for the Initial Child Protection Conference which is normally convened within 15 working days of the Strategy Discussion – see Section 4, Conducting a Core Assessment with a Child Protection Assessment.

1.2 Notifying, Consulting and Interviewing the Parents or Other Family Members

Unless there are exceptional circumstances, the parent’s consent and that of children of sufficient understanding, must be sought and they should be consulted before and during the assessment process; also, they must be given a copy of the assessment report(s) or a written explanation of the assessment outcome.

The exceptional circumstances which may determine that consultation does not take place or information not provided are that it may place the child at risk of Significant Harm or a criminal offence may be committed as a result.

Any decision not to consult or provide information must be authorised and recorded by a manager.

Where attempts to engage the parent in the assessment are unsuccessful, the manager must consider what action or approach is required to safeguard the child and take legal advice as necessary.

1.3 Assessing and Seeing the Child

Assessments should be undertaken in relation to each individual child in the family about whom there are concerns.

Unless otherwise authorised by the manager, each child should be seen and communicated with, alone, by the social worker undertaking the assessment at least once during an assessment.

If a child’s age and level of understanding is sufficient, s/he must be given a copy of assessment reports, unless doing so compromises the safety of the child or other people.

If it is determined that a child should not be seen alone, this should be authorised by the manager, those present should be recorded and the reason for their presence recorded.

If it is determined that a child should not be seen, this should be authorised and recorded by a manager.

Where attempts to engage the child in the assessment are unsuccessful, the manager must consider what action or approach is required to safeguard the child and take legal advice as necessary.

1.4 References to Other Guidance Chapters relevant to Assessments

Consideration should be given to whether a Carer’s Assessment should be undertaken, for example where the child is a Young Carer – see Carers’ Needs Assessments Procedure

See also:

Whole Family Working Checklist for Adult Service sand Children and Families

Practice Guidance for Working with Substance Misusing Parents and their Families

Assessment of Risk in the Antenatal and Perinatal Period - Guidance

1.5 Notifying, Consulting or Commissioning Other Agencies

Other relevant agencies, known to or with a potential interest in the child, must be consulted at the outset and during the assessment.

Where information has already been gathered by other agencies as part of their assessments for example in the context of the Common Assessment Framework, there is no need to duplicate the information gathering although the social worker should check with the child and family that the information gained from the other agencies is correct. 

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

If, at any time, it is suspected that a child has suffered or is likely to suffer Significant Harm, a Strategy Discussion/Meeting must immediately be initiated.

If, at any time, there is suspicion that a crime may have been committed including Sexual Abuse or Physical Abuse or Neglect, the Police must immediately be notified.

1.6 Children who have lived Elsewhere in the UK, Overseas or Forces Children

Where it appears that a child has lived elsewhere in the UK, Overseas or where the family may have been associated with the Forces, relevant enquiries must be made into their backgrounds.

See Forces Children or Overseas Children in National Contacts for guidance on obtaining this information. 

1.7 Ending Assessments, Planning and Review

Initial and Core Assessments are deemed completed once the assessment has been discussed with the child and family and authorised by the manager.

The start and completion dates of all Initial and Core Assessments must be recorded on Framework-I by the social worker carrying out the assessments.

A manager must approve and record the outcome of all assessments and authorise any plan to provide services or seek assistance from other providers/agencies; the documents/plans that may be relevant are:

For a child who is Looked After, a Care Plan and Placement Information Record will be required.  See also Care Proceedings Procedure and the Decision to Look After and Care Planning Procedure for the other required processes to be followed for looked after children.

Where a child’s name is considered by a Child Protection Conference to meet the criteria of Significant Harm, a Child Protection Plan will be required.

Where other services are to be provided and Children Young People and Families are to remain involved, a Child in Need Plan will be required.

All assessments and plans must be reviewed as determined by relevant procedures or within six months. All Reviews must involve the service user and a systematic check to see if the plan has been carried out and whether it has been successful.

2. Initial Assessments

NOTE: Before proceeding, users must be familiar with Section 1, Universal Assessment Procedures

Also see:

• Oxfordshire’s Threshold of Needs Matrix;
• Flowchart: Assessment Framework Guidance;
• Initial Assessments Procedure contained in the Oxfordshire Safeguarding Children Board Procedures manual.

2.1 Criteria and Purpose of an Initial Assessment

An Initial Assessment must be conducted if, having completed a Referral, it is determined that a child’s needs meet the Children in Need Threshold Criteria at Level 3 or Level 4 (see Oxfordshire’s Threshold of Needs Matrix). It should be led by qualified social worker, supervised by a highly experienced and qualified social work manager.

The purpose of the Initial Assessment is to gather enough information to determine whether a child is in need of services and/or whether a Core Assessment is necessary. 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 in an Initial Assessment.

2.2 Timescales of an Initial Assessment

Initial Assessments should be undertaken within a maximum of 10 working days from the receipt of the referral. 

In some circumstances, cases can be ‘Fast Tracked’ where, for example, there are clear indications that a child is suffering Significant Harm at the point of Referral, in which case, the Initial Assessment can be conducted very quickly leading to a Strategy Discussion and Core Assessment/Child Protection Assessment.

2.3 Approval for the Initial Assessment and Plan

There are the following four potential conclusions from an Initial Assessment, which must be authorised and recorded by a manager:

1. That the child is not a Child in Need, and that it is necessary to provide information, advice, signposting to another agency and/or no further action;
2. That the child meets the Children in Need Threshold Criteria at Level 1 or 2 (Oxfordshire’s Threshold of Needs Matrix) and that services of a non-complex, preventive, nature can be provided by a single agency or multi-agency with a Lead Professional but without the need for further Children Young People and Families involvement;
3. That the child meets the Children in Need Threshold Criteria at Level 3 (Oxfordshire’s Threshold of Needs Criteria) and that preventive /supportive services are required and/or that a Core Assessment may be conducted.  For children with a disability, this can include a Direct Payment.
   
   In these circumstances a Planning Meeting may be convened to formulate a multi agency plan to meet the child’s needs and a Lead Professional should be identified;
4. That the child meets the Children in Need Threshold Criteria at Level 4 (Oxfordshire’s Threshold of Needs Criteria) and that services of a preventive, nature are required and that a Core Assessment must be conducted. 
   
   If there are no Child Protection concerns, a Planning Meeting may be convened to formulate a multi agency plan to meet the child’s needs and a Lead Professional should be identified.    
   
   Where there are Child Protection concerns, a Strategy Discussion must precede the Core Assessment, which will then incorporate a Child Protection Assessment.  The manager must determine whether a single or joint Child Protection Assessment/Investigation is likely to be necessary.   
   
   Detailed procedures/guidance on the criteria for Single or Joint enquiries/investigations are contained in Oxfordshire Safeguarding Children Board’s Inter Agency Procedures.

In all cases, the manager may authorise or recommend the provision of services or referrals to other professionals/agencies. If services are provided, a relevant plan must be drawn up.

2.4 Recording and Other Tasks Resulting From an Initial Assessment

In all cases, the social worker undertaking the assessment should record when the child was seen alone or, if the child was seen with others present, who was present and the reasons for their presence.

Different records/tasks must be completed depending on the outcome of the Initial Assessment:

If NFA/Section 17 Payments are Made:

• The Social Worker must complete the Initial Assessment Form, Genogram, Chronology and Contact Sheets;
• The Initial Assessment must be recorded on Framework-I and Admin must record statistical information.

If a Core Assessment/Child Protection Assessment is initiated:

• An Initial Assessment Form must be completed as soon as possible;
• The Social Worker must complete a CP1 and Strategy Discussion Form; if jointly investigated with the Police, the minutes of the Strategy Discussion must be recorded;
• A Genogram, Chronology and Contact Sheets must be completed;
• The Initial Assessment must be recorded in the Log Book and on Framework-I and Admin must record statistical information;
• Admin must copy the CP1 and pass it to Support Workers (Independent Chairs).

If the child is Accommodated/Looked After:

• A Threshold of Care Meeting should be arranged and/or a Referral to the Family and Placement Support Service should be considered and a Referral made to the Placement Matters Meeting – see Decision to Look After and Care Planning Procedure;
• A Care Plan, Placement Information Record and Personal Education Plan (PEP) should be completed;
• A ‘BLA’ Form, Movement Form should be completed;
• Admin must enter information onto CLA Module.

For further details, see Decision to Look After, Care and Permanence Planning Procedure.

3. Core Assessments without a Child Protection Assessment

This section sets out procedures for Core Assessments without a Child Protection Assessment. 

NOTE - Before proceeding, users must be familiar with Section 1, Universal Assessment Procedures

Also see:

• Oxfordshire’s Threshold of Needs Criteria;
• Assessment Framework Guidance.

3.1 Criteria and Purpose of a Core Assessment Without a Child Protection Assessment

A Core Assessment must be conducted if, following an Initial Assessment, a child’s needs are at Level 4 of the Children in Need Threshold Criteria; and may be conducted if the child’s needs are at Level 3. 

A Core Assessment will also be triggered in the following circumstances:

• At the end of an Initial Assessment and/or a Strategy Meeting which decides that a Family Support Conference should be convened to formulate a multi-agency plan to meet the child’s needs;
• At the end of an Initial Assessment or where there is a request for a reassessment of a disabled child with complex needs whose case will require to be presented to the Priority Panel;
• When a child becomes Looked After, a Core Assessment may be triggered at the first Looked After Review (if not already started) or to comply with a Court direction or as part of an application for Care Proceedings;
• At any other time where it might be deemed useful e.g. where a case is chronic and ‘stuck’.

The purpose of the Core Assessment without a Child Protection Assessment is to conduct an in depth assessment of a Child in Need, where there are no child protection concerns, drawing on information provided by partner agencies, and to inform decisions about what services should be provided to meet them.

3.2 Timescales of a Core Assessment Without a Child Protection Assessment

The assessment should be concluded within a maximum of 35 working days of the end of the Initial Assessment, or the decision to undertake a Core Assessment, and will inform the planning for the child.

In relation to a Looked After Child, the Core Assessment will be completed between the first and second Looked After Review and on completion must be passed to the child’s Independent Reviewing Officer for comment.  The Core Assessment will then inform the Permanence Plan for the child which is required by the second Looked After Review.

3.3 Outcome of a Core Assessment Without a Child Protection Assessment

A manager must approve the outcome of all assessments and authorise any plan to provide services (including a Direct Payment in relation to a Child with disabilities) or seek approval as necessary for the plan (for example from the Priority Panel in relation to children with disabilities) or assistance from other providers/agencies; the plans that may be relevant are:

For a child who is Looked After, a Care Plan and Placement Information Record will be required.  For other relevant plans, see Decision to Look After and Care Planning Procedure.  A Permanence Plan will be required by the second Looked After Review which will be informed by the Core Assessment. 

 Where other services are to be provided by Children Young People and Families, a Child in Need Plan will be required.

All assessments and plans must be reviewed as determined by relevant procedures or within six months.  All Reviews must involve the child, parents and a systematic check to see if the plan has been carried out and whether it has been successful.

3.4 Recording/Tasks at the Conclusion of Core Assessments

It is assumed that all the records required during and at the conclusion of an Initial Assessment have been completed or are ongoing (See Section 2.4, Recording and other Tasks resulting from an Initial Assessment)

In all circumstances, where a Core Assessment is completed - a Core Assessment in relation to a disabled child where recommended services require the approval of the Priority Panel, a Core Assessment on a Looked After Child or a Core Assessment proceeding to a Planning Meeting, it will be necessary to complete a Core Assessment Record and the Front Sheet specifically designed for the purpose.  These are kept on Public Folders and must be used.

If a Family Support Conference is convened, the Core Assessment must be written up and presented to the Initial Conference as a report.  The format for the Report, and Guidance for its completion, are on Public Folders and must be used.  The plan agreed at the end of the conference is written up as the concluding section of the Core Assessment and signed by the Family Support Conference Chair, the social worker/Team Manager and the parent immediately after the end of the conference.  If the parent is not in attendance, the written plan must be given to him or her to sign as soon as possible after the Conference.

At the end of the conference the Conference Chair will meet with the parents, child and allocated worker to clarify the Family Support Plan and any specific areas of further assessment required, which will be presented to the Review Conference.

4. Conducting a Core Assessment with a Child Protection Assessment

This procedure relates to Core Assessments incorporating a Child Protection Assessment conducted upon children in need believed to be suffering or likely to suffer from Significant Harm.

This section should be read in conjunction with the Child Protection Assessments and Core Assessments Procedure contained in the Oxfordshire Safeguarding Children Board Procedures Manual

A Strategy Discussion will be convened to plan the Child Protection Assessment.  Detailed procedures/guidance on the Strategy Discussions/Meetings are contained in Oxfordshire Safeguarding Children Board’s Procedures, Chapter 3.3 Strategy Discussions.

NOTE: Before proceeding, please read Section 1, Universal Assessment Procedures

4.1 Purpose of a Core Assessment With a Child Protection Assessment

The purpose of the Core Assessment is to determine whether there is a continuing risk of Significant Harm to the child. 

The Core Assessment will draw on information obtained during the Initial Assessment and any previous assessments, including information provided and assessments carried out by partner agencies. 

A Child Protection Assessment is incorporated into the Core Assessment.

4.2 Timescales of a Core Assessment With a Child Protection Assessment

Where a Core Assessment incorporates a Child Protection Assessment, the Core Assessment will be completed in time for the Initial Child Protection Conference, which is convened within 15 working days of the Strategy Discussion. If more than one Strategy Discussion is required, the Initial Child Protection Conference must be held within 15 working days of the Strategy Discussion that initiated the Child Protection Assessment.

4.3 Process of a Core Assessment With a Child Protection Assessment

The Children, Young People and Families’ Directorate is responsible for the coordination and completion of the assessments, which must be undertaken by a professionally qualified social worker.

Detail of the procedures for Child Protection Assessments, including the arrangements for Video Recorded or other interviews and medical assessments of children are contained in the Child Protection Assessments and Core Assessments Procedure in the Oxfordshire Safeguarding Children Board Procedures Manual.

At the conclusion of the assessment it should be possible to decide whether to:

• Convene an Initial Child Protection Conference;
• Convene a Family Support Conference;
• Convene a Planning Meeting; or
• Determine that No Further Action is necessary.

If it is not possible to make this decision then further assessment is required.

4.4 Outcome of a Core Assessment With a Child Protection Assessment

Following a Core Assessment with a Child Protection Assessment, a number of outcomes may be appropriate; they are:

1. The child protection concerns are substantiated and the child(ren) is (are) considered to be at continuing risk of Significant Harm, in which case an Initial Child Protection Conference will be convened.   
   
   The Initial Child Protection Conference must take place within a maximum of 15 working days of the Strategy Discussion where the decision to initiate the Child Protection Assessment was made. If a decision is reached that the child requires a Child Protection Plan, a Lead Social Worker will be appointed, a Core Group will be established and a detailed Child Protection Plan formulated;
2. The child protection concerns are substantiated but the child is not judged to be at continuing risk of Significant Harm, because the child, the parents and carers are willing and able to work with professionals to reduce risks and promote the child’s safety and welfare and it is agreed between the agencies involved and the child and family that a plan for ensuring the child’s future safety and welfare can be developed at a Family Group Conference without the need to convene an Initial Child Protection Conference.
   
   The option of a Family Support Conference as an alternative to a Child Protection Conference will not be appropriate where there has been serious Physical Abuse or Fabricated or Induced Illness;
3. The child protection concerns are substantiated but the child is not judged to be at continuing risk of Significant Harm, for example because the family circumstances have changed since the harm occurred and/or an alleged perpetrator has permanently left the household.  In these circumstances, further assessment and/or support services either on a single agency or multi agency basis may still be required, in which case a Multi Agency Planning Meeting should be held, an appropriate plan developed and a Lead Professional should be identified. This decision must be endorsed by a suitably experienced and qualified social work manager;
4. The child protection concerns are not substantiated but the enquiries have revealed the child is or may be in need of support services either on a single agency or multi agency basis and/or further assessment are required.  In these circumstances, the Core Assessment should continue (if not already completed), a Multi Agency Planning Meeting should be held, a Plan developed and a Lead Professional should be identified;
5. The child protection concerns are not substantiated and the child does not appear to be a child in need of services, in which case no further action is required. 

4.5 Recording of the Core Assessment With a Child Protection Assessment

If a Child Protection Conference or Family Support Conference is convened, the Core Assessment must be written up and presented to the Initial Conference as a report. 

Records of the Child Protection Assessment and any Reports to Child Protection Conferences should include the date(s) when the child was seen alone by the Lead Social Worker and, if not seen alone, who was present and the reasons for their presence.

The format for the Report, and Guidance for its completion, are on Public Folders and must be used.  The plan agreed at the end of the conference is written up as the concluding section of the Core Assessment and signed by the Conference Chair, the social worker/Team Manager and the parent immediately after the end of the conference.  If the parent is not in attendance, the written plan must be given to him or her to sign as soon as possible after the Conference.

At the end of the conference the Conference Chair will meet with the parents, child and allocated worker to clarify the Child Protection Plan or Family Support Plan and any specific areas of further assessment required, which will be presented to the Review Conference.

In all circumstances, where a Core Assessment is completed, for example a Core Assessment proceeding to the Priority Panel, a Looked After Child or a Core Assessment proceeding to a planning meeting, it will be necessary to complete a Core Assessment Record and the Front Sheet specifically designed for the purpose. These are kept on Public Folders and must be used.

End