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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. Record of Initial Assessment
6. Outcome 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 is in need and the needs cannot be met within the Common Assessment Framework process;
• 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).

Requests from the court for section 7 and section 37 assessments/reports will receive an Initial.

Where a Common Assessment (CAF) has been completed (see CAF and Eligibility Procedure) this information should be used to inform the Initial Assessment, incorporating the information contained in the CAF into the Initial Assessment. The CAF does not replace the Initial Assessment that is completed by social care.

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

The Initial Assessment should be led by qualified social worker and supervised by a highly experienced and qualified social work manager (WT 2010 section 5.41).

2. Purpose of Initial Assessments

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

An Initial Assessment is used to record, assess and analyse information received on a child and should be used at any time e.g. if concerns about significant harm emerge in respect of a child already open to Children’s Social Care, or if a child is subject to Police Powers of Protection.

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.

3. Timescales of Initial Assessments

Initial Assessments should be undertaken as soon as practicable, depending on the circumstances of the case, but within a maximum of 10 working days from the receipt of the Referral.

An extension should not be commonplace but may be authorised by the manager, with reasons recorded, for example where a delay is necessary to arrange an interpreter or to avoid a religious festival, provided that the delay is consistent with the welfare of the child.

A child or young person who is suffering or likely to suffer Significant Harm must be seen and spoken to about their welfare within 24 hours of the allegation being communicated to Children's Services. Utmost consideration should be given to ensure appropriate support is identified for a child where there is limited language/communication abilities.

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/Meeting (See Lincolnshire Safeguarding Children Board Procedures, Section 47 Enquiries and Core Assessment) leading to a Core Assessment incorporating a Child Protection Enquiry. The reason and decision making for such a brief initial assessment must be recorded in the summary/analysis section of the Initial Assessment. The decision not to see the child must be agreed by the Manager and recorded onto the child's record.

At the end of seven 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

Detailed guidance in relation to the completion of Assessments can be found in the chapter: Assessment Framework Guidance which explains the principles of the framework for assessment. 

Following a new referral, the Team Manager (or person deputising) allocates a Lead Social Worker to carry out an Initial Assessment. 

The social worker leads the Initial Assessment, and should carefully plan to carry out the following:

• During the completion of the Initial Assessment, the child or young person must be seen and spoken to by the Lead Social Worker without his or her caregivers when appropriate (WT 2010 section 5.42) and this should be recorded in the Initial Assessment Record (WT 2010 section 5.47). Where this is not possible the reason will be recorded in the Case Notes. Consideration and support must be given to ensure children and young people with disabilities can contribute to their assessment;
• Interview the parents and any other relevant family members;
• Determine what the parents should be told of any concerns;
• Seek the consent of the parents and the child/young person to contact and share information with other agencies NB The ‘share consent’ section in the Core Person’s Details will be updated by the person who gained the consent within one working day of the consent being given;
• Consult with and consider contributions from all relevant agencies, including agencies covering previous addresses in the UK and abroad.

An interpreter may be required if the child's first language is not English.

In cases where the use of an interpreter is dispensed with, the reasons for doing so must be recorded on the child's records within the assessment.

Parent(s)/carer(s) and other family members will contribute to the initial assessment. Their views will be recorded within the assessment. An interpreter may be required if the parent/carer first language is not English.

In cases where the use of an interpreter is dispensed with, the reasons for doing so must be recorded on the child's record.

If it is determined that a child should not be seen as part of the Initial Assessment, this should be recorded by the manager with reasons, for example that a Child Protection Enquiry is to be initiated before which a Strategy Discussion/Meeting will be held to plan the method of contact with the child. See Lincolnshire Safeguarding Children Board Procedures, Section 47 Enquiries and Core Assessment.

Consent should always be obtained from parents. If there is evidence that seeking consent from the parent/carer will place the child at risk of significant harm a manager can agree for the Initial Assessment to be ended and agree a strategy discussion to take place. The reason for ending the Initial Assessment will be recorded in the child's record. The analysis of the Initial Assessment must demonstrate how the child will be placed at risk of significant harm if the parent(s)/carer(s) are contacted. In these circumstances the reasons for consent not being obtained will be due to there being an outcome from the Initial Assessment of a Strategy Discussion. In this situation the Initial Assessment is ended and the reason for consent not being obtained and the child not being seen recorded within the analysis of the Initial Assessment.

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 Out of Schools Team if the child is educated at home or not on role with a school, or Education Out of Schools Co-ordinator if the child is on the role for a school 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 the Lincolnshire Safeguarding Children Board Procedures.

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.(WT 2010 section 5.41).

5. Record of Initial Assessment

The minimum standard of data that will be recorded on an Initial Assessment is:

• The reason for the Initial Assessment
• Record and analyse information from those agencies that have knowledge of the family. This includes checking whether Children's Centres have involvement where there is a child under 5 years in the household
• Record the views, wishes and feelings of the child/young person in respect of the reason for the Initial Assessment, their health, and any other relevant factors. Consideration and support must be given to ensure children and young people with disabilities can contribute to their assessments
• Education, relationships, family and environmental factors etc. and the analysis and recommendations of the Initial Assessment
• Record the views of the parent/carer in respect of the child’s development, parenting capacity and family and environmental factors and the analysis and recommendations of the Initial assessment. This will be cognizant of particular needs in respect of race, ethnicity. religious and cultural factors including first language
• Record information from other Local Authorities where the child/family have lived. The files may need to be read either during the time of the Initial Assessment or after the Initial Assessment has been completed. If the decision is made not to read them this reason must be recorded within the Case Notes ‘case discussion/decision’, with the date of when they will be read
• The keyworker has given the family the opportunity/information to undertake a carer's assessment if their child has a disability

The Lead Social Worker will confirm with the child and family that the carers/young person that their personal details, i.e. name, date of birth, and address, recorded on the children’s services ICS record are all correct. The Lead Social Worker will amend any records that the child/family identify as being incorrect within one working day of the visit during which the record was validated.

The Lead Social Worker will record visits that are linked to the assessment. One of the visits must record that the child was seen and spoken to alone. If either does not happen the Lead Social Worker will record the reason for this within the visit field.  A Manager must give authorisation for a child not to be seen and not to be seen alone a record of this will be made in case notes 'case discussion/decision' or in the case supervision field to reflect within which circumstances the decision was made.

The visits field will record that the child’s parents/carers and significant others’ were seen/spoken to. A record must be made of their views of the reason for the Initial Assessment.

During the Initial Assessment consideration must be given to those siblings who are not receiving an Initial Assessment. If appropriate an Initial Assessment should be commenced on those sibling(s).

6. Outcome of Initial Assessments

Based on the analysis of the Initial Assessment and a discussion with the Manager, the assessment will conclude with one or more of the following outcomes:

• No Further Action
• Core Assessment (and Child' Plan)
• Strategy Discussion
• Referral to another agency
• Provide accommodation (and start a Core Assessment and Child's Plan)
• Immediate legal action to protect the child (and start a Core Assessment and Child's Plan)
• Provide short term services (detailed on the Child’s Plan)

The outcome of the Initial Assessment cannot be ‘terminated’ or ‘cancelled’.

An Initial Assessment is deemed completed once the assessment has been discussed with the child and family and authorised by the manager (WT 2010 section 5.39).

Following the summary and analysis the Lead Social Worker will choose an outcome and request the manager to authorise the Initial Assessment. 

If the manager is unwilling to authorise the Initial Assessment, due to the assessment being inaccurate or disagreement about the recommended outcome a record of the reason will be recorded in the notification field. The manager will record what is required for completion of the Initial Assessment and the timescale of when the work will be completed.

Following the analysis the Lead Social Worker following consultation with the manager will decide on the next course of action, following a discussion with the child and family; unless such a discussion may place the child at increased risk of significant harm. 

If the child will not be placed at risk of significant harm the Lead Social Worker will provide the child/family with a copy of the Initial Assessment Record and a covering letter summarising the decisions and outcome, to the parent and child/young person following authorisation of the Initial assessment by the manager. Every effort should be made to communicate the Initial Assessment to children/young people with limited language/communication abilities.

A Child's Plan will be created by the end of the Initial Assessment if needs have been identified.

If there are no needs identified within the Initial Assessment this must be recorded in the analysis of the assessment. In these circumstances a plan will not be required and the case may be closed.

End