SCOPE OF THIS CHAPTER
All local authorities with their partner agencies must develop and publish local frameworks for assessment, which must be based on good analysis, timeliness and transparency and be proportionate to the needs of the child and their family.
Local procedures apply for this chapter - please see Local Information.
Each child who has been referred into local authority children's social care should have an individual assessment to identify their needs and to understand the impact of any parental behaviour on them as an individual. Local authorities have to give due regard to a child's age and understanding when determining what (if any) services to provide under Section 17 of the Children Act 1989, and before making decisions about action to be taken to protect individual children under Section 47 of the Children Act 1989.
RELATED GUIDANCE AND LEGISLATION
Section 4, Communication was updated in September 2018 to include reference to parents with learning disabilities.
- Assessments under the Children Act 1989
- The Purpose of Assessment
- Process of Assessments
- Focus on the Child
- Developing a Clear Analysis
- Contribution of the Child and Family
- Contribution of Agencies Involved with the Child and Family
- Actions and Outcomes
- Regular Review
- Principles for a Good Assessment
- Assessing Family Abroad
1. Assessments under the Children Act 1989
Under the Children Act 1989, local authorities undertake assessments of the needs of individual children to determine what services to provide and action to take:
- A Child in Need is defined under the Children Act 1989 as a child who is unlikely to achieve or maintain a satisfactory level of health or development, or their health and development will be significantly impaired, without the provision of services; or a child who is disabled. In these cases, Assessments by a social worker are carried out under Section 17 of the Children Act 1989. Children in Need may be assessed under Section 17 of the Children Act 1989, in relation to their Special Educational Needs, disabilities, or as a carer, or because they have committed a crime. The process for assessment should also be used for children whose parents are in prison and for asylum seeking children. When assessing Children in Need and providing services, specialist assessments may be required and, where possible, should be coordinated so that the child and family experience a coherent process and a single plan of action.
The need to assess can also include pre-birth situations when a mother's own circumstances would give cause for concern that the pre-birth, and then born, child would come within the definition of being a 'child in need'. (See Section 11.1, Pre-birth 'Good Practice Steps').
- Concerns about maltreatment may be the reason for a Referral to local authority children's social care or concerns may arise during the course of providing services to the child and family. In these circumstances, local authority children's social care must initiate enquiries to find out what is happening to the child and whether protective action is required. Local authorities, with the help of other organisations as appropriate, also have a duty to make enquiries under Section 47 of the Children Act 1989 if they have reasonable cause to suspect that a child is suffering, or is likely to suffer, Significant Harm, to enable them to decide whether they should take any action to safeguard and promote the child's welfare. There may be a need for immediate protection whilst the Assessment is carried out;
- Some Children in Need may require accommodation because there is no one who has Parental Responsibility for them, or because they are alone or abandoned. Under Section 20 of the Children Act 1989, the local authority has a duty to accommodate such children in need in their area. Following an application under section 31A, where a child is the subject of a Care Order, the local authority, as a corporate parent, must assess the child's needs and draw up a Care Plan which sets out the services which will be provided to meet the child's identified needs.
2. The Purpose of Assessment
Whatever legislation the child is assessed under, the purpose of the assessment is always:
- To gather important information about a child and family;
- To analyse their needs and/or the nature and level of any risk and harm being suffered by the child including any factors that may indicate that the child is or has been trafficked or a victim of compulsory labour, servitude and slavery Note; if there is a concern with regards to exploitation or trafficking, a referral into the National Referral Mechanism should be made See - GOV.UK Human trafficking/modern slavery victims: referral and assessment forms;
- To decide whether the child is a Child in Need (Section 17) and/or is suffering or likely to suffer Significant Harm (Section 47); and
- To provide support to address those needs to improve the child's outcomes to make them safe.
3. Process of Assessments
The Assessment should be led by a qualified and experienced social worker supervised by a highly experienced and qualified social work manager.
The date of the commencement of the Assessment will be recorded in the electronic database.
The qualified social worker should carefully plan that the following are carried out:
- See/interview the child;
- Interview the parents and any other relevant family members;
- Consider whether to see the child with the parents;
- The child should be seen by the lead social worker without their caregivers when appropriate and this should be recorded in the Assessment Record;
- 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.
If it is determined that a child should not be seen as part of the Assessment, this should be recorded by the manager with reasons.
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 Assessment, it is discovered that a school age child is not attending an educational establishment, the social worker should contact the local education service to establish a reason for this.
If there is suspicion that a crime may have been committed including sexual or physical assault or neglect of the child, the Police must be notified immediately.
The assessment will include input from all professionals involved, which could include non-social work staff within Children's Services, working under the direction of the social worker.
In planning the Assessment and in providing the parent and child with feedback, the social worker will need to consider and address any communication issues, for example language or impairment.
Where a child or parent speaks a language other than that spoken by the social worker, an interpreter should be provided. Any decision not to use an interpreter in such circumstances must be approved by the Team Manager and recorded.
Where a child or parent with disabilities has communication difficulties it may be necessary to use alternatives to speech. In communicating with a child with such an impairment, it may be particularly useful to involve a person who knows the child well and is familiar with the child's communication methods. However, caution should be given in using family members to facilitate communication. Where the child has had a communication assessment, its conclusions and recommendations should be observed.
NOTE: Where the parents have learning disabilities, it may be necessary to adapt communications to meet their needs.
5. Focus on the Child
Children should to be seen and listened to and included throughout the Assessment process. Their ways of communicating should be understood in the context of their family and community as well as their behaviour and developmental stage.
Assessments, service provision and decision making should regularly review the impact of the assessment process and the services provided on the child so that the best outcomes for the child can be achieved. Any services provided should be based on a clear analysis of the child's needs, and the changes that are required to improve the outcomes for the child.
Children should be actively involved in all parts of the process based upon their age, developmental stage and identity. Direct work with the child and family should include observations of the interactions between the child and the parents/care givers.
All agencies involved with the child, the parents and the wider family have a duty to collaborate and share information to safeguard and promote the welfare of the child.
All Assessments should be planned and coordinated by a social worker and the purpose of the assessment should be transparent, understood and agreed by all participants. There should be an agreed statement setting out the aims of the assessment process.
Planning should identify the different elements of the assessment including who should be involved. It is good practice to hold a planning meeting to clarify roles and timescales as well as services to be provided during the assessment where there are a number of family members and agencies likely to play a part in the process.
Questions to be considered in planning assessments include:
- Who will undertake the Assessment and what resources will be needed?
- Who in the family will be included and how will they be involved (including absent or wider family and others significant to the child)?
- In what grouping will the child and family members be seen and in what order and where?
- What services are to be provided during the assessment?
- Are there communication needs? If so, what are the specific needs and how they will be met?
- How will the Assessment take into account the particular issues faced by black and minority ethnic children and their families, and disabled children and their families?
- What method of collecting information will be used? Are there any tools / questionnaires available?
- What information is already available?
- What other sources of knowledge about the child and family are available and how will other agencies and professionals who know the family be informed and involved?
- How will the consent of family members be obtained?
- What will be the timescales?
- How will the information be recorded?
- How will it be analysed and who will be involved?
- When will the outcomes be discussed and service planning take place.
The Assessment process can be summarised as follows:
- Gathering relevant information;
- Analysing the information and reaching professional judgments;
- Making decisions and planning interventions;
- Intervening, service delivery and/or further assessment;
- Evaluating and reviewing progress.
Assessment should be a dynamic process, which analyses and responds to the changing nature and level of need and/or risk faced by the child. A good assessment will monitor and record the impact of any services delivered to the child and family and review the help being delivered. Whilst services may be delivered to a parent or carer, the Assessment should be focused on the needs of the child and on the impact any services are having on the child.
7. Developing a Clear Analysis
Research has demonstrated that taking a systematic approach to assessments using a conceptual model is the best way to deliver a comprehensive analysis. A good Assessment is one which investigates the three domains; set out in the Assessment Framework Triangle. The interaction of these domains requires careful investigation during the Assessment. The aim is to reach a judgement about the nature and level of needs and/or risks that the child may be facing within their family.
An Assessment should establish:
- The nature of the concern and the impact this has had on the child;
- An analysis of their needs and/or the nature and level of any risk and harm being suffered by the child;
- How and why the concerns have arisen;
- What the child's and the family's needs appear to be and whether the child is a Child in Need;
- Whether the concern involves abuse or Neglect; and
- Whether there is any need for any urgent action to protect the child, or any other children in the household or community.
The Assessment will involve drawing together and analysing available information from a range of sources, including existing records, and involving and obtaining relevant information from professionals in relevant agencies and others in contact with the child and family. Where an Early Help Assessment has already been completed this information should be used to inform the assessment. The child and family's history should be understood.
Where a child is involved in other assessment processes, it is important that these are coordinated so that the child does not become lost between the different agencies involved and their different procedures. All plans for the child developed by the various agencies and individual professionals should be joined up so that the child and family experience a single assessment and planning process, which shares a focus on the outcomes for the child.
The social worker should analyse all the information gathered from the enquiry stage of the assessment to decide the nature and level of the child's needs and the level of risk, if any, they may be facing. The social work manager should provide regular supervision and challenge the social worker's assumptions as part of this process. An informed decision should be taken on the nature of any action required and which services should be provided. Social workers, their managers and other professionals should be mindful of the requirement to understand the level of need and risk in a family from the child's perspective and ensure action or commission services which will have maximum positive impact on the child's life.
When new information comes to light or circumstances change the child's needs, any previous conclusions should be updated and critically reviewed to ensure that the child is not overlooked as noted in many lessons from Serious Case Reviews.
8. Contribution of the Child and Family
The child should participate and contribute directly to the Assessment process based upon their age, understanding and identity. They should be seen alone and if this is not possible or in their best interest, the reason should be recorded. The social worker should work directly with the child in order to understand their views and wishes, including the way in which they behave both with their care givers and in other settings. The agreed local assessment framework should make a range of age appropriate tools available to professionals to assist them in this work.
The pace of the Assessment needs to acknowledge the pace at which the child can contribute. However, this should not be a reason for delay in taking protective action. It is important to understand the resilience of the individual child in their family and community context when planning appropriate services.
Every Assessment should be child centred. Where there is a conflict between the needs of the child and their parents/carers, decisions should be made in the child's best interests. The parents should be involved at the earliest opportunity unless to do so would prejudice the safety of the child.
The parents' involvement in the Assessment will be central to its success. At the outset they need to understand how they can contribute to the process and what is expected of them to change in order to improve the outcomes for the child. The Assessment process must be open and transparent with the parents. However, the process should also challenge parents' statements and behaviour where it is evidenced that there are inconsistencies, questions or obstacles to progress. All parents or care givers should be involved equally in the Assessment and should be supported to participate whilst the welfare of the child must not be overshadowed by parental needs. There may be exceptions to the involvement in cases of Sexual Abuse or Domestic Violence and Abuse for example, where the plan for the Assessment must consider the safety of an adult as well as that of the child.
9. Contribution of Agencies Involved with the Child and Family
All agencies and professionals involved with the child, and the family, have a responsibility to contribute to the Assessment process. This might take the form of providing information in a timely manner and direct or joint work. Differences of opinion between professionals should be resolved speedily but where this is not possible, the local arrangements for resolving professional disagreements should be implemented.
It is possible that professionals have different experiences of the child and family and understanding these differences will actively contribute to the understanding of the child / family.
The professionals should be involved from the outset and through the agreed, regular process of review.
The social worker's supervisor will have a key role in supporting the practitioner to ensure all relevant agencies are involved.
Agencies providing services to adults, who are parents, carers or who have regular contact with children must consider the impact on the child of the particular needs of the adult in question.
10. Actions and Outcomes
Every Assessment should be focused on outcomes, deciding which services and support to provide to deliver improved welfare for the child and reflect the child's best interests. In the course of the Assessment, the social worker and their line manager should determine:
- Is this a Child in Need? (Section 17 Children Act 1989);
- Is there reasonable cause to suspect that this child is suffering, or is likely to suffer, Significant Harm? (Section 47 Children Act 1989);
- Is this a child in need of accommodation? (Section 20 or Section 31A Children Act 1989).
The possible outcomes of the assessment should be decided on by the social worker and their line manager, who should agree a plan of action setting out the services to be delivered how and by whom in discussion with the child and family and the professionals involved.
The outcomes may be as follows:
- No further action;
- Additional support which can be provided through universal services and single service provision; early help services such as the Early Help process;
- The development of a multi-agency child in need plan for the provision of child in need services to promote the child's health and development;
- Specialist assessment for a more in-depth understanding of the child's needs and circumstances;
- Undertaking a Strategy Discussion/Meeting, a Section 47 child protection enquiry;
- Emergency action to protect a child.
The outcome of the Assessment should be:
- Discussed with the child and family and provided to them in written form. Exceptions to this are where this might place a child at risk of harm or jeopardise an enquiry;
- Taking account of confidentiality, provided to professional referrers;
- Given in writing to agencies involved in providing services to the child with the action points, review dates and intended outcomes for the child stated.
The maximum time frame for the Assessment to conclude, such that it is possible to reach a decision on next steps, should be no longer than 45 working days from the point of Referral. If, in discussion with a child and their family and other professionals, an Assessment exceeds 45 working days, the social worker and professionals involved should record the reasons for exceeding the time limit.
11.1 Pre-birth 'Good Practice Steps'
In a High Court judgment (Nottingham City Council v LW & Ors  EWHC 11(Fam) (19 February 2016)) Keehan J set out five points of basic and fundamental good practice steps with respect to public law proceedings regarding pre-birth and newly born children and particularly where Children's Services are aware at a relatively early stage of the pregnancy.
In respect of Assessment, these were:
- A risk assessment of the parent(s) should 'commence immediately upon the social workers being made aware of the mother's pregnancy';
- Any Assessment should be completed at least 4 weeks before the mother's expected delivery date;
- The Assessment should be updated to take into account relevant events pre - and post delivery where these events could affect an initial conclusion in respect of risk and care planning of the child;
- The Assessment should be disclosed upon initial completion to the parents and, if instructed, to their solicitor to give them the opportunity to challenge the Care Plan and risk assessment.
12. Regular Review
The Assessment plan must set out timescales for the actions to be met and stages of the Assessment to progress, which should include regular points to review the Assessment. The work with the child and family should ensure that the agreed points are achieved through regular reviews. Where delays or obstacles occur these must be acted on and the assessment plan must be reviewed if any circumstances change for the child.The social worker's line manager must review the assessment plan regularly with the social worker and ensure that actions such as those below have been met:
- There has been direct communication with the child alone and their views and wishes have been recorded and taken into account when providing services;
- All the children in the household have been seen and their needs considered;
- The child's home address has been visited and the child's bedroom has been seen;
- The parents have been seen and their views and wishes have been recorded and taken into account;
- The analysis and evaluation has been completed;
- The Assessment provides clear evidence for decisions on what types of services are needed to provide good outcomes for the child and family.
A useful comment from 'Working Together to Safeguard Children' to bear in mind for all professionals when reviewing progress:
"A high quality assessment is one in which evidence is built and revised throughout the process. A social worker may arrive at a judgement early in the case but this may need to be revised as the case progresses and further information comes to light. It is a characteristic of skilled practice that social workers revisit their assumptions in the light of new evidence and take action to revise their decisions in the best interests of the individual child."
Recording by all professionals should include information on the child's development so that progress can be monitored to ensure their outcomes are improving. This is particularly significant in circumstances where Neglect is an issue.
Records should be kept of the progress of the assessment on the individual child's record and in their Chronology to monitor any patterns of concerns.
Assessment plans and action points arising from plans and meetings should be circulated to the participants including the child, if appropriate, and the parents.
The recording should be such that a child, requesting to access their records, could easily understand the process taking place and the reasons for decisions and actions taken.
Supervision records should reflect the reasoning for decisions and actions taken.
14. Principles for a Good Assessment
The assessment triangle in Working Together to Safeguard Children provides a model, which should be used to examine how the different aspects of the child's life and context interact and impact on the child. It notes that it is important that:
- Information is gathered and recorded systematically;
- Information is checked and discussed with the child and their parents/carers where appropriate;
- Differences in views about information are recorded; and
- The impact of what is happening to the child is clearly identified.
Assessment Framework Triangle
15. Assessing Family Abroad
An increasing number of cases involve families from abroad, necessitating assessments of family members in other countries. However, the Court of Appeal has pointed out that it might not be professional, permissible or lawful for a social worker to undertake an assessment in another jurisdiction. CFAB advise that enquiries should be made as to whether the assessment can be undertaken by the authorities in the overseas jurisdiction. UK social workers should not routinely travel overseas to undertake assessments in countries where they have no knowledge of legislative frameworks, cultural expectations or resources available to a child placed there.