2.1.2 Referral and Assessment Process |
Contents
1. Contact
1.1 Principles of Contacts
- All contacts to CSC regarding a child or young person must be recorded. Where this is in respect of a child who is not currently receiving a service this should be through a completed Contact Record.
- The Duty Team Manager has the professional responsibility to decide whether or not a Contact should be treated as a Referral, even when there is no explicit request for a service.
- Under certain circumstances a series of Contacts should trigger a Referral leading to an Initial Assessment - see guidance on Police notifications.
1.2 Practice Guidance
A Contact Record should be generated for all contacts regarding children who do not have a current open case record, unless the contact involves a clear request for action by Children's Social Care; in which case a Referral and Initial Information Record should be completed.
Examples of situations where a Contact Record should be generated include:
- Notifications from other Local Authorities regarding children temporarily in Lambeth, for whom they retain responsibility.
- Notifications from the Police and other agencies regarding their contact with a child, where no further action is requested or appropriate.
- Any situation where the enquirer requires information or direction to another agency or department
- Any situation where the officer receiving the contact is unsure whether a Referral is being made and advice from a Manager is required.
All Initial Contact records should be reviewed by a Duty Manager, who may progress the matter to a Referral if required. A referral should always be taken following three Metropolitan Police 'Come to Notice' notifications (previously known as 78s) regarding a household.
Police 'Come to Notice' NotificationsPoints to Consider
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1.3 Framework, Process and Tips
ISA/Social Worker: Is the child already known to CSC?
If yes:
- Find the Child
- Amend/Update details on the child's Framework record
If no:
- Create a Contact Record No.
- Create the Child
- Create a Contact Record
Send a Task: To obtain manager approval for recommended action -
Manager: Complete Task and Finish Episode: To approve and if applicable move to the next stage: Referral and Initial Information Record
Note: The business process in Referral and Assessment for taking new contacts and referrals is currently (October 2006) under review, to be finalised by the end of January 2007.
Framework TipsSearching: Ensure you search a minimum of 3 times before you create a new person. Search using DOB/Postcode or 3 characters of the last name Siblings: If there are many siblings then use the copy function when you start a new episode. Updating information: Always check the information on the child record in Frameworki is accurate and up to date. |
Points to particularly note when taking referrals are:
- Accuracy - Exact spellings of names; whether children living within the same household have different surnames
- Ethnicity - try to get this at the point of referral - but if the referrer is at all unsure is better to obtain it directly from the family.
- Language - please get as full details as possible: the fact that someone has English as a second language does not necessarily mean that they do not have a good command of it. If an interpreter is likely to be required it is important to get accurate details of any dialect or variant of the language used.
- Issues and concerns - it is important, particularly when the referral is from a member of the public to both establish precisely what their concern is and what first hand knowledge this is based on. Exact details of what they have seen or heard, where and when can be helpful in establishing the level of priority the referral should receive.
- Desired outcome - what does the referrer want to happen and what feedback do they want? This is important for both public and professional referrals.
- Re-referral - a referral on any child who has had a service from CSC which has been closed within 12 months prior to the date of the referral should be counted as a re-referral. A referral on a sibling of children who had received a service in the last 12 months (e.g. a baby) but who did not themselves receive a previous service is not a re-referral. Note however that it will probably be appropriate to take a referral on the siblings as well - which would count as a re-referral.
- Contact details - including mobile phone and e mail details where available of both the referrer and the subjects.
- Anonymity - Any request by a referrer to remain anonymous should be respected and this should be recorded on the referral.
2. Referral
2.1 Principles of Referrals
- A Referral and Information Record should be completed regarding all children who do not have a current open case record where there is any request for service provision or action of any type by Children's Social Care, including notification of circumstances that clearly require action; or where receipt of a series of contacts indicates that a referral should be taken.
- Taking a referral is not in itself a commitment that any action will necessarily be taken - but a Manager must decide within 24 hours of receiving a referral what further action to take.
- Children and their parents are entitled to know that they have been referred to CSC - it is important that referrers are aware of this and have the opportunity to say that they do not wish their identity to be disclosed.
- Referrers should be asked if and how they would like to have feedback on the outcome of the referral.
2.2 Practice Guidance - Referrals
A separate Referral and Information Record must be completed for every child who is being referred. Please check this with the referrer - but note that they may not be aware of all children in the family. Referral details should be taken on all additional children living within a family unit to whom the issues for the child being referred might reasonably be believed to apply.
In cases of doubt a Duty Manager's views should be sought; however where child protection issues are in any way involved a referral must be taken on all children living in the household.
This should be filled in as fully as possible at the point of referral, though when the referral is not made by the family concerned it is important to check details and fill in any gaps after contact with the family has been made. Please note that this can only be done by updating the Framework Person Details Screen.
Where the referral is made by telephone, please go through the form systematically with the caller, taking all available details. Please input these directly onto the electronic form rather than noting by hand, as this will ensure that the fullest possible data is captured.
Where the referral is by letter, fax or e mail, please try to contact the referrer by phone to confirm receipt and to verify any missing or unclear details.
The Duty Team Manager should review all referrals and decide upon one of the following actions (Guidelines for the frequency this should be set within the relevant service units)
- To provide advice and information - this would normally include information regarding access to resources within the universal and voluntary sector or other brief advice that can be dealt with by way of a telephone call or office interview on the day of referral.
- No further action - where no action is necessary or appropriate. Development of standard letters within Framework will take place following ICS implementation
- To undertake an Initial Assessment - An Initial Assessment must be initiated where there is to be any further involvement from CSC.
2.3 Cross Boundary Cases
Where there is any indication from referral information that the child concerned may not be a permanent resident of Lambeth or is the responsibility of any other local authority e.g. through being the subject of a child protection plan, Care or Supervision Order this must be clarified within 24 hours of receiving the referral. The Duty Team Manager is responsible for leading negotiations with colleagues in other authorities and should involve their Head of Service if the matter cannot be resolved at their level.
For guidance on cross boundary responsibilities please see London Children's Safeguarding Board Procedures Section 11.9: Inter-borough arrangements for child protection enquiries. See: London Child Protection Procedures
2.4 Framework, Process and Tips - Referrals
ISA/Social Worker: Is the child already known to CSC?
If yes:
- Find the Child
- Amend/Update details on the child's Framework record
- Create a Child Referral Record
- Enter all applicable information
If no:
- Create the Child
- Create a Child Referral Record
- Enter all applicable information
Send a Task: to obtain manager approval for recommended action
Manager: Complete Task and Finish Episode:to approve and, if applicable to progress to an: Initial Assessment; Private Fostering Enquiry; or Complaint.
3. Initial Assessment
3.1 Principles of Initial Assessment
'The purpose of an Initial Assessment is to decide whether the child is a child in need, the nature of any services required, from where and within what timescales and whether a more detailed Core Assessment should be carried out' (Framework for Assessment Practice Guidance p. 4 DoH 2000)
See: Framework for Assessment Practice Guidance.
The Initial Assessment is therefore primarily a screening tool and needs to be undertaken in enough depth to allow us to decide the appropriate further course of action i.e. brief intervention, further assessment or closure.
An Initial Assessment as an episode is the starting point for work with any child where there is a need to assess for the provision of services: this covers a multiplicity of situations as outlined in guidance below. It is not however necessary to use the Initial Assessment document as a working tool in any situation where it has already been decided that a more detailed Core Assessment is required; unless this is needed by a Resource Panel to support the provision of services pending full assessment.
An Initial Assessment must be completed within 7 working days of referral - if the number of enquiries required to undertake an assessment mean that it cannot realistically be finished within this timescale you should consider whether a Core Assessment would be a more appropriate means of identifying the child's needs.
Where an Initial Assessment alone is being carried out and there are no child protection issues nor any request for or likelihood of accommodation it is a professional decision as to whether the child needs to be seen as part of the assessment. A child need not be seen as part of the Initial Assessment when a decision has been made to undertake a Core Assessment.
A copy of the completed Initial Assessment must always be provided to the child and parents concerned.
Where an Assessment is being conducted on a number of siblings the data can be copied and edited between their individual assessment documents as necessary. However, professional judgement must always be used in this process and the children must always be considered in their own individual right. Please therefore carefully review the final draft of any copied assessment to ensure that it reflects the child's specific needs and does not contain extraneous information relating to siblings.
Service provision can only be made on the basis of a structured assessment - the level of depth and detail should be commensurate with the complexity of the situation and the amount and type of resources that are recommended to meet the child's needs. Service provision can only be agreed through the approved decision-making routes - managers or panels. Workers who undertake assessments of need must therefore be aware of the Children in Need Eligibility Criteria Procedure for types of service and should only recommend service provision where it meets these criteria.
See Resource Panel Procedures (to follow)
3.2 Practice Guidance - Initial Assessment
| During the process of referral and assessment information will emerge which may change the nature of the concerns - please be alert to this and of the need to switch between the work streams that are described below. |
Simple Initial Assessment - i.e. where there are no concerns as to the likelihood of significant harm and no indication from the referral data of complex issues such as disability or likely family breakdown.
An Initial Assessment episode should be started and the Initial Assessment Format used as the recording tool.
If, as an outcome of the Initial Assessment a Core Assessment is undertaken relevant information can be cut and pasted into the appropriate section of the Core Assessment format.
Complex Assessment - Non-child protection. This will include any situation where the stability of a child's current living situation is under threat; any situation where a child of primary school age has been referred following exclusion from school or day care provision and any referral involving a child with disabilities or significant physical or mental health problems, as well as any other situation where, in the judgement of the responsible Team Manager a Core Assessment is required. This may be evident from referral details, at other time however the severity of the problems will only emerge once the Initial Assessment has started.
An Initial Assessment episode must always be begun, however when it is evident that a Core Assessment will be needed this episode should be ended with the outcome of Core Assessment and the Core Assessment format used to record the assessment.
If there is a need for urgent action and service provision e.g. within 7 working days the Initial Assessment format should be used to record relevant information and develop the Initial Plan. This should be closed within 7 working days and a Core Assessment begun, with relevant areas copied to the Core Assessment Record.
If there is no need to provide services on an urgent basis, the Core Assessment Format should be used as the assessment and recording tool. The Initial Assessment Episode must be ended within 7 days of referral and a Core Assessment Episode begun.
3.3 Links With Child Protection Procedures
This section should be read in conjunction with:
Section 7 - London Child Protection Procedure
An Initial Assessment episode must be begun following any referral regarding Significant Harm to a child, however please note that any child protection situation which is referred to CSC by a professional or member of the public must be investigated as such up to the point of a strategy meeting decision.
The assessment should be commenced using the Initial Assessment format and Child Protection Screening Form up to the point of having a Strategy Discussion i.e. the point at which it is possible to make an informed decision as to whether there are sufficient grounds for concern to undertake a formal Section 47 Enquiry.
If the outcome of the Strategy Discussion is NOT to undertake a S47 enquiry the Initial Assessment should be completed, though a decision should be made as to whether it should then be succeeded by a Core Assessment in the normal way.
If the outcome of the Strategy Discussion is to undertake a S47 enquiry the Initial Assessment should be should be ended and S47 enquiry episode and Core Assessment episodes begun, with information from the Initial Assessment transferred to these formats as appropriate.
The Outcome of the Initial Assessment may include:
- The development of an Initial Care Plan - this should include only services that a strictly time limited, as any ongoing Care Plan requires a Core Assessment. Referral and Assessment managers will have to use judgement as to when this is appropriate.
- Undertaking a Core Assessment - see Section 4, Core Assessment
- No further action - where this is decided it is important to inform the family, referrer and other members of the professional network of the reasons for this decision and what action they should take if there are further concerns. Standard Letters will be developed post ICS implementation.
3.4 Undertaking an Initial Assessment
These are some of the points you need to bear in mind when looking at the sections within the assessment format:
Health - means not just whether the child suffers from any acute or chronic health condition: it should also include whether they eat healthily, have a regular and age appropriate sleeping pattern and physically active and able to enjoy play.
Education - likewise is not just a matter of whether a child goes to school; but also whether they have an age appropriate interest in the world around them, have access to reading materials within the home, are able to complete homework etc.
For both health and education it will normally be necessary to get information from those professionally concerned with the child in those areas.
Emotional and Behavioural Development - this will often be the heart of an assessment of a child's needs and of whether the child is making age appropriate psychological development. This should look both at areas of potential positives: whether milestones have been met, the child has a capacity to make relationships with others, whether normal sibling rivalry is balanced by positive interaction; as well as whether there are problem areas such as bed-wetting or night fears etc.
Identity - 'who I am' - will not be an issue for many children, however it may be so where English is not spoken at home, where part of a child's life has been spent outside the UK or where one or both of a child's parents are not currently with them.
Family and Social Relationships - includes the child's need to be part of a wider family and social network. When and how frequently does the child see extended family and friends from outside of their day-to-day network? Is this a positive thing for them?
Social Presentation - This may not be a significant area for all children but should include the basic skills to present themselves in the range of situations they encounter in the community, in school etc.
Self-care skills- Are these appropriate to the child's age and developmental level? This may include them being too advanced if a young child is having to undertake tasks such a shopping or food preparation, which more appropriately belong with an adult.
Parenting Capacity- is looked at alongside the areas of the child's needs. This is because the parents' issues and problems are most appropriately seen in terms of their effect upon the ability of the parent to meet the child's needs. The existence of a factor such as parent's mental illness does not of itself mean that a child will not be appropriately cared for: it is essential to know what its impact is and whether it is balanced by other factors in order to be able to provide proper support and intervention.
Attributes of parents'/carers' capacities - This is the section to focus upon the common themes to emerge in looking at parents' abilities to respond to the children's needs. It is particularly important to be able to understand in order to address any major problem areas such as ill-health or disability, learning difficulties, mental health problems or personality disorders or abuse of drugs or alcohol. Any persistent criminal or anti-social behaviour on the part of a parent is also likely to affect their ability to parent their child and should be noted.
Family and environmental factors - This is the point at which relevant aspects of the family's social history including any difficulties the parents encountered during childhood and youth should be summarised
Information Gathering
The ICS recording formats are tools for gathering and structuring information - they must not be used as questionnaires. Information gathering to complete an ICS record should be based, as appropriate on the following:
Discussion - with the child at an age appropriate level, as well as with the parents and carers, recognising their cultural and linguistic background and using interpreters or other communication support as necessary.
Observation - of the child and parents in terms of physical care, of the conditions of the home and of any clues this might contain, of the parents and child's social presentation and of the verbal and non-verbal interaction between them.
Historic Information - usually from Children's Social Care records. This may include records held on a parent when they were a child. It is important to obtain details of previous involvement from previous Framework or hard copy file, including those from other Children's Social Care agencies where there has been such involvement.
Current Information - from agencies, professionals and members of the informal network currently involved with the child.
It is also important to use personal contact with the child and parents as an opportunity to complete or verify information which may be missing or incomplete at the point of referral, particularly language and ethnicity.
3.5 Framework, Process and Tips - Initial Assessment
| Manager: | To assign an Initial Assessment To amend/update personal details |
| Social Worker: | To start and end the Initial Assessment Task the Initial Assessment to obtain Manager's approval |
| Manager: | To approve assessment and create the next piece of work - e.g. Strategy Discussion, Core Assessment, Provide Services or close |
4. Core Assessments
4.1 Principles of Core Assessments
| 'The Core Assessment is defined as an in-depth assessment which addresses the central or most important aspects of the needs of a child and the capacity of his or her parents or care-givers to respond appropriately to these needs within the wider family and community context' (Framework for Assessment Guidance 3.11 DoH 2000) |
Please follow this link to access Framework for Assessment Practice Guidance.
The Core Assessment is therefore at the heart of the Integrated Children's System and needs to be undertaken in respect of all children where there is significant or ongoing involvement. This includes
- All children who may need to be accommodated: wherever possible this should be done prior to accommodation in order to inform the decision. When a child has to be accommodated in an emergency following an Initial Assessment a Core Assessment should be completed seven weeks of the date of accommodation.
- All children who are subject to child protection procedures: a Core Assessment should be completed following a Section 47 enquiry whether or not a Child protection Conference is going to take place.
- All children who will require ongoing support from the Children with Disabilities or Child Protection and Family Support services.
- All children who require a significant package of support to maintain them within the community.
The Core Assessment format is designed to assess the needs of children in the community and those who have recently been accommodated. The Assessment and Progress Record (see Looked After Children Procedure) should be used to assess the needs of children who are looked after on a long term basis.
4.2 Practice Guidance - Core Assessment
The Core Assessment format is a tool to help in information gathering and analysis. It is not meant to be followed slavishly- if certain sections are not applicable or are not problems areas this can be stated briefly. It is not meant either to be used as a questionnaire - however the age specific prompts can be used to help prepare for and to guide the areas to be covered during the interviews and other enquiries.
Children must be seen as part of the Core Assessment. Where this is not possible e.g. in the case of an older child who refuses to see a social worker reasonable persistence must be used and the reasons for not seeing them must be recorded in the assessment.
All relevant agencies - which must include school, health visiting or the school health service, YOT or any other specialist agency and any agency providing a service to parents in respect of their own needs must be contacted as part of the assessment unless the child or parent specifically withholds their consent.
A signed Consent Form should be obtained - this should be translated or other communication aids used as necessary. This is best done in person at the initial meeting so that necessary explanations and reassurances can be given. Consent must be obtained from the parent or carer who has parental responsibility and is actually caring for the child. This form can be found within the Framework Documents Section and can be printed off as necessary, with completed copies scanned in to the case record.
Consent should also be obtained if possible from anyone who is caring for the child but does not have parental responsibility e.g. a step-parent, as well as from anyone who has parental responsibility but is not actually caring for the child e.g. a parent who is divorced or otherwise living elsewhere. However, work on the assessment should not be delayed while these consents are obtained unless there are particularly contentious features of the situation which make this essential.
Age-banded Core Assessments must be completed from June 2008. This format must be used fro updating any previous assessments.
Points to note include:
Pre-Birth Assessments: The child's developmental needs will be those that are common to all babies. The focus should be on those issues that are likely to arise given the need to undertake an assessment i.e. the impact of the parents' individual problems or overall situation, most commonly those associated with drug or alcohol abuse; mental health problems or personality disorders; with domestic violence or other manifestations of violent or anti-social behaviour; or with a history of poor parenting.
Cross check information: Information given directly by the parent or child is important: but this must be seen in the context of your own observations and other information you have. Many informants are skilled at giving people in authority the 'right' answer - it is not helpful to record this uncritically when it is clearly not the whole truth. Ask yourself whether the overall picture that is developing makes sense - if not don't be afraid to go back to check things out.
Remember - the Core Assessment Document is your professional assessment of a child's situation, not just a compilation of information you have been given.
Communication skills. It is important to develop your skills in communicating both with adults and with children in differing age groups. You will need to develop trust before some areas can be properly covered. With younger children you will find out more through play or activities than by direct questioning
Consider the tools you will need: There are a range of standard questionnaires and other instruments available to help you make your assessment. These can also be useful in engaging parents and children with the issues in their lives. These should always be used when there are issues of day to day parenting problems; parental alcohol abuse; recent significant life events affecting the child and issues regarding poor home conditions. Please see Family Pack of Questionnaires and Scales.
Use your manager. Managers are busy - but ultimately they are responsible for your work. It's better to get their opinion early on so that they can advise you whether there are additional areas you need to cover.
Start date- it is essential that these are accurately recorded, as completion of Core Assessments within the 35 day timescale is an important part of the Performance Assessment data that we have to provide. Ensuring that this is accurately and consistently recorded is the responsibility of all staff who play a part in the process.
The start date for a Core Assessment is:
The day the Initial Assessment ended - where the decision is to progress to a Core from an Initial. In those complex children in need cases where it is clear that a Core Assessment will be needed the Core Assessment FORMAT should be used to assess the child's need. The Initial Assessment EPISODE should be closed 7 days after referral and a Core Assessment EPISODE started - this will give a total of 42 days in which to complete the Core Assessment while remaining within timescale.
OR
CP cases - The day that a strategy meeting/discussion decided - as part of a S47 enquiry - that a child protection conference should be called.
OR
Existing open cases - The day that a manager decided that a Core Assessment was necessary. This will normally apply where there have been significant changes either in the child's needs or the family situation requiring a fresh assessment.
The end date is the date on which the manager agrees that the assessment has been completed. This is the point at which sufficient information has been gathered for the worker to have made a written assessment of the level and type of need presented by the child, including the type of response necessary from CSC and partner agencies.
There may be some outstanding matters e.g. receipt of written reports from other agencies but no information likely to significantly affect the conclusions of the assessment should be outstanding at the end date.
4.3 Framework Process and Tips - Core Assessment
| Manager: | To assign a Core Assessment |
| Social Worker: | Social Worker: Start and end a Core Assessment Start a Core Assessment as part of the Child Protection Process |
| Manager: | To approve assessment and create the next piece of work - e.g. Strategy Discussion, Provide Services or close |
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