Mobility and Young London
Integrated working without boundaries.
A coherent and coordinated approach to integrated working and
the use of the Common Assessment Framework (CAF) across
London Local Authorities boundaries.
The Protocol
We believe that the effective safeguarding and promotion of well-being of children
requires clarity between neighbouring boroughs about:
a) relative roles and responsibilities in the identification of children’s needs and
b) an integrated assessment process using a common framework, which enables
consistency across boroughs and appropriate sharing of information.
This Protocol represents an agreement by Local Authorities and partners delivering
children’s services to set in place minimum standards identified within the document for
all children, young people and families with identified additional needs, where some
responses may need to be accessed via services not in their authority of residence. It
represents an agreement to work collaboratively, to compromise when required and to
be flexible with regard to current strategies: ensuring that children and young people
remain at the heart of any engagement, support and intervention
The protocol is split into 5 sections:
Section 1: Introduction
Section 2: Key Standards underpinning the Protocol
Section 3: How the Protocol works
Section 4: Signatories to the Protocol
Section 5: Annexes
Final
Section 1
Introduction
The protocol contains material to guide practitioners both in terms of harmonising
operational practice and in developing cross borough arrangements.
The Key Practice Standards, as set out in Section 2:
 reflect expert views on effective practice and application of the CAF and key
themes within the CAF;

are based on emerging and emerging DCSF guidelines; and

will assist children’s services to work in the best interests of children and young
people to achieve improved outcomes and fulfill their potential by overcoming
traditional boundaries while supporting cross-agency and cross-border working
Development of the Protocol
The Protocol has been developed in consultation with the following organisations and
policy teams
 ALDCS

33 London Local Authorities CAF and Integrated Working leads, TAC heads of
service, schools

The London Safeguarding Children’s Board

NHS London

Metropolitan Police

DCSF IISAM group & IW team(CAF, National eCAF, Integrated Working, ICS,
Information Sharing)

DCSF, Department for Health, and Government Office for London policy leads for
Substance Misuse, Youth, Youth Offending, Teenage Pregnancy, CAMHS,
Behaviour and Attendance, Exclusions, Early Years,

London YJB

Government Field Force teams including Training Development Agency,
Children’s Workforce Development Council, Together 4 Children, and National
Strategies.
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Benefits arising out of the Protocol
The Implementation of the Protocol will aim to provide the following benefits:
a) The experience of children and young people in respect of the CAF process will
be the same regardless of which authority is involved
b) All practitioners working with children and young people in London will
understand how to
a. engage with the CAF process for mobile children and
b. access cross border services
c) Reduce the requirement of multi agency high end intensive support
d) Support effective planning of service provision meeting the needs of all residents
(i.e. including those that are for example educated in other authorities)
e) Clarity of working across authorities for the delivery of services
f) Clarity for practioners on the transfer of information when a child/young person
moves to another area part way through the process
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Section 2: Key Standards underpinning the Protocol
We recognise the extensive investment that London local authorities have already made
in developing and implementing CAF locally and attempts through local partnership to
overcome challenging operational environments. The London CAF Protocol is not an
attempt to replace those local programmes.
However, a child or young person’s address MUST NOT act as a barrier to services. The
child or young person should experience a seamless response whether accessing
services in or out of authority.
These standards are identified as a minimum requirement for enabling effective cross
borough working.
All Local authorities are to sign up to the standards. Where supplementary guidance
is provided this offers all local authorities and their partners’ good practice on key
delivery areas.
Standards1
Standard 1: The systems and processes identified in Annex 1 ‘The CAF Process’ will be
utilised for cross authority working when the Common Assessment process is begun2.
Standard 2: The London Continuum identified in Annex 2 should act as a minimum
standard for identifying additional needs for out of authority children or young people3.
Standard 3: where a child/young person has additional unmet needs a common
assessment should be undertaken except in cases of child protection where practioners
should follow the Local Safeguarding Children Procedures. .
Guidance
The interface of CAF with other assessments identified in Annex 34 offers all
professionals working with children young people and families an effective guide
as to when a Common Assessment should be used and when a specialist
1
The practice Standards have been developed through consultation with London practitioners and
stakeholders and regional and national policy leads listed in section 1.
2
This CAF process should be used in all cases
3
This CAF process should be used in all cases
4
'When National eCAF is available, practitioners involved in a CAF Episode for a child or young person,
who have been given appropriate access (based on consent) to the electronic version of the CAF, will be
able to search for their own CAF episodes on the system.
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assessment should be used. The interfaces referred to in this annex offer a
starting point, additional interfaces will be addressed over time.
Standard 4: Systems and processes for securely sharing information across authority
boundaries and services need to be clearly and consistently understood and adopted by
practioners and are shared when necessary to support joint working in the seamless
provision of services to all children and young people.
Guidance
Annex 4 offers a good practice guide to sharing information securely
Standard 5: Information Sharing Protocols: All agencies working with children young
people and families will share information in accordance with the HM Government
Information Sharing Guidance for practitioners and managers (Oct 2008). Annex 5
outlines why Information Sharing Protocols are not required for sharing of CAF
information.
Standard 6: The use and application of the CAF should be underpinned by a robust
Quality Assurance Framework, ensuring that the CAF is applied to a high and consistent
standard in all environments.
Guidance
Currently there are neither national, nor in many cases local, standards and
criteria by which the CAF is quality assured. Annex 6 offers London Local
authorities a practical CAF Quality Assurance Framework that they may choose
to adopt. Please note when a cross authority CAF is being audited it would be
good practice to engage the lead CAF contact from any involved authorities as
part of the audit process. The assurance process used by a local
authority/Children’s Trust should be shared when necessary to support the
seamless provision of services to all children and young people.
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Section 3: How to use the protocol
This protocol offers a minimum set of standards to operate across borough boundaries
and agency boundaries. Through the Annexes the protocol offers a practical source of
information, advice and guidance for practitioners working with children, young people
and their families using the CAF process when there are cross border issues. This
Protocol should also be considered in conjunction with the Pan London Child Protection
Procedures (www.londonscb.gov.uk/procedures)
Who should use the Protocol?
This protocol is intended for use by any practitioner and operational line manager, in
any sector, when supporting a child or young person through a Common Assessment
which involves cross border working.
Senior managers and CAF managers will ensure that principles supporting this Protocol
features as part of the local training and development of all staff engaged in delivering a
Common Assessment.
Governance and review
The Protocol will be reviewed periodically via the Mobility and Young London Board, to
ensure continued fitness for purpose and to take account of changing Government
Policy. This role will be reviewed through the lifetime of the Mobility Board. The Board
will report to the London Children and Young People’s Partnership through the Board
chair.
Arbitration procedures
In exceptional cases where two or more local authorities cannot reach a common
agreement on how support will be provided for the child young person or family across
authority boundaries, it may be necessary to involve an arbitrator in order to meet the
additional needs identified. Escalation procedures and arbitration will remain under the
auspices of Local Authorities/Children’s Trusts. Diagram 1 outlines the arbitration
procedures.
When will this protocol be operational?
The protocol will be operational from September 1st 2009.
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Diagram 1
FLOW CHART ON RESOLUTION OF PROFESSIONAL DIFFERENCES.
Timings
(working days)
Total
Max.
CAF produced and LP identified
Max
per
Event
LP concern (e.g. stuck case or post CAF action not taken)
5
5
LP
Not Resolved
10
5
LP
Not Resolved
15
5
LP’s Line Manager
Not Resolved
25
10
Lead Caf Contact
Not resolved
Relevant Professional
Resolved
NFA
LP’s Line Manager
Resolved
NFA
Lead CAF Contact
Resolved
NFA
Lead Caf Contact
Resolved
NFA
Arranges with LP to convene a
network meeting of relevant professionals involved with CAF or uses existing
appropriate multi-agency meeting
Not Resolved
35
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Resolved
NFA
Referred to Assistant/Associate Director level (2nd Tier) for further
consideration at CYPB or Sub Group if relevant, for resolution of any points of
7
principle and for clarification of guidance, to avoid future similar escalation)
Not Resolved
Resolved
NFA
Section 4 Protocol Endorsement:
This protocol has been approved by the London Directors of Children’s Services for:
Name of London Authority
The Protocol is supported by the following organisations.
Organisation:
Section 5 Annexes
Annex 1: The CAF Process
Annex 2 : The London Continuum
Annex 3: The Interface with other Assessments
Annex 4: Sharing Information Securely
Annex 5: Information Sharing Protocols
Annex 6: The Quality Assurance Framework
Annex 1: The CAF Process: provides the procedure for operating across boroughs
Annex 2 : The London Continuum outlines the risk triggers for using a common
assessment
Annex 5: Information Sharing: draws from the DCSF and Information commissioners
Office on case information sharing requirements.
Annexes 3, 4 and 6 offer guidance to local authorities on how to successfully
implement the standards
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Annex 1
CAF Process
1.0 Introduction
Introduction
The focus of this section is to facilitate the appropriate involvement of cross borough
practitioners and services when using a CAF in working together to address identified
additional needs of children and young people.
ASSESSMENT FORM


The DCSF Common Assessment Framework form and its domains should be
the core of all local versions.
Practitioners should use the Common Assessment form provided by the
Borough for which they work.
Identifying needs early (Preparation)
As a minimum requirement a check must be made to find out if a common assessment
already exists prior to initiating a common assessment. This should also include a check
to see if Social Care are involved or have had prior involvement.
Until ContactPoint is available to all practitioners it is recommended that:
Any practitioner seeking to identify if a CAF is underway should contact their borough
lead CAF contact. The lead CAF contact will need to be able to satisfy checks that the
person making the request is a practitioner with a legitimate reason. Using LARA 5 to
obtain contact details where necessary, the lead CAF contact will then contact their
counterpart in the other authority6.
If there are other practitioners or a Lead Professional currently working with the child,
any information should be shared between them (with consent of the child or family) in
5
LARA is a national database of ContactPoint implementation managers and CAF coordinators. If LARA
is removed once ContactPoint is available to ALL practitioners the lead CAF contact can be accessed by
the authority’s service directory
6
Authority of residence
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order to gain the full picture of the child’s situation so the practitioner can determine
whether they need to remain involved, join an existing Team Around the Child or begin
a common assessment.
Sharing information
As with any other personal information, a practitioner undertaking a common
assessment should only share information with a third party with the explicit consent
by the child, young person and/or family to do so, unless in the practitioner’s judgment
there is sufficient public interest to share information without that consent. Good
practice would indicate that the child, young person and/or family should be aware of
how information may be shared. This should be noted on the common assessment or
recorded on a sharing information register.
Practitioner should only share information with a third party where they have
confirmation that the requesting practitioner has a legitimate reason for requiring that
information and the consent of the child, young person and family, unless they judge
there is sufficient public interest as above. Where there are any doubts, this
confirmation should be provided by the lead CAF contact in the authority where the
practitioner is based prior to any sharing
Please refer to Annex 4 for guidance on how to Share Information Securely.
Assessing those needs (Discussion - Undertaking Common Assessment)
In undertaking a common assessment practitioners need to give careful consideration to
discussions with/ involving any appropriate out of borough services. This must influence
and be clearly reflected in the ensuing initial action plan which should be signed by the
child, young person and parent/carer, updated and reviewed, (see Delivery below).
Delivering integrated services - Service Procurement/Delivery
As a minimum all authorities need to have a Service Directory (Family Information
Service) which sets out clearly the services available to children, young people and
families, their geographical coverage, the client group they work with, where they are
based, and how to access them.
This will ensure clarity on which services are universally available, both for borough
residents and for non residents who are attending universal provision (e.g. schools, GP
practices, Youth Services) within other boroughs; or if existing protocols are in place to
organise cross borough working (e.g. the London Attendance Exclusions and Off rolling
Passport); or where services are available only to borough residents. In the case of
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health services, the CAF initiator or CAF episode coordinator7 needs to be clear on
where the child or young person’s GP is based and access services accordingly.
Delivering integrated services: Forming the Team Around the Child
It will be important to ensure that appropriate out borough practitioners are included in
the Team Around8 the Child to ensure effective planning and support.
The definition of a Team Around the Child being those practitioners and family members
involved in the action plan and delivering a service to the specific child.
The CAF process should result in a plan of action (referred to as a “CAF Plan”)
Delivering integrated services – Coordinating and delivering integrated
services (Lead Professional)
The Lead Professional should be the most appropriate practitioner working with the
child or family irrespective of which authority that service is based in. They would need
to have access to all the CAF documentation (assessment, action plans, service
provisions made and progress reviews). They would be a member of the Team Around
the Child and be responsible for coordination and keeping the team informed of
developments. All practioners delivering services to support the child or young person
MUST keep the lead professional informed of all developments, including
recommendations for when a child or young person should move to a lower or higher
level of specialist support, where and how that support can be accessed from.
The lead professional could change; for example in primary - secondary transfer or
when a child moves authorities and/or where the change is more appropriate to
properly meet the child’s needs. In all cases relevant information should be transferred
(including schools information) to ensure a seamless progression of support to the child.
The London Continuum of Needs (annex 2) can be used to identify and agree if the level
of need the practitioner has identified meets the threshold for additional needs.
Reviewing Progress
The CAF Plan needs to be reviewed regularly and adjusted accordingly. The first review
date is on the Common Assessment form and further review dates need to be agreed as
and when needed. This process should involve the child, young person and parent/carer
and practioners from the services involved with delivering the plan (the Team Around
the Child), regardless of whether they are from the authority where the CAF originated
or home authority.
7
Please note the CAF initiator or CAF episode coordinator may not be the same practioner as the lead
professional
8
Your authority may call this Team by a different name; in essence this refers to practioners meeting with a
child, young person and parent/carer. Please note the TAC is not the same as a Multi-agency Panel
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Glossary of terms
Team Around the Child - practitioners and members of the family supporting the child /
providing services.
CAF Episode - a term used primarily for National eCAF 9requirements. It describes the
CAF process and all the information concerned with the CAF process for a specific child,
from assessment to closure of the case. It is represented as a "folder" containing the
CAF documents. These include assessments, action plans, progress reviews, service
requests, involvement of members of the Team Around the Child and consent statements.
CAF Episode Coordinator - an eCAF user who has responsibility for keeping the information on
eCAF up to date. This could be the Lead Professional if they are an eCAF 10user but may not be.
9
This is the same for both local and national e-CAf systems
This is the same for both local and national e-CAf systems
10
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Annex 2 - CAF Thresholds
1.0 Introduction
The purpose of this chapter is to outline common risk triggers for beginning a common
assessment and to introduce the London Continuum of Need model. This model was
developed in consultation with local authorities and key local, regional and national
partners. We recognise that some local authorities may have more detailed level
descriptors. The London Continuum does NOT provide an exhaustive list of all the
possible scenarios and practitioners should always use their professional judgement.
The London Continuum establishes a consistent approach for:
 Four levels of need and corresponding service intervention

Beginning the CAF process
This will facilitate swift and easy access to appropriate services and help remove barriers
to cross authority integrated service delivery.
It is acknowledged that children may move from one level of need to another and
agencies (including universal services) may offer support for needs at more than one
level.
The London Continuum model does not guarantee service provision by particular
agencies at each level as there may be restricting factors such as:
 Specific service criteria related to the agency’s specialist area of work
 Previous interventions
 Geographical location
 Age limits
 Time limited provision, e.g. only available during school term
The London Continuum builds from the four levels of need:
Level 1
No identified additional needs. Response services are universal services.
Level 2- (Low risk to Vulnerable)
Child’s needs are not clear, not known or not being met. This is the threshold for
beginning a common assessment. Response services are universal support services
and/or targeted services.
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Level 3- Complex
Complex needs likely to require longer term intervention from statutory and/or
specialist services. High level additional unmet needs – this will usually require a
targeted integrated response, which will usually include a specialist or statutory
service. This is also the threshold for a child in need which will require Children’s
Social Care intervention.
Level 4- Acute
Acute needs, requiring statutory intensive support. This in particular includes the
threshold for child protection which will require Children’s Social Care
intervention.
(Please note The London Continuum of needs within this annex represents the
level descriptors. Detailed risk and resilience factors relating to specific policy
areas are provided at the end of this document and also can be accessed on the
Young London Matters website.)
The London Continuum identifies a set of risk and resilience triggers and levels of need
and has been established in consultation with London Local Authorities and those
organisations listed within the Protocol. Due to the expert opinion and policy advice
utilised in developing the London Continuum, authorities may choose to consider a
review of their thresholds and or align these with the London Continuum
When there is an immediate need to protect a child because they are being harmed or
at risk of harm the practitioner must contact the local authority Children’s Social Care
and/or police directly and make a telephone referral. All practitioners must follow the
referral process in their local borough and follow up a verbal referral with a written
referral. In some local authorities the common assessment is the accepted mode for a
written referral. For cross authority working use the method identified by your Local
Safeguarding Children Board.
The London Continuum of Need should be read alongside the London Child Protection
Procedures (www.londonscb.gov.uk/procedures) .
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LONDON CONTINUUM CHARTS
Level 1
No additional needs, only requiring universal service support
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FEATURES
UNIVERSAL EXAMPLE INDICATORS
DEVELOPMENTAL NEEDS
Children with no
additional needs
Children whose
developmental
needs are met by
universal
services.
LEARNING / EDUCATION





achieving key stages
good attendance at school/college/training
no barriers to learning
Planned progression beyond statutory school age
HEALTH
Good physical health with age appropriate developmental milestones including
speech and language
SOCIAL, EMOTIONAL, BEHAVIOURAL, IDENTITY
good mental health and psychological well-being
good quality early attachments, confident in social situations
knowledgeable about the effects of crime and antisocial behaviour
knowledgeable about sex and relationships and consistent use of contraception if
sexually active
FAMILY AND SOCIAL RELATIONSHIPS
Stable families where parents are able to meet the child’s needs

SELF-CARE AND INDEPENDENCE
Age appropriate independent living skills





FAMILY & ENVIRONMENTAL FACTORS

FAMILY HISTORY & WELL-BEING
supportive family relationships


HOUSING, EMPLOYMENT & FINANCE
child fully supported financially
good quality stable housing



SOCIAL & COMMUNITY RESOURCES
good social and friendship networks exist
safe and secure environment
access to consistent and positive activities
ASSESSMENT PROCESS
No Common Assessment is
required.
Children should access
universal services in a normal
way.
Key universal services that
may provide support at this
level:
Education
Children’s Centres & Early
Years
Health visiting service
School nursing
GP
Play Services
Integrated Youth Support
Services
Police
Housing
Voluntary & community sector
PARENTS & CARERS

BASIC CARE, SAFETY & PROTECTION
parents able to provide care for child’s needs

EMOTIONAL WARMTH & STABILITY
parents provide secure and caring parenting
GUIDANCE BOUNDARIES & STIMULATION
parents provide appropriate guidance and boundaries to help child develop appropriate
values
LEVEL 2- Low to Vulnerable Targeted support
FEATURES
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Low to Vulnerable - EXAMPLE INDICATORS
ASSESSMENT
16
PROCESS
2a Vulnerable
These children have
low level additional
needs that are likely 
to be short-term
and that maybe
known but are not
being met.








2b Vulnerable
Child’s needs are
not clear, not
known or not
being met
Child with
additional needs –
requiring multiagency
intervention
Lead professional
and Team around
child










DEVELOPMENTAL NEEDS
LEARNING /EDUCATION
occasional truanting or non attendance
school action or school action plus
identifies language and communication difficulties
reduced access to books, toys or educational materials
few or no qualifications
NEET
HEALTH
Slow in reaching developmental milestones,
missing immunizations or checks
Minor health problems which can be maintained in a mainstream school
SOCIAL, EMOTIONAL, BEHAVIOURAL, IDENTITY
Low level mental health or emotional issues requiring intervention
Pro offending behaviour and attitudes
Early onset of offending behaviour or activity (10-14)
Coming to notice of police through low level offending
Expressing wish to become pregnant at young age
Early onset of sexual activity (13-14)
Sexual active (15+) with inconsistent use of contraception
Low level substance misuse (current or historical)
Poor self esteem
SELF-CARE AND INDEPENDENCE
Lack of age appropriate behaviour and independent living skills that increase
vulnerability to social exclusion
FAMILY & ENVIRONMENTAL FACTORS









FAMILY AND SOCIAL RELATIONSHIPS & FAMILY WELL-BEING
Parents/carers have relationship difficulties which may affect the child
Parents request advice to manage their child’s behaviour
Children affected by difficult family relationships or bullying
HOUSING, EMPLOYMENT & FINANCE
overcrowding
families affected by low income or unemployment
SOCIAL & COMMUNITY RESOURCES
insufficient facilities to meet needs e.g. transport or access issues
family require advice regarding social exclusion e.g. hate crimes
associating with anti social or criminally active peers
limited access to contraceptive and sexual health advice, information and services
PARENTS & CARERS



BASIC CARE, SAFETY & PROTECTION
inconsistent care e.g. inappropriate child care arrangements or young
inexperienced parent
EMOTIONAL WARMTH & STABILITY
inconsistent parenting, but development not significantly impaired
GUIDANCE BOUNDARIES & STIMULATION
lack of response to concerns raised regarding child
A common assessment
should be completed with
the child to identify their
strengths & needs and to
gain specialist support
Programmes aiming to build
self-esteem and enhance
social/life skills
Prevention Programmes
Positive activities
Key agencies that may
provide support at this
level:
Universal and targeted
Youth crime prevention
services
Targeted drug and alcohol
information, advice and
education, including harm
reduction advice to support
informed choices
Health, education Childrens
Centres & Early Years
Educational psychology
Educational Welfare
Specialist Play Services
Integrated Youth Support
Services
Voluntary & community
services
Family support services
Reference sector specific
charts
LEVEL 3
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High or Complex level additional needs requiring integrated targeted
support OR child in need (section 17)
FEATURES
MEDIUM RISK EXAMPLE INDICATORS
ASSESSMENT
PROCESS
DEVELOPMENTAL NEEDS
Children with high
level additional
unmet needs
Complex needs
likely to require
longer term
intervention from
statutory and/or
specialist services








CHILD IN NEED:
These children may
be eligible for a
child in need service
from children’s
social care and are
at risk of moving to
a high level of risk if
they do not receive
early intervention.
These may include
children who have
been assessed as
“high risk” in the
recent past, or
children who have
been adopted and
now require
additional support.
If a social worker is
allocated they will
act as the Lead
Professional.











LEARNING/EDUCATION
short term exclusions or at risk of permanent exclusion, persistent truanting
Statement of special educational needs
No access to books, toys or educational materials
HEALTH
disability requiring specialist support to be maintained in mainstream setting
physical and emotional development raising significant concerns
chronic/recurring health problems
missed appointments- routine and non-routine
SOCIAL, EMOTIONAL, BEHAVIOURAL, IDENTITY
under 16 and has had (or caused) a previous pregnancy ending in still birth,
abortion or miscarriage
16+ and has had (or caused) 2 or more previous pregnancies or is a teenage parent
Under 18 and pregnant
coming to notice of police on a regular basis but not progressed
Received fixed penalty notice, reprimand, final warning or triage of diversionary
intervention
Evidence of regular/frequent drug use which may be combined with other
risk factors
Evidence of escalation of substance use
Evidence of changing attitudes and more disregard to risk
mental health issues requiring specialist intervention in the community
significant low self esteem
victim of crime including discrimination
SELF-CARE AND INDEPENDENCE
Lack of age appropriate behaviour and independent living skills, likely to impair
development
FAMILY & ENVIRONMENTAL FACTORS

FAMILY AND SOCIAL RELATIONSHIPS & FAMILY WELL-BEING
History of domestic violence
risk of relationship breakdown with parent or carer and the child
Young carers , Privately fostered, children of prisoners, periods of LAC
Child appears to have undifferentiated attachments
HOUSING, EMPLOYMENT & FINANCE
Severe overcrowding, temporary accommodation, homeless, unemployment


SOCIAL & COMMUNITY RESOURCES
family require support services as a result of social exclusion
parents socially excluded, no access to local facilities




The common assessment
can be used as supporting
evidence to gain specialist /
targeted support.
The common assessment
may also be completed to
support child moving out of
complex needs
Statutory or specialist
services assessment
(NB a common assessment
must NOT replace a
specialist assessment).
Key agencies that may
provide support at this
level:
LA children’s social care
Other statutory service e.g.
SEN services. Specialist
health or disability services.
YISP
Youth Offending Team.
Targeted drug and alcohol
CAMHS
Family support services
Voluntary & community
services
Services at universal level
Reference sector specific
charts
PARENTS & CARERS
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BASIC CARE, SAFETY & PROTECTION
physical care or supervision of child is inadequate
parental learning disability ,parental substance misuse or mental health impacting
on parent’s ability to meet the needs of the child
parental non compliance
EMOTIONAL WARMTH & STABILITY
inconsistent parenting impairing emotional or behavioural development
GUIDANCE BOUNDARIES & STIMULATION
parent provides inconsistent boundaries or responses





LEVEL 4
Complex/Acute additional needs requiring specialist or statutory
integrated response OR child protection (section 47)
FEATURES
HIGH RISK EXAMPLE INDICATORS
ASSESSMENT
PROCESS
Complex additional
DEVELOPMENTAL NEEDS
unmet needs
These children
require
specialist/statutory
integrated support
CHILD PROTECTION
Children
experiencing
significant harm
that require
statutory
intervention such as
child protection or
legal intervention.
These children may
also need to be
accommodated by
the local authority
either on a
voluntary basis or
by way of Court
Order.
Agencies should
make a verbal
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Additional services:
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LEARNING / EDUCATION
chronic non-attendance, truanting
permanently excluded, frequent exclusions or no education provision
no parental support for education
HEALTH
high level disability which cannot be maintained in a mainstream setting
serious physical and emotional health problems
SOCIAL, EMOTIONAL, BEHAVIOURAL, IDENTITY
challenging behaviour resulting in serious risk to the child and others
failure or rejection to address serious (re) offending behaviour likely to be in
Deter cohort of youth offending management
known to be part of gang or post code derived collective
complex mental health issues requiring specialist interventions
in sexually exploitative relationship
teenage parent under 16
under 13 engaged in sexual activity
frequently go missing from home for long periods
distorted self image
Young people experiencing current harm through their use of substances.
Young people with complicated substance problems requiring specific
interventions and/or child protection.
Young people with complex needs whose issues are exacerbated by substance
use
SELF-CARE AND INDEPENDENCE
Severe lack of age appropriate behaviour and independent living skills likely to
result in significant harm e.g. bullying, isolation
FAMILY & ENVIRONMENTAL FACTORS
The common assessment
can be used as supporting
evidence to gain specialist /
targeted support.
Statutory or specialist
services assessment
(NB a common assessment
must NOT replace a
specialist assessment).
Key agencies that may
provide support at this
level:
LA children’s social care
Specialist health or
disability services.
Youth Offending Team.
CAMHS
Family support services
Voluntary & community
services
19
referral to
children’s social
care accompanied
by a written
referral.
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FAMILY AND SOCIAL RELATIONSHIPS & FAMILY WELL-BEING
Suspicion of physical, emotional, sexual abuse or neglect
High levels of domestic violence that put the child at risk
parents are unable to care for the child
children who need to be looked after outside of their own family
Services at universal level
comprehensive assessment
and formulation of
substance specific care plan
HOUSING, EMPLOYMENT & FINANCE
No fixed abode or homeless
family unable to gain employment or extreme poverty
SOCIAL & COMMUNITY RESOURCES
Child or family need immediate support and protection due to harassment
/discrimination and No access to community resources
Reference sector specific
charts
PARENTS & CARERS
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BASIC CARE, SAFETY & PROTECTION
Parent is unable to meet child’s needs without support
EMOTIONAL WARMTH & STABILITY
Parents unable to manage and risk of family breakdown
GUIDANCE BOUNDARIES & STIMULATION
Parent does not offer good role model e.g. condones antisocial behaviour
20
Annex 3 - CAF interface with other
assessments
1.0 Introduction
The purpose of this chapter is to outline regional guidance for managers and
practitioners around the interface between the Common Assessment Framework
and other key assessment/referral tools and key interventions.
2.0 Background
The CAF was introduced as a shared assessment tool for all practitioners that work
with children and families in the UK. The common assessment has been specifically
designed to reduce duplicate assessments and provide a common holistic
framework for assessing need, facilitating integrated support and joint planning at
an earlier stage.
Consideration should always be given by specialist services of utilising a common
assessment to support a child or young person when they move to a lower level of
need.
The recommendations in this guidance have been developed through consultation
with local, regional and national partners.
3.0 Education Sector
3.1 Early years Action or School Action
Recommended interface with the Common Assessment Framework:
The common assessment could be used as an assessment tool to trigger a
school/early years action for a child
3.2 Early years Action Plus or School Action Plus
Recommended interface with the Common Assessment Framework:
The common assessment could be used as an assessment tool to trigger a
school/early years action plus for a child.
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21
3.3 Assessments relating to learning difficulties (S139)
Recommended interface with the Common Assessment Framework:
The common assessment can be used as one of the tools to provide supporting
evidence for the request of a S139 (previously S140).
3.4 Pastoral Support Programmes (PSP)
It is imperative that ALL children or young people at risk of exclusion undertake a
common assessment.
Recommended interface with the Common Assessment Framework:
The DCSF recommend that a CAF should be completed as part of a PSP in the
“Improving Behaviour and Attendance: Guidance on Exclusions from Schools and
Pupil Referral Units” (DCSF 2008)
4.0 Youth Sector
4.1 ONSET/ASSET
Recommended interface with the Common Assessment Framework:
Practitioners should complete a common assessment when referring into a YISP. Youth
Justice practitioners should always complete a common assessment if additional unmet
needs have been identified. The common assessment will then act as a lever to identify
the full unmet needs and bring in additional support from other services. Youth Justice
practitioners should operate as the lead professional when appropriate.
The CAF should not replace Asset. However, a common assessment should be
completed if the YJ interventions are insufficient to address any identified needs. The
purpose of completing the common assessment is to bring in additional support from
other services either at the point of ASSET being completed, during a YJ prorgamme or
when a young person leaves a YJ intervention
4.2 Substance Misuse
There are a number of different tools/processes used across the London boroughs to
support staff in generic children’s services to screen vulnerable groups of young people
with an identified propensity to substance use/misuse. (Commonly used screening tools
include DUST and SMART). The purpose of the screening process is to identify specific
substance related need and the appropriate level of intervention required to address
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this. Local screening procedures should be followed when there is a concern regarding
drug or alcohol use perhaps arising out of the CAF or other contact with a young person.
Screening is not the same as a comprehensive substance misuse assessment. However
the areas addressed within the screening process will help in the identification of risk
factors and will indicate to the professional when onward referral may be appropriate
or when specialist advice should be sought in order to decide how best to address the
identified need.
The Interface of Substance Misuse screening tools with the common assessment
The Common assessment should be completed as an early or the first assessment
tool.
If the common assessment raises a concern about substance misuse, screening
should be undertaken by the worker if trained in screening for substance misuse. If
the worker is not trained then the young person should be referred on to someone
else in their agency that is trained in screening for substance misuse. The initial
point of contact of the local substance misuse treatment service should be located
on the Local Authority family information service site.
If the first contact made by a young person is to a substance misuse specialist or if
the referral does not come from Children’s Services or if a young person reaches the
end of their treatment journey and a common assessment is not in place, the
substance misuse specialist should complete a common assessment in addition to
any specialist screening.
The specialist should be enabled to draw the team around the child together where
the most appropriate professional to act as the lead professional will be identified.
The CAF will also play a vital role in ensuring effective plans are in place for young
people leaving targeted support or specialist treatment.
4.3 Assessment Planning Intervention and Review (APIR)
Recommended interface with the Common Assessment Framework:
Connexions advisers should complete the common assessment when there are
additional unmet needs that cannot be met within the single agency.
5.0 Children’s Social Care
Recommended interface with the Common Assessment Framework:
Where there is child protection concerns practioners should follow the Local
Safeguarding Children Procedures and refer without delay.
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6.0 Health
6.1 Early Support
Recommended interface with the Common Assessment Framework
The common assessment is a holistic tool that can be filled out collaboratively to
gain a full picture of unmet additional needs. This information could be used as
supporting evidence to request specialist support for a child from an early support
service.
The common assessment can be used to enable specialist early support services.
6.2 CAMHS (Child and adolescent mental health services)
The national CAMHS review supports the use of the common assessment as a tool
to help practitioners identify a child’s psychological and mental health needs and
decide whether they can be met within their own service or if more specialist
mental health support is needed.
Recommended interface with the Common Assessment Framework:
The Common assessment should be completed as an early or the first assessment
tool.
If the common assessment raises a concern about emotional or psychological ill
health, screening should be undertaken by the worker if trained. If the worker is not
trained then the young person should be referred on to someone else in their
agency that is trained in screening or contact should be made with the CAMH service
in the borough of residence so that appropriate identification of need can take
place. The initial point of contact should be located on the Local Authority family
information service directory.
If the first contact made by a young person is to a CAMH specialist or if the referral
does not come from Children’s Services or if a young person reaches the end of their
treatment journey and a common assessment is not in place, the CAMH specialist
should complete a common assessment in addition to any specialist screening.
The specialist should be enabled to draw the team around the child together where
the most appropriate professional to act as the lead professional will be identified.
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If the young person is identified as having acute or complex needs a practitioner
should refer without delay.
6.3 Adult mental health
Recommended interface with the Common Assessment Framework:
As recommended in the National CAMHS Review adult services should either
consider using the common assessment (if trained and when appropriate) or in
collaboration with other practitioners as necessary.
6.5 Health visitors, midwives and community nurses
Recommended interface with the Common Assessment Framework:
Health practitioners should complete the common assessment when there is a
potential unmet need that cannot be met within their single agency.
6.6 General Practitioners
Recommended interface with the Common Assessment Framework:
GPs should complete common assessments when appropriate in collaboration with
other practitioners as necessary.
6.7 Metropolitan Police Service (MPS)
In response to the Every Child Matters agenda and as an attempt to achieve earlier
identification of needs, the MPS have introduced the Merlin Pre-assessment
Checklist (Merlin PAC) which they complete when they are concerned that a child or
young person has an unmet additional need.
The Merlin PAC can be completed by any member of the police service and all
Merlin PACs are sent to the Public Protection Desk (PPD) for an initial assessment.
PPD’s will check if the child/young person (CYP) is known on police systems, the local
eCAF system or ContactPoint if this has been locally agreed.
Recommended interface with the Common Assessment Framework:
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Police staff that work more closely with CYP in multi-agency teams e.g. Safer Schools
and YOT/YOS – may complete/collaborate on common assessments or become a
member of the Team Around the Child when appropriate11.
11
In line with the recommendations of the Association of Chief Police Officers (ACPO)
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Annex 4
Sharing Information Securely
It is our duty to ensure that personal information is kept safe and secure, and only
shared with those who have a legitimate reason to receive it. When information is in
transit between individuals or information systems it is at risk of loss, damage, theft and
inappropriate or accidental disclosure.
This guidance has been adapted from the guidance developed by London borough of
Merton THIS GUIDANCE DOES NOT OVERRIDE THE INFORMATION GOVERNANCE
PROCEDURES OF INDIVIDUAL ORGANISATIONS OR CHILDREN’S TRUSTS. Consult your
own local procedures and be guided by your own professional code of conduct. 12
As a minimum requirement a check must be made to find out if a common assessment
already exists prior to initiating a common assessment. This should also include a check
to see if Social Care are involved or have had prior involvement.
Until ContactPoint is available to all practitioners it is recommended that:
Any practitioner seeking to identify if a CAF is underway should contact their borough
lead CAF contact. The lead CAF contact will need to be able to satisfy checks that the
person making the request is a practitioner with a legitimate reason. Using LARA13 to
obtain contact details where necessary, the lead CAF contact will then contact their
counterpart in the other authority14.
12
This guidance can be applied to sharing information securely both within and across authority boundaries
LARA is a national database of ContactPoint implementation managers and CAF coordinators. If LARA
is removed once ContactPoint is available to ALL practitioners the lead CAF contact can be accessed by
the authority’s service directory.
14
Authority of residence
13
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If there are other practitioners or a Lead Professional currently working with the child,
any information should be shared between them (with consent of the child or family) in
order to gain the full picture of the child’s situation so the practitioner can determine
whether they need to remain involved, join an existing Team Around the Child or begin
a common assessment.
Sharing information
As with any other personal information, a practitioner undertaking a common
assessment should only share information with a third party with the explicit consent
by the child, young person and/or family to do so, unless in the practitioner’s judgment
there is sufficient public interest to share information without that consent. Good
practice would indicate that the child, young person and/or family should be aware of
how information may be shared. This should be noted on the common assessment or
recorded on a sharing information register.
Practitioners should only share information with a third party where they have
confirmation that the requesting practitioner has a legitimate reason for requiring that
information and the consent of the child, young person and family, unless they judge
there is sufficient public interest as above. Where there are any doubts, this
confirmation should be provided by the lead CAF contact in the authority where the
practitioner is based prior to any sharing.
Please refer to Annex 1 for guidance on the process to use when working across
authority boundaries.
Sharing personal information by post
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Confirm the name, department and address of the recipient;
Seal the information in a robust envelope;
Mark the envelope ‘Private and Confidential – To be opened by Addressee
Only’;
When appropriate send the information by recorded delivery;
When necessary, ask the recipient to confirm receipt.
Sharing information by TELEPHONE
Only when you have confirmed that the practitioner has a legitimate reason for
contacting you, you should:
 Be sure you know who you are talking to. Where possible use the main
switchboard number of their organization and confirm with the operator the
name, job title, department and organization of the person with whom you
wish to share information.
 Do not share information when a return telephone number cannot be
supplied. Call the practitioner back via the switchboard.
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Only provide the information to the person who has requested it. If they are
not there you should leave a message for them to call you back.
Do not leave a message with someone else or on a voicemail
Be aware of who might overhear your call.
Keep a record of any confidential information disclosed during the call.
Record the time of the disclosure, the reason for it and if appropriate, who
authorized it.
Sending information by FAX
Paper documents are often sent by fax. Precautions must be taken when sending
information by fax because the receiving machine may be sited in an open office,
meaning the document is visible to other staff, contractors or visitors. Where possible
any information should be shared via a dedicated CAF FAX.
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Telephone the recipient of the fax to let them know you are about to send it.
Check the fax number. If the information is confidential ask them to wait by
the fax.
Consider asking the recipient to confirm receipt of the fax; or call them to
ensure the fax has arrived.
Use pre programmed fax numbers where possible to reduce the chance of the
fax being sent to the wrong machine.
Ensure that you use an appropriate fax cover sheet. Make sure your cover
sheet states who the information is for, and mark it ‘Private and Confidential’
Ensure you do not refer to the names of the person(s) concerned in the subject
heading or on the cover sheet of the fax
Keep a record that you have sent the fax.
If you receive confidential information by fax
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If the information is not for you, either pass it to the proper recipient or inform
the sender. Do not ignore it.
Consider the location of your fax machine. Is it in a secure environment?
If your fax machine is not in a secure environment or you receive faxes outside
office hours, you should consider a 'fax to e-mail' solution.
Sending information by EMAIL
Huge amounts of information are sent by email, within and across agencies. Whilst
internal messages are reasonably secure (e.g. within the council or within health
services secure platforms), those sent to external addresses are not considered secure
enough for confidential information. Confidential information must be sent by other
methods, some of which outlined in this Security Topics section.
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Ensure all recipients need to receive the information. Think twice before
responding to a group email or copying others in.
Confirm the name, department and email address of the recipient
Mark the message 'confidential'.
Do not include confidential information in the Subject field.
Use a secure email connection and ask the recipient to confirm receipt (e.g. use
delivery and read request settings).
If you have to send personal information to an external recipient, use a
password protected file. Further, when this information is confidential,
encryption should be used. One option is to use WinZip: some guidance on
using WinZip for encryption follows below but DO consult your own agency for
further guidance, or other options, as well.
Remember to use a different password to anything you may use for other tasks
because you will have to share the password when you disclose the document.
Always save the passworded version of the document as a new file and retain
the original safely. IT Services will not be able to open passworded or
encrypted documents without the password. Passwording and encryption are
not necessary for information shared between those within a secure platform
(e.g. within the council, within health, within the police: further in Secure Email
below)
Do not send the password by the same email. Either send by separate email, or
preferably use the telephone, making sure you know who is receiving the
information.
Record what information has been sent
After receiving a password protected file, re-save the information without the
password in a new secure place. Do not rely on remembering the password.
Save an audit trail of your email communications. This could mean saving a
copy of all sent and received emails in a separate folder.
Using WinZip to encrypt information
Use WinZip to encrypt copies of files that you are sending or taking out of your
organisation, but not for files which remain on your network. WinZip version 9 or
above allows users to use 256-bit AES encryption which is recommended. The
recipient will also need WinZip 9 or later, so check this with them first. Earlier
versions will handle the older ‘zip 2.0’ encryption, as will Windows XP.
(Discuss with your IT department, if you don’t already have this facility installed:
WinZip in a Google search will bring up several options.)
The encryption can be done from within or outside the Office application.
(1) To encrypt the information from outside the Office application:
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Open WinZip (version 9 or later)
30
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Create a new archive (File menu), navigating to an appropriate location within
your filing system, and give it a name.
In the ‘Add’ window, locate the file you want to encrypt and highlight it. Tick the
box ‘Encrypt added files’, and click ‘Add’.
If WinZip warns you about the implications of encrypting files, click on ’OK ’.
Enter a password that has a least 7 characters and preferably a mixture of
numbers and letters. Re-enter the password to confirm it.
Ensure ’Mask Password’ is checked, and choose the option ’256-bit AES
encryption’. Click on ’OK ’
In the archive, the filename is followed by an asterisk to show it has been
encrypted. Close WinZip.
(2) To encrypt the information from within the Office application:
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Open the application that contains the information to be emailed. (Word, Excel,
PowerPoint etc)
Click ’File ’ then ’Open’.
Locate, then right click the document to be sent.
Click ’WinZip’ then click the option ’Add to (name of the document).zip’.
It may now be necessary to change the ’File of type’ at the bottom of the box to
’All files’ to see the new Zip file.
Right click the Zip file.
Click ’Encrypt’ (cancel the box offering information about the different
encryption methods if it appears)
Enter a password that has a least 7 characters and preferably a mixture of
numbers and letters.
Re-enter the password as requested.
Ensure ’Mask Password’ is checked.
Check the option ’256-bit AES encryption (stronger)’ then click ’OK ’
Whichever method you use for encryption, you now have an archive file to send or
transport. When sending, let the partner who is to receive the information know the
password. This can either be achieved by telephone to a known and authorised person;
or by separate email that is acknowledged before the archived information is sent. For
regular transmissions, it is recommended that passwords are changed at least every
three months.
The recipient will be able to open the encrypted WinZip file using the password already
agreed with them at the start of the process.
Sending information by SECURE EMAIL
What is secure email?
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When a regular email is sent between different organisations it is transmitted over the
Internet. This means that the contents of that email are not particularly safe. Email can
be intercepted or misdirected, either by accident or for criminal purposes.
While the risk of interception is quite low – a 2006 estimate placed the number of
emails sent daily at 183 billion – the public do expect us to keep sensitive personal
information confidential. They also expect us to protect information which identifies
large numbers of people. Therefore a secure email facility should be used to send
information identifying large numbers of people as well as sensitive or confidential
information about a single individual.
Secure email involves sending information to trusted partners through a network of
secure, encrypted servers. The secure email facility encrypts the contents of an email
when it is sent. This encryption ensures that the email, if intercepted, will be
unreadable. Once the email reaches its secure destination it will be decrypted so that
the intended recipient can read it.
When should I use secure email?
An email sent within large organisations such as NHS, Police, Central Government, the
court service or within a local authority is secure because it stays within that network’s
firewall security system. So an email sent from colleague.one@nhs.net to
colleague.two@nhs.net is secure; similarly when shared between
colleague.three@merton.gov.uk 15and colleague.four@merton.gov.uk an email will be
secure.
Also, sharing across SOME of these platforms is secure – such as for NHS, Police and
Central Government who are all part of the Governments Secure Community. Thus
colleague.five@met.pnn.police.uk can securely exchange with colleague.one@nhs.net .
BUT sharing between any of those above within that Government Secure Community
platforms with a local authority colleague, such as colleague.one@nhs.net sharing with
colleague.four@merton.gov.uk, is NOT secure because the bridge between these
separate secure platforms is through the internet which is not itself secure.
HOWEVER, a facility provided by the Criminal Justice IT system (CJIT) called CJSM
(Criminal Justice Secure Mail) allows for secure exchange between local authorities,
education and some Third Sector organisation with the above group within the
Governments Secure Community platform.
Who has secure email?
Contact your lead CAF contact to find out if you have access to a secure email address.
What addresses can those with CJSM addresses send email to securely?
15
Please note that this may not apply to all London local authorities therefore you must check with you
lead CAF contact
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Other organisations that are signed up to secure sharing with CJIT system include those
shown in table which follows:
Organisation
CJSM
NHS
Metropolitan police
Government depts
Other Councils
Normal email Suffix
@nhs.net
@met.pnn.police.uk
@gsi.gov.uk
@gsx.gov.uk
email suffix for secure sharing with
@nhs.net.cjsm.net
@met.pnn.police.uk.cjsm.net
@gsi.gov.uk.cjsm.net
@gsx.gov.uk.cjsm.net
How do I (with CJSM address) send secure email?
To send to someone with an @nhs.net or @met.pnn.police.uk email address you need
to add the secure email suffix @nhs.net.cjsm.net to the address field
e.g. Joe.Bloggs@nhs.net.cjsm.net
Can I add .cjsm.net to any .gov.uk address to make it safe?
No, not automatically. An @authority.gov.uk email addresses needs to be registered
with CJSM before it becomes secure.
Before sending confidential information to @borough.gov.uk address you need to check
first with the recipient whether they have a cjsm.net address.
If they do not you need to use another method of transfer. See the other procedures
above for more details on options.
Are attachments protected?
The whole message is protected including attachments. The CJSM system checks all
attachments for viruses. This means that if you encrypt a document with WinZip, then
attach it to an email and send it to a cjsm.net address, it is likely to be rejected by the
virus checking system and returned to you. Attachments sent through the CJSM system
do NOT need to be encrypted.
You cannot receive emails from non-secure email systems at a cjsm address.
How can I tell if an email has come through the CJSM system?
If an email comes through the CJSM system the Subject Field will begin with [CJSM]
What if I need to send information securely to someone who does not have secure
email?
You need to use another method of transfer. See the above procedures for more details
on options.
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Sending information by POST
Posting documents is often the only way to securely exchange documentation.
Registered post is also the best way to send confidential data on an encrypted CD.
Different levels of security can be used depending on the information being sent
 Consider sending the package as registered or 'signed for' delivery or by courier
if confidential.
 Reliable transport couriers should be used at all times. Consult with your Post
Room.
 Confidential information sent electronically must be protected by encryption.
 Packaging must be adequate to protect the contents from damage during
transit.
 Ensure that you have the correct name and address. Sending material that is
only addressed to an organisation is no guarantee that it will reach the
intended recipient.
 Where appropriate, mark the envelope ‘Addressee Only’.
 This envelope may now be placed inside a larger envelope with only the
correct name and address on it. This adds an additional level of security as the
package is not easily identifiable as ‘valuable’ and administrative staff should
only open the outer envelope.
 Ask the recipient to confirm receipt.
 Record the disclosure.
IN PERSON
Confidential information may be delivered personally by members of staff. Such
information may be held in paper or electronic form. Where laptops, PDAs or other
electronic devices are used precautions must be taken to ensure the security of your
agency’s IT systems as well as any data held on the device itself.
 Personal information should only be taken off site where necessary, either in
accordance with local policy or with the agreement of your line manager.
 Log any confidential information you are taking off site and the reason why.
 Paper based information must be transported in a sealed file or envelope.
 Electronic information must be protected by appropriate electronic security
measures – password or encryption.
 If transferring information by car, put the information in the boot and lock it.
 Ensure the information is returned back on site as soon as possible.
 Record that the information has been returned.
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Blackberry, Memory Sticks, CD’s and other removable media and mobile
devices
Mobile Devices include Blackberry, iPod, mobile phones and other gadgets.
Removable electronic storage media include CD or DVD, Memory stick and even
floppy discs. These devices and media are particularly vulnerable to loss or theft. Any
confidential information on them must be protected by 256 bit AES Encryption in
accordance with local policy. See WinZip guidance above as one option. General
guidance may be found at http://schools.becta.org.uk/uploaddir/downloads/data_encryption.pdf
Additionally, the following principles must be followed when using removable media

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The information must be backed up automatically, so that if the device is lost a
risk assessment will facilitate appropriate follow-up action
Any loss must be reported immediately
Information must be securely deleted after use. It is not acceptable to carry
confidential information on a mobile device or memory stick any longer than
necessary. CD’s or DVD’s should be broken before disposal.
National eCAF
In July 2007, the Government announced that it would provide assistance to front-line
professionals in children's services by implementing a single national IT system to
support the Common Assessment Framework (CAF). The National eCAF system is the eenablement of CAF.
National eCAF
National eCAF will allow a practitioner to electronically records and share CAF
information securely, with the consent of the child, young person or family. It will give
practitioners from different sectors, who are approved and trained to use the system,
appropriate access to key information concerning the assessment, action plans and
progress reviews. This will allow them to participate in the delivery of the most
appropriate services. In order to gain access to the episode information on National
eCAF, practitioners will have gained explicit consent from the parents or carers and/or
the young person who is the subject of the CAF episode.
National eCAF will be deployed in a phased approach and the DCSF is working with a
National eCAF Early Adopters Group to help shape the overall implementation
approach. It is expected that the system will begin to be available from 2010.
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Annex 5
Information Sharing Protocols
All documents that support the sharing of information are available at:
www.everychildmatters.gov.uk/informationsharing
For the purposes of supporting ‘integrated working without boundaries’ we have drawn
out a specific section from section 4: How organisations can support practitioners, as
this section of the Guidance clearly expresses the legal requirements for enabling case
management across authority and agency boundaries with regard to information
sharing protocols.
4.13 Information Sharing Protocols 16are not required before front-line practitioners
can share information about a person. By itself, the lack of an Information Sharing
Protocol must never be a reason for not sharing information that could help a
practitioner deliver services to a person.
This approach is supported by the Information Commissioner’s Office:
“All organisations can accomplish information sharing lawfully by adhering to
governing legislation and the principles of the Data Protection Act whether an
Information Sharing Protocol is in place or not.
An Information Sharing Protocol is a useful tool in some circumstances. It is not a legal
requirement.
An Information Sharing Protocol is a useful tool with which to manage large scale,
regular information sharing. It creates a routine for what will be shared, when and
with whom and provides a framework in which this regular sharing can take place
with little or no intervention by practitioners.
It is not a useful tool for managing the ad hoc information sharing which all
practitioners find necessary. Most importantly it is not intended to be a substitute for
the professional judgement which an experienced practitioner will use in those cases
and should not be used to replace that judgement.”
Information Commissioner’s Office
16
An ISP is a signed agreement between two or more organisatiions or bodies, in relation to specified
information sharing activity and/or arrangements for routine or bulk sharing of information.
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37
Annex 6
CAF Quality Assurance Framework
1.0 Introduction
The purpose of this annex is to outline a CAF quality assurance framework that can
be implemented to monitor the quality of the CAF process and help to improve
outcomes for children and young people.
All local authorities are responsible for implementing their own quality assurance
framework and the lead CAF contact will be responsible for identifying the
methodology used to colleagues from other authorities.
Quality Assurance Framework (QAF)
The QAF covers five key stages:





The audit of the CAF Assessment Process
The evaluation of the Audit Process
The feedback of the audit process
Training arising from the audit and evaluation stages
Improvement to the CAF Process
The Quality Assurance Framework Process
The Audit
Process
Stage 1
Improvements
to the CAF
Process
Stage 5
Training
Stage 4
FINAL
The Quality
Assurance
Framework
The
Evaluation
Process
Stage 2
Feedback
Stage 3
38
To deliver this quality assurance framework you will need to have the following
structures in place:
(A) Nominated Auditor
Each service that uses the CAF should nominate a minimum of one CAF Auditor
depending on the size of the service. Heads of Service should nominate their
services auditor. Nominated Auditors need to be operational mangers or, team
leaders from within that service area;
(B) Evaluation Team
Members of the Evaluation team need to be senior operational managers
representing all partners and the lead CAF contact. The team needs to have
representation from all agencies using the CAF. Most Boroughs have a CAF or
Integrated Working Project Board whose membership should already include the
relevant individuals. This will ensure that lessons learnt are built into workforce
development and service improvement.
Stage One: The Audit of the CAF Process
The objective of the Audit process is to ensure the three steps in the CAF process,
identifying needs early (Prepare), “Assessing those needs (Discuss) and “Delivering
services (Deliver)17 have been carried out effectively.18
The Monitoring and Audit process will record:

The quality of the completion of the CAF form;

The quality of the action plan and review process

The involvement of the child/young person and/or parents/carer in the process
This will be undertaken by the Auditor (monitoring the assessment process)
17
Delivering services” should be broken down to
o
“Forming the team around the child”,
 “Coordinating and delivering integrated services” and
 “Reviewing progress
18
The proformas at the end of this section provide the mechanisms for auditing
FINAL
39
(A) . Monitoring the common assessment recording process
This audit will enable a clear indication of how the documentation has been
completed and the quality of the information recorded.
(B) Monitoring the involvement of the child/young person and/or parents/carer in
the process
This process checks how the participation of the child/young person/family has been
central to the CAF process.
(C) Monitoring the action planning and review process
This process focuses on the Action Planning and Review stage. Once a CAF action
plan has been implemented, the Team Around the Child will need to review the
outcomes for the child or young person and measure the quality and effectiveness
of the Action Plan.
This assessment focuses on a review of the impact of the CAF on improved
outcomes for the child or young person.
When first implementing this QAF or during early stages if implementing the CAF we
recommend that one in every 10 CAFs that have undergone the Action and Review
process should be audited.
As the CAF becomes the primary early intervention assessment for children and young
people’s services, the audit sample will need to be reviewed accordingly.
Please note when a cross authority CAF is being audited it would be good practice to
engage the lead CAF contact from each involved authority as part of the audit process.
Stage 2 - The Evaluation Process
The Evaluation Process is conducted by a multi-agency Evaluation Team including
CAF Auditors. The evaluation process is broken down into two stages:
-the Evaluation of the CAF Process, and
-the impact of the CAF.
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40
The evaluation of the CAF assessment process and the Impact of the CAF
This evaluates the assessment, action planning and review process and the
outcomes achieved. The Evaluation Team will have been provided with the average
scores from Audited CAFs in terms of quality of recording and the success of action
planning and review process. These will have been divided into services areas. If any
service’s scores fall below a pre-determined figure, set by the Evaluation Team, the
reasons must be investigated by the Evaluation Team, and corrective action
recommended and implemented.
The Evaluation Team should decide on appropriate action to take in the case of
persistent poor quality of assessment completions and limited improvement in
outcomes for the child or young person concerned. Additionally, where a cross
authority CAF has been audited and have been identified as either poor quality
and/or with limited improved outcomes the two authorities should consider how
more effective cross authority working can be achieved.
Stage 3 - Feedback
The Evaluation Team will feedback the results of the evaluation process to the
Borough’s Integrated Working Project Group or equivalent body (if a different team
has been established) and to service managers which will help them in:







Identifying the training needs for their practitioners.
Monitoring the CAF process.
Tracking outcomes for children and young people.
Identifying issues for supervisions.
Identifying support needs in services for local authority CAF teams.
Performance management of services within Children’s Trusts.
Establishing more effective cross authority working
Stage 4 - Training
The next step in the cycle is the CAF training for practitioners. The Evaluation Teams
will feed back and make recommendations to training managers, to highlight
identified areas for improvements to existing CAF training, and any additional items
that need attention or inclusion.
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41
Stage 5 - Improvements to the CAF process
The improved training and supervisions as a result of the Quality Assurance
Framework, and the resultant improved outcomes for children and young people
complete the cycle of the QAF.
3.4 Governance of the QAF
The Children’s Act places a duty on all agencies supporting children and young
people to work together within Children’s Trust frameworks. It also places the
accountably for all children’s services with the chairs of the Children’s Trusts, the
Local Authority Directors of Children’s services. Therefore the governance of the
CAF’s should sit with the Children’s Trusts and the lead should be taken by the Local
Authority.
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42
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43
Assessment Checklist
Checklist and Guidance Notes
The full Audit Process includes the Evaluation of the child/young person/parents or carer
1. The Audit should only be carried out by an individual who has received training.
2. The Audit of a CAF, must not be carried out by any person who has had any involvement in the particular assessment being
audited.
3. A CAF can only be audited once it is closed.
4. The Quality Auditor will be advised by the Evaluation Team, which type of sample CAF’s are to be audited. The audit can
sample a random selection of CAF’s, or CAF’s conducted on a specific group of children or young people according to
demographics or level or type of need.
5. The anonymity of the child or young person who has been assessed must be preserved. However the Evaluation Team will
need to be able to identify specific CAF’s that have been audited, therefore the audit should refer to an assessment by
unique reference number, not by the name of the child or young person being assessed.
6. The anonymity of the practitioner should also be maintained, therefore the audit should identify the agency conducting the
assessment, not the practitioner, therefore reference by a unique reference number will enable the auditor to feedback to
individual practioners.
7. The Quality Auditor should systematically review the CAF documents, and answer the questions posed on the check list.
8. The checklist consists of a series of “closed questions”, the only possible answers for each question is therefore “Yes”, “No”
or “Non-Applicable (N/A).” The score given for “Yes” answer = 1, the score given for each “No” answer = 0, the score given
for each “N/A” answer = 1.
9. A tick should be placed against each question in the relevant answer box, and the Quality Auditor should add any comments
he/she feels appropriate in the comments box which will expand with typing. At the end of the audit, the score for each
answer column is to be totalled.
10. To review the quality of the information recorded the Auditor should complete Section 2, (In depth review).
Final
Unique Reference Number………………….
Audit Conducted By………………………
Agency Which Conducted the Assessment………………………………
Date of Audit……………………
Type of Sample (e.g. Random, Specific Group, Type of Need etc)……………………………………………………
Section 1 –Recording of Common Assessment
Question
Yes
No
N/A
(Score = 1)
(Score = 0)
(Score = 1)
Comments by Quality
Auditor
Identifying Details
Are the personal identifying details of the child or young person entered onto the CAF form
(i.e. name, address, gender, contact details, date of birth,)? If only partially completed
score 0
Is the religion and ethnicity of the child or young person entered onto the CAF form? If only
partially completed score 0
Is the first language of the child or young person and the parent/carer entered onto the
CAF form?
Have details of any disability of the child or young person been entered onto the CAF form?
Has the need for an interpreter/signer been noted, and if so was an interpreter/signer
arranged for the assessment process?
Have details of any special requirements of the child or young person been recorded?
Assessment Information
Does the CAF form record all the people present at the assessment?
Has the reason for the assessment been recorded on the CAF form?
Have the personal details of the parent/carer been recorded (i.e. name, address, contact
details, parental responsibility and relationship to the child or young person)? If only
partially completed score 0
Has the current family and home situation been recorded (i.e. family structure, siblings,
other significant adults living and not living with the child)? If only partially completed
score 0
Have the details of the person(s) undertaking the assessment been recorded?
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45
Has the lead professional been identified, together with their contact details?
Have all the services (including cross borough) dealing with the child or young person been
identified, with details of their involvement and contact details?
CAF Assessment Summary:
Has child or young person’s strengths and needs been recorded
Parents and Carers:? has the ability of the parents and carers to provide guidance and
support been recorded
Family and Environmental: have family history, networks employment, housing, or
education been considered when completing the form
Conclusions, Solutions and Actions
Have the conclusions derived from the assessment been recorded?
Have the agreed changes required been recorded?
Has an action plan been recorded, together with responsibilities for carrying out those
actions (including cross authority actions) and dates by which they are to be completed?
Has a review date been agreed and recorded?
Have indicators of successful improvement been recorded?
Has the child or young person recorded their comments on the assessment and identified
actions?
Has the parent/carer recorded their comments on the assessment and identified actions?
Has consent for information storage and information sharing been obtained and recorded?
Has the information to be shared and the agencies authorised to share that information
been recorded on the form?
Has the assessment form been signed by the child/young person, parent or carer?
Has the assessment form been signed by the assessor(s)?
Total Score for:A. “Yes” column =
B. “N/A” column =
The total possible score for the completion of a CAF is 27. However, depending on the circumstance, not all areas of the form may
require completion. The percentage effectiveness of the CAF process is therefore:
(The total of the “Yes” scores, times 100) divided by (27 – Total of “Non Applicable” score) e.g. If the Non Applicable score = 5, and
the Yes scores = 15 then the percentage effectiveness of the CAF process = (15 x 100)/(27 – 5) = 68.2%
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46
Section 2 – In depth review
Not completed = 0
Poor = 1
Satisfactory = 2
Good = 3
Section should have been completed but was left
empty
No evidence
Insufficient information
Unclear why being assessed or referred
Level of need inappropriate
Service involvement requested rather
than on outcomes
Brief comments but clearly
stated
Levels correct
Outcomes focused
Comments are clear & purposeful and linked well
to evidence
Levels correct and good evidence
Strong picture of outcomes needed with
appropriate action steps
2.3
CAF purpose, level and action request.
CAF Section
Not Completed = 0
Poor = 1
Satisfactory = 2
Good = 3
Scoring system for above CAF purpose, level and action requested
2.3
Domain completion
CAF Section
Not Completed = 0
Poor = 1
Satisfactory = 2
Good = 3
Poor = 1
Satisfactory = 2
Good = 3
Positive Contribution
Economic wellbeing
Reason for assessment and referral
Identification of level of need
Conclusion, solution & Action
Development of Child
Parent/carer
Family and Environment
Scoring system for domain completion
2.3
Analysis
CAF approach
No = 0
Information sourced / evidence based, non-judgmental
Strengths / positives included
Parent / carer engagement in process
Child / young person engagement in process or needs of child
/ young person appropriately represented
Outcomes focused on impact on child/young person
ECM Outcomes (Yes = 1, No = 0)
Being Healthy
Staying Safe
Enjoy and Achieve
Does the CAF focus on any of the ECM outcomes
Have the “Conclusions, solutions, actions” identified
helped to improve outcomes.
Overall Comment & Score
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47
Section 3: Evaluation of the Participation of the Child or Young Person
and/or their Parent/Guardian/Carer
The success of the Team Around the Child process, is dependant on the agreement, participation and co-operation of the child or
young person, and/or their parent/guardian/carer. When evaluating the outcomes of an action plan, it is therefore necessary to take
this into consideration. In principle the child, being central to the TAC process, will have understood and been a party to deciding
what actions they feel would provide them with the right support.
Complete the following chart. Where a child or young person is considered able to fully understand the process, and make a decision
on their own behalf, (Fraser Principle), then they should have signed the appropriate confirmation. In that case, the signing of the
parent/guardian/carer is not needed, and the Not Applicable (N/A) box should be ticked. However, where the parent/guardian/carer
has agreed to complete an action, then the answer should be Yes or No, whether or not the Fraser Principle is appropriate.
It may be difficult to collate information from child or young person, and/or their parent/guardian/carer during a quality audit. We
recommend that evaluation of the experiences of the child or young person, and/or their parent/guardian/carer should be captured
when closing a CAF. This form can be amended to capture those views.
Question
Has the child or young person been central in the TAC process
Did the child or young person sign to confirm that they agreed with the changes that needed to occur?
Did the parent/guardian/carer sign to confirm that they agreed with the changes that needed to occur?
Did the child or young person sign to confirm that they agreed with the Action Plan to achieve those changes?
Did the parent/guardian/carer sign to confirm that they agreed with the Action Plan to achieve those changes?
Was the child or young person involved in choosing the Lead Professional?
Was the parent/guardian/carer involved in choosing the Lead Professional?
Did the child or young person attend the Team Around the Child meetings?
Did the parent/guardian/carer attend the Team Around the Child meetings?
FINAL
Yes
No
48
N/A
Did the child or young person complete his/her agreed actions in order to achieve the required change?
Did the parent/guardian/carer complete his/her agreed actions in order to achieve the required change?
Does the child or young person agree with the evaluation of the effectiveness of the actions and achievement of changes?
Does the parent/guardian/carer agree with the evaluation of the effectiveness of the actions and achievement of changes?
Did the child/young person feel supported by the process?
Did the parent/guardian/carer feel supported in the process?
Did the child/young person feel comfortable and supported by the Lead professional?
Did the parent/guardian/carer feel supported by the lead professional?
A "Yes" answer scores 1, a "No" answer scores 0, a N/A answer scores 1. A score of 12 or less indicates non-effective participation on
the part of the child or young person, or their parent/guardian/carer.
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49
Section 4: Measurement of the Effectiveness of Actions
The CAF process identifies changes that need to occur in the life of the child or young person undergoing the assessment, in order to
improve their current situation. For each of these changes, one or more activities or actions were identified. The extent to which the
activities or actions proved effective, and the extent to which the required changes that were identified have occurred, is a measure
of the quality and effectiveness of the CAF process.
The effectiveness of each action can be classified as one of the following:1. Not Effective (The action taken has not resulted in any noticeable/measurable change).
2. Partially Effective (The action taken, has resulted in a small noticeable/measurable change, but there is still much to do to
achieve the required change.)
3. Mostly Effective (The action taken has achieved most of the required change, which could be completely achieved with a
little extra effort, or required changes effective but not considered sustainable without on-going support.)
4. Completely Effective. (The action has achieved the required change, and it is likely to be maintained without further support.)
Each of these classifications are scored 0 to 3, and entered into the table below. There should be one entry for each action and one
entry for each required change. In the example given below, there are three changes required. These have been identified as Change
1, Change 2 and Change 3, but for the purpose of an actual CAF, they would be identified fully. For each change, two actions have
been identified (i.e. 6 in total). These have been identified as Action 1, Action 2, Action 3 etc.
Evaluation of Effectiveness of Actions
Action
Action 1
Action 2
Action 3
Action 4
Action 5
Action 6
FINAL
Not
Effective
(Score 0)
Partially
Effective
(Score 1)
x
Mostly
Effective
(score 2)
Completely
Effective
(Score 3)
x
X
x
x
x
Action
Score
1
2
0
3
3
2
Total
Possible
Score
3
3
3
3
3
3
50
Overall Scores
11
18
Effectiveness of actions = 11/18 = 61%
The extent to which each of the identified changes has occurred can also be classified as one of the following:1. No Change Occurred (The relevant circumstances are the same as they were before the actions took place.)
2. A Small Change Occurred (There has been some noticeable improvement in the relevant circumstances, but much more change
is required.)
3. A Moderate Change Occurred (There has been considerable improvement in the relevant situation, but some change is still
required.)
4. The Required Change Occurred. (The targeted change has been fully achieved.)
Each of these classifications are scored 0 to 3 and entered into the following table.
Evaluation of the Achievement of the Identified Changes Required
Identified
Change
Change 1
Change 2
Change 3
Overall Scores
No Change
(Score 0)
Small
Change
(Score 1)
x
Moderate
Change
(score 2)
Required
Change
(Score 3)
x
x
Change
Score
1
2
3
6
Total
Possible
Score
3
3
3
9
Achievement of Changes required = 6/9 = 66% Overall Measurement of Quality and Effectiveness of CAF Process
(Overall Action Score + Overall Change Score) X 100 = (11 + 6) x 100 = 63%
(Possible Action Score + Possible Change Score)
18 + 9
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51
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52
London Continuum: Descriptors
These detailed risk and resilience charts have been developed by experts from the specific policy areas and support Annex 2 the
London Continuum. They do not represent an exhaustive list of policy areas.
Teenage Pregnancy
Substance Misuse
Youth Offending
Gangs and Serious Violence (to be included after the consultation period)
Final
Substance Misuse Thresholds
Introduction
Research has identified key factors known to increase the likelihood of substance misuse. The more risk factors a young person has, the more likely they are to
get involved in substance misuse.
The CAF is an important tool for the early identification of young people at risk of, or involved in, substance misuse. Young people exhibiting the risk factors
described at Level TWO on the table below should have a CAF and a targeted support package (as suggested in the table below) put in place. Young people at
Level THREE are already involved in substance misuse, and will have additional support needs. Young people at Level FOUR would require specialist substance
misuse interventions.
Ideally need should be met at the lowest appropriate level of intervention with clear referral pathway in place with movement between the different levels of
intervention. The CAF will also play a vital role in ensuring effective plans are in place for young people leaving targeted support or specialist treatment.
Level 1 – universal
children with no
additional needs
Children whose
developmental needs are
met by universal services
Substance Misuse threshold/descriptor


No known drug or alcohol misuse and has access to accurate and age appropriate knowledge about the risks associated with taking
drugs and using alcohol.
Risk factors
Protective factors/resilience
Suggested interventions












FINAL
Attends school regularly/or in EET and no concerns about achievement
No mental health concerns
No concerns about potential
offending
Likely to be living in a nondeprived area
Not known to social care
Exposure to substance use as
normal



Positive aspirations
In education/employment/training
Positive attitude to learning
High sense of self esteem
Stable family and home life
Supportive consistent parenting and
positive role models
Resilience to peer pressure
Supportive peer relationships
Parents value education



Accurate and age appropriate drug
and alcohol information, advice and
education
Advice and information for parents
and carers
General health screening
Substance misuse screening, and
where appropriate, referral to another
service.
54
Level 2 – Low to
vulnerable
Substance Misuse threshold/descriptor

Low level substance misuse (current or historical).
Single or multi-agency
targeted support.

Children with low-level
additional unmet needs
that are not being
consistently met.
There are no acute needs,
but these children require
extra support in order to
promote their welfare and
well-being.
If a young person meets
one of the thresholds, they
have reached the
threshold for beginning a
CAF. If the young person
also displays some risk
factors or has a single
significant risk factor, and
few protective factors,
they need to have a
targeted substance misuse
prevention intervention.
FINAL
For 14 year olds and over this may involve starting to experiment. For younger children or those with additional developmental needs
any level of use is of concern and may warrant recognition as a child in need .
Risk factors
Protective factors/resilience
Suggested interventions
 Is in EET but struggling with attendance
and/or attainment
 Left school at 16 with no/few qualifications
 Low level emotional health and wellbeing
and/or low self esteem and vulnerable to
peer pressure
 Learning difficulties
 At risk of or has started involvement in
criminal activity
 May live in a deprived area and be affected
by low income or unemployment
 Some issues identified with parenting
and/or home life (but not escalated to
social care) which may affect the
child/young person
 Looked after child (current/historic)
including care leavers
 Young carers
 Exposure to substance misuse as normal,
including in the family or in the community
[including parents in specialist treatment].
 Living in temporary accommodation with or
without parents










Positive aspirations
In education/employment/ training
Positive attitude to learning
High sense of self esteem
Stable family and home life
Supportive consistent parenting and
positive role models
Resilience to peer pressure
Supportive peer relationships
Parents value education



Targeted drug and alcohol information,
advice and education, including harm
reduction advice to support informed
choices
Programmes aiming to build self-esteem
and enhance social/life skills
Prevention Programmes
Positive activities
55
Level 3 – High or
complex level
additional needs
requiring integrated
targeted support OR
child in need [section
17]
FINAL
Substance Misuse threshold/descriptor
Evidence of regular/frequent drug use which may be combined with other risk factors
Evidence of escalation of substance use
Evidence of changing attitudes and more disregard to risk
When considering whether a child or young person meets the Level 3 threshold, the assessment should take into account the need for an
age and developmentally appropriate response.
56
If a young person meets
one of the thresholds they
have reached the
threshold for integrated or
targeted support. If the
young person also displays
some risk factors or has a
single significant risk
factor, and few protective
factors, this may suggest
that support should be
targeted to prevent
substance misuse.
Risk factors
Protective factors/resilience



















FINAL
Short-term exclusions or at risk of
permanent exclusions, persistent
truanting.
Is NEET
Limited or low aspirations
Evidence of risk of harm due to
parental/family or peer substance
misuse [including parents in specialist
treatment]
Mental health issues including
depression, anxiety and self-harming
and poor self esteem
Learning difficulties
Engaging in offending behaviour –
known to YOT or the police
History of domestic violence
Young carers
Looked after child (current/historic)
including care leavers
Family mental health issues
Is homeless or living in temporary
accommodation
May live in a deprived area and
affected by low income or
unemployment



Positive aspirations
In education/employment/training
Positive attitude to learning
High sense of self esteem
Stable family and home life
Supportive consistent parenting and
positive role models
Resilience to peer pressure
Supportive peer relationships
Parents value education
Suggested interventions [in addition to
above and with clear links and referral
pathways to Level 1 and Level 3
interventions as appropriate]




Targeted drug and alcohol information,
advice and education. May be delivered
through one-to-one or informal group
sessions. This should cover raising
awareness, supporting informed choice
and reducing harm.
Integrated support and advice on a
range of issues including offending,
sexual health, education and housing
Counselling addressing lifestyle issues
family and individual support
57
Level 4 – Complex or
acute additional
needs requiring
specialist or statutory
integrated response
OR child protection
[section 47]
FINAL
Substance Misuse threshold/descriptor
Young people experiencing current harm through their use of substances. These are likely to be impacting on other aspects of the young
person’s life.
Young people with complicated substance problems requiring specific interventions and/or child protection.
Young people with complex needs whose issues are exacerbated by substance use
When considering whether a child or young person meets the Level 4 threshold, the assessment should take into account the need for an age
and developmentally appropriate response.

58
If a young person meets
one of the thresholds,
displays one or more risk
factors and few protective
factors, they have reached
the threshold for
specialist/statutory
integrated support.
Children experiencing
significant harm require
statutory intervention
such as child protection.
These children may need
to be accommodated by
the local authority either
on a voluntary basis or by
way of Court Order.
Risk factors
Protective factors/resilience























FINAL
Chronic non-attendance, truanting
Permanently excluded, frequent exclusions or
no education provision
Is NEET
No aspirations for the future and no future plan
No parental support for education
Complex mental health issues requiring
specialist interventions
Learning difficulties
Failure to address serious re-offending
behaviour
Parental/family or peer substance misuse
[including in treatment]
Child or young person who needs to be looked
after outside the family home or is a care leaver
with support concerns
Suspicion of physical, emotional and sexual
abuse or neglect
High levels of domestic violence that put the
child/young person at risk
Sexual exploitation
Family mental health issues
Is homeless or living in temporary
accommodation
May live in a deprived area and affected by low
income or unemployment
Young carer



Positive aspirations
In education/employment/training
Positive attitude to learning
High sense of self esteem
Stable family and home life
Supportive consistent parenting and
positive role models
Resilience to peer pressure
Supportive peer relationships
Parents value education
Suggested interventions [in addition to
above and with clear links and referral
pathways back to lower level
interventions as appropriate]







comprehensive assessment and
formulation of substance specific
care plan
Pharmacological/Prescribing
Counselling
Harm reduction support within a key
work relationship
Residential
Family intervention/support/therapy
If there is a safeguarding concern
refer to social services
59
Teenage Pregnancy Thresholds
Introduction
Research has identified key factors known to increase the likelihood of teenage pregnancy which can be grouped into: education
related factors, risky behaviours and family and social circumstances. The more needs a young person has, the more likely they are
to experience a teenage conception. Sexual activity alone is not a key indicator for risk of teenage pregnancy; in fact a young person
may not be sexually active but could have other key risk factors and be in need of targeted support to prevent teenage pregnancy.
Protective factors should also be considered when working with a young person as these can reduce the risk of teenage pregnancy,
even if many of the risk factors are in place.
The CAF is an important tool for the early identification of young people at risk of teenage pregnancy, ideally before they become
sexually active. Diagnosis of need will enable professionals to put into place programmes of support.
Research shows that effective programmes to reduce the risk of teenage pregnancy:





Intervene early - before first sex
Focus on raising aspirations, attainment and self esteem
Provide intensive 1:1 work – development of relationship with trusted adult is key
Consider different approaches for young men and young women
Ensure that the workforce is equipped to identify and support young people at risk
The needs identified at each of the levels below are applicable to both young men and young women of any sexual orientation.
Sexual activity is defined as vaginal, oral or anal sex.
FINAL
60
Level 1 -universal
Teenage pregnancy threshold/descriptor
children with no
additional needs


Children
whose
developmental needs
are met by universal
services
Attends school regularly/or in EET and likely to achieve 5 A*-C GCSE or higher academic success
Knowledgeable about sex & relationships and consistent use of contraception/protection if sexually active
Additional needs
Protective factors/resilience











No drug or alcohol misuse
No mental health concerns
No concerns about potential offending
Likely to be living in a non-deprived area
Not known to social care



FINAL
Positive aspirations
In education/employment/training
Positive attitude to learning
High sense of self esteem
Stable family and home life
Supportive consistent parenting, positive role models or
relationship with at least one trusted adult
Resilience to peer pressure & delayed sexual activity
Supportive peer relationships
Parents value education
61
Level 2 – low to
vulnerable
Children with lowlevel additional unmet
needs that are not
being consistently
met.
There are no acute
needs, but these
children require extra
support in order to
promote their welfare
and well-being.
If a young person
meets 1 of the
thresholds, they have
reached the threshold
for beginning a CAF. If
the young person also
has a number of the
additional needs listed
and few protective
factors, they need to
have a targeted
FINAL
Teenage pregnancy threshold/descriptor





Is in EET but struggling with attendance and/or attainment
Left school at 16 with no/few qualifications
Expressing wish to become pregnant/be a parent at a young age (at any age)
Early onset of sexual activity (13-14)
Sexually active 15-19 years olds with inconsistent use of contraception/protection, and limited access to contraceptive and sexual health
advice, information and services.
Additional needs
Protective factors/resilience

















Is involved in low level substance misuse (current or historical)
Has low level mental health problems and/or low self esteem and is
vulnerable to peer pressure
Is at risk of or is involved in criminal activity
Is affected by low income or unemployment
Is affected by issues linked to parenting and/or home life (not currently
escalated to social care), including acceptability of early parenthood
Has previously been looked after
Is/was a daughter of a teenage mother or has a family member who
is/was a teenage parent
Is a refugee or asylum seeker and isolated from family and friends
Is homeless or living in temporary accommodation
Has history of sexual abuse or rape
Is 16 or 17 and having sex with someone 5 or more years older



Positive aspirations
In education/employment/training
Positive attitude to learning
High sense of self esteem
Stable family and home life
Supportive consistent parenting, positive role models or
relationship with at least one trusted adult
Resilience to peer pressure & delayed sexual activity
Supportive peer relationships
Parents value education
62
teenage pregnancy
prevention
intervention.
Effective interventions for consideration by single agency or at Team Around the Child (TAC) meeting
1. If programme or service exists which offers targeted support to young people at risk of teenage pregnancy, refer
young person to this service
OR
2. Agree a structured package of 1:1 intensive support led by PA, learning mentor, youth worker or other. This
MUST include:


Discussing sex, relationships and sexual health with the young person, and referring them to local contraceptive and sexual health
services, including condom distribution schemes and access to emergency hormonal contraception.
Referral to or commissioning of group-based interventions to improve the young person’s sex and relationships knowledge,
understanding and skills. The focus should be on dealing with peer pressure, delaying first sex, negotiating safer sex, and managing risktaking behaviour.
Depending on identified needs the intervention will also include:









FINAL
Securing learning support (including additional literacy and numeracy) for young people who are falling behind in school
Supporting young people to remain in, or to gain access to education, employment, accredited training or taster courses
Providing careers guidance and encouraging engagement in work experience opportunities, volunteering and out-of-school activities that
foster success, ambition and contribute to raising aspirations
Providing practical support to attend appointments
Contacting alcohol and drug services for professional support and to make appropriate referrals.
Contacting child and adolescent mental health services for professional support and to make appropriate referrals.
Contacting housing services for professional support and to make appropriate referrals.
Ensuring skills development and support for young people experiencing family or relationship conflict or breakdown
Engaging parents and carers with the structured programme of support to young person and referring to sources of parenting support
63
Level 3 – high or
complex level
additional needs
requiring integrated
targeted support OR
child in need (section
17)
If a young person
meets 1 of the
thresholds they have
reached the threshold
for integrated or
targeted support.
Additional needs may
suggest that support
needs to be targeted
to prevent teenage
pregnancy.
Teenage pregnancy threshold/descriptor



Additional needs
Protective factors/resilience













FINAL
Short-term exclusions or is at risk of permanent exclusions or persistent
truanting.
Is NEET
Has limited or low aspirations
Is misusing substances with alcohol/drug impaired decision making
Has mental health issues including depression, anxiety and self-harming
and poor self esteem
Is engaging in offending behaviour and is known to YOT or the police
Has a history of domestic violence



Positive aspirations
In education/employment/training
Positive attitude to learning
High sense of self esteem
Stable family and home life
Supportive consistent parenting and positive role models
or relationship with at least one trusted adult
Resilience to peer pressure and delayed sexual activity
Supportive peer relationships
Parents value education
Effective interventions for consideration at Team Around the Child (TAC) meeting
Interventions identified at level 2 also apply at level 3. In addition:

These children may be
eligible for a child in
need service from
children’s social care.
Under 16 and has had (or has caused) a previous pregnancy ending in still birth, abortion or miscarriage
16 or over and has had (or has caused) two or more previous pregnancies or who is already a teenage parent
Under 18 and is pregnant

Ensure young people in care have access to enhanced sexual health information, advice and support, and know how to access
contraceptive services. LAC nurses can support this.
Follow locally agreed ‘pathway’ for young women who may be pregnant.
64
Level 4 – complex or
acute additional needs
requiring specialist or
statutory integrated
response OR child
protection (section 47)
If a young person
meets 1 of the
thresholds, has one or
more additional needs
and few protective
factors, they have
reached the threshold
for specialist/statutory
integrated support
Teenage pregnancy threshold/descriptor



Is in some form of sexually exploitative relationship (gang related, sexual abuse through prostitution, familial sexual abuse, under 16 and
in relationship with 4 years or more age difference)
Teenage parent under 16
Young person under 13 engaging in sexual activity
Additional needs
Protective factors/resilience

















Chronic non-attendance, truanting
Permanently excluded, frequent exclusions or no education provision
Is NEET
Has no aspirations for the future and no future plan
No parental support for education
Endangers own life through drug or alcohol misuse
Has complex mental health issues requiring specialist interventions
Failure or rejection to address serious re-offending behaviour
Needs to be looked after outside the family home
Suspicion of physical, emotional and sexual abuse or neglect
High levels of domestic violence that put the young person at risk



Positive aspirations
In education/employment/training
Positive attitude to learning
High sense of self esteem
Stable family and home life
Supportive consistent parenting and positive role models
or relationship with at least one trusted adult
Resilience to peer pressure and delayed sexual activity
Supportive peer relationships
Parents value education
Children experiencing
significant harm
require statutory
intervention such as
Effective interventions
child protection.
Interventions identified at level 2 also apply at level 4. In addition:
These children may

Ensure young people in care have access to enhanced sexual health information, advice and support, and know how to access
need to be
contraceptive services. LAC nurses can support this.
accommodated by the  Follow locally agreed ‘pathway’ for young women who may be pregnant.
local authority either
on a voluntary basis or
by way of Court Order.
Youth Crime Prevention Thresholds
Introduction
FINAL
65
Extensive credible and predictive research into youth offending shows that there is a range of identifiable risk factors present in the lives of many children and young people. The
presence of particular risk factors, or a combination of them, significantly increases the likelihood of children and young people becoming involved in criminal and anti-social
behaviour.
The CAF can play a pivotal role in identifying these risk factors and then providing the framework for the management. The CAF does not replace the use of specialist
assessments but it can act as an early warning mechanism on which specialists assessments can build on and enhance over time.
The CAF is not only relevant in the early identification of young people at risk, that is acting as a referral gateway into YOT and other integrated Prevention Programmes. It also
can play a vital role n identifying if additional needs are present requiring an integrated approach for young people who offend and are known to the YOT. The CAF can play a
vital role in ensuring effective resettlement plans are in place when statutory YOT interventions end or as part of an exit strategy for young people on the Deter Group who end
their statutory YOT intervention.
An integrated and defined relationship between the CAF and the YJB specialist Assessment Tools should ensure the following:


Prompt identification of those at risk of entering the criminal justice system
Youth Support Services can make a significant contribution to improving performance against the key national priorities such as reducing youth re offending and the
number of First Time Entrants into the Criminal Justice System.
Level 1Universal
Universal service
support
Youth Crime Prevention threshold/descriptor
Displays no risk factors
– not a cause for
concern
Characteristics/ Risk factors

No drug or alcohol misuse

No mental health concerns

No concerns about potential offending

Likely to be living in a non-deprived area

Not known to social care

No history of problematic behaviours
FINAL


Attends school regularly/or in EET and likely to achieve a positive EET outcome ( GCSEs, or vocational qualifications)
Knowledgeable about the effects of crime and anti social behaviour, has strong pro social peers and access to consistent and positive activities.
Protective factors/resilience









Positive aspirations
In education/employment/training
Positive attitude to learning
High sense of self esteem
Stable family and home life
Supportive consistent parenting and positive role models
Resilience to peer pressure & delayed sexual activity
Supportive peer relationships
Parents value education
66
Level 2 – low to
vulnerable
Single or multi-agency
targeted support.
Children with lowlevel additional unmet
needs that are not
being consistently
met.
There are no acute needs,
but these children require
extra support in order to
promote their welfare and
well-being.
If a young person meets
one of the thresholds, they
have reached the threshold
for beginning a CAF. If the
young person also displays
some risk factors or has a
single significant risk factor,
and few protective factors,
they need to have a
targeted YO support
FINAL
Crime Prevention threshold/descriptor

Is in EET but struggling with attendance and/or attainment

Left school at 16 with no/few qualifications and is not engaged in structured learning

Beginning to develop pro offending attitudes and associated anti social peers

Early onset of anti social behaviour or activity

Coming to the notice of police either through association with criminally active peers or through low level/ gravity offending.
Risk factors

Low level substance misuse (current
or historical) – starting to
experiment

Low level mental health and/or low
self esteem and vulnerable to peer
pressure

At risk of or has started involvement
in criminal activity

May live in a deprived area and
affected by low income or
unemployment

Local area is characterised by a lack
of social cohesion, engagement in
positive activities and low levels of
social capital.

Some issues identified with
parenting and/or home life (but not
escalated to social care) which may
affect the (child) young person

Looked after child and experiencing
problems in the continuity of care
i.e. multiple placements etc
(current/historic)

Anti social behaviour and offending
acceptable within family and wider
social network

Parents or sibling, relations or
influential social networks involved
in offending.
Protective factors/resilience

Positive aspirations

In education/employment/training

Positive attitude to learning

High sense of self esteem

Stable family and home life

Supportive consistent parenting and positive role
models

Resilience to peer pressure and delayed anti
social and offending behaviour

Supportive peer relationships

Parents value education

Engagement in positive activities
Suggested interventions
o Referral to structured positive activities
delivered by the Youth Service or
bespoke voluntary and Community
Sector programmes
o Time limited citizenship type
interventions focusing on promoting
pro social values and norms
67
Level 3 – High or
complex level
additional needs
requiring integrated
targeted support OR
child in need [section
17]
If a young person meets
one of the thresholds they
have reached the threshold
for integrated or targeted
support. If the young
person also displays some
risk factors or has a single
significant risk factor, and
few protective factors, this
may suggest that support
should be targeted to
prevent offending
Level 4 – Complex or
acute additional needs
requiring specialist or
FINAL
Youth Crime Prevention threshold/descriptor

Coming to notice of the Police on a regular basis but matters not being progressed

Already received a Fixed Penalty Notice (FPN), Reprimand, or Final Warning or Triage of Diversionary Intervention.
Risk factors
Protective factors/resilience

Short-term exclusions or at risk

Positive aspirations
of
permanent
exclusions,

Engaged in education/employment/training
persistent truanting.

Positive attitude to learning

Is NEET

High sense of self esteem

Limited or low aspirations

Stable family and home life

Substance
misuse
with

Supportive consistent parenting and positive
alcohol/drug impaired decision
role models
making

Resilience
to
peer
pressure
and

Mental health issues including
territorialism
depression, anxiety and self
Supportive peer relationships
harming and poor self esteem

Parents value education

Peer group predominately anti

Active engagement in a positive activity
social and known to law
enforcement agencies

Known to associate with young
people involved in gang or
group offending

Associates in the confines of a
defined post code and has
strong territorial allegiances

Coming to notice to Safer
Neighbourhood Teams
Youth Crime Prevention threshold/descriptor

Actively involved in offending

Known to be part of a gang or a post code derived collective

Offending which is possibly serious and persistent

Likely to require additional services after YOT intervention
Suggested interventions

Referral to a Youth Crime Prevention
Programme, such as a Youth Inclusion and
Support Programme (YISP) or

a locality based prevention programme like
a Youth Inclusion Programme (YIP)
68
statutory integrated
response OR child
protection [section 47]
If a young person meets
one of the thresholds,
displays one or more risk
factors and few protective
factors, they have reached
the threshold for
specialist/statutory
integrated support.
Children experiencing
significant harm require
statutory intervention such
as child protection. These
children may need to be
accommodated by the local
authority either on a
voluntary basis or by way
of Court Order
FINAL
Risk factors

Chronic non-attendance, truanting

Permanently excluded, frequent
exclusions
or
no
education
provision

Is NEET

No aspirations for the future and no
future plan

No parental support for compliance
with available services

Endangers own life through drug or
alcohol misuse

Involved in gang or post code
related offending

Complex mental health issues
requiring specialist interventions

Failure or rejection to address
serious re-offending behaviour

Child or young person who is
increasingly vulnerable due to own
behaviour or behaviour at others.
Offending and safeguarding needs
increasingly become blurred.
Protective factors/resilience

Positive aspirations

In education/employment/training

Positive attitude to learning

High sense of self esteem

Stable family and home life

Supportive consistent parenting and positive role
models

Resilience to peer pressure and delayed sexual
activity

Supportive peer relationships

Parents value education

Actively engages in the YOT intervention process.

Likely to receive positive support from and social
networks in therapeutic process
Suggested interventions

Extensive Inter agency working with the YOT
and other criminal justice agencies both
during and after YOT interventions
69
FINAL
70
Final