Two downloadable ADA’s Caries Risk Assessment forms were developed as practice tools to help dentists evaluate
a patient’s risk of developing caries. One form is for patients ages 0-6 years of age and the other is for patients
over 6 years of age.
Please help us improve the forms by completing a short survey.
The forms can also be used as communication tools with the patient or patient’s guardian to highlight potential risk
factors. Dental offices are encouraged to share this form with their patients. The Caries Risk Assessment Forms may
be downloaded, reproduced and republished for non-commercial purposes without first obtaining written permission
from the ADA. All other ‘Terms of Use’ apply.
The forms were developed through the efforts of the Councils on Dental Practice (CDP) and Scientific Affairs (CSA),
along with cariology subject matter experts, and with input from the Council on Access, Prevention and Interprofes-
sional Relations (CAPIR). The ADA thanks these volunteer members for their efforts in developing the forms.
The caries risk assessment forms are not intended to include all possible risk factors. The risk factors selected are
intended to provide patient with information that may help them lower the caries risk over time, while also provid-
ing a form that can be integrated into a busy practice setting. It is important to recognize that the scientific evidence
related to caries risk assessment continues to develop. Some information included in these tools is based on expert
opinion. The ADA will periodically update these forms based on: 1) member feedback regarding their usefulness,
and; 2) advances in science. ADA member-users are encouraged to share their opinions with the Councils on Dental
Practice or Scientific Affairs.
These forms are not a substitute for a dentist’s clinical judgment. The assessments cannot address every aspect of
a patient’s health, and should not be used as a replacement for the dentist’s experience and judgment. Additional or
more focused assessment may be appropriate for patients with specific oral health concerns. As with other forms,
this assessment may be only a starting point for evaluating the patient’s total health status.
Find more information on caries risk factors at: http://ebd.ada.org/SearchResult.aspx?Search=caries%20risk
General Instructions:
The forms are designed to include factors that are easily observed or discovered during routine oral health evaluations.
The first two sections, “Contributing Conditions” and “General Health Conditions,” can be completed by a dental team
member as determined by the dentist. “Clinical Conditions” should be determined by the dentist.
Colors are used to indicate low risk (green), moderate risk (yellow) or high risk (red). For each risk factor, circle or
check the boxes of the conditions that apply under the low, moderate or high risk columns. Low Risk = only conditions
in “Low Risk” column present; Moderate Risk = only conditions in “Low” and/or “Moderate Risk” columns present; High
Risk = one or more conditions in the “High Risk” column present. Changes in the risk level may be tracked using the
form with implementation of risk reduction strategies and with therapeutic intervention.
A patient’s observed risk level may be modified (increased or decreased) based on the dentist’s clinical
judgment, review of the form and other pertinent information. For example, the observation of teeth missing due
to caries may not be regarded as high risk for a follow- up assessment. Alternatively, the presence of risk factors not
listed on the forms may indicate an increase in the overall risk of caries.
ADA Caries Risk Assessment Form Completion Instructions
Fluoride Exposure
A patient can be exposed to fluoride by several means. Ask the patient, parent or guardian about all possible fluoride
exposures. No exposure is regarded as a moderate risk for the development of caries.
Sugary Foods or Drinks
Sugary foods can influence caries development. Sugars are found in many processed and unprocessed foods, drinks
and medicines. Consumers may be unaware that these products contain sugar.
The following table lists different forms of sugars used in processed foods:
Brown Sugar Glucose Malt Syrup
Corn Sweetener High Fructose Corn Syrup Molasses
Corn Syrup Honey Raw Sugar
Dextrose Invert Sugar Sucrose
Fructose Lactose Syrup
Fruit Juice Concentrate Maltose Table Sugar
Accessed from the USDA: www.health.gov/dietaryguidelines/dga2005/report/HTML/table_e20.htm
Special Health Care Needs
Patients with developmental, physical, medical or mental disabilities that prevent or limit routine, daily oral health
care are at an increased risk for the development of caries.
Medications that Reduce Salivary Flow
Reduced saliva flow that results in a dry mouth is a common problem. It is caused by certain medical disorders and
may be a side effect of more than 400 medications. Drying irritates the soft tissues in the mouth, which can make
them inflamed and more susceptible to infection. Without saliva’s cleansing effects, tooth decay and other oral health
problems become more common.
Medications that may reduce salivary flow include: anti-allergy medications, anti-histamines, decongestants, central
analgesics, sedatives, cardiovascular medications (angiotensin-converting enzyme (ACE) inhibitors and calcium
channel blockers); muscle relaxants, drugs for urinary incontinence, Parkinson’s disease medications, antidepressants,
antacids and many others. For more information, please refer to: Ciancio, Medications’ impact on oral health,
JADA
2004:135: 1440-1448.
Additional Information for Specific Risk Factors
A patient’s risk for developing caries is a moving target. The risk assessment forms help to determine your patient’s
risk for caries on a particular day. Education and changes in behavior, with appropriate preventive care, are critical to
reducing the patient’s caries risk.
There are many sources for patient/parent information. The following resources can help:
For the Dental Patient
‘For The Dental Patient’ is prepared by the American Dental Association in cooperation with The Journal of the
American Dental Association and the ADA Council on Scientific Affairs. Printed in JADA, they are available for
download at http://www.ada.org/993.aspx These pages may be photocopied as a handout for patients, without
first obtaining reprint permission from the ADA Publishing Division. Any other use, copying or distribution, whether
in printed or electronic form, is strictly prohibited without prior written consent of the ADA Publishing Division.
Children’s Dental Health Tooth Eruption: The Primary Teeth (November 2005); Tooth Eruption:
The Permanent Teeth (January 2006); Baby’s First Teeth (February 2002)
Fluoride
Fluoride Treatments in the Dental Office (March 2007); Fluoride: Nature’s Cavity
Fighter (December 2005); The Facts About Bottled Water (September 2003);
Diet Dietary Guidelines for Americans and My Pyramid (September 2006); From Baby
Bottle to Cup: Choose Training Cups Carefully, Use Them Temporarily (March
2004); Diet and Tooth Decay (April 2002); Eating Habits That Can Harm Teeth
(December 2002)
Eating Disorders Eating Habits That Can Harm Teeth (December 2002)
Salivary Insufficiency Oral Moisturizers: Products That Can Help Relieve Dry Mouth (July 2007); How
Medications Can Affect Your Oral Health (June 2005); Dealing with Dry Mouth
(May 2005); Do You Have Dry Mouth? (October 2002)
Tobacco Habits Tobacco-Use Cessation: Resources to Help You Quit (February 2007); Kicking the
Habit: Keeping Your Smile Healthy (May 2003)
Drug Habits Methamphetamine Use and Oral Health (October 2005)
Restorations Does Your Filling Need Replacing? (March 2003); Dental Radiographs: A Diagnostic
Tool (October 2006); When a Filling Needs to be Replaced (July 2005)
Chemo/Radiation Therapy Oral Care for Cancer Patients (July 2002)
Exposed Root Surfaces Sensitive Teeth: Causes and Treatment (December 2003)
Dental/Orthodontic Appliances Thumb Sucking and Pacifier Use (August 2007); Braces: Straighter Teeth Can
Improve Oral Health (April 2007); Grills, ‘Grillz’ and Fronts (August 2006)
Caries Experience of Mother Pregnant? Tips for Keeping Your Smile Healthy (January 2004)
ADA Patient Education Brochures
Pamphlets are available on topics related to caries risk. Some titles are: Happiness is a Healthy Smile: A Message
for Parents; Early Childhood Caries; Healthy Smiles for Mother & Baby; Good Oral Care for Mother and Baby;
Your Child’s First Visit to the Dentist; Thumb Sucking, Finger Sucking and Pacifier Use; Why Baby Teeth Are
Important; Dental Sealants: Protecting Your Teeth, Preventing Decay; Snack and Sip All Day? Risk Decay!;
Antibiotics, Dental Treatment and Your Heart; Dry Mouth; and Get the facts about Oral Cancer.
Visit www.adacatalog.org to view all of the pamphlets available or call 1.800.621.8099.
Educating Your Patients
Caries Risk Assessment Form (Age 0-6)
Patient Name:
Birth Date: Date:
Age: Initials:
Low Risk Moderate Risk High Risk
Contributing Conditions Check or Circle the conditions that apply
I.
Fluoride Exposure (through drinking water, supplements,
professional applications, toothpaste)
Yes No
II.
Sugary Foods or Drinks (including juice, carbonated or
non-carbonated soft drinks, energy drinks, medicinal syrups)
Primarily
at mealtimes
Frequent or
prolonged between
meal exposures/day
Bottle or sippy cup
with anything other
than water at bed time
III.
Eligible for Government Programs
(WIC, Head Start, Medicaid or SCHIP)
No Yes
IV.
Caries Experience of Mother, Caregiver and/or
other Siblings
No carious lesions
in last 24 months
Carious lesions in
last 7-23 months
Carious lesions
in last 6 months
V. Dental Home: established patient of record in a dental office Yes No
General Health Conditions Check or Circle the conditions that apply
I.
Special Health Care Needs (developmental, physical, medi-
cal or mental disabilities that prevent or limit performance of
adequate oral health care by themselves or caregivers)
No Yes
Clinical Conditions Check or Circle the conditions that apply
I.
Visual or Radiographically Evident Restorations/
Cavitated Carious Lesions
No new carious lesions
or restorations in last
24 months
Carious lesions or
restorations in last
24 months
II. Non-cavitated (incipient) Carious Lesions
No new lesions in
last 24 months
New lesions in
last 24 months
III. Teeth Missing Due to Caries No Yes
IV. Visible Plaque No Yes
V.
Dental/Orthodontic Appliances Present
(fixed or removable)
No Yes
VI. Salivary Flow
Visually adequate
Visually inadequate
Overall assessment of dental caries risk: Low Moderate High
Instructions for Caregiver:
© American Dental Association, 2009, 2011. All rights reserved.
Circle or check the boxes of the conditions that apply. Low Risk = only conditions in “Low Risk” column present;
Moderate Risk = only conditions in “Low” and/or “Moderate Risk” columns present; High Risk = one or more
conditions in the “High Risk” column present.
The clinical judgment of the dentist may justify a change of the patient’s risk level (increased or decreased) based
on review of this form and other pertinent information. For example, missing teeth may not be regarded as high risk
for a follow up patient; or other risk factors not listed may be present.
The assessment cannot address every aspect of a patient’s health, and should not be used as a replacement for
the dentist’s inquiry and judgment. Additional or more focused assessment may be appropriate for patients with
specific health concerns. As with other forms, this assessment may be only a starting point for evaluating the
patient’s health status.
This is a tool provided for the use of ADA members. It is based on the opinion of experts who utilized the most
up-to-date scientific information available. The ADA plans to periodically update this tool based on: 1) member
feedback regarding its usefulness, and; 2) advances in science. ADA member-users are encouraged to share their
opinions regarding this tool with the Council on Dental Practice.
Signatures
Patient, Parent or Guardian
Student
Faculty Advisor
Caries Risk Assessment Form (Age 0-6)
Caries Risk Assessment Form (Age >6)
Patient Name:
Birth Date: Date:
Age: Initials:
Low Risk Moderate Risk High Risk
Contributing Conditions Check or Circle the conditions that apply
I.
Fluoride Exposure (through drinking water, supplements,
professional applications, toothpaste)
Yes No
II.
Sugary Foods or Drinks (including juice, carbonated or
non-carbonated soft drinks, energy drinks, medicinal syrups)
Primarily
at mealtimes
Frequent or
prolonged between
meal exposures/day
III.
Caries Experience of Mother, Caregiver and/or
other Siblings (for patients ages 6-14)
No carious lesions in
last 24 months
Carious lesions in
last 7-23 months
Carious lesions in
last 6 months
IV.
Dental Home: established patient of record, receiving
regular dental care in a dental office
Yes No
General Health Conditions Check or Circle the conditions that apply
I.
Special Health Care Needs (developmental, physical, medi-
cal or mental disabilities that prevent or limit performance of
adequate oral health care by themselves or caregivers)
No
Yes (over age 14) Yes (ages 6-14)
II. Chemo/Radiation Therapy No Yes
III. Eating Disorders
No Yes
IV. Medications that Reduce Salivary Flow
No Yes
V. Drug/Alcohol Abuse
No Yes
Clinical Conditions Check or Circle the conditions that apply
I.
Cavitated or Non-Cavitated (incipient)
Carious Lesions or Restorations (visually or
radiographically evident)
No new carious lesions
or restorations in
last 36 months
1 or 2 new carious
lesions or restorations
in last 36 months
3 or more carious
lesions or restorations
in last 36 months
II. Teeth Missing Due to Caries in past 36 months No Yes
III. Visible Plaque
No Yes
IV.
Unusual Tooth Morphology that compromises
oral hygiene
No Yes
V. Interproximal Restorations - 1 or more
No Yes
VI. Exposed Root Surfaces Present
No Yes
VII.
Restorations with Overhangs and/or Open Margins; Open
Contacts with Food Impaction
No Yes
VIII. Dental/Orthodontic Appliances (fixed or removable)
No Yes
IX. Severe Dry Mouth (Xerostomia)
No Yes
Overall assessment of dental caries risk: Low Moderate High
Patient Instructions:
© American Dental Association, 2009, 2011. All rights reserved.
Circle or check the boxes of the conditions that apply. Low Risk = only conditions in “Low Risk” column present;
Moderate Risk = only conditions in “Low” and/or “Moderate Risk” columns present; High Risk = one or more
conditions in the “High Risk” column present.
The clinical judgment of the dentist may justify a change of the patient’s risk level (increased or decreased) based
on review of this form and other pertinent information. For example, missing teeth may not be regarded as high risk
for a follow up patient; or other risk factors not listed may be present.
The assessment cannot address every aspect of a patient’s health, and should not be used as a replacement for
the dentist’s inquiry and judgment. Additional or more focused assessment may be appropriate for patients with
specific health concerns. As with other forms, this assessment may be only a starting point for evaluating the
patient’s health status.
This is a tool provided for the use of ADA members. It is based on the opinion of experts who utilized the most
up-to-date scientific information available. The ADA plans to periodically update this tool based on: 1) member
feedback regarding its usefulness, and; 2) advances in science. ADA member-users are encouraged to share their
opinions regarding this tool with the Council on Dental Practice.
Signatures
Patient, Parent or Guardian
Student
Faculty Advisor
Caries Risk Assessment Form (Age >6)
