Guidance on writing complaint and compliance action outcome summaries
Inspectors should use this guidance to write outcome summaries. These are summaries that we publish on our website about the steps we or the provider have taken to make sure a provider is complying with the requirements for their registration after we receive a concern or a notification.
Published: December 2017
Reference no:180003
Contents
Introduction
Principles for publishing an outcome summary
Recording outcome summaries
Principles of writing and reviewing outcomes summaries
Content of the outcome summary
Referencing different types of actions
Introduction
1.Inspectors should use this guidance to write outcome summaries followinginvestigations that include looking into concerns aboutproviders’ potential non-compliance with the requirements of theirregistration. It applies to those providers on the Early Years register. We publish these outcome summaries on the same page as the provider’s reports on our website.
Principles for publishing an outcome summary
2.When we carry out an investigation, we will always publish an outcome summary ifwe or the provider took action to meet requirements.
3.When we take different enforcement action, we will always publish a new outcome summary or update the existing one, for example if we move from a welfare requirements notice to cancellation.[1]
4.Whena child has died in the setting, we will refer to the death in the outcome summary unless the parents have indicated that they do not wish this to happen. We will only include this information if the action that we or the provider took relates to the child’s death (i.e. we do not publish details of ‘historical’ deaths at the setting).
5.When we take enforcement action, but this is subject to objection and/or appeal, we will publish an outcome summary.We will make it clear that the provider has the right to challenge our decision.
6.If a case relates solely to the suitability of a registered person and the registered person is responsible for more than one setting, for example a chain of nurseries, a CIE case must be opened for each setting registered to that provider in order for an outcome summary to be published for each registered setting. This only applies when the registered person is the same.
7.We will not publish an outcome summary when:
we carry out an inspection, including a priority inspection; the inspection report will cover any breaches that we find
we carry out an inspection at the endof an investigation; the inspection report will cover any breaches that we find
we reinspect a provider previously judged as inadequate or requires improvement; the inspection report will cover any new or existing breaches we find
we suspend a provider’s registration because suspension is not an enforcement action and we use other ways to let parents and prospective parents know about the suspension; outcome summary may have details of a suspension whenother enforcement action has also been taken
the provider is only on the Childcare Register. Any concerns in such cases are always followed up through an inspection as part of the 10% sample. If we find that the provider is not meeting requirements, we will include this in the published inspection letter.
Complaints about the publication of outcome summaries
8.If a provider makes a complaint or raises a concern about the publication of the outcome summary, or the details included in the outcome summary, we will follow our normal complaints procedure.[2] In these cases, we won’t wait to publish the outcome summary or remove the outcome summary from the website until our investigation is complete and we have reached a decision. This is because we think that it is important for parents and carers to have up-to-date information. If the outcome changes following the investigation into the provider complaint, we will make changes and re-publish an amended outcome summary. Published outcome summaries remain on our website for a period of five years.
Recording outcome summaries
9.When the early years regulatory inspector(EYRI) sets the complaints or compliance action status to investigation complete, they should copy the outcome summary – by ticking the copy box. This will automatically copy the text from the outcome summary field to the publication summary field.
10.The EYRI must use the drop down box publication type on the regulation support application (RSA) case profile screen. This box is only accessible if the enforcement action and or actions agreed box in the final investigation outcome section is ticked.
11.The outcome summary is populated by visit outcome summary in the investigation toolkit or in the evidence submitted by an inspector. The EYRI will approve it. Once approved, the EYRI must complete the ‘final investigation outcome’ in the case profile screen.
12.Once the enforcement action and or actions agreed box in the final investigation outcome section is ticked, EYRIs should select the publication type. This will be either compliance action or complaint.
13.EYRIs are responsible for making sure that the final publish box is ticked. This will ensure the outcome summary is automatically generated on the provider page of the Ofsted website.
Principles of writing and reviewing outcomes summaries
14.Outcome summariesoutline the requirements the provider must meet, the date we received the information that led to our investigation, and what we or the provider did in response.
15.If inspectors find that the provider is meeting some of the requirements of registration but not others, they must report positively on the requirements that are met alongside those that are not met. This also applies where the provider has made a notification.
Decisions that are subject to review
16.Sometimes, a decision made at the investigation complete stage may change as a result of a decisionofthe Health, Education and Social Care Chamber First-tier Tribunal (the Tribunal) following an appeal, or a court following a prosecution. Where this is the case,once the Tribunal or court has made its decision, we must update the outcome summary and republish it.
Objections and appeals
17.If our enforcement action is subject to an objection to Ofsted or an appeal to the Tribunal, the outcome summary should include the action we are taking, but also state that the provider has objected to our decision or appealed to the Tribunal.
Content of the outcome summary
18.The outcome summary must include a link to the legal requirements that a provider must meet and the date we received the information. The summary must also include brief details about the action that we or the provider needed to take as a result of the concern. For example:
‘All early years providers must meet the legal requirements in the ‘Statutory framework for the early years foundation stage’, which you can find at If we find that a provider is not meeting the requirements, we can take action to ensure they put matters right. On XXXXX we received concerns that this provider was not meeting some of these requirements. We have served a Welfare Requirements Notice. This is a legal notice that requires the provider to take the actions below within the timescales set out. The provider will be able to give parents further information about this. The provider is still registered with Ofsted.’
Actions needed
-XXXXX by date
-XXXXX by date.
Or
On XX July XXXX, the provider notified us that XXXX. The notification means that the provider met their legal responsibility as set out in the early years foundation stage welfare requirements to notify Ofsted of XXXXX.
If we are satisfied with the action taken by the provider, we should say so.
Referencing different types of actions
Welfarerequirements notice
19.If we have served a welfare requirements notice, we should refer to it as set out in the example in paragraph 18above.
Cancellation
20.If we are taking steps to cancel the registration, the summary must make a reference to this. It should also include the statement – as set out above – relating to the provider’s right to object to our action or appeal to the Tribunal against our decision. For example:
‘We are taking steps to cancel the provider’s registration. The provider has a right to object to our intention to take the step.’
21.Once we know the outcome of the objection or the Tribunal’sdecision onthe appeal, we must update the information. For example:
’We took steps to cancel the provider’s registration. The provider objected to us taking this step. Having heard the provider’s reasons for objecting to this step, we have decided not to proceed with cancellation and the provider remains registered with Ofsted.’
or
’We took steps to cancel the provider’s registration. The provider appealed to an independent external tribunal, the Health, Education and Social Care First-tier Tribunal and it upheld/ did not uphold the appeal. The provider remains registered with Ofsted/ the provider’s registration is therefore cancelled.’
Prosecution
22.If we decide to prosecute a provider for an offence, the inspector must not include a reference to the prosecution in the initial outcome summary information. However, the summary should make reference to any other action we are taking, such as serving a welfare requirements notice in line with the example above.
23.If the prosecution is successful, we must update the information to include the details. For example:
‘We took steps to prosecute the provider for committing an offence of obstruction under section 77 of the Childcare Act 2006. The court found the provider guilty of obstructing an authorised person exercising a power under this section and fined the provider £5,000.’
24.If the provider is found not guilty then the summary must not include a reference to the prosecution. However, it should include any other action that we took as a result of our inspection.
Simple cautions/warning letters
25.If we decide to offer a simple caution rather than prosecute for an offence admitted by the provider, and the provider accepts the simple caution, then the wording may be:
‘The provider admitted that they have XXXXX. This is an offence. We served the provider a simple caution, which she accepted. We may take this into account if she commits an offence again when making a decision on whether to prosecute.’
Suspension
26.An example of wording where we have taken steps to suspend a provider’s registration is:
‘We suspended the provider’s registration because we believed children may be at risk of harm. Suspension allows time for the provider to take steps to reduce or eliminate the risk of harm to children.’
27.If the provider has appealed against the suspension, but this is still in place at the time of writing the outcome summary, it should state:
‘The suspension remains in place while the Health, Education and Social Care First-tier Tribunal hears the appeal. The provider may not provide childcare for which registration is required while the suspension is in place, and may commit an offence if they do so.’
28.Once we lift the suspension we should update the outcome summary to reflect this, for example:
‘We have now lifted the suspension because the provider took appropriate action to deal with the matter that led to the suspension and we are satisfied that there is now no risk of harm to children.’
The Office for Standards in Education, Children's Services and Skills (Ofsted) regulates and inspects to achieve excellence in the care of children and young people, and in education and skills for learners of all ages. It regulates and inspects childcare and children's social care, and inspects the Children and Family Court Advisory and Support Service (Cafcass), schools, colleges, initial teacher training, further education and skills, adult and community learning, and education and training in prisons and other secure establishments. It assesses council children’s services, and inspects services for childrenlooked after, safeguarding and child protection.
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© Crown copyright 2018
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Guidance on writing complaint and compliance action summaries
January 2018, No. 180003
[1] We can only publish one summary per case on RSA, so we will need to update the published summary as an interim measure until the system allows us to publish more than one per case.
[2] ‘Complaints about Ofsted’, Ofsted, 2013;