Guidance on Writing Compliance Action Summaries

Guidance on writing compliance action summaries

Age group:0–18

Published:December 2012

Reference no:100162

Contents

About this guidance

Introduction

Where outcome summaries appear on the web

Complaints about the publication of outcome summaries

Publication of summaries that relate to a death of a child

Information that relates solely to the suitability of a registered person responsible for more than one setting

Writing and reviewing outcomes summaries

Decisions that are subject to change by external bodies

Objections and appeals

Components of the outcome summary

Summary of the information and the potential non-compliance

What we did in response

What we found as a result

Other matters

Action taken

Cancellation

Examples of outcome summaries

About this guidance

1.This guidance is to help inspectors write outcome summaries following investigation of concerns relating to potential non-compliance with the requirements for registration. It applies to those providers on the Early Years Register or both the Early years and Childcare Registers. We only write outcome summaries when we take steps to cancel a provider’s registration and therefore have not conducted an inspection resulting in a published inspection report.

Introduction

2.When we receive any information about a provider that suggests they are not meeting requirements, we risk assess the information which normally results in us carrying out a full inspection of the provider and publishing an inspection report. We do this rather than investigate the specific issue brought to our attention. Parents and carers are able to read a full report about the quality of the provision soon after we receive the information and we have completed the inspection. This allows parents and carers to consider any concerns in the context of the overall quality of the provision.

3.Sometimes we need to investigate very serious concerns ahead of an inspection. Our compliance, investigation and enforcement team (CIE) deal with these serious concerns, which include possible child protection concerns or serious incidents and accidents. They liaise with other agencies that might be involved in these matters such as the police, child protection teams or the Health and Safety Executive. When the liaison with other agencies and the investigation reaches an appropriate stage, we conduct an inspection and publish an inspection report.

4.Very occasionally, we decide to take immediate action to cancel a provider’s registration. When this occurs, we will not carry out an inspection but we will publish a summary of the action we have taken. This is so that parents and carers will have up-to-date information available to them on which to make decisions about childcare. These summaries are known as ‘outcome summaries’.

5.This guidance should be read in conjunction with the information commitment on our website for parents and carers and providers. The link to our information commitment is here:

Where outcome summaries appear on the web

6.The published outcome summary appears on the provider page of the Ofsted website. It is included below the section for inspection reports in the compliance action section.

Complaints about the publication of outcome summaries

7.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 follow our normal complaints procedure guidance.[1] In these cases we do not delay publishing the outcome summary, or remove the outcome summary from the website until we have investigated the complaint and reached a decision. This is because we think that it is important for parents and carers to have up-to-date information. If we subsequently need to make changes to the outcome summary, for example because the provider appeals against the cancellation, we re-publish the amended outcome summary. Published outcome summaries remain on our website for a period of five years.

Publication of summaries that relate to a death of a child

8.If we take immediate action to cancel a registered provision following a child’s death in the setting, we will refer to the death in the outcome summary unless the parents or carers of the child concerned indicate that they do not wish us to do so. The designated person in the compliance, investigation and enforcement team for liaising with the family must discuss this with the child’s parents or carers, including the fact that referring to their child’s death in the outcome summary is likely to mean that others will be able to identify the child from the published summary. This must take place prior to publication. If we do include reference to a child’s death, we need to be particularly sensitive in writing these outcome summaries.

Information that relates solely to the suitability of a registered person responsible for more than one setting

9.If a case relates solely to the suitability of a registered person, the registered person is responsible for more than one setting – for example a chain of nurseries – and we are taking immediate cancellation action, the CIE team must open a CIE case 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.

Writing and reviewing outcomes summaries

10.Outcome summaries include concise details of the information received, the potential non-compliance, what we found as a result and our decision to take cancellation action.

11.When deciding on the level of detail that ought to be included in the outcome summary, inspectors must use their professional judgement. They should have particular regard to the requirements of the Data Protection Act 1998 and any rights of placed children and their families and the provider and their families, as well as the requirements of the Human Rights Act 1998 and the European Convention on Human Rights.[2][3]

12.This means that inspectors must not include sensitive child-protection concerns that disclose personal information about a particular child in the outcome summary. The CIE team should have in place arrangements to review outcome summaries to make sure that there is no risk of inappropriate disclosure. If there are concerns about the potential disclosure of personal data, then inspectors should contact the Head of Information Rights in Ofsted. Further guidance for CIE team members is available from the Early Years and Childcare Team. In cases where a child has died, we must discuss this with the child’s parents or carers (see above).

Decisions that are subject to change by external bodies

13.When we decide to take immediate cancellation action the provider may appeal to the First-Tier Tribunal (Health, Education and Social Care Chamber) (the Tribunal).

Objections and appeals

14.If our action is subject to an objection or our decision is subject to an appeal to the Tribunal, the outcome summary should include the action we are taking, but also make reference that it is subject to an objection or appeal to the Tribunal. If the provider is successful in their appeal, we will update the outcome summary to reflect this and it will remain on our website for five years, in line with our agreed policy.

Components of the outcome summary

15.An outcome summary should include these five components:

summary of the information and the potential non-compliance

what we did in response

what we found as a result

other matters (if applicable)

 decision to cancel.

Summary of the information and the potential non-compliance

16.The summary should include:

the nature of the information we have received and where it came from, for example ‘a concern’ or ‘notification from a provider’

the nature of the concerns. If the concern is so specific that it may identify individuals or the complainant, then the summary should detail the nature of the legal requirement

the regulatory breach/safeguarding and welfare requirement requiring investigation and the specific legal requirements to which it relates.

Examples of the summary are:

On XX July XXXX, we received information that raised concerns about XXXXX. We investigated this concern to see whether the setting was meeting [list the relevant regulatory or legal requirement].

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.

or

On XX July XXXX, we received information from another agency that raised serious concerns about XXXXX. We investigated this concern to see whether the setting was meeting XXXXX.

What we did in response

17.The outcome summary must identify the action that we took with regard to the concern or information received, including whether or not we undertook a visit.

Examples are:

We carried out an unannounced visit to the setting and found XXXXX.

or

We carried out an announced visit to the setting and found XXXXX.

or

During an announced visit to the setting we found XXX. As a result we carried out a further unannounced visit and found XXXXX.

What we found as a result

18.Provide sufficient information about our findings so people can understand why we are taking cancellation action but not so detailed that the reader can identify specific individuals.

Other matters

19.The summary should make a clear distinction between findings arising from the original information and other matters that came to light as a result of the investigation. For example if we investigated an accident and we find a significant number of other areas where the provider is not complying, the outcome summary should include reference to the other matters, for example:

We carried out an unannounced visit to the premises and found the provider was not meeting adult to child ratios when the accident occurred. We also found the provider failed to meet requirements in the following areas >add areas<.

Action taken

Cancellation

20.We must say that we are taking steps to cancel the registration. It should also include the statement relating to the provider’s right to object to our action or appeal to the Tribunal against our decision. Examples include:

Following our investigation, we are taking steps to cancel the provider’s registration. The provider has a right to object to our intention to take the step.

or

Following our investigation, we are taking steps to cancel the provider’s registration. The provider has a right of appeal to an independent external tribunal, the First Tier Tribunal (Health, Education and Social Care Chamber). It may overturn our decision to cancel the provider’s registration.

21.Once we know the outcome of the objection or the Tribunal determines the outcome of the appeal, the CIE professional must update the information. For example:

Following our investigation, 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 to proceed with cancellation

or

Following our investigation, we took steps to cancel the provider’s registration. The provider appealed to an independent external tribunal, the First-tier Tribunal (Health, Education and Social Care Chamber) but it did not uphold the appeal. The provider’s registration is therefore cancelled.

or

Ofsted took steps to cancel the registration of this provider following an incident XXXX. This decision was overturned by an independent external tribunal, the First-Tier Tribunal (Health, Education and Social Care Chamber) which upheld the provider’s appeal. The provider remains registered with Ofsted.

Examples of outcome summaries

1

Guidance on writing complaint and compliance action summaries

December 2012 No. 100162

[1]Complaints procedure: raising concerns and making complaints about Ofsted, Ofsted, 2010;

[2]Data Protection Act 1998:

[3]Human Rights Act 1998: