Audit Guidance Document 2018

This guidance is intended to help you to find evidence to support your audit findings.

Column 2 is intended mainly for governors who may want to ask the Head teacher or DSL questions about the school’s safeguarding procedures to ensure that robust frameworks are in place.

Column 3 signposts DSLs and governors to policy, procedure and guidance that underpin the audit criteria. The guidance and links were up to date at the time of publication.

N.B. We are aware that KCSiE 2018 may be published during this audit period. Please ensure that you are compliant with the most recent version.

Advice / suggested questions / Link to Guidance
Keeping children safe in education 2016 unless otherwise indicated. ‘Ofsted’ refers to Inspecting safeguarding in early years, education and skills from September 2015
  1. Policies and wider Safeguarding

General – Part of current inspection frameworks with a focus on safeguarding will consider the application and effectiveness of policies and procedures. / How do you know if staff are aware of, and work to, the safeguarding policies of the school?
If an inspector asked any member of staff about a key element of safeguarding
e.g. what is your reporting process? Do you have a peer on peer abuse procedure? Who do you whistle blow to?
Are youconfident they could answer and reflect your policy? / Paragraph 12
DSL role description Annex B
Ofsted 5.1
  1. Does the setting have:

  1. A child protection policy and procedure in place that is reviewed at least annually?
/ If the model Hampshire policy is not being used as a template; does your policy have regard to Hampshire Safeguarding Childrens Board (HSCB) guidance and Government guidance including “Keeping Children Safe in Education”?
Does it contain a section on peer on peer abuseand the risks to children with SEND
Has it been recorded that all staff have read and are following this policy?
Have staff been involved in the shaping of the policy?
When was it last reviewed? (minimum annually)
Who reviewed it?
When did the Governing Body sign it off?
Has the child protection policy been used in practice in the last 6 months? Was it fit for purpose / clear for staff to use? / Paragraph 48, 49
Ofsted Annex 1
Paragraph 42, 76; Ofsted 5.2
Paragraph 85, Ofsted 5.2
Paragraph 50, Ofsted 5.4
Paragraph66
DSL role profile Annex B
  1. Appropriate safeguarding responses to the key safeguarding themes (Annex A of KCSiE – Keeping Children Safe in Education) established in the policy?
/ If you do not use the model safeguarding policy as a starting point, do your existing policies take account of the wider safeguarding concerns laid out in Keeping children safe, particularly Annex A?
Do they link to the relevant HSCB procedures?
When where they last reviewed?
Who reviewed it?
When did the Governing Body sign it off?
Have all senior managers and staff working with children read Annex A? / Paragraph 51
Ofsted 2, 5.2 and Annex 1
Paragraph 44
  1. A staff behaviour policy (code of conduct)?
/ Are all staff aware of it, and understand what it requires of them?
How do Governors / senior managers know that staff have read the policy and understand it? / Paragraph 12, 33 & 48
Ofsted 4.2, 5.2 & Annex 1
  1. The child protection policy available publicly?
/ Is it on the website?
Is it accessible in the office?
How easy is it for a member of the public to access? i.e. are there hard copies available in schools for parents who do not have access to the internet? / Paragraph 49 and DSL role Annex B
  1. Have governing bodies and proprietors read, followed and acknowledged requirements of KCSiE, to ensure that the policies, procedures and training in their settings are effective and comply with the law at all times?
/ Do all policies, procedures and training in respect of safeguarding reflect the guidance?
Are responsible governors confident of both the organisations and their own responsibilities?
Have governors and proprietors read the summary guidance / Paragraph 45
Part 2
Page 3 and 4
  1. Have all staffread the summary of KCSiE?
/ Is there a record that confirms that all staff (paid and voluntary) have read the summary?
What mechanisms are in place to helpstaff understand the summary? / Page4
Page 4
  1. Are safeguarding related policies and procedures adopted by the governing body and are they understood, implemented appropriately and reviewed at least annually?
/ How is this evidenced and recorded?
How are updated policies shared with staff?
What methods do you use to check understanding and/or compliance?
Is the policy reviewed in light of new guidance and the effectiveness of its implementation? / Paragraph 47-49
DSL role description
Ofsted annex 1
  1. Does the headteacher or the designated safeguarding lead (DSL) report annually to the governing body on the effectiveness of safeguarding procedures?
/ How is this presented?
Does it provide governors with detail without compromising confidentiality? / “Governance Handbook” DfE 2017

  1. Does the governing body evaluate the effectiveness of the schools safeguarding framework?
/ How does this happen?
How are any actions recorded?
Is there effective challenge? Where and how is this recorded? / Paragraph 45
  1. Is there a DSL available at all times so that staff can discuss any safeguarding concerns?
/ Availability does not have to be physical – is there an agreed process to make contact if the DSL or deputy is out of the school
How is a culture of openness promoted and evidenced?
(That is:- create an atmosphere which helps children to feel safe, and in which people are able to talk freely about their concerns, believing that they will be listened to and valued) / Paragraph 56 & DSL role description Annex B
  1. Leadership and Management

  1. Designated Safeguarding Lead (DSL)

  1. Is there a senior member of the leadership team who has the role of DSL explicitly in their job description and has received appropriate (up-dated) training?
/ Is the DSL senior enough to make decisions about provision at CP meetings?
Does the role (job description) of the DSL appear in their contract? (Annex B is able to be used for this purpose)
Does the DSL receive appropriate supervision in relation to their safeguarding role? / Paragraph 52
Ofsted 4.17
  1. Is there a named deputy (or deputies), trained to the same standard, to cover the DSL in their absence?
/ Who is the deputy or deputies?
What training have they received?
Do all staff know who the DSL’s are?
Does the DDSL receive appropriate supervision in relation to their safeguarding role? / Paragraph 53
Ofsted 4.17
  1. Is there a governor (or equivalent) that holds a lead role for safeguarding, within the remit of a governor?
/ Is this governor identified in the papers of the governing body (or equivalent)? / Paragraph 46
Governance Handbook 6.7
  1. Designated Teacher (DT)

  1. Is there a designated teacher (DT) to promote and support the educational achievement of children and young people (CYP) who are in local authority care?
/ Who is the DT?
How many children do they support / have they supported?
Do all children who are looked after have a PEP? Is this regularly reviewed?
How has the additional funding been used to support the learning of each child looked after? / Paragraph 83
Ofsted, annex 1
  1. Has the DT had appropriate training?
/ When were they trained?
Where is the evidence of the training recorded? / Paragraph 83
  1. Has the DT provided the DSL with details of the named social worker and virtual headteacher for CYP in LA care?
/ Is there a list with these details on?
When was the list updated or checked?
Where is this information held? / Paragraph 82
  1. Allegations

  1. Are there procedures in place for dealing with allegations against staff and are they in accordance with HSCB procedures and DfE guidance?
/ Have there been any allegations made in the last year that fall within the remit of this policy?
Have all appropriate allegations been referred to the LADO?
Are all outcomes recorded and shared with LADO? / Paragraph 73
Ofsted 4.19, 7 & Annex 1

  1. (Where relevant) are there adequate records of action taken in respect of concerns about an individual member of staff in their confidential personnel file?
/ Paragraph 170
  1. Does the governing body (or equivalent)have a procedure to handle allegations against the headteacher?
/ Is the procedure clear?
Is it clear in the procedure which Governor deals with allegations against the Head?
Does the Governor understand what constitutes an allegation? What the LADO role is? How to contact them? / Paragraph 31, 73
  1. Is there a protocol/procedure for dealing with allegations against children within the Child Protection policy?
/ Where is the guidance for dealing with child on child abuse? (allegations against children) / Paragraph 76-78
Example can be found at
  1. Curriculum

  1. Is education regarding safeguarding issues appropriately incorporated within the curriculum?
/ Are all areas of safeguarding highlighted by Ofsted are covered in an age appropriate way?
Are local issues or trends considered in the curriculum? / Paragraph 68
Ofsted 5.2 & annex 1
  1. Are pupils encouraged to adopt safe and responsible practices and deal sensibly with risk?
/ How do you teach children or young people to keep themselves safe? / Ofsted paragraph 13 (previous framework)
  1. Do pupils feel able to seek support if they feel unsafe and know when and where to get help?
/ Has the school used children’s feedback to confirm if this is known?
Is there evidence that children have sought support or made disclosures to staff? / DSL role description
  1. Is there an open culture where all individuals feel able to talk freely about their concerns, believing that they will be listened to and valued? Is this culture actively promoted?
/ How is a culture of openness promoted within the community of students?
How do you know that this works?
(That is create an atmosphere which helps children to feel safe, and in which people are able to talk freely about their concerns, believing that they will be listened to and valued) / DSL role description
Ofsted 5.2
  1. Are pupils provided with a safe online platform and educated on keeping themselves safe online?
/ Are filters and monitoring systems in place?
Is there a clear expectations (in policy) on the use of mobile technology?
Do staff have a good understanding of the apps children use to communicated including those deemed to be unsafe and/or linked to online exploitation? / Annex C
Ofsted 3.2
HSCB priority
  1. Are appropriate online filters and monitoring systems in place?
/ Paragraph 67, Annex C
Ofsted 5.2
  1. Training

  1. Has the DSL (and any deputy as appropriate) undertaken the required two yearly training with annual updates?
/ Is it clear that the DSL training is more than the training provided to staff?
Has the training supported the DSL to carry out the role as described in Annex B?
If the DSL training isn’t via Hampshire, is there clarity about the referral processes within Hampshire?
Has a refresher course or continuous professional development for Safeguarding been undertaken during this year?
Where is this recorded? / Paragraph 39, 59, 68
Ofsted 5.2
  1. Have all staff and other adults who work within the setting received the appropriate training?
/ Has the training covered the safeguarding and child protection policies?
Does the training cover whistleblowing?
Do all staff know the process for making referrals to children’s social care and the role they may play in assessments?
Does the training provide information on the safeguarding topics in Annex A of KSCiE?
Is there a process for updating staff who miss training? / Paragraph 64-65
Ofsted paragraph 4.7, 5.2,
  1. Have regular (at least annual) child protection updates been provided to all staff?
/ How have these been provided? Email / bulletins / staff meetings / e-learning?
Is there easily accessible evidence to confirm? / Paragraph 65
  1. Are all new staff, temporary staff and volunteers given induction which includes information on safeguarding procedures and their responsibilities?
/ How quickly is this done?
How is it evidenced? / Paragraphs 12, 48 & 64
Ofsted paragraph 5.2
  1. Is the governor with leadership for safeguarding familiar with relevant HSCB and national guidance?
/ Do they make use of the safeguarding pages from Governor Services or the safeguarding in education pages? If they can access schools communications, do they make use of these? Does the DSL share HSCB and national updates with the governor?
Have they attended a Governor Services training event? / Paragraph 46, 60
Ofsted 5.1 & 5.2
  1. Are governing bodies aware of their roles and responsibilities with respect to safeguarding?
/ Does the governing body know what its requirement is for safeguarding arrangements? / Paragraph 45
Ofsted 6, Annex 1
  1. Is all safeguarding training for staff /volunteers recorded? Does training include details of the Prevent Duty, requirements of FGM reporting, whistleblowing, and online safety?
/ Where do you keep training records?
Does the record indicate that all staff have been appropriately trained within timescales? / Paragraph 13, 33, 64 & Annex A
Ofsted 4.17, 5.1, 5.2
  1. Are all staff aware of the early help process?
/ Do they understand their role in identification, sharing information and supporting in plans/assessment
Are staff aware of the threshold chart? / Paragraph 9, 14, 21, 59
  1. Safer Recruitment

a. Are there procedures for safer recruitment and vetting in place and do they have regard to KCSiE 2016? / Paragraph 71
Ofsted 7
b. [maintained schools only] Has at least one member of the appointment panel undertaken safer recruitment training? / While this is only required for maintained schools it would be considered good practice for all others. / Paragraph 72
Ofsted Annex 1
c. Are you compliant with the “Disqualification under the Childcare Act 2006” guidance (DfE 2015)? / If your school is providing childcare (as per the guidance), what measures have you taken to ensure that appropriate checks have been completed? /
d. Is there a Single Central Record in place? Does it include: / Does it include all staff (including supply and teacher trainees on salaried routes) and [for non-maintained schools] the proprietor body (or equivalent) / Paragraph 112 &113
Ofsted annex 3
  • Identity checks carried out, when and by whom?

  • All staff and volunteers working in regulated activity have a DBS check and have been checked against the Childrens Barred List

  • A DBS check for all staff appointed on or after 01/03/02, who come into regular contact with or have unsupervised access to children, and who have had a break in continuous service of more than 3 months immediately prior to appointment?
/ If you have any staff on the SCR who have not had either a CRB or DBS check undertaken, what checks have been undertaken to ensure that children are not at risk? HSCB would advise that all staff are checked for suitability using the established method of DBS
  • A NCTL Prohibition check undertaken for all teaching staff?

  • Written confirmation from a supply agency, where relevant, that all the appropriate checks that the school would otherwise perform have been carried out and are satisfactory?

  • A record of all dates for completed checks?

  • Record of qualifications where a requirement of the job e.g. QTS?

  • Evidence of Right to Work in the U.K.?

  • Lived Abroad / Overseas Police check and EEA teacher sanctions and restrictions where applicable?

  • [non-maintained schools only] a section 128 check for management positions

  1. Behaviour and Safety

  1. Has action been taken to ensure that all staff and volunteers feel able to raise concerns about unsafe or poor safeguarding practice or potential failures?
/ Where is the expected reporting system recorded?
How do you promote whistleblowing?
Is your whistleblowing policy clear and does it give staff information about who to report to and when? / Paragraph 32-34
Ofsted paragraph 4.19
  1. Is the DSL aware of indicators of specific safeguarding issues highlighted by KCSiE, Ofsted and the HSCB priorities?
/ Does the DSL have a basic knowledge and awareness of the safeguarding issues recorded in the safeguarding policy? / Page 12 & Annex A
Ofsted 3.1, 3.2
HSCB annual plan
  1. Is the LA notified of CYP removed from roll where confirmation has not been received that they have transferred into another setting?
Is the LA notified of CYPs who become home educated? / What is the procedure?
How are the notifications recorded? / Annex A
  1. Are procedures and policies relating to physical intervention consistent with DfE guidance ‘Use of Reasonable Force in Schools’ (July 2013)?
/ Are restraints recorded?
Is there a system of reviewing the use of physical intervention? / Paragraph 154
Ofsted 3.2, 4.13 & 4.15
  1. Are pupils safe on site?

  1. Are there adequate security arrangements for the grounds and buildings?
/ Do we know who is on our site at any one time?
Do we know why they are on site?
Will they have unsupervised access to any pupil? / Ofsted 3.2
  1. Are visitors or volunteers or those using premises monitored during the ‘school day’?
/ What does monitoring mean in the school?
Are staff who are monitoring visitors or volunteers clear about the expectations on them? / Paragraphs 138
Ofsted 5.3
  1. Is assurance sought in writing from users of the premises that they have appropriate policies (vetting, health and safety, insurance) in place to safeguard CYP?
/ What documentation is checked?
Where are the records kept? / [no current government requirement for this. Retained in Audit due to local case experience]
  1. Is there a policy or procedures for ensuring that visitors to the school are suitable and checked and monitored as appropriate, for example external speakers at school assemblies?
/ Is the procedure known?
Is it followed?
Have checks been undertaken on external speakers? / Ofsted 5.3
  1. Interagency Working

  1. Is the setting working with the early help hub to provide timely intervention?
/ Have early help assessments been completed by staff?
Have staff attended early help meetings? / Paragraphs 9, 14

  1. Are there effective systems in place for referring safeguarding concerns to relevant agencies in a timely manner?
/ Have referrals been made in the year?
Have referrals been accepted by the relevant agencies?
When referrals have not been accepted, has support been offered? / Paragraphs 15, 21-27
Ofsted paragraph 4.6, 4.7, 5.1
  1. Is the DSL allocated sufficient time and resource to discharge their responsibilities, including taking part in inter-agency assessments and meetings?
/ How is this reviewed? / Annex B
  1. Is the DSL aware of CYPs in the setting who are, or may be, living in a private fostering arrangement?
/ Have referrals been made?
Have staff been briefed on private fostering and would they know when to inform the DSL? / Annex E
  1. Reporting and recording

  1. Are child protection (CP) records stored securely and separately from pupil records?
/ Where are the records kept?
Is the location secure? / Annex B
Ofsted 4.5
  1. Are the records of good quality and up to date; do they indicate action that has been taken?
/ Is a recording template used?
Is there any evidence of analysis?
Has it been used to record all safeguarding concerns? / DSL role description, 30
SCR into SES (HSCB publication)
  1. Where pupilshave left,has theCP recordbeen transferred separately from the main pupil file? Has a receipt of transfer been retained?
/ When were these files shared? Was it timely?
Has a receipt of the transfer been obtained and stored?
Is there a method of flagging up children where there are current concerns or social care involvement? / Annex B
  1. Are staff confident about reporting CP concerns and know what action to take, if their concerns are not acted on appropriately or in a timely manner?
/ Is this all staff, or is there a limited number making referrals?
Do you check that staff know what to do? / Annex B
Ofsted 4.3
  1. Are all staff aware of the process for making referrals to children’s social care?
/ Do staff know who to talk to?
Could a staff member contact the appropriate person with concerns without having to ask someone else?
Is a copy of “what to do if you’re worried a child is being abused” available? / Paragraph 21-28
Ofsted 4.6
  1. Does the setting encourage a clear culture of open communication between pupils, staff, parents and other adults working with CYP?
/ How do we know if this is working?
What evidence of this has been collected over the past year? / Annex B
Ofsted 4.7
  1. Keeping pupils safe outside of normal provision?

  1. Are appropriate arrangements in place to safeguard CYP who take part in, or are affected by, extended services and other activities outside normal ‘school’ hours?
/ Are checks carried out on the qualification, training and suitability of 3rd party providers?
Is there an expectation on ratios that matches the schools own practice?
  1. Where relevant, are safeguarding arrangements in place for those on work-based learning, work experience and educational visits?
/ Paragraphs 139 – 143
Ofsted annex 5
  1. Where appropriate, are safeguarding arrangements in place for those children who stay with host families / other settings? i.e. as part of exchange visits or sports tours?
/ Paragraph 144
Annex E

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