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NYSCB Settings Safeguarding Audit 2016

Settings Details

Name of Setting:

Audit Completed by and Role

Date Completed

This safeguarding audit is for early years settings: Day Nurseries, Pre-schools, Childminders working with Assistants, Co-childminding or Childcare on Domestic Premises, and Out of School Clubs

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NYSCB Settings Safeguarding Audit 2016 Grading Classification

Unless a question is not applicable, all Childminders are expected to strive to achieve 5 (to show that safeguarding concerns have been addressed). When identifying a score it is important for each early years Childminders to consider whether the minimum standards for addressing safeguarding needs have been achieved. For example, where an early years Childminders has sufficient safeguards provision in place to address safeguarding concerns, and/or action plans are in place to improve or modernise those arrangements, then the Childminder is maintaining compliance and should record their level of compliance as “5”. If you are not fully compliant with the required standard, then you should select the most appropriate grading as outlined in the grading below.

1 2 3 4 5

Not applicable Not in operation – potential safeguarding concerns

Identified safeguarding concerns/weakness to be

addressed - no agreed action plan in place

Identified safeguarding concerns/weakness with an agreed action plan in place

Safeguarding concerns have been addressed

This line of enquiry is not applicable to the early years setting.

There are no safeguarding concerns.

Not in operation.

No action plan has been identified to address this at present.

Safeguarding concerns/identified weakness have been identified and the early years setting aims to develop an action plan at senior level to address these concerns.

Safeguarding concerns/identified weaknesses have been identified and the early years setting has an action plan agreed by senior management to address these concerns.

Safeguarding has been addressed and the early years setting is compliant with statutory requirements.

Improvements and modernisation of arrangements may be taking place but these do not expose any safeguarding concerns.

There are no safeguarding concerns

For each category of question, early years setting are requested to identify evidence which will support their answers above. Please note that this does not include providing copies of evidence, but should make reference to what evidence is available. For example, the name of a policy which supports a specific category and the date it was last reviewed.

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NYSCB Settings Safeguarding Audit 2016Section 1 - Safer Recruitment

Key Questions Guidance Notes Grading Evidence Actions Required1.1 Does the setting have

recruitment records and a record demonstrating that all suitability checks have been undertaken, (including DBS and barred list checks where appropriate,) in respect of all those who work for the setting?i.e. A single central record as required by schools

Ofsted will, on inspection, want to see the record of DBS checks and a selection of recruitment records. Records should include the number and date of issue of the DBS check. See sample recording format attached.

The minimum age at which a person can apply for a DBS check is now 16 years, therefore young people placed on work experience are not eligible for a DBS check however assurances should be sought from the placing school/college/provider that the student is a safe and suitable person to work with children.

Inspecting safeguarding in early years, education and skills settings (23 August 2016) paragraph 20

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1.2 Are all reasonable steps taken to ensure that the setting does not employ or use someone for work in or on behalf of the setting who is disqualified from registration by Ofsted or use, in regulated activity, any person barred by the DBS from working with children?

Are all persons aware that it is a criminal offence to knowingly do so?

Circumstances which disqualify a person from becoming a childcare provider are set out in the Ofsted guides to registration, the Childcare (Disqualification) regulations 2009 and Sec 75 and 76 Childcare Act 2006. This includes where the person, a person living with them, a person who works with them and cares for children, or lives and works on the premises where childcare is provided has either committed a relevant offence against a child; been subject to an order or determination removing a child from their care or preventing a child living with them; committed certain serious sexual or

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NYSCB Settings Safeguarding Audit 2016Key Questions Guidance Notes Grading Evidence Actions Required

physical offences against an adult; been charged with certain offences against an adult; been included on the children’s barred list; been made subject to a disqualification order by the court; previously been refused registration as a childcare provider or provider or manager of a children’s home or had such registration cancelled.DBS barring is different to Disqualification from Childcare. The DBS maintain a list of people who worked in regulated activity, who have been referred to them, and a determination has been made that they are unsuitable to work in regulated activity with children.

1.3 Is the provider aware of Ofsted requirements in the event of Disqualification?

In the event of disqualification of a registered provider, a person living in the same household as the registered provider, or a person employed in that household, the provider must not continue as an early years provider nor be directly concerned in the management of such provision.Where an employer becomes aware of relevant information which may lead to disqualification of an employee, the employer must take immediate action to ensure the safety of children. In the event of disqualification of an employee the employer must not continue to employ that person.The following information should be given to Ofsted: Details of any order, determination, conviction, or other ground for disqualification including date; body or court; any sentence imposed and who

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made it; certified copy of the relevant order (EYFS, 3.17)

1.4 Does the setting have arrangements in place to ensure that all agency/supply staff are suitable persons?Are similar arrangements in place with regard to students on placement?

If recruited by an agency, the agency should provide the setting with written evidence that DBS and barred list checks are clear. Where there is information disclosed in the checks, the setting should request sight of the original certificate in order to make their own decision about using the person’s services. If this is not made available the setting should not use the person’s services.Agencies should also provide the setting with written evidence that all additional safer recruitment checks have been completed and are satisfactory.

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1.5 Has a written risk assessment been undertaken and retained on any information provided e.g. in the DBS check, by referees and/or the candidate?

Recent changes mean that the employee receives a copy of their DBS certificate but the employer / registered body no longer does. Employers therefore need to ensure they know if the certificate contains any information which needs to be risk assessed. This risk assessment should be retained on the individual’s file.

Risk assessments should take into account: The information disclosed and what

the individual has told you The seriousness or otherwise of the

information disclosed The likelihood of the event or

something similar happening again The person’s attitude to the event

e.g. are they regretful and remorseful and do they appear to

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have learned from it or, conversely, are they minimising?

Age of the person at the time of the event and amount of time elapsed since the event

Circumstances surrounding the event

Level of involvement in the event Previous and subsequent good

character Any other mitigating or aggravating

circumstances If the information suggests that the

person could pose a risk of harm to children

If the person had worked with children at the time of the event, would there have been a duty to refer to the DBS? (If this would have been the case the person should not be used and you should make a referral to the DBS)If the person has a conviction that may disqualify them from working in childcare then you should call the Ofsted helpline 0300 123 1231 and talk confidentially to them about this.

1.6 Does the setting operate safer recruitment practices and have a recruitment policy?

Recruitment policy guidance is available from NYCCEmployers should be satisfied that all persons are of integrity and good character, have the skills and experience suitable for the work and are physically and mentally fit. Safer recruitment includes:References (at least two written and satisfactory, one from most recent employer and from most recent work with children if

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available)Full employment history with explanations for any gapsQualifications (certificates should be checked)Interview to include questions to test the candidates values, attitudes and beliefs, to assess their suitability for work with childrenIdentity checksOther checks e.g. medical suitability Declaration of convictions, cautions, court orders

1.7 Has at least one member of all interview panels undertaken Safer Recruitment training?

This is currently available online through the NSPCC website. The member of the panel who has undertaken this training should be responsible for ensuring that the full range of safer recruitment measures are undertaken.Settings will be asked for references from other settings in respect of individuals they have employed. In order to assist others with their safer recruitment measures settings should always provide full and accurate references, in writing.

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1.8 For all employees and regular volunteers, is there a written record of names addresses, dates of birth, qualifications required, right to work in UK?

The date the checks were completed and the initials of the person completing them needs to be recordedEmployers should be satisfied that all persons have integrity and are of good characterSee sample recording form attachedSettings should have individual records of names and addresses of staff members, volunteers and committee members and

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information about their recruitment, training and qualifications where relevant.

Section 2 – Suitable PeopleKey Questions Guidance Notes Grading Evidence Actions Required

2.1 Have all those who work directly with/look after children or who are likely to have frequent unsupervised access to them, (including volunteers and supply staff,) been subject to an enhanced DBS and barred list check and registered with the online update service?

Have assessments been undertaken to establish which persons working in the setting are, and are not in regulated activity and appropriate checks been undertaken?

Have assessments been undertaken and appropriate supervision arrangements been put in place for those persons working at the setting who have not been subject to DBS checks?

For those who have previously lived abroad, has a certificate of good conduct or police report from the embassy of the

On non domestic premises the registered person is responsible for checking the suitability of: the manager; all other staff employed to work with children; all other people who live or work on the premises where childcare is provided.

From 10th September 2012 the government made changes to the definition of regulated activity:i) unsupervised activities: teach, train, instruct; care for or supervise children, or provide advice/guidance on well-being, or drive a vehicle only for children ii) work for a limited range of establishments, ‘specified places’ with opportunity for contact, (with children) e.g.….childcare premises

Such work is only considered to be regulated activity in establishments if it is: done ‘frequently’ i.e. once a week or more, or on 4 or more days in a 30 day period, or overnight; by the same person, engaged in work for in connection with the purposes of the establishment; and it gives the person the opportunity, in their work, to have contact with children. Day to day management or supervision on a regular basis of a person providing the above

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NYSCB Settings Safeguarding Audit 2016Key Questions Guidance Notes Grading Evidence Actions Requiredcountry in which the person lived been received?

regulated activity for children is also regulated activity.(See ‘Regulated Activity in relation to children: scope Factual note by HM Government, on DBS website)

Whilst settings may undertake DBS checks on all those who work or live on the premises and any others who fit the old definition of regulated activity, eligibility for the barred list element of the check applies only to those who fit the current definition of regulated activity as defined in the September 2012 guidance.

DfE have published guidance with regard to those who would be in regulated activity if they were not supervised by another person in regulated activity: Statutory guidance: Regulated activity, (children) - supervision of activity with children which is regulated activity when unsupervised. This is available on the DBS website and will assist the setting in determining which persons, when supervised, will not fall into the definition of regulated activity and levels and types of regular, day to day supervision required.

From December 2012, the work of the CRB and the ISA merged into a single body known as the Disclosure and Barring Service.

From October 2013 the DBS introduced an update service which settings may wish to use. Guidance for Employers can be found here:

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https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/325079/Update_service_employer_guide_v3.8.pdf

2.2 Have all registered persons and nominated persons, been checked for suitability?

Ofsted undertake suitability checks including DBS checks on all of those who make up the registered and /or the nominated person.

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2.3 Is the provider aware of Ofsted requirements in the event of Disqualification?

In the event of disqualification of a registered provider, a person living in the same household as the registered provider, or a person employed in that household, the provider must not continue as an early years provider nor be directly concerned in the management of such provision.Where an employer becomes aware of relevant information which may lead to disqualification of an employee, the employer must take immediate action to ensure the safety of children. In the event of disqualification of an employee the employer must not continue to employ that person.The following information should be given to Ofsted: Details of any order, determination, conviction, or other ground for disqualification including date; body or court; any sentence imposed and who made it; certified copy of the relevant order (EYFS, 3.17)

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2.4 Does the setting ensure that any persons who have not been subject to enhanced DBS checks do not have any unsupervised access to children on the premises?

Volunteers, contractors and other visitors should not have unsupervised access to children.An assessment should be undertaken to establish if the person is in regulated activity and if a DBS and barred list check

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should be undertaken, having regard to the new HM Government Supervision Guidance https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/253564/Supervision_guidance.pdf For volunteers other appropriate safer recruitment checks should also be undertaken e.g. informal interview and references

2.5 Does the setting ensure that they verify the identity of all visiting staff from other organisations?

Where a person from another organisation e.g. the local authority, health service or NSPCC is not known to the setting they should check with the employing body that the person making the appointment is their employee and should check, on arrival that they have valid ID.In the extremely rare event that these persons may require unsupervised access to a child it is the manager’s responsibility to risk assess the appropriateness of this. If this is considered necessary, assurance should be sought with the employing body that the person has a satisfactory enhanced DBS check and barred list check.

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2.6 Are all staff informed and fully aware of the circumstances whereby they must inform the provider of any police action against them?

This should form part of the candidate application form and contract of employment. Staff should be expected to disclose to the provider any cautions, convictions, court orders, reprimands, and warnings which may affect their suitability to work with children, (whether received before or during their employment at the setting,) or any circumstances which could lead to consideration of disqualification

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https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/253564/Supervision_guidance.pdf




2.7 Does the provider inform Ofsted in circumstances relating to people and their suitability where they are legally bound to do so, as set out in the Statutory Framework and Registration requirements? (As soon as reasonably practicable, but at the latest within 14 days.)

This includes: changes to the person who is managing the provision; changes to those living or working on the premises for childcare on domestic premises; changes in the name or registered number of the company; change in the name or registration of the charity; change to the nominated person where the childcare is provided by a partnership, committee, body corporate or unincorporated association where their sole or main purpose is the provision of childcare; any change to the name of the body that provides childcare where the childcare is provided by a committee, partnership or unincorporated body; any new person’s date of birth, full name, former names or aliases used by them and their full address; any change to the name or home address of any of those mentioned above; any incident of food poisoning affecting two or more children looked after at the premises ;any serious accident or injury to, or serious illness of, the death of any child while in your care and the action taken; any allegation of serious harm against, or abuse of, a child by any person looking after children on the premises, (whether that allegation relates to harm or abuse committed on the premises or elsewhere,) or by the registered person or any person living, working or employed on the premises, or any other abuse which is alleged to have taken place on the premises, and the action taken in respect of these allegations; any other significant event that is likely to affect the suitability to look after children of the registered person

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or any person caring for children on the premises.

2.8 Does the setting have arrangements for disciplinary processes to be undertaken where there is a complaint or allegation against someone who works in or on behalf of the setting?

Does the provider have arrangements in place for making referrals to the LADO where an allegation is made against a person working at or on behalf of the setting and fulfilling their legal responsibilities to make a referral to the DBS where required to do so?

Does the setting’s policy set out that if staff are concerned that the responsible person may not be taking concerns sufficiently seriously or taking appropriate action they must contact the LADO and/or Ofsted directly?

Disciplinary policy guidance is available from NYCC Updated Allegations against staff procedures and guidance are available on the NYSCB website sec 10 Referrals to the LADO must always be made, immediately, where there is an allegation, (relating to either within or outside of the setting,) that someone who works with children has: behaved in a way that has harmed a child or may have harmed a child; possibly committed an offence against or related to a child; behaved towards a child or children in a way that indicates s/he may pose a risk of harm to children.

Settings, as regulated activity providers, have a statutory duty to make referrals to the DBS where they have permanently removed a person from regulated activity through dismissal or permanent transfer, or would have done so had the person not left, resigned, retired or been made redundant and they believe that the person has engaged in ‘relevant conduct’, satisfied the ‘harm test’ or received a caution or conviction for a ‘relevant’ offence

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2.9 Are all practitioners aware that and do registered persons ensure that, when working directly with children they

Persons under medical investigation, treatment and/or taking medication should advise their medical practitioner of their employment to determine if this may affect

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NYSCB Settings Safeguarding Audit 2016Key Questions Guidance Notes Grading Evidence Actions Requiredmust not consume or be under the influence of alcohol or any substance, including prescribed medication, which may affect their ability to care for children and that they must not smoke on the premises?

their ability to care for children and their fitness for work. If so the staff member must inform their manager.

Providers must ensure that a written risk assessment is undertaken in order that the safety of children is not compromised. Staff medication on the premises must be securely stored and out of reach of children at all times.

2.10 Are there arrangements in place for effective induction supervision, support, coaching and training for practitioners that promotes the interests of children?Is appraisal undertaken to identify training needs and secure opportunities for professional development?

Are there arrangements in place for effective induction supervision, support, coaching and training for practitioners that promotes the interests of children?Is appraisal undertaken to identify training needs and secure opportunities for professional development?

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2.11 When children are on the premises, is there, at all times, at least one person present who holds a current paediatric first aid certificate and must accompany children on outings?

Providers can choose which organisation they wish to provide the training (preferably one with a nationally approved and accredited first aid qualification or one that is a member of a trade body with an approval and monitoring scheme) but the training must cover the course content as for St John Ambulance or Red Cross paediatric first aid training and be renewed every three years.

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2.12 Do newly qualified early years staff (with a full and relevant level 2 or level 3 childcare qualification) also hold a current Paediatric First Aid

From 1st Sept. 2016, as a result of the government consultation: https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/532503/PFA_Consultation_findings_and_response.

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https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/532503/PFA_Consultation_findings_and_response.PDF


NYSCB Settings Safeguarding Audit 2016Key Questions Guidance Notes Grading Evidence Actions Required(PFA) or emergency PFA certificate in order to be included in the required staff: child ratios in an early years setting?

PDF Childcare providers will be allowed a three month ‘grace’ period to complete PFA training after starting work with a new employer.

2.13 Is every child assigned a key person?

Their role is to help ensure that that every child’s care is tailored to meet their individual needs, help the child become familiar with the setting, offer a settled relationship for the child and build a trusting relationship with the parents/carers.

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2.14 Do all supervisors and managers hold a relevant level 3 qualification, and do at least half of all other staff hold a relevant level 2 qualification?

In group settings, the manager must hold at least a full and relevant level 3 qualification and at least half of all other staff must hold at least a full and relevant level 2 qualification. The manager should have at least two years’ experience of working in an early years setting, or have at least two years’ other suitable experience. The provider must ensure there is a named deputy who, in their judgement, is capable and qualified to take charge in the manager’s absence.

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2.15 Does the registered person ensure that at least two suitable persons aged 17 or over are on the premises at all times when children are being cared for and that any person under the age of 17 is supervised at all times?

Only those aged 17 or over may be included in ratios (and staff under 17 should be supervised at all times). Students on long term placements and volunteers (aged 17 or over) and staff working as apprentices in early education (aged 16 or over) may be included in the ratios if the provider is satisfied that they are competent and responsible

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2.16 Does the registered person ensure that children are adequately supervised and that staffing ratios are met at all times?

These are set out on pages 21- 24 of the Statutory Framework for the Early Years Foundation Stage 5

2.17 Does the Designated Safeguarding Lead (DSL) undertake appropriate training in child protection and safeguarding to fulfil their role?

The DSL must attend multi-agency training that enables them to take the lead for safeguarding and child protection in the setting and to identify, understand and respond appropriately to possible signs of abuse and neglect. DSLs should undertake a minimum of level 1 and 2 NYSCB training and undertake regular updates.During term time, or when the setting is in operation, the designated safeguarding lead or an appropriately trained deputy should be available during opening hours for staff to discuss safeguarding concerns.

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2.18 Does the DSL undertake refresher training at a minimum of two yearly intervals, to keep his/her knowledge and skills up to date?

Regular supervision and appraisals should identify the training and professional development needs of the DSL and identify courses required to provide them with an up to date knowledge, recent guidance and specific issues.

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2.19 Do all setting practitioners have an up to date knowledge and understanding of safeguarding and are they able to implement the setting’s policy and procedures appropriately?

All practitioners should be able to recognise and respond appropriately to possible signs and symptoms of abuse or neglect including: significant changes in behaviour, deterioration in a child’s wellbeing, unexplained bruising, marks or signs of possible abuse or neglect; suspicious injuries; comments children or others make which give cause for concern; inappropriate behaviour by staff e.g. inappropriate sexual comments; excessive one-to-one attention

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beyond the requirements of their usual role and responsibilities, or inappropriate sharing of images.

2.20 Is there evidence that all staff receive induction training in child protection and safeguarding and refresher training every two years?

Is there evidence that safeguarding is a key component at all staff meetings, staff appraisals and supervision?

All staff should have appropriate qualifications, training, skills, knowledge and a clear understanding of their role and responsibilities in order to undertake their work. Induction training must include: emergency evacuation procedures; safeguarding; child protection; equality; behaviour management; health and safety.Regular appraisals should identify staff training and development needs.All practitioners should undertake a minimum of level 1 child protection training.A record of the completion of induction training, and that appropriate policies and procedures have been read and understood, should be kept on the individual’s personnel file.

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Section 3 – Child Protection Key Questions Guidance Notes Grading Evidence Actions Required

3.1 Does the setting have a clear and effective written safeguarding children policy and procedure?

Is there evidence that the policy is fully implemented and that staff fulfil their responsibilities in meeting the safeguarding and welfare

This should be in line with North Yorkshire Safeguarding Children Boards’ guidance and procedures.Settings may find it helpful to use the NYCC, or PLA policy guidance as a template for formulating their written policy.The policy should be reviewed at least annually.The setting should have measures in place to ensure that a culture of safeguarding is

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NYSCB Settings Safeguarding Audit 2016Key Questions Guidance Notes Grading Evidence Actions Requiredrequirements of the EYFS?

Is children’s safety and safeguarding central to everything practitioners do?

embedded, promoted and understood and have effective systems to monitor that the safeguarding policy is effectively implemented.Children should know that they can share concerns with any adults at the setting and their behaviour should show that they feel safe.

3.2 Does the policy include procedures for dealing with allegations against practitioners, volunteers and others working in or on behalf of the setting? Is there evidence that all staff understand these procedures?

The policy should include procedures to be followed where there are allegations of harm or abuse against persons working or looking after children at the premises, irrespective of whether the alleged incidents took place on the premises or elsewhere. See Section 10 NYSCB procedures.Registered providers must inform Ofsted or their childminder agency of any allegations of serious harm or abuse by any person living, working, or looking after children at the premises (whether the allegations relate to harm or abuse committed on the premises or elsewhere). Registered providers must also notify Ofsted or their childminder agency of the action taken in respect of the allegations. These notifications must be made as soon as is reasonably practicable, but at the latest within 14 days of the allegations being made. A registered provider who, without reasonable excuse, fails to comply with this requirement, commits an offence.

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They must also follow the NYSCB procedures and inform the Local Authority Designated Officer (LADO) without delay.

3.3 Is the policy and procedure explained to and accessible to parents and carers?

There should be evidence of this e.g. policy available in reception area/ parents and carers asked to sign a statement on the admission form that they have seen policy / information on setting website or brochure?

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3.4 Are child protection records forwarded to other settings/ the school when the child moves?

Settings should ensure that, when a child moves, any records relating to child protection are passed on, under separate cover, addressed to the setting or school’s designated person for child protection. It is good practice for the setting to keep the original copies and to provide photocopies for the new setting.

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3.5 Is there evidence that staff/volunteers have read “What to do if you’re worried a child is being abused 2015”?

Staff/volunteers should be provided with a copy. https://www.gov.uk/government/publications/what-to-do-if-youre-worried-a-child-is-being-abused--2

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3.6 Are staff and volunteers aware of what they should do if they have concerns about another staff member?

If staff members have concerns about another staff member then this should be referred to the Designated Lead Practitioner (DLP). Where there are concerns about the DLP, these should be referred to the chair of governors.

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3.7 Are staff and volunteers aware of what they should do if they have concerns about safeguarding practices within

Staff and volunteers should feel able to raise concerns about poor or unsafe practice and potential failures in the setting’s safeguarding regime.

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https://www.gov.uk/government/publications/what-to-do-if-youre-worried-a-child-is-being-abused--2



NYSCB Settings Safeguarding Audit 2016Key Questions Guidance Notes Grading Evidence Actions Requiredthe setting?

Appropriate whistleblowing procedures, which are suitably reflected in staff training and staff behaviour policies, should be in place for such concerns to be raised with the setting’s management team.

Where a staff member feels unable to raise the issue with their employer or feels that their genuine concerns are not being addressed, other whistleblowing channels may be open to them.

3.8 Is there a staff behaviour policy (code of conduct) in place?

This should include staff/child relationships and communications including the use of social media? https://www.gov.uk/government/publications/inspecting-safeguarding-in-early-years-education-and-skills-from-september-2015 Persons under medical investigation, treatment and/or taking medication should advise their medical practitioner of their employment to determine if this may affect their ability to care for children and their fitness for work. If so the staff member must inform their manager.Link to Statutory Framework for the EYFS 3.19

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3.9 Do parents understand the setting’s safeguarding responsibilities and know whom to talk to if they have a concern/complaint?

Information is shared with parents about safeguarding on their child’s admission into the setting and at meetings for new or prospective parents.Points of contact (in and out of setting times) should be included in the CP policy.

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https://www.gov.uk/government/publications/inspecting-safeguarding-in-early-years-education-and-skills-from-september-2015




3.10 Is there evidence that staff receive regular supervision and support if they are working directly with children where there are concerns about their safety and welfare?

Regular appraisals and supervision are undertaken for all staff.

Training needs analysis undertaken with key staff to establish training needs 5

Section4 - Behaviour / AttendanceKey Questions Guidance Notes Grading Evidence Actions Required

4.1 Does the policy refer to the statutory duty to prevent radicalisation?

Prevent duty guidance for England and Wales: guidance for specified authorities in England and Wales on the duty of schools and other providers in the Counter-Terrorism and Security Act 2015 to have due regard to the need to prevent people from being drawn into terrorism’, HM Government, 2015, including specific guidance with respect to further education.9 The DfE has provided additional guidance for schools and childcare providers ‘The prevent duty: for schools and childcare providers’.10 Additional guidance on Prevent for further education and skills providers is available on the Education and Training Foundation’s website.11 All staff should be made aware of the statutory requirements of the Prevent Duty: https://www.gov.uk/government/publications/protecting-children-from-radicalisation-the-prevent-duty

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https://www.gov.uk/government/publications/protecting-children-from-radicalisation-the-prevent-duty




4.2 Are appropriate records kept on children who attend the setting?

Personal information should be held on all children in line with the documentation requirements in the Statutory Framework. Additional data should be gathered to promote the safety and welfare of children: GP details; any court orders in relation to the child; details of persons with parental responsibility; persons authorised to collect the child; any specific medical needs or allergies.Child protection records should include detail of all significant contacts with parents, carers, other agencies/professionals and of all concerns, discussions, agreements made and actions taken. They should be timed, dated, state the name and designation of any person spoken to and there should be arrangements in place for monitoring and review of the records..Records relating to confidential child protection matters should be separate from the child’s main file, locked away and only accessible to the DSL/setting manager.All staff should be aware of the need to protect the privacy of children in their care and that information should be handled in a way that ensures confidentiality.Records should be shared with those who have a professional need to see them. Parents/carers should be provided with access to records about their child unless exemptions to disclosure under the 1998 Data Protection Act apply i.e. information which might cause serious harm to the physical or mental health of the pupil or another individual; or cases where the disclosure would reveal a child is at risk of

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abuse.

4.3 Does the setting ensure that children are aware of behaviour towards them that is unacceptable and who they can tell if they have are unhappy or concerned? Are children taught how to keep themselves safe and encouraged to adopt safe and sensible practices?

Positive experiences of children in the setting, the modelling behaviour of staff and the use of teaching and learning materials can all help children understand what is and is not acceptable. They can help children to feel secure and able to express their views and preferences, give them the skills to take responsibility for their own and other’s safety and give them the courage and confidence to tell adults if they are unhappy or if someone is doing something to them that they do not like. Children should be made aware that they can speak about concerns or worries with anyone of their choice whom they trust, both within and outside the setting.Settings can enable children to be protected from abuse and neglect when they help them to: understand their world; make choices; express themselves and their feelings; ask for help; understand appropriate behaviour; keep themselves safe.Settings should consider how to seek the views of children and ensure that the ‘child’s voice’ is heard in matters regarding their care. They might also have posters, displays and helpline numbers on show.

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4.4 Does the setting know how to respond if a child or young person places themselves at risk by leaving the building /grounds?

The setting should provide good practice guidance to all staff, to ensure the safety of the child or young person, inform parents/carers and significant others, as necessary.

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4.5 Are staff and providers aware of and implement the requirements of the EYFS when children go missing while in the care of the provider?

EYFS 3.62; 3.73

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Section 5 – Premises Security/Health and SafetyKey Questions Guidance Notes Grading Evidence Actions Required

5.1 Is the policy implemented consistently to ensure that all staff take individual and collective responsibility to create an environment that is welcoming safe and stimulating?

This should be in line with North Yorkshire Safeguarding Children Boards’ guidance and procedures.Settings may find it helpful to use the NYCC, or PLA policy guidance as a template for formulating their written policy.The policy should be reviewed at least annually.The setting should have measures in place to ensure that a culture of safeguarding is embedded, promoted and understood and have effective systems to monitor that the safeguarding policy is effectively implemented.Children should know that they can share concerns with any adults at the setting and their behaviour should show that they feel safe

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5.2 Does the policy have links to other policies and practices relating to welfare arrangements?

These include: teaching and learning; rights and entitlements; equality of opportunity; meeting individual needs; behaviour management and physical intervention; bullying; children not collected; children who go missing; confidentiality; records; intimate care; illness and injuries; administering

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medicines; accidents and incidents; food and drink; staffing ratios; safety and security of premises ; suitable premises, environment and equipment; outings; information to parents; recruitment; concerns and complaints; whistle blowing; disciplinary procedure; use of mobile phones/cameras/images; acceptable use of ICT and e-technology; safe working practice.

5.3 Does the setting have clear guidance to staff and parents to ensure children remain safe from the harmful effects of exposure sunlight?

Application of sunscreen before attending setting, during opening hours, wearing hats drinking water, access to shaded areas. Setting will need written parent permission to apply sun cream provided by parents.

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5.4 Are arrangements are in place to ensure the security of the setting and of individual setting buildings, so as to safeguard against children leaving without permission.

This can be achieved by the installation of suitable physical barriers, fencing, gates, locks on doors etc. and/or by direct supervision so that no child is permitted in an insecure area unless under supervision. For example it would not be acceptable to allow children to transit between buildings unsupervised to go to the toilet on a site with insecure boundaries.All designated fire exits must be easily opened from the inside by adults. This can include high level locks/bars where it necessary to prevent children exiting a building unnoticed.

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5.5 Are measures in place to ensure that children remain safe and appropriately supervised during non-structured times of the day or whilst engaged in outside play?

Free flow play areas and nursery areas need to be securely fenced with gates that are locked whilst children are using the area and of sufficient height to remove the threat of a snatching. It is important that staff working in the setting ensure that pupils are constantly under visual supervision.EYFS states children should be in the sight

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or hearing of staff. Settings should consider how to deploy staff effectively to keep children safe and also facilitate children’s learning both in indoor and outdoor classrooms. The outdoor classroom should be seen as a learning environment.

5.6 Are robust arrangements in place for receiving and handing over children at the start and end of the day, including procedures for registering the arrival and departure of children at other times within the day?

Staff should only hand over a child to an adult who is known to the setting as someone permitted by parents/carers to receive the child. Transparent systems should be in place for signing children in and out at other times of the day.

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Section 6 – Working ArrangementsKey Questions Guidance Notes Grading Evidence Actions Required

6.1 Does the policy include procedures to be followed with regard to any abuse that may have taken place on the premises?

All providers must inform Ofsted without delay of such matters, and of the actions taken, failure to do so without reasonable excuse is a criminal offence.They must also follow the NYSCB procedures and inform Children’s Social Care (CSC)/ Police without delay.

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6.2 Does the policy include procedures to be followed regarding concerns that a child may be suffering Abuse or neglect?

All matters should be reported to the designated practitioner with lead responsibility for safeguarding children within the setting and, where appropriate a referral made, to CSC and the police. A referral should always be made where there are concerns about significant harm, including where the child is already an open case to CSC. E.g. a Looked After Child. The policy should also make reference to

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external avenues for notifying concerns, links to use of whistle blowing procedures and also to escalation procedures ref NYSCB procedures 15.4.

6.3 Does the policy cover the use of mobile phones, videos, tablets cameras and other equipment with capacity to record images?Does the policy cover arrangements for parents, visitors and staff?

The policy should set out the setting’s arrangements for use of equipment and the taking, storing and use of images of childrenStaff should not have personal mobile phones with them in the setting or outdoor areas. These should be locked away. See NYCC Safeguarding Children Policy and Procedure Guidance for Early Years Providers July 2015

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6.4 Does the policy clearly set out arrangements for record keeping, information sharing and confidentiality?

All staff should be made aware of the need to maintain clear, objective and accurate records.There should be clear arrangements for both child protection records and for records relating to other welfare concerns. See NYCC Safeguarding Children Policy and Procedure Guidance for Early Years Providers July 2015 and Welfare Files Guidance Appendix C The policy should include confidentiality requirements, reference to The Data Protection Act and that failure to comply with this may be a criminal offence.

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6.5 Are all practitioners, (including temporary staff, students and volunteers,) given a copy of the policy and procedure on induction?

There should be evidence of this e.g. a written record, signed by staff to confirm that they have read and understand the policy and procedures and know when and how to respond in a timely and appropriate way.

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6.6 Has the setting designated a practitioner with lead

The person appointed as DSL should be someone who has made a positive 5

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NYSCB Settings Safeguarding Audit 2016Key Questions Guidance Notes Grading Evidence Actions Requiredresponsibility for safeguarding and child protection, the Designated Safeguarding Lead (DSL)?

Has the setting appointed a Deputy DSL?

commitment to undertaking this role and they should be sufficiently senior, experienced and trained to fulfil the demands of the role which will include: providing safeguarding induction and on-going support, advice and guidance to staff; decision making with regard to risk; making referrals to CSC and police; talking to parents about concerns; liaison with other agencies, services and the North Yorkshire Safeguarding Children Board; undertaking single agency and contributing to multi agency assessments; attendance and decision making at multi-agency child protection meetings and contributing to arrangements to safeguard children as part of a Child In Need or Child Protection plan.Ordinarily the Deputy DSL would not need to attend multi agency meetings therefore does not need to attend training. However for long term sickness / absences the Deputy DSL will need to attend level 2 training without delay.

6.7 Is there evidence that all staff receive induction training in child protection and safeguarding and refresher training every two years?

Is there evidence that safeguarding is a key component at all staff meetings, staff appraisals and supervision?

All staff should have appropriate qualifications, training, skills, knowledge and a clear understanding of their role and responsibilities in order to undertake their work.Induction training must include: emergency evacuation procedures; safeguarding; child protection; equality; behaviour management; health and safety.Regular appraisals should identify staff training and development needs.All practitioners should undertake a minimum of level 1 child protection training.A record of the completion of induction

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training, and that appropriate policies and procedures have been read and understood, should be kept on the individual’s personnel file.

6.8 Does the setting work in partnership with parents?

Parents should be informed and consulted in all matters relating to their child’s welfare. Only in exceptional circumstances should referrals be made to Children’s Social Care without parents knowledge and consent, (see NYSCB procedures.) Research confirms that best outcomes for children are achieved by positive, open and honest communication and partnership work with parents.

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6.9 Does the setting remedy, without delay, any deficiencies or weaknesses regarding safeguarding and child protection arrangements?

This checklist may assist the setting in identifying any issues to be addressed and provide evidence of safeguarding measures for Ofsted inspection.It will also be used by NYCC staff who support the setting in order that the Local Authority can monitor the effectiveness of the setting’s safeguarding arrangements

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6.10 Does the setting comply with EYFS requirements with regard to health: medicines; food and drink; accidents and injuries; managing behavioursafety and suitability of premises, environment and equipment

These are set out on pages 25-29 of the Statutory Framework for the Early Years Foundation StageSee NYCC Policy Guidance

All practitioners should be made aware that corporal punishment must not be used and registered persons must ensure that it is not used. Failure to comply with this requirement would constitute a criminal offence.

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6.11 Does the setting have a written complaints and concerns procedure which

Providers must put in place a written procedure for dealing with concerns and complaints from parents and/or carers, and

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NYSCB Settings Safeguarding Audit 2016Key Questions Guidance Notes Grading Evidence Actions Requiredcomplies with Ofsted requirements and can its use be evidenced?

must keep a written record of any complaints, and their outcome. All providers must investigate written complaints relating to their fulfilment of the EYFS requirements and notify complainants of the outcome of the investigation within 28 days of having received the complaint. The record of complaints must be made available to Ofsted or the relevant childminder agency on request. Providers must make available to parents and/or carers details about how to contact Ofsted or the childminder agency with which the provider is registered as appropriate, if they believe the provider is not meeting the EYFS requirements. If providers become aware that they are to be inspected by Ofsted or have a quality assurance visit by the childminder agency, they must notify parents and/or carers. After an inspection by Ofsted or a quality assurance visit by their childminder agency, providers must supply a copy of the report to parents and/or carers of children attending on a regular basis.

The ‘complaints’ procedure is different from the allegations against staff and volunteers procedure where specific Safeguarding Children Board Procedures apply. The setting should have a separate policy/procedure for this.

Thank you for completing the audit.

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NYSCB Settings Safeguarding Audit 2016

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