Guidance on writing compliance action
summaries
This guidance is to help inspectors to write outcome summaries. We only write these
summaries in the very small number of cases where we take steps to cancel a
provider’s registration and cannot therefore inspect and publish an inspection report.
Age group: 0–18
Published: December 2012
Reference no: 100162
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 Support Service (Cafcass), schools, colleges, initial teacher training, work-based
learning and skills training, adult and community learning, and education and training in prisons and
other secure establishments. It assesses council children’s services, and inspects services for looked
after children, safeguarding and child protection.
If you would like a copy of this document in a different format, such as large print or Braille, please
telephone 0300 123 1231, or email [email protected].
You may reuse this information (not including logos) free of charge in any format or medium, under
the terms of the Open Government Licence. To view this licence, visit
www.nationalarchives.gov.uk/doc/open-government-licence/, write to the Information Policy Team,
The National Archives, Kew, London TW9 4DU, or email: [email protected].
This publication is available at www.ofsted.gov.uk/resources/100162.
Interested in our work? You can subscribe to our website for news, information and updates at
www.ofsted.gov.uk/user.
Piccadilly Gate
Store Street
Manchester
M1 2WD
T: 0300 123 1231
Textphone: 0161 618 8524
E: [email protected]
W: www.ofsted.gov.uk
No. 100162
© Crown copyright 2012
Contents
About this guidance
4
Introduction
4
Where outcome summaries appear on the web
4
Complaints about the publication of outcome summaries
5
Publication of summaries that relate to a death of a child
5
Information that relates solely to the suitability of a registered person responsible
for more than one setting
5
Writing and reviewing outcomes summaries
Decisions that are subject to change by external bodies
Objections and appeals
5
6
6
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
6
7
7
8
8
8
8
Examples of outcome summaries
9
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: www.ofsted.gov.uk/early-years-and-childcare/for-parentsand-carers/early-years-and-childcare-providers-information-commitmentparents-and-carers.
Where outcome summaries appear on the web
6.
4
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.
Guidance on writing complaint and compliance action summaries
December 2012 No. 100162
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
1
Complaints procedure: raising concerns and making complaints about Ofsted, Ofsted, 2010;
www.ofsted.gov.uk/resources/070080.
Guidance on writing complaint and compliance action summaries
December 2012 No. 100162
5
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)

2
3
decision to cancel.
Data Protection Act 1998: www.legislation.gov.uk/ukpga/1998/29/contents.
Human Rights Act 1998: www.legislation.gov.uk/ukpga/1998/42/contents.
6
Guidance on writing complaint and compliance action summaries
December 2012 No. 100162
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.
Guidance on writing complaint and compliance action summaries
December 2012 No. 100162
7
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
8
Guidance on writing complaint and compliance action summaries
December 2012 No. 100162
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
Death of a child – emergency cancellation
Compliance action (relating to a death of a child)
On 1 September 2012, we received information about a provider on the Early Years Register
and the compulsory part of the Childcare Register that a child was injured at the setting and
subsequently died.
Entry into publication box
Summary of compliance action
On 1 September 2012, we were informed that a child had suffered an injury at the setting
and had subsequently died.
What we did in response/what we found as a result
We carried out an unannounced visit to the premises. We found the provider did not meet a
large number of the legal requirements of registration including to have at least one person
who has a current paediatric first aid certificate on the premises at all times when children
are present.
Action taken
We have taken action to cancel the registration by applying to a Magistrate who issued a
notice of cancellation.
The registered provider can appeal to an independent external tribunal, the First Tier
Tribunal (Health, Education and Social Care Chamber). It may overturn the decision to
cancel the provider’s registration.
We will monitor this provider to ensure that they comply with the cancellation until the
period for the provider to object to the notice or appeal to the Tribunal has passed.
Guidance on writing complaint and compliance action summaries
December 2012 No. 100162
9
Death of a child – emergency cancellation
Compliance action (relating to a death of a child)
On 1 September 2012, we received information about a provider on the Early Years Register
and the compulsory part of the Childcare Register that a child was injured at the setting and
subsequently died.
Entry into publication box
Summary of compliance action
On 1 September 2012, we were informed that a child had suffered an injury at the setting
and had subsequently died.
What we did in response/what we found as a result
We carried out an unannounced visit to the premises. We found the provider did not meet a
large number of the legal requirements of registration including to have at least one person
who has a current paediatric first aid certificate on the premises at all times when children
are present.
Action taken
We have taken action to cancel the registration by applying to a Magistrate who issued a
notice of cancellation.
The registered provider can appeal to an independent external tribunal, the First Tier
Tribunal (Health, Education and Social Care Chamber). It may overturn the decision to
cancel the provider’s registration.
We will monitor this provider to ensure that they comply with the cancellation until the
period for the provider to object to the notice or appeal to the Tribunal has passed.
10
Guidance on writing complaint and compliance action summaries
December 2012 No. 100162
Death of a child – emergency cancellation
Compliance action (relating to a death of a child)
On 1 September 2012, we received information about a provider on the Early Years Register
and the compulsory part of the Childcare Register that a child was injured at the setting and
subsequently died.
Entry into publication box
Summary of compliance action
On 1 September 2012, we were informed that a child had suffered an injury at the setting
and had subsequently died.
What we did in response/what we found as a result
We carried out an unannounced visit to the premises. We found the provider did not meet a
large number of the legal requirements of registration including to have at least one person
who has a current paediatric first aid certificate on the premises at all times when children
are present.
Action taken
We have taken action to cancel the registration by applying to a Magistrate who issued a
notice of cancellation.
The registered provider can appeal to an independent external tribunal, the First Tier
Tribunal (Health, Education and Social Care Chamber). It may overturn the decision to
cancel the provider’s registration.
We will monitor this provider to ensure that they comply with the cancellation until the
period for the provider to object to the notice or appeal to the Tribunal has passed.
Guidance on writing complaint and compliance action summaries
December 2012 No. 100162
11