1.4 Decision-making: childminding,
childcare and children’s social care
Compliance, investigation and enforcement handbook: powers, principles and making
decisions
Contents
Introduction
3
Compliance, investigation and enforcement (CIE) decision-making table 3
CIE case reviews
6
Introduction
1.
Following an inspection or an investigation, we make a decision about what
action to take, based on all the evidence available. We make the decision
according to the decision-making table using the agreed forum. Our standard
forum for decision-making is the case review, which considers all available
evidence and information about non-compliance, as well as the enforcement
options available, before the decision-maker reaches a decision that is
proportionate and appropriate.
2.
We take action to implement a decision as soon as possible after we make it.
We take decisions at the level set out in the table below. We use alternative
decision-making forums as indicated in the table.
Compliance, investigation and enforcement (CIE)
decision-making table
Action
Decision-maker
Forum: CIE case
review, case
discussion or CIE
process
Actions following investigation –
notice to improve
CIE professional
Case review or case
discussion
Welfare requirements notice or
compliance notice
CIE professional
Case review or a case
discussion
Notice to refuse registration –
where a CIE case remains open –
childminding
CIE senior officer
Case review
Notice to refuse registration –
where a CIE case remains open –
childcare
CIE senior officer
Case review
Notice to refuse registration –
where a CIE case remains open –
social care
CIE senior officer
Case review
Notice to vary/refuse to
vary/impose condition of
registration – other than at the
provider’s request and where a
CIE case remains open
CIE senior officer
Case review
1.4 Decision-making: childminding, childcare and children’s social care
August 2012 No. 120261
3
4
Action
Decision-maker
Forum: CIE case
review, case
discussion or CIE
process
Warning letters – issued after an
interview under the Police and
Criminal Evidence Act 1984
CIE senior officer
Case review
Warning letters – low level
CIE senior officer
Case discussion
Enforcement notice
CIE senior officer
Case review
Enforcement notice in relation to
reciprocal childcare between
friends
Delivery Director
Case review
Suspension of registration up to
12 weeks (applies only to
childcare)
CIE senior officer
Case review
Continuing suspension beyond 12
weeks
Principal officer
Case review
Issuing a notice restricting
accommodation up to 12 weeks
(applies only to children’s homes
and residential family centre
providers)
CIE senior officer
Case review
Issuing a notice restricting
accommodation beyond 12 weeks
(applies only to children’s homes
and residential family centre
providers)
Principal officer
Case review
Notice to cancel registration of a
childminder – except for nonpayment of fees
CIE senior officer
Case review
Notice to cancel registration of a
childcare provider – except for
non-payment of fees
CIE senior officer
Case review
Notice to cancel registration of a
social care provider
CIE senior officer
(The Divisional
Manager, Safeguarding
and Regulation, will
prepare a briefing for
the Director, Social
Care)
Case review
1.4 Decision-making: childminding, childcare and children’s social care
August 2012 No. 120261
Action
Decision-maker
Forum: CIE case
review, case
discussion or CIE
process
Surveillance
Divisional Manager,
either Early Years
Foundation Stage
Frameworks, or Social
Care Delivery
Case review
Prosecution
Principal officer
Case review
Offer a simple caution following
an interview under the Police and
Criminal Evidence Act 1984
Principal officer
Case review
Constable to assist in exercise of
power of entry
Principal officer
Case review
Emergency action application to
Justice of the Peace
Principal officer
Case review
Waive disqualification/give
written consent
CIE senior officer
CIE waiver process
Objection/representation
CIE senior officer
CIE objection/
representation process
Referral to Independent
Safeguarding Authority
Principal officer
Case review
1.4 Decision-making: childminding, childcare and children’s social care
August 2012 No. 120261
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CIE case reviews
3.
We hold a CIE case review whenever we need to consider taking statutory
enforcement action, as set out above in the table above. We do not hold a case
review when we take non-statutory action as result of an investigation, for
example when we issue a notice to improve, but we may hold a case
discussion.
4.
The purpose of a case review is to:
 review the consistency in approach to taking statutory enforcement action
 explore whether or not we have considered all other options before making
a decision
 review historic information relating to alleged or actual non-compliance
 test that the sufficiency of evidence supports the proposed action
 decide whether we need to obtain further evidence.
5.
Each case review must include a decision-maker in line with the table above.
The case review attendees will depend on the complexity of the case. While CIE
team members will be the main attendees, it may be appropriate, in some
cases, for other staff to attend. These may include Her Majesty’s Inspectors, a
Managing Inspector, or inspectors employed by inspection service providers.
6.
We record the decision(s) made at a case review on our RSA database. We
include the reasons for our decision and the reasons why other options were
not appropriate.
7.
In a case review we consider:
History
This considers all compliance information from previous cases, action taken in
response to that information and the response from the provider, as well as
trends in non-compliance. We may also consider, when relevant, information
from other provision registered to the provider.
New information
New information gained during the course of the investigation or otherwise not
previously considered in a CIE case review, for example information from the
provider/applicant, a record of evidence or documents.
Identification of issues
6
1.4 Decision-making: childminding, childcare and children’s social care
August 2012 No. 120261
The key aspects of the concerns leading up to the case review, including any
non-compliance with legislation, concerns about possible risks to children or the
suitability of an individual to be involved in childcare.
Options
The courses of action available to us and why alternative options to the
decision we make are not appropriate.
Risks and impact of the decision
The impact of a decision and any additional risks that implementing that
particular decision may have for the provider, children in the care of the
provider and the wider community.
Decision
The decision and why it is appropriate. If necessary, we will seek advice from a
senior manager or refer the decision to a senior manager.
Outcome
The necessary actions, who is responsible for each action and the timescales
for completing each action.
Implications
Possible implications, such as possible contact from parents, placing authorities,
the level of any potential media interest, implications for other provision
registered to the provider, as well as any follow up work required.
Date of, or trigger for, next case review if necessary
Identification of when the next case review is required.
1.4 Decision-making: childminding, childcare and children’s social care
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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.
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No. 120261
© Crown copyright 2012