Supplementary guidance for
inspecting safeguarding
September 2010
The purpose of Estyn is to inspect quality and standards in education and training
in Wales. Estyn is responsible for inspecting:
 nursery schools and settings that are maintained by, or receive funding from, local
authorities;
 primary schools;
 secondary schools;
 special schools;
 pupil referral units;
 independent schools;
 further education;
 adult community learning;
 local authority education services for children and young people;
 teacher education and training;
 work-based learning;
 careers companies; and
 offender learning.
Estyn also:
 provides advice on quality and standards in education and training in Wales to the
National Assembly for Wales and others; and
 makes public good practice based on inspection evidence.
Every possible care has been taken to ensure that the information in this document is
accurate at the time of going to press. Any enquiries or comments regarding this
document/publication should be addressed to:
Publication Section
Estyn
Anchor Court
Keen Road
Cardiff
CF24 5JW or by email to publications@estyn.gov.uk
This and other Estyn publications are available on our website: http://www.estyn.gov.uk
© Crown Copyright 2011: This report may be re-used free of charge in any format
or medium provided that it is re-used accurately and not used in a misleading
context. The material must be acknowledged as Crown copyright and the title of
the report specified.
What is the purpose?
This provides further guidance for inspectors to use for reference during inspection
alongside the sector guidance for inspection, to support specific lines of enquiry.
For whom is it intended?
For all inspectors
From when should the guidance be used?
September 2010
Date of publication: February 2011
Introduction
This supplementary guidance aims to support inspectors as necessary in reviewing
providers’ safeguarding arrangements when carrying out inspections. It may be used for
reference during inspection alongside Estyn’s Policy and Procedures for Safeguarding
2009.
Key telephone numbers:
Estyn’s lead officer for safeguarding: Rosemary Lait 07795 520453
Estyn’s main office (between office hours): 02920 446446
Contents
Page
Section 1
Definition of safeguarding
1
The legal background and requirements
2
Estyn’s Common Inspection Framework 2010:
5
• Where is safeguarding reported in the framework?
• Inspecting in the primary schools and non-maintained settings.
• Inspecting education with boarding or residential provision.
5
6
7
Section 2
Guidance for inspectors on making judgements about the effectiveness of
safeguarding procedures in schools:
• Making a judgement in schools.
8
10
Section 3
Safeguarding children who may be particularly vulnerable
14
Section 4
Safeguarding vulnerable adults:
• Making a judgement in provision for adults.
Annexes:
1 Examples of judgements
2 A checklist for inspectors
3 Interviewing the headteacher
4 Interviewing the chair of governors or other governors
5 Interviewing the designated member of staff about child protection
6 Evaluating a school’s child protection policy
7 Evaluating the quality of records relating to safeguarding issues
8 Training for the designated members of staff
9 Criminal Records Bureau disclosures
10 Vetting and Barring Scheme
11 Safe recruitment procedures
16
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Supplementary guidance for inspecting safeguarding
September 2010
Part 1: Definition of safeguarding
In Safeguarding Children: Working Together Under the Children Act 2004, the
National Assembly for Wales defines safeguarding as:
• protecting children from abuse and neglect;
• preventing impairment of their health or development; and
• ensuring that they receive safe and effective care;
…so as to enable them to have optimum life chances.
The arrangements that local authorities, schools, further education providers and other
settings have in place need to provide for these aspects of safeguarding. Where there
are statutory requirements, providers should have appropriate policies and procedures
to satisfy those, and comply with Welsh Assembly Government guidance.
Safeguarding outcomes for learners are as follows:
• learners feel safe: the effectiveness of providers in taking reasonable steps to
ensure that children and young people feel safe; and
• learners are safe: the effectiveness of providers in taking reasonable steps to
ensure that children and young people are safe.
Safeguarding is not just about protecting learners from deliberate harm. It includes
issues for providers such as:
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learners’ health and safety;
bullying;
racist abuse;
harassment and discrimination;
use of physical intervention;
meeting the needs of learners with medical conditions;
providing first aid;
drug and substance misuse;
educational visits;
intimate care;
internet safety;
matters that may be specific to a local area or population, for example suicide; and
security.
Safeguarding practice and guidance is underpinned by a duty for providers to
co-operate with relevant agencies to safeguard and promote the welfare of learners.
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Supplementary guidance for inspecting safeguarding
September 2010
Legal background and requirements
The Children Act 1989 and the Children Act 2004 provide the main legislative context for
the All Wales Child Protection Procedures and place a duty on designated bodies to
safeguard and promote the welfare of children.
The procedures reflect the values and principles enshrined in the UN Convention on the
Rights of the Child. The Welsh Assembly Government developed these values and
principles in Children and Young People: Rights to Action 2004, and adopted core aims
and outcomes through which it is committed to work with all children and young people.
The key outcomes for improving the wellbeing of children from conception to adulthood,
include the requirement that children live in a safe environment and are protected from
harm.
Inspectors must be familiar with ‘Estyn’s policy and procedures for safeguarding’ 2009
which covers children, young people and vulnerable adults. All inspectors should be
aware of what to do in the event of receiving allegations about safeguarding.
It is essential that for inspecting schools, inspectors are also familiar with the content of
Welsh Assembly Government Guidance:
Circular no 005/2008: ‘Safeguarding Children in Education’; and
Circular no 34/2002: ‘Child Protection: Preventing Unsuitable People from Working with
Children and Young Persons in the Education Service’.
These guidance documents set out the responsibilities placed on schools to safeguard
and promote the welfare of young people. 1 They set out the arrangements for
safeguarding children under section 175 of the Education Act 2002.
Circular 005/2008 ‘Safeguarding Children in Education’ states that:
“All education establishments… are subject to inspection by Estyn, and in some
cases the Care and Social Services Inspectorate for Wales (CSSIW). The
establishment’s performance in regard to their responsibility to safeguard and
promote the welfare of children in accordance with the relevant legislation and
guidance will form part of the relevant inspectorate’s judgement of the
establishment’s overall performance. Performance in this area will not be judged
solely on the existence of procedures but also by their effectiveness in terms of
safeguarding children from harm”.
1
The Guidance applies to pupil referral units, governing bodies and headteachers of maintained,
voluntary aided and foundation schools, church diocesan authorities, non-maintained settings,
proprietors and headteachers of independent schools, and principals of further education institutions.
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Supplementary guidance for inspecting safeguarding
September 2010
Section 25 of the Children Act 2004 requires that each local authority in Wales must
make arrangements to promote cooperation between the authority, each of the
authority’s relevant partners and such other persons that the authority thinks
appropriate, to improve the wellbeing of children and relevant young people in each
local authority area.
The Children and Young People’s Plan (Wales) Regulations 2007 require that each local
authority will publish a Children and Young People’s Plan (CYPP) setting out how they
will improve the wellbeing of children and young people.
Leaders and managers should be clear about their statutory responsibilities regarding
safeguarding and the steps they are taking to develop good practice beyond the
statutory minimum. In a school, the governing body is accountable for ensuring that the
school has affective policies in place, in accordance with Welsh Assembly Government
guidance, and is monitoring the school’s compliance with this.
Regardless of local authority procedures, it is the governing body’s responsibility to
ensure that safe recruitment checks are carried out in line with Welsh Assembly
Government Guidance 2.
In accordance with the Guidance, all those who employ people to work in schools and
non-maintained settings must carry out specified recruitment and vetting checks on
intended new appointees that include:
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identity and qualification checks;
professional and character references;
previous employment history;
health checks; and
Criminal Record Bureau checks (if appropriate in accordance with the Guidance).
Checks for qualified teachers should also include registration with the General Teaching
Council for Wales (GTCW).
Since 12 October 2009 it has been a criminal offence for employers:
• to take on an individual in Independent Safeguarding Authority (ISA) regulated
activity, such as schools, whom they know to have been barred from such
activity; and
• not to refer details to the ISA, of anyone who is removed from regulated activity or
who leaves while under investigation for allegedly causing harm or posing a risk of
harm.
2
Circular no 34/2002: ‘Child Protection: Preventing Unsuitable People from Working with Children and
Young Persons in the Education Service’.
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Supplementary guidance for inspecting safeguarding
September 2010
There is currently no legal requirement for schools or non-maintained settings in Wales
to keep and maintain a single central register showing, in relation to staff, whether
various checks have been carried out and the date on which each check was
completed. However, Estyn inspectors should regard this as good practice.
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Supplementary guidance for inspecting safeguarding
September 2010
Estyn’s Common Inspection Framework 2010
Estyn’s Common Inspection Framework 2010 places high priority on safeguarding and
learners’ wellbeing. Estyn’s Guidance states that:
“If the (provider) does not have an appropriate policy or procedures, the
judgement for 2.3 (care support and guidance) should be unsatisfactory. In
these cases, the report will state:
“The (provider) does not have an appropriate policy for safeguarding. Procedures
for dealing with safeguarding issues are not fully developed”.
Where is safeguarding reported in the framework?
Key question 1.2 Wellbeing
1.2.1 attitudes to keeping healthy and safe
To what extent do learners feel safe? Inspectors should evaluate:
• how safe learners feel in the provision, including their understanding of issues
relating to safety, such as bullying;
• the extent to which learners feel able to seek support from the provider should they
feel unsafe; and
• learners’ own views about being safe and free from harassment.
Key question 2.3 Care support and guidance
2.3.3 safeguarding arrangements
How safe is the provision? Inspectors should evaluate:
• policies and procedures;
• staff recruitment and training procedures; and
• site security.
Key question 3 How good are leadership and management?
3.1.1 strategic direction and the impact of leadership
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Supplementary guidance for inspecting safeguarding
September 2010
3.1.2 governors and other supervisory bodies
Inspectors should evaluate the extent to which leaders and managers:
• understand their roles and responsibilities with regard to safeguarding;
• implement clear policies; and
• the rigour of the governing body’s procedures to ensure the health, safety and
wellbeing of staff and learners.
3.3 Partnerships
Inspectors should evaluate:
• the effectiveness of the provider’s work with services provided, to promote the
safety and health of all learners; and
• any regular movement of learners from the site as part of partnership activity, for
example as part of the 14-19 provision.
Inspecting in primary schools and non-maintained settings
When inspecting in primary schools and non-maintained settings, inspectors may take
account of:
• the extent to which children behave in ways that are safe for themselves and others;
• children’s understanding of danger and how to stay safe;
• the extent to which children feel safe and are confident to confide in adults at the
school/setting;
• the steps taken by the key people to safeguard and promote the welfare of children
and how well adults teach children about keeping safe;
• whether appropriate action is taken when children are ill;
• the suitability and safety of outdoor and indoor spaces, furniture, equipment and
toys;
• the maintenance of records, policies and procedures required for the safe and
efficient management of the Foundation Phase;
• the suitability and qualifications of the adults looking after children or having
unsupervised access to them; and
• the effectiveness of risk assessments and actions taken to manage or eliminate
risks.
Non-maintained settings
When inspecting non-maintained settings, Estyn inspectors must liaise with Care and
Social Services Inspectorate Wales (CSSIW).
The registration and inspection of day care provision for children under 8 years old in
Wales is undertaken by CSSIW under the Children Act 1989, as amended by the Care
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Supplementary guidance for inspecting safeguarding
September 2010
Standards Act 2000. CSSIW inspects against the Child Minding and Day Care (Wales)
Regulations 2002 and concentrates on the welfare and development of the children, the
suitability of providers and their staff, and the safety and suitability of premises and
equipment.
Estyn has responsibility for inspecting educational standards of early years
non-maintained settings which are eligible for education funding under Early Years
Development Partnership Plans. Estyn inspects and reports on children’s standards,
the quality of provision and leadership.
Inspecting education with boarding or residential provision
Where education has boarding provision or is linked to a residential setting, Estyn
inspectors must liaise with Care and Social Services Inspectorate Wales (CSSIW) to
ensure that the provision contributes to boarders’ or residents’ needs in relation to their
safety.
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Supplementary guidance for inspecting safeguarding
September 2010
Part 2: Guidance for inspectors in making judgments about the
effectiveness of safeguarding procedures
Inspectors will use a wide range of evidence.
Pre-inspection information
Inspectors may consider:
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the previous inspection report;
any complaints Estyn may have received;
written information from the local authority, parents or other partners;
responses to the parents’ and learners’ questionnaires; and
the self-evaluation report.
Inspectors should take particular account of the provider’s context. The key areas for
focus should be:
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school federations and other collaborative arrangements;
the number of sites being used;
off-site provision;
work-based learning provision;
extended services provision;
joint 14-16 or post 16 provision;
the number of learners enrolled in alternative provision;
the number of children on the child protection register;
the number of refugees or asylum seekers;
the number of looked after children; and
exclusions and transfers of learners.
Inspection planning
It is important that responsibility for inspecting safeguarding is allocated to the reporting
inspector or a team inspector. In most circumstances, the peer and lay inspector should
only be required to provide support.
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Supplementary guidance for inspecting safeguarding
September 2010
Inspectors will need to consider how to allocate inspection time to gather enough
evidence to underpin judgements. They may include questions specific to safeguarding 3
at meetings with:
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•
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•
the headteacher;
the chair of governors;
staff;
parents; and
learners.
Inspectors may also arrange to meet with the designated person with responsibility for
child protection (if not the headteacher).
It is also important for inspectors to establish if all staff are aware of the school’s policies
and procedures, for example by asking staff on duty at break times about the provider’s
child protection procedures.
Inspection activity may include:
• close scrutiny of relevant provider policies and procedures, in particular for child
protection, bullying and risk assessment on school trips;
• evaluating the quality of recording, by reviewing at least one case file of a learner
where there have been child protection concerns;
• paying particular attention to attendance patterns and procedures;
• considering disciplinary records;
• checking procedures for recruitment of staff including CRB and ISA checks;
• checking staff child protection training records;
• considering the provider’s procedures to ensure the security of the site and
buildings; and
• noting any aspects of maintenance of the premises that may impact on learners’
safety.
3
See Annexes 3, 4 and 5
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Supplementary guidance for inspecting safeguarding
September 2010
Making a judgement in schools
Key question 1.2 Wellbeing
1.2.1 attitudes to keeping healthy and safe
To what extent do learners feel safe? Inspectors should evaluate:
• how safe learners feel in the provision, including their understanding of issues
relating to safety, such as bullying;
• the extent to which learners feel able to seek support from the provider should they
feel unsafe; and
• learners’ own views about being safe and free from harassment.
Inspectors should take into account the extent to which the school helps pupils to
keep themselves safe, including encouraging pupils to adopt safe and
responsible practices and deal sensibly with risk.
Do pupils feel safe and adopt safe practices?
Is the school proactive in developing pupils’ safety awareness, particularly in relation to
internet safety?
Key question 2.3 Care support and guidance
2.3.3 safeguarding arrangements
How safe is the provision? Inspectors should evaluate:
• policies and procedures;
• staff recruitment and training procedures; and
• site security.
Inspectors should take into account the extent to which the provider has clear
policies, strategies and procedures to ensure the safeguarding and welfare of
learners, including those relating to behaviour, bullying, health and safety,
harassment and discrimination, and meets all required duties.
Have leaders and managers taken account of Welsh Assembly Government guidance
setting out schools’ responsibilities to safeguard and promote the welfare of children?
Does the school ensure that adults working with pupils are appropriately recruited and
vetted?
Are there robust governance and lines of responsibility to ensure that the school’s
practice meets required standards?
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Supplementary guidance for inspecting safeguarding
September 2010
Does the school have a child protection policy and procedures that are in accordance
with local authority guidance and locally agreed inter-agency procedures, and is this
policy made available to parents on request?
Inspectors should take into account the extent to which the school ensures that
adults receive up-to-date, high quality, appropriate training, guidance, support
and supervision to undertake the effective safeguarding of pupils.
In addition to basic child protection training, has the designated member of staff
undertaken training in inter-agency working 4 that is provided by, or to standards agreed
by, the Local Safeguarding Children Board, and regular refresher training to keep
knowledge and skills up-to-date?
Do all staff and other adults who work with children undertake appropriate and up-todate training, relevant to the type of provision, to equip them to carry out their
responsibilities for child protection effectively, that is kept up-to-date by refresher
training?
Inspectors should take into account the extent to which the school encourages
and enables pupils to report any concerns or complaints, including concerns
about poor or abusive practices.
Is there a clear reporting system if a pupil, member of staff, parent or other person has
concerns about the safety of children?
Inspectors should take into account the extent to which the school takes
reasonable steps to ensure that learners are safe on the site, for example by
monitoring visitors or volunteers or those using the premises during school time.
Does the school have adequate security arrangements for the grounds and buildings?
Are procedures for entry to the site appropriate and robust?
How does the provision manage the arrival and departure of learners, including of
late-comers, at the beginning and end of the day?
Key question 3 How good are leadership and management?
3.1.1 strategic direction and the impact of leadership
4
See ‘Safeguarding Children: Working Together under the Children Act ‘ 2004 – Chapter 11
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Supplementary guidance for inspecting safeguarding
September 2010
3.1.2 governors and other supervisory bodies
Inspectors should evaluate the extent to which leaders and managers:
• understand their roles and responsibilities with regard to safeguarding;
• implement clear policies; and
• the rigour of the governing body’s procedures to ensure the health, safety and
wellbeing of staff and learners.
Inspectors should take into account the extent to which the school has clear
management responsibilities in relation to child protection, including relevant
designated staff.
Is there a senior member of the school’s leadership team designated to take lead
responsibility for dealing with child protection issues, providing advice and support to
staff, liaising with the local authority and working with other agencies?
Does the school have procedures for dealing with allegations against staff which are in
accordance with locally agreed inter-agency procedures and Welsh Assembly
Government guidance?
Has the school referred serious staff safeguarding issues to the Independent
Safeguarding Authority?
Inspectors should take into account the extent to which the school monitors and
evaluates the effectiveness of its policies and procedures.
Is there robust governance and, also, lines of responsibility and accountability to ensure
that effective and prompt action is taken and any deficiencies put right?
Is the child protection policy up-to-date and reviewed regularly; does it include the name
of the designated person responsible and contact phone numbers for relevant
agencies?
Inspectors should be aware of any current issues in the school that relate to staff
grievance or disciplinary procedures but should not become involved in the
school’s processes.
3.3 Partnerships
Inspectors may evaluate:
• the effectiveness of the provider’s work with services provided, to promote the
safety and health of all learners; and
• any regular movement of learners from the site as part of partnership activity, for
example as part of the 14-19 provision.
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Supplementary guidance for inspecting safeguarding
September 2010
Inspectors should take into account the extent to which the provider identifies
concerns about possible abuse and/or neglect and/or learners who have gone
missing, and refers such concerns promptly to the relevant agencies.
Are there effective and prompt systems for referring safeguarding concerns about pupils
to relevant agencies?
Are relevant staff aware of pupils who are persistently absent or missing and have they
taken appropriate action to respond to this, especially with regard to the most
vulnerable? Has the school notified the local authority of any children who have been
removed from the school’s roll?
Inspectors should take into account the extent to which the school records
information relevant to safeguarding concerns clearly and accurately and shares
it appropriately, both internally and with other agencies.
Does the school support inter-agency working to safeguard children by regular
attendance at child protection conferences and reviews and, where appropriate, by
attending other professional meetings?
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Supplementary guidance for inspecting safeguarding
September 2010
Part 3: Safeguarding children who may be particularly vulnerable
Section 28 of the Children Act 2004 places a duty on key people and bodies to make
arrangements to ensure that their functions, and services they contract out to others, are
discharged with regard to safeguarding and promoting the welfare of children 5. These
key people and bodies are:
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local authorities;
the police;
the probation service;
NHS bodies;
Youth Offending Teams;
Governors/Directors of Prisons and Young Offender Institutions;
Directors of Secure Training Centres; and
the British Transport Police.
In each case, the organisation should identify a named person at senior management
level to promote the importance of safeguarding and promote the welfare of children,
throughout the organisation. All these organisations in Wales have currently endorsed
the All Wales Child Protection Procedures.
The organisation should:
• provide a statement of its responsibilities towards children in its care that is
available for all employees;
• that all employees are made aware of the organisation’s policy and procedures for
safeguarding and promoting children’s welfare;
• ensure that all employees are aware of a contact number or person to be contacted
for advice or to make a referral, including an out-of-hours service, when there are
concerns;
• ensure that staff are aware of the importance of listening to children if they express
concerns about their welfare;
• incorporate the employee’s responsibilities for safeguarding into the business plan
for each team and, where appropriate, the work objectives for individual employees;
• foster a culture of openness where employees are actively encouraged to express
any early concerns; and
• provide effective systems for children, staff and others to make a complaint when
there are concerns that action has not been taken in accordance with the
organisation’s procedures.
5
In this context, children are persons under the age of 18.
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Supplementary guidance for inspecting safeguarding
September 2010
Organisations should ensure that:
• there are robust recruitment and vetting procedures to help prevent unsuitable
people from working with children 6;
• all employees working or in contact with children receive regular safeguarding
training relevant to their particular roles;
• senior employees are kept up-to-date with changes in statutory requirements; and
• employees have awareness of diversity issues, including race, culture and disability.
Children in custody
Where children are in custody, the organisation must have a safeguarding policy that
has regard to the Prison Service’s/Youth Justice Board’s overarching policy. It should
include:
• procedures for dealing with incidents or disclosures of child abuse or neglect before
or during custody;
• suicide and anti-bullying strategies, approved by the Area Manager/Office for
Contracted Prisons; and
• procedures for dealing proactively, rigorously, promptly and fairly with complaints
and formal requests, complemented by an advocacy service.
6
See Annex 11
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Supplementary guidance for inspecting safeguarding
September 2010
Part 4: Safeguarding vulnerable adults
The principles for Estyn staff in identifying and responding to incidents of concern in
relation to adults are the same as those for children and young people.
In July 2000, the National Assembly for Wales published ‘In Safe Hands: Implementing
Adult Protection Procedures in Wales’. The aim of the proposals was to develop a
consistent approach across the country.
There is no comprehensive legislation relating to situations of abuse of, or risk to
vulnerable adults in Wales. Social Service departments are the lead agencies for adult
protection. Other agencies and organisations are required to work cooperatively with
them on the identification, investigation, treatment and prevention of abuse of vulnerable
adults.
Most, if not all, provision in Wales for vulnerable adults is inspected by CSSIW. Prior to
inspection of education provision by Estyn, the reporting inspector should contact
CSSIW to establish if there are or have been issues with regard to safeguarding. This
is important when making the judgement on 2.3.3: safeguarding arrangements.
Estyn will bring to the attention of CSSIW, social services and the police any concerns
or allegations identified through any part of its work.
Estyn collaborates with Ofsted to inspect independent specialist colleges in Wales if
colleges educate learners funded by public bodies in England. Ofsted is responsible for
ensuring that education and social care meet their requirements for those learners.
Therefore Estyn inspectors should adopt a collaborative approach with CSSIW and
Ofsted inspectors.
Making a judgement in provision for adults
How safe do learners feel?
1.2.1: development of attitudes to keeping healthy and safe
To make their judgements, inspectors will evaluate the extent to which learners:
•
•
use safe working practices in learning and at work; and
say they feel safe.
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Supplementary guidance for inspecting safeguarding
September 2010
Further guidance
Inspectors may take into account, where relevant:
• the extent to which learners feel that the learning environment is safe and
welcoming, and that all individuals are respected equally;
• the extent to which vulnerable learners are involved in individual risk assessments
and understand the arrangements to help them stay safe;
• the extent to which learners are aware of their own duties and responsibilities in
creating a safe environment for everyone;
• learners’ implementation of safe working practices in work and at the provider;
• learners’ attitudes and behaviour;
• learners’ understanding and use of internet safety measures;
• learners’ understanding of abuse, discrimination, bullying and harassment and what
action to take if they occur; and
• if learners’ complaints about safety-related matters have been rapidly and effectively
tackled.
Are learners able to make informed choices about their own health and wellbeing?
1.2.4: social and life skills
To make their judgements, inspectors will evaluate the extent to which:
• learners have the knowledge and understanding to enable them to make informed
choices about their health and wellbeing.
Further guidance
Inspectors may take into account, where relevant:
• use of available learner health and wellbeing data to identify the health needs of all
groups, including the most vulnerable;
• use of learners’ views on the range and quality of health-related services provided;
• partnership work with external agencies to support delivery and facilitate referral to
specialist services;
• learners’ awareness of the consequences of smoking, alcohol abuse and drugs,
insufficient physical exercise and an unhealthy diet;
• learners’ participation in activities which tackle key aspects of learners’ physical and
mental health, wellbeing and emotional development;
• learners’ opportunities to access confidential support; and
• learners’ involvement in developing a range of opportunities and activities which are
inclusive and have high rates of participation, to increase their levels of physical
activity and to improve the uptake of healthy food choices within the provider’s
setting.
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Supplementary guidance for inspecting safeguarding
September 2010
To make their judgements, inspectors will evaluate the extent to which:
•
•
•
•
learners are safeguarded and protected;
staff take action to identify and respond appropriately to users’ welfare concerns;
safeguarding is prioritised; and
providers work together with other agencies and professionals effectively to
safeguard learners.
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Annex 1: Examples of judgements
These exemplification paragraphs for good and unsatisfactory judgements should not be
used as crude checklists, but as a reference to support the process of coming to a
judgement. They should be used in conjunction with the judgement descriptions.
Inspectors should weigh up the evidence and determine judgements on the basis of a
best fit with the judgement descriptions.
Good practice in safeguarding
The provider has created a safe environment underpinned by good safeguarding and
safety practices. All staff who teach, train or work intensively and frequently with
learners aged up to 18, or vulnerable adults, understand safeguarding, know the detail
of the provider’s policy and fulfil their responsibilities very well. The provider is proactive
in assessing risks and taking action to prevent them. Learners are confident about the
providers’ systems and feel safe.
The provider has a clear strategy for safeguarding that is checked frequently by
managers. There is a strong safety culture where staff and learners are very aware of
their responsibilities. There are careful records of accidents and incidents. Parents and
carers are confident about the procedures.
The provider is fully aware of the most recent government guidance and there is
evidence of appropriate response to change.
Unsatisfactory practice in safeguarding
The provider’s policy does not take account of government guidance. The child
protection policy is muddled and does not provide clear information that staff can follow
easily. Learners do not feel safe in the learning environment. The provider gives low
priority to ensuring that learners are safe. They do not demonstrate good health and
safety practices. There is bullying or other abuse that has not been addressed by the
provider. The provider has not carried out the necessary staff appointment checks and
allows staff unsupervised access to learners. Staff have not received appropriate
training, or their training is out of date. The accommodation is insecure or unsafe.
Supervision of learners is inadequate. There is not enough liaison with work-placement
employers or alternative provision. The provider has failed to act upon safeguarding
recommendations from previous inspections.
Annex 2: A checklist for inspectors
Inspectors may take into account, where relevant:
• whether the provider has a policy for the protection of children under age 18 and
vulnerable adults that is reviewed annually;
• how well the provider is fulfilling the duty of employers to inform the Independent
Safeguarding Authority of any individual (paid employee, volunteer or other) who
poses a threat to children or vulnerable adults;
• how well the provider ensures that appropriate training on safeguarding has taken
place for all staff, governors and volunteers, which is regularly updated;
• whether all staff, governors and volunteers working regularly with children under
age 18 and vulnerable adults have been trained to recognise signs of abuse, and
how to respond to disclosures from learners;
• whether there is a designated senior member of staff in charge of safeguarding
arrangements who has been trained to the appropriate level;
• the extent to which effective and thorough risk assessment across the provision
provides the basis for a provider’s safeguarding policy and plans;
• whether there are sound arrangements for appropriate checks on provider staff,
including Criminal Records Bureau checks on staff appointed after 2002 who have
regular, unsupervised access to children and young people up to age 18, and where
appropriate (based on risk assessment) for governors and volunteers;
• whether there is a single, central record of all checks on provider staff and, where
appropriate, governors and volunteers;
• where the provider works with employers, how well staff liaise with the employer to
ensure appropriate arrangements for safeguarding learners up to age 18 and
vulnerable adults (as defined in the Vetting and Barring Scheme) on employers’
premises;
• whether the provider has contact details for a parent, carer or person acting in loco
parentis for learners aged up to 18 (and up to age 25 for learners with learning
difficulties and/or disabilities);
• whether policies on bullying and discrimination are effectively implemented;
• the extent to which all learning and development sites provide a safe learning
environment and safe working practices are promoted in training and at work; and
• whether the curriculum includes understanding of bullying, abuse, safe sexual
awareness and internet safety.
Annex 3: Interviewing the headteacher
Possible questions to consider, this is not a definitive list.
• Do they have a clear overview of safeguarding procedures and practice?
• How well do procedures for safe recruitment and vetting of staff take account of
Welsh Assembly Government and any other local guidance?
• Have appropriate steps been taken to ensure that the staff are recruited safely?
• Are the policies and procedures adopted by the governing body fully implemented
and followed by staff?
• What is the quality of support provided for the designated member of staff? Has the
designated person appropriate seniority? How are they held to account? Have
enough time and resources been allocated to the designated person and other staff
to discharge their responsibilities, including taking part in inter-agency assessments
and meetings?
• How do they ensure that appropriate training is in place for staff and other relevant
adults?
• What are the procedures for managing allegations or concerns about safeguarding
regarding staff? Do these come directly to the headteacher?
• Are all cases referred to the Independent Safeguarding Authority if a person ceases
to work in a school and there are grounds for believing they may be unsuitable to
work with children, or may have committed misconduct?
• Who is responsible for ensuring that risk assessments are carried out, not only in
relation to school activities, but in admitting or re-admitting pupils with behaviour
that could place themselves or others at risk? How effective are these
arrangements?
• Have safeguarding complaints or concerns been made to the headteacher and have
they taken effective steps to address these?
• How do they ensure that all staff and volunteers feel able to raise concerns about
unsafe or poor safeguarding practice?
• Does the school have a policy and procedures to develop pupils’ awareness of
internet safety? How do senior managers monitor the school’s procedures?
Annex 4: Interviewing the chair of governors or other governors
Possible questions to consider, this is not a definitive list.
• How aware is the governing body of its responsibilities regarding policy, procedures,
monitoring compliance and reporting, as set out in WAG guidance and any locally
agreed guidance?
• How well do procedures for safe recruitment and vetting of staff take account of the
WAG and any other local guidance?
• Have they specifically ensured that:
 an appropriate child protection policy and procedures are in place and are
made available to parents on request;
 a senior member of the school’s leadership team is designated to take
responsibility for dealing with child protection issues;
 appropriate training is undertaken by the designated person and all staff, that
they receive regular refresher training, and that temporary staff or volunteers
are made aware of the school’s arrangements and responsibilities;
 there is a nominated member of the governing body responsibility for liaising
with the local authority and/or other partner agencies in the event of an
allegation being made against the headteacher; and
 policies and procedures are reviewed annually by the governing body and it
provides information to the local authority about them and how their duties have
been discharged?
• Do they have appropriate procedures in place for managing safeguarding
allegations or concerns about staff and volunteers?
• How well do they hold the headteacher and staff to account for the effectiveness of
safeguarding arrangements in the school?
• How do they ensure that appropriate training is in place for staff, governors and
other relevant adults?
• How do they ensure that the school site is secure and safe?
• How do they ensure that appropriate arrangements are in place to safeguard
children who take part in or are affected by the provision of extended services and
other school activities that take place outside of normal school hours?
• Have safeguarding complaints, concerns and deficiencies been brought to the
governing body and have taken effective steps, without delay, to address these?
• How do they ensure that the ethos of the school promotes positive practice in
relation to safeguarding?
Annex 5: Interviewing the designated member of staff about child
protection
Possible questions to consider, this is not a definitive list.
• Do they have an appropriate level of seniority?
• Do they have a clear understanding of their roles and responsibilities and that of
other staff?
• What is the quality of their own training, knowledge and understanding? Have they
kept up to date with recent guidance?
• Have they untaken specific training for the role provided by or to standards agreed
by the Local Safeguarding Children Board? Have they kept this up to date with
appropriate refresher training?
• Have they ensured that all staff receive appropriate and timely training which is
refreshed regularly?
• Are temporary staff given appropriate guidance about their responsibilities?
• Do induction arrangements have sufficient focus on safeguarding?
• How effective are the designated person and other staff in identifying pupils at risk
or vulnerable, making referrals and taking appropriate follow-up action?
• If relevant, how does the school ensure that there are appropriate safeguarding
arrangements in place for those undertaking work-based learning, work experience
and educational visits?
• How does the designated person ensure the quality of record-keeping?
• How does the designated person ensure that s/he and the school have access to
local authority procedures, guidance, training and support?
• How well does the designated person (if not the headteacher) keep the headteacher
informed of the welfare of pupils on the child protection or ‘at risk’ register and of
general child protection issues within the school?
• How well does the school contribute to child protection conferences/reviews,
through attendance and/or reports? How well does the school contribute to interagency working, for example assessments and attendance at core group or other
professional meetings?
• How effective is the designated person in advising on child protection input in the
curriculum?
• How well does the designated person monitor and evaluate the effectiveness of
child protection work carried out in the school?
Annex 6: Evaluating a school’s child protection policy
In evaluating the policy, inspectors should consider if the policy:
• sets out its purpose and aims clearly;
• provides a secure framework for the workforce;
• links with other relevant safeguarding policies, for example bullying, physical
intervention;
• sets out what other elements of provision are in place to enable pupils to feel safe
and adopt safe practices, for example through the curriculum;
• appears accessible and easy to understand;
• sets out responsibilities and expectations of staff and other relevant adults clearly,
particularly in identifying and reporting possible or actual instances of abuse;
• makes it clear who is/are the designated member/s of staff;
• distinguishes between the steps that should be taken for general safeguarding
concerns or disclosures and those which should be taken if the concern is about the
headteacher or other members of staff;
• supports an ethos where pupils or staff can talk freely about concerns, in the belief
that they will be listened to and appropriate action taken;
• sets out clear expectations about reporting (and recording) concerns to relevant
agencies;
• indicates what training is provided to staff and what steps are taken to bring the
policy and procedures to the attention of temporary staff;
• sets out the role of governors;
• indicates how the policy will be implemented, monitored and evaluated; and
• indicates how parents or carers will be made aware of the policy and relevant
procedures.
Annex 7: Evaluating the quality of records relating to safeguarding
issues
Possible questions to consider, this is not a definitive list.
• Are records up to date and complete?
• Do records demonstrate both effective identification and management of the risk of
harm?
• Do records demonstrate sound decision-making, appropriate responses to concerns
and evidence of relevant referrals made in a timely manner?
• Do they indicate that appropriate action is taken in response to concerns and
allegations in a timely manner?
• Do they show evidence of tenacity in following up concerns with relevant agencies?
• Do they provide evidence of effective partnership working and sharing of
information?
• Is there evidence of attendance at or contribution to inter-agency meetings and
conferences?
• Is there clarity about the school’s policy relating to the sharing of information
internally, safe keeping of records, and transfer when a pupil leaves the school?
Annex 8: Training for designated members of staff
This is not a prescriptive table of contents for a training programme but a guide to help
inspectors understand the principal elements of a training programme. It can vary
considerably from authority to authority, and it is often a programme put together by the
Local Safeguarding Children Board.
Principal elements of specific training are likely to include the following:
•
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identification of the signs and symptoms of abuse;
relevant legislation and guidance;
national and locally agreed procedures;
managing disclosures;
confidentiality;
recording and keeping safe records, and transfer of information;
how local statutory services are configured and referral processes;
thresholds for referral;
making referrals;
contact with parents;
initial and core assessments, child protection conferences and review conferences,
child protection plans;
• training and supporting staff; and
• writing a policy, procedures and guidance for staff.
Annex 9: Criminal Record Bureau (CRB) disclosures: repeat checks
and portability
There are different statutory requirements around Criminal Records Bureau (CRB)
disclosures and the rules governing their portability, that is, the re-use of a CRB check
obtained for a position in one organisation and later used for another position in another
setting. The following sets out the current position in relation to schools and colleges as
to when checks need to be in place before an employee can start work.
• CRB checks are required for all employees who have regular contact with children if
they were employed after March 2002. However, the only requirement for those
appointed before this date is that they must have been List 99 checked.
• No further CRB checks are required for any staff unless the person has a break in
service of more than three months. It is the case that some schools and local
authorities operate a policy of repeating checks periodically but this is not a
statutory requirement.
Long-serving staff (pre-2002)
• Evidence of CRB checks is required for those recruited since 2002 except where
there has been continuity of employment in the school, college or local authority. In
this context, continuity means no break of service of longer than three months.
• Those recruited before March 2002 and who have continuity of service are not
required by current guidance to have CRB checks. There is, however, a
requirement for all staff who work with children and young people to have been
checked against List 99 at the time of their appointment. Schools may no longer
have this information available and are not now able to make List 99 checks.
Schools may check with the Independent Safeguarding Authority that maintains the
list of individuals barred from working with children.
• All qualified teachers employed in maintained schools in Wales, including those
appointed prior to 2002, must be registered with GTCW. The Independent
Safeguarding Authority provides GTCW with regular updates on barred individuals.
GTCW confirm that a GTCW registered teacher may have a criminal record but it
would not be for a child protection-related offence.
Visiting staff
Staff such as educational psychologists, supply teachers, trainee teachers, nurses,
sports coaches and inspectors should be CRB checked by their 'providing' organisation,
for example the supply agency, the university, primary care trust or local authority.
Schools and colleges should seek written confirmation that appropriate checks,
including CRB checks, have been carried out, and by whom. This is most commonly the
relevant human resources department. They should also confirm the identity of these
visitors. In most circumstances, checks should be carried out prior to work commencing.
Part-time staff may use the same CRB check for two or more posts as long as they are
at a similar level and the school/college have satisfied themselves about their veracity
and appropriateness.
Governors
Under the current provisions of ‘Safeguarding Children in Education’, anyone working as
a governor of a school or FE college ( including sixth form college), which involves
regular work in the presence of, or care for, children, or training, supervising or being in
sole change of children must have an enhanced CRB check (if appointed after April
2002).
Moving between schools/colleges and local authorities
Since September 2006 supply agencies have been able to pass CRB checks between
other school/college supply agencies and between individual schools and colleges. The
following information applies to supply staff:
• if an employee has been CRB checked, there is no statutory requirement that
another CRB check is carried out before taking up a job in a different school or even
in a different local authority, provided they have continuous service and the check is
at the correct level for the new post;
• the same applies to someone who may not have a CRB check due to being in post
before 2002, that is, there is no statutory requirement for further checks to be
carried out.;
• it is up to the receiving organisation to carry out a risk assessment to assess
whether the check is at the correct level for the current role, whether it is accurate
and whether they trust the previous organisation to have carried out the check
efficiently;
• the school or local authority should ask for evidence, from the previous school or
local authority, that the check was undertaken. Although not a statutory
requirement, most local authorities require people moving between schools and into
the local authority from outside to have a new CRB check;
• in all-day educational establishments, new members of staff can take up their posts
prior to a full CRB check as long as they work under the close supervision of a
colleague who has such clearance. Inspectors should take account of the local
authority’s policy and procedures; and
• the Criminal Records Bureau no longer formally facilitates portability; organisations
that choose to accept a previously issued disclosure do so at their own risk. Clear
information about this issue can be found on the CRB website by using the following
link: www.crb.gov.uk/faqs/portability.aspx#portability
The regulations above apply to all schools, including pupil referral units and further
education colleges. Social care and residential settings are subject to the national
minimum standards which require more stringent requirements in respect of
safeguarding checks. In such settings, staff cannot take up their posts until CRB
clearance has been received.
Inspectors should not ask for the CRB forms of trainees on initial teacher education
courses. It is the initial teacher education provider’s responsibility, not the school’s, to
ensure that these checks are made. In the event of a delay in receiving disclosures
from the CRB, the WAG guidance gives headteachers discretion to allow trainees to
start working in a school subject to a satisfactory check of Independent Safeguarding
Authority Children’s List (or List 99) check and completion of other normal recruitment
procedures. Training providers should keep headteachers fully informed of the progress
of applications for disclosures, since schools will want to maintain closer supervision of
trainees who have not yet received enhanced clearance. Schools must be satisfied that
checks have indeed been done.
Annex 10: Vetting and Barring Scheme: criminal offences related to
new Independent Safeguarding Authority requirements
The following guidance supplements Welsh Assembly Government Circular no 34/2002:
‘Child Protection: Preventing Unsuitable People from Working with Children and Young
Persons in the Education Service’.
The Vetting and Barring Scheme (VBS) was launched in October 2009. The three
barring lists, Protection of Children Act (PoCA), the Protection of Vulnerable Adults
(POVA) and List 99, were replaced by the creation of two new barred lists administered
by the Independent Safeguarding Authority. The mechanism for making a barred list
check through Criminal Records Bureau (CRB) remains the same, although it will no
longer be possible to check a list without requesting an Enhanced CRB check.
From 12 October 2009 it is a criminal offence for employers:
• to take on an individual in Independent Safeguarding Authority regulated activity
such as schools or childcare provision whom they know to have been barred from
such an activity; and
• not refer to the Independent Safeguarding Authority details of anyone who is
removed from regulated activity or who leaves while under investigation for
allegedly causing harm or posing a risk of harm.
In practice this means that employers must refer information to the Independent
Safeguarding Authority when they have dismissed an individual or an individual resigns,
because they harmed or may harm a child or vulnerable adult.
If, in the course of the normal inspection of safeguarding within any Independent
Safeguarding Authority 7 regulated provision, an inspector suspects a provider of not
complying with either of the above they should bring this to the provider’s attention and
ask them to take immediate action.
Inspectors should record all the evidence on an evidence form and ensure that enough
detail is included on the Judgement Evaluation Form (JEF) for that inspection.
Dependent on the circumstances of the case and the action taken by the provider,
inspectors should consider whether this information will affect their judgements on
safeguarding, the effectiveness of leadership and management and the overall
effectiveness of the provision. Inspectors may also wish to consult Estyn’s lead officer
for safeguarding. Providers and inspectors can obtain further information on referrals at
www.isa-gov.org.uk
7
www.isa-gov.org.uk
Annex 11: Safe recruitment procedures in provision for children who
may be particularly vulnerable
From: Safeguarding Children: Working together under the Children Act 2004
Welsh Assembly Government
This guidance is issued jointly by the Welsh Assembly Government and the Home
Secretary. It requires each person or body to which the section 28 of the Children Act
2004 8 duty applies to take the guidance into account and if they decide to depart from it,
have clear reasons for doing so.
Robust recruitment and vetting procedures should be in place to help prevent unsuitable
people from working with children directly or indirectly. Key to this is undertaking
thorough checks on all potential employees as part of the recruitment process, in
addition references should always be taken up. People who are responsible for
recruiting employees to work with children and their families must have the appropriate
training. Residential setting providers must comply with CSSIW registration
requirements for the checking and recruitment of staff.
All agencies and organisations whose staff or volunteers work closely with children
should have policies and procedures in place to deter those who are unsuitable to work
with children. Common features should include the following:
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8
scrutinising information provided by applicants and referees;
satisfactorily resolving any discrepancies or anomalies;
verifying identity and any academic or vocational qualifications;
obtaining independent professional and character references;
seeking a full employment history for prospective staff members
(including volunteers) and reserving the right to approach any previous employer;
checking with former employers the reason why employment ended;
identifying any gaps or inconsistencies and seeking an explanation;
checking that a person has the health and physical capacity for the job;
carrying out a face to face interview that explores the candidate’s suitability to work
with children as well as their suitability for the post;
obtaining an appropriate disclosure through the Criminal Record Bureau;
checks of professional registers, if relevant;
making appointments only after references are obtained and checked. Referees
should be reminded that references should contain no material misstatement or
omission relevant to the suitability of the applicant; and
making all appointments to work with children (including internal transfers) subject
to a probationary period.
Not Education Act 2005 Section 28 that applies to school inspections.