Guidance on Disqualification by association for Early Years
settings
March 2015
The following guidance is for use in Early Years settings, including daycare, preschool childminders and out of school clubs. It sets out the regulations around
disqualification by association and should be used alongside the settings safer
recruitment policy when employing new staff and in procedures around the
management of existing staff.
The Statutory Framework for the Early Years Foundation Stage, (effective from
September 2014) states that
3.9 Providers must ensure that people looking after children are suitable to fulfil the
requirements of their roles. Providers must have effective systems in place to ensure
that practitioner, and any other person who is likely to have regular contact with
children (including those living or working on the premises), are suitable.
3.10 Ofsted or the agency with which the childminder is registered is responsible for
checking the suitability of childminders and of persons living or working on a
childminder’s premises, including obtaining enhanced criminal records checks and
barred list checks. Providers other than childminders must obtain an enhanced
criminal records disclosure in respect of every person aged 16 and over who:



Works directly with children
Lives on the premises on which the childcare is provided; and /or
Works on the premises on which the childcare is provided (unless they do not
work on the part of the premises where the childcare takes place, or do not
work there at times when children are present).
3.11 Providers must tell staff that they are expected to disclose any convictions,
cautions, court orders, reprimands and warnings that may affect their suitability to
work with children (whether received before or during their employment at the
setting). Providers must not allow people, whose suitability has not been checked,
including through a criminal records check, to have unsupervised contact with
children being cared for.
3.14 A registered provider or a childcare worker may be disqualified from
registration, in accordance with regulations made under Section 75 of the Childcare
Act 2006. In the event of the disqualification of a registered provider, the provider
must not continue as an early years provider – nor be directly concerned in the
management of such provision. Where a person is disqualified, the provider must not
employ that person in connection with early years provision. Where the employer
becomes aware of relevant information that may lead to disqualification of an
employee, the provider must take appropriate action to ensure the safety of children.
3.15 A registered provider or a childcare worker may also be disqualified because
they live in the same household as another person who is disqualified, or because
they live in the same household where the disqualified person is employed.
Statutory framework for the early years foundation stage - Suitable people pages 12
- 20
Keeping children safe in Education
In October 2014 the DfE published supplementary guidance to the Keeping Children
Safe in Education statutory guidance document which details a requirement for
childcare disqualification checks to be carried out on relevant staff.
This document is available at
https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/36291
9/Keeping_children_safe_in_education_childcare_disqualification_requirements__supplementary_advice.pdf
This requirement arises from the Childcare (Disqualification) Regulations 2009 which
arose out of the Education Act 2006. These regulations and the Act are available at
http://www.legislation.gov.uk/uksi/2009/1547/contents/made;
http://www.legislation.gov.uk/ukpga/2006/40/contents.
It is not clear why this has only just arisen if it has been a legal requirement since
2009, however it is now being enforced and as a provider of services to children
under 8 years of age we are legally required to comply.
It is now an offence to provide ‘childcare’ or be involved in the direct management of
such provision if disqualified, or to ‘knowingly’ employ a disqualified person to work
with children. This includes anyone who is disqualified themselves under the
Regulations, or who lives in the same household as a disqualified person.
The regulations cover: All staff who work with children up to 8 years of age;
 Staff who are directly concerned in the management of such provision.
Whilst the issue of individual’s being barred in relation to the Disclosure and Barring
Service is clear, these regulations include additional offence information we must
consider along with a ‘disqualification by association’ criteria. This includes: Being cautioned for or convicted of certain violent and sexual criminal
offences against children and adults;
 Grounds relating to the care of children (including where an order is made in
respect of the employees own children);
 Living in the same household where another person who is disqualified lives
(including partners, children including foster children, house share colleagues
and lodgers).
A detailed list of offences is available in section 5.1a of the OFSTED Compliance,
investigation and enforcement handbook at
http://www.ofsted.gov.uk/resources/compliance-investigation-and-enforcementhandbook-childminding-and-childcare.
To enable us to comply with this legal requirement, both existing staff and new
starters should be required to complete a self-declaration form (on an annual basis)
to confirm that they are not disqualified. If a member of staff is identified as being
disqualified, you must contact the LADO immediately to discuss the process that
must be followed. This may include suspension of the member of staff.
Each setting will be required to identify a named individual to whom disclosures are
made. It is recommended that this be the Owner / Senior Manager within the setting.
Individuals can apply to OFSTED for a waiver of disqualification, and this will be
discussed with the Manager and the individual at the point that disqualification is
identified. It is an offence to employ a disqualified person and a manager/owner may
be prosecuted for doing so, therefore it is imperative that immediate action is taken.
Further details will be provided with the declaration form to ensure staff are fully
aware of their legal obligations. It is a legal requirement to obtain this information,
and therefore if any staff do not return the self-declaration form you must
immediately speak with your HR contact to discuss the next steps.
If an individual does not know that a person they are living with is disqualified, for
example in a house share situation, there is no legal requirement for the employee or
the employer to obtain this information. The person is not guilty of an offence if they
do not know a person they are living with is disqualified. The Regulations are about
‘knowingly’ employing someone who is disqualified. By requiring staff to complete an
annual self-declaration and acting on any information received, we will be considered
to be taking reasonable steps to make sure we do not knowingly employ someone
who is disqualified.
Clarification is being sought on the legal position with regards to volunteers. The
Childcare (Disqualification) Regulations 2009 make no distinction between
employees and volunteers; however there is currently differing advice from the DfE.
Clarification will be provided as soon as possible.
Ofsted will be checking compliance with these Regulations during inspections and it
is the responsibility of the setting to ensure that they comply with regulations.
The following declaration form and process map are suggested templates for you to
use. It is your responsibility to ensure you are complying with regulations
Settings must ensure they aren’t knowingly employing a disqualified person under
the 2009 Regulations. In gathering information to make these decisions schools
must act proportionately and minimise intrusion into the private lives of staff and
members of their household. Schools must ensure they handle data fairly and
lawfully and take care not to breach the Data Protection Act 1998, the Rehabilitation
of Offenders Act 1974 and the Human Rights Act 1998.
.
Staff Disqualification Declaration
Name
Post Title
Setting
In October 2014, the Department for Education (DfE) issued an update to its Statutory
Guidance “Keeping Children Safe”. Keeping Children Safe in Education
This update requires us to ensure that staff who work in early education settings (including
childminders, pre school, fulldaycare and out of school clubs) are not disqualified from doing
so under the Childcare (Disqualification) Regulations 2009: Childcare (Disqualification)
Regulations 2009
A person may be disqualified through:
1. having certain orders or other restrictions placed upon them;
2. having committed certain offences;
3. living in the same household as someone who is disqualified by virtue of 1 or 2 above
(this is known as disqualification by association).
You are required therefore to sign the declaration below confirming that you are not
disqualified under the Regulations.
A disqualified person is not permitted to continue to work in a role providing care for children
under age 8, unless they apply for and are granted a waiver from OFSTED: Ofsted Waiver
Guidance. Support will be provided with this process by your Manager/HR Team.
Please circle one option for every question
Section 1 – Orders or other restrictions
Have any orders or other determinations related to childcare been made in
respect of you?
Have any orders or other determinations related to childcare been made in
respect of a child in your care?
Have any orders or other determinations been made which prevent you from
being registered in relation to child care, children’s homes or fostering?
Are there any other relevant orders, restrictions or prohibitions in respect of
you as set out in the Schedule 1 of the Regulations? See: Schedule 1
YES / NO
YES / NO
YES / NO
YES / NO
Are you barred from working with Children (Disclosure and Barring (DBS))?
YES / NO
Are you prohibited from teaching?
YES / NO
Section 2 – Specified and Statutory Offences
Have you been cautioned (including a reprimand or warning) since 6 April
2007 or have you ever been convicted of:
 Any offence against or involving a child (a child is a person under the
age of 18)?
 Any violent* or sexual offence against an adult?
(*a violent offence in this context is murder, manslaughter, kidnapping,
YES / NO
YES / NO
false imprisonment, ABH, GBH)

YES / NO
Any offence under the Sexual Offences Act?
Any other relevant offence?
See: Schedule 2 - Repealed Statutory Offences
Schedule 3 - Specified
Offences
Have you ever been cautioned, reprimanded, given a warning for or convicted
of any similar offence in another country?
YES / NO
YES / NO
Section 3 – Disqualification by association
To the best of your knowledge, is anyone in your household* disqualified from
working with children under the Regulations?
(*includes family, lodgers, house-sharers, household employees)
This means does anyone in your household have an Order or Restriction
against them as set out in Section 1 or have they been cautioned,
reprimanded, given a warning for or convicted of any offence in Section 2
which is not ‘spent’ in line with the Rehabilitation of Offenders Act:
Rehabilitation of Offenders Act
YES / NO
Section 4 – Provision of Information
If you have answered YES to any of the questions above you should provide details below in
respect of yourself, or where relevant the member of your household. You may supply this
information separately if you so wish, but you must do so without delay.
Details of the order, restriction, conviction,
caution etc.
The date(s) of these
The relevant court(s) or body(ies)
You should also provide a copy of the relevant order, caution, conviction etc. In relation to
cautions/convictions a DBS Certificate may be provided.
Section 5 – Declaration
In signing this form, I confirm that the information provided is true to the best of my
knowledge and that:
 I understand my responsibilities to safeguard children.
 I understand that I must notify my Manager immediately of anything that affects my
suitability including any pending court appearances, cautions, warnings, convictions,
orders or other determinations made in respect of me or a member of my household that
may render me disqualified from working with children
Signed
Print Name
Date
PROCESS MAP – DISQUALIFICATION ORDERS
Post identified as in scope of
Disqualification Orders legislation
Individual provided with
guidance document &
declaration form for completion
Individual returns form to identified manager within 7 days.
Yes
No
Manager chases & allows 7 more days
Manager records receipt. Form clear?
No
Yes
Within 3 days of receipt, Manager
scans & saves onto file
Within 24 hours of receipt
Manager emails form to one of the
following
paula.williams@bolton.gov.uk
Jan.robinson@Bolton.gov.uk
laura.wright@bolton.gov.uk
Dawn.France@bolton.gov.uk
Helen.shearer@bolton.gov.uk
Meeting held with individual
within 7 days to discuss reason
for non-completion, & decision
made on way forward
Disclosed information considered
& individual advised if need to
apply to Ofsted for waiver
If appropriate, employer to
notify Ofsted of
information within 14 days
of disclosure by individual
Waiver required?
Yes
No
Reasons for decision
recorded in individual’s
electronic HR folder
Decision made on suspension/redeployment
of individual (based on job role/location)
Waiver granted?
Yes
Return to work considered based on
disclosed information and job role
No
Decision made on future employment
of individual