Section 11 Categories and Standards Scoring Guidance
2014
There are 7 Categories, and within these a total of 36 Standards (known as Questions within
the Enable tool). Within each of the Standards there are a series of criteria that need to be
fulfilled for the Standard to be fully achieved. These are laid out below.
Some of the Standards won’t be applicable to all organisations that will be completing the
audit. Where the entire Standard is not applicable to an organisation, then it is possible to
assign ‘Not Applicable’ to these Standards, and give a reason for this. These Standards are
then excluded from the self assessment scoring.

Using the Enable audit tool, organisations are asked to rate their compliance to each
of the Standards using a 0 – 100% rating scale, with 5% graduations. To help
organisations to do this we have provided scoring guidance below.

Each of the criteria within a Standard has been given a suggested score, and the
score total for each Standard = 100.

Rate your Organisation against each of the criteria, and add up the scores.

The suggested scores are the maximum, therefore if you don’t think your
organisation fully meets a particular criteria then award a lower score for it.

If one or more of the criteria in a Standard is not applicable to your organisation then
it will be necessary to re-score accordingly, ensuring that the relevant criteria scores
add up to a total of 100. (It is suggested that where criteria in blue are not
applicable to the organisation alternative scoring in blue could be used.)

Only if your organisation fully meets all the criteria for a Standard should the
maximum score of 100 be awarded.
1
The criteria scores are for guidance only, to help achieve a consistent approach to selfassessment between organisations completing the S11 Audit. You may adjust the suggested
scores or use an alternative, as long as you consider all the criteria for each Standard, and
are able to evidence the score that you award your organisation.
2
1. SENIOR LEVEL COMMITMENT TO SAFEGUARDING, AND ACCOUNTABILITY
1.1
There is named person responsibility for safeguarding children at the highest
level within the organisation
There is a named lead officer within the organisation with an appropriate
background and demonstrable knowledge, with accountability for
safeguarding children.
Max
score
20
(25)
b
This responsibility is included in the lead officer’s job specification and
included in their annual performance appraisal.
20
(25)
c
The organisation can demonstrate that it supports this person in the role e.g.
training, resources, protected time etc.
20
(25)
d
There is regular senior management discussion relating to safeguarding which
has positively impacted upon organisational development and service
delivery.
20
(25)
e
Where applicable, Elected Representatives / Board Members are regularly
made aware of safeguarding issues and risks affecting the organisation. They
demonstrate a commitment to safeguarding children, and can hold the
organisation to account regarding their safeguarding responsibilities.
20
a
If N/A
use
scores
in blue
100
1.2
a
There is a strategic and/or corporate plan that references safeguarding
children and is linked into relevant work streams.
The plan is updated in line with local and national developments.
Max
score
30
b
The plan is reflected in all relevant staff job descriptions and/or work plans.
30
c
Annual monitoring of the plan is in place and is communicated to staff, and
action plans to address issues developed.
40
100
1.3
There is regular and appropriate level attendance and effective
contributions to the Safeguarding Boards, their sub groups/committees and
consultations
Max
score
a
Your agency has appropriate LSCB and Sub committee membership – provide
names, roles, Sub-committee. Frequency of attendance meets LSCB
requirements.
30
b
Attendance at relevant LSCB multi-agency meetings is monitored, and action
taken to address non-attendance.
20
c
Mechanisms are in place for your LSCB member report back to your agency on
safeguarding matters
25
3
d
There is evidence that your LSCB member carries out their commitment to
challenging your organisation on safeguarding matters
25
100
1.4
a
b
The organisation adequately apportions resources to meet its
responsibilities with regard to safeguarding.
There is a dedicated resource assigned for Safeguarding within the
organisation.
Max
score
60
There is a budget for Safeguarding Training.
40
100
1.5
There are clear lines of accountability from staff through the organisation to
named safeguarding person(s)
There is an accountability framework which enables all staff to understand
their role in safeguarding children (e.g. in job descriptions, through training)
Max
score
20
b
There is a named person / persons at an operational level with a clearly
defined role and responsibilities in relation to safeguarding.
20
c
A flow chart of accountability is displayed and available to staff
10
d
Anyone who comes into contact with children or their families has their
responsibility towards children’s welfare explicitly stated in job description.
20
e
Staff know who to report safeguarding concerns to
20
f
The SET Child Protection Procedures are promoted and used within your
agency
10
a
100
1.6
Systems are in place to embed safeguarding across all contracted /
commissioning activity.
Max
score
a
Standards in relation to the safeguarding of children are included in contracts
with contracted out / commissioned services, where appropriate.
20
b
Adherence to these safeguarding standards is monitored, and this can be
evidenced.
20
c
Contracted services regularly undertake safeguarding audits.
10
d
Where contracted services are not safeguarding effectively there is evidence
of action taken by the contractor and the commissioner.
20
e
Safeguarding key performance indicators are included in contracts
20
f
Safeguarding key performance indicators are reported on a frequent basis to
10
4
the commissioning agency
100
2. CORE SAFEGUARDING POLICIES AND PROCEDURES
2.1
The organisation has a Child Protection policy and procedure in place.
Max
score
40
a
The child protection policy can be easily accessed by all staff, and provides
clear, straightforward guidance on how to recognise and respond to possible
abuse or neglect.
b
The child protection policy and procedure is in line with LSCB guidance.
40
c
Systems are in place to review and update the policy in line with local and
national developments, and at least every 3 years
20
100
2.2
E-safety policies and procedures are in place
Max
score
The Child Exploitation and Online Protection Centre (http://www.ceop.police.uk) is a
key source of advice. See also Childnet International website http://www.childnetint.org/)
a
There are E-safety policies, procedures and practices in place for both
children and young people, and staff.
10
(15)
b
The organisation is aware of and follows when required the E-safety
guidance provided by the LSCBs within the SET child protection procedures.
10
c
The organisation has guidance notes e.g. flow chart for managing any eSafety child protection incident.
10
d
There is a designated or named person who manages e-safety child
protection incidents, and champions E safety in the organisation.
10
e
The designated or named person keeps a log of e-safety incidents, resulting
outcomes and follow up actions.
10
f
The organisation provides guidance to staff working with C&YP on
professional boundaries in relation to personal internet use and social
networking online.
10
g
Adults working with children and young people
 Receive regular training and updates
 Know how to report and manage issues or concerns
 Know how to protect and conduct themselves safely online
10
(15)
5
h
The organisation raises awareness of e-safety issues amongst its staff and any
children and young people it works with
20
i
Agencies who care for children in residential settings: (e.g. within Hospitals,
mental health residential settings, children in care of the local authority)
ensure that these particularly vulnerable children are able to use the internet
including gaming and social networking, and mobile technologies safely
10
If N/A
use
scores
in blue
100
2.3
There is a complaints policy and procedure in place.
Max
score
20
a
The complaints process is in line with statutory guidance, and available for
staff, children and other service users.
b
The procedure is promoted and monitored.
20
c
The policy is included in Induction packs
20
d
The procedures is available to all staff, children and other service users in
appropriate formats
20
e
Information is available on the time span within which complaints should be
responded to, and adherence to this target is monitored.
10
f
Evaluations / audits of the use of the complaints process are undertaken
10
100
2.4
“Whistle Blowing” procedures for staff to raise safeguarding concerns
against colleagues or managers are clearly understood and correctly
followed where required.
Max
score
a
There is a well-publicised ‘whistle blowing’ or ‘speak out’ procedure that provides
alternative methods of reporting concerns, using a direct specialist telephone line.
25
b
A leaflet or poster is available to all staff to publicise the whistle blowing procedure
25
c
The organisation publicises ‘Public Concern At Work’, an independent charity whose
lawyers can give free confidential advice about how to raise a concern about
malpractice at work
20
d
The Whistle-blowing process is in line with statutory guidance, included in Induction
packs and its use is monitored.
30
100
2.5
There is a procedure in place for managing child protection allegations
made against staff.
Max
score
a
The LADO is responsible for the management and oversight of individual cases and is
informed of all child protection allegations or concerns relating to staff or volunteers.
20
6
b
There are clear written procedures for dealing with situations where allegations of
child abuse are made against someone working in your organisation.
20
c
The workforce that are in contact with children and families are aware of the
existence of this policy and procedure.
20
d
A senior manager has been identified for the managing allegations process & knows
who the Local Authority Designated Officer (LADO) is and when to contact them.
20
e
Support is available for staff who are subject to allegations
20
100
3. SAFER RECRUITMENT AND EMPLOYMENT PRACTICES
3.1
The organisation has a safer recruitment policy in place.
Max
score
40
a
This policy covers how to recruit safely for staff who have contact with
children and which follows local safeguarding children board Recruitment
Standards.
b
The Policy has been reviewed within the agreed timescale.
20
c
Relevant staff who are involved in recruitment are aware of the policy, how
to access it and how to adhere to it.
40
100
3.2
Human Resources and Recruiting staff follow safe recruitment practices
a
Safe recruitment practices ensure the proper selection of staff who will have
regular contact with children or vulnerable adults. These practices include:







40
Policies on when Disclosure and Barring Service checks are necessary
Adherence to the Disclosure and Barring Service referral process.
Face to face interviews
Verification of identity and qualifications, which can be evidenced by
audit activity.
Professional and character references are obtained
Previous employment history is checked
Any anomalies or discrepancies are taken up
b
The organisation has procedures to manage and record positive disclosures
on DBS (CRB) checks
20
c
The organisation has procedures in place stating when should be cases
referred to the DBS
20
7
d
The organisation audits/quality assures its recruitment practice
20
100
3.3
The organisation provides specific training on safe recruitment
Max
score
40
a
The training is accessed by all those who have a role in recruiting staff who
will have contact with children
b
Training is systematically evaluated and impact outcomes used to improve
future training programmes.
30
c
A training database is in place and updated.
30
100
3.4
The organisation can demonstrate that agencies contracted /
commissioned to provide services have safer recruitment in place
Max
score
a
Safer recruitment standards are embedded in the contracts with
commissioned service providers.
50
b
Adherence to these standards is checked as part of the contract management
process.
50
100
4. SERVICE DEVELOPMENT
4.1
Service development is informed, where appropriate, by the views of
children & families
Max
score
a
There is a stated policy on the involvement of children and young people in the
development of the organisation’s service.
20
b
The organisation takes a pro-active approach to engaging with children and families
in the design, development and delivery of services.
20
c
Feedback mechanisms are embedded within the organisation, and clear service
changes can be demonstrated as a result.
20
d
Providers of feedback are informed how the information they provide has been used.
20
e
Different methods of communication are available to children to express
their views
20
100
4.2
The organisation has an effective strategy in relation to Domestic Abuse
and Violence
8
Max
score
a
There is a senior lead for domestic abuse and violence.
10
b
There is a policy/ procedure in place for managing domestic abuse and
violence issues.
20
c
There are processes in place for disseminating basic domestic abuse and
violence awareness to all staff.
20
d
Appropriate staff are trained in the use of DASH (Domestic Abuse, Stalking
and Harassment, Honour Based Violence) Risk Assessment Model.
20
e
Where high risk cases are identified, a referral to MARAC (Multi Agency Risk
Assessment Conference) is made.
20
f
There is adequate resourcing for services responding to Domestic Abuse and
violence.
10
100
4.3
The organisation has an effective strategy in relation to Honour Based
Abuse (HBA) - this includes forced marriage and Female Genital Mutilation.
There is a senior lead for HBA.
Max
score
10
b
There is a policy/ procedure in place for managing HBA issues. The policy
makes specific reference to Honour based Abuse, Forced Marriages, Female
Genital Mutilation
20
c
The organisation has processes in place to deal with these forms of abuse
that includes the recording and storage of records relating to cases of HBA
10
d
Relevant staff can access HBA training and have a clear understanding of the
procedures in place to deal with incidents or concerns relating to HBA
20
e
There are processes in place for disseminating basic HBA awareness to all
staff.
20
f
There is adequate resourcing for HBA, FM & FGM
20
a
100
4.4
a
The organisation has an effective strategy in relation to Prevent (The
Counter Terrorism Strategy).
The organisation has a senior lead for Prevent.
Max
score
20
b
There is a policy and a procedure in place and staff are aware of its existence.
20
c
There is a training plan in place.
20
d
The Prevent lead receives information from the Channel Panel and
disseminates information as appropriate.
20
9
e
There is adequate resourcing for Prevent.
20
100
4.5
The organisation has an effective strategy in relation to Child Sexual
Exploitation
Max
score
a
There is a senior lead to take forward the CSE agenda.
20
b
The organisation has an action plan for how it can contribute to the
reduction of CSE in Essex.
20
c
Objectives in relation to child sexual exploitation are clearly identified and
delivered upon by the named lead
10
d
Safeguarding training includes signs and symptoms of CSE.
20
e
Where required, key staff are able to access more in-depth training in Child
Sexual Exploitation within acceptable timescales.
10
f
There is adequate resourcing for services responding to Child Sexual
Exploitation
20
100
4.6
Effective systems are in place to evidence the impact of your service on
outcomes for children and young people
Max
score
a
The organisation has a range of systems in place to assess the impact of their
professionals’ actions on the lives of children and young people.2
Outcomes for children and young people are routinely monitored, and reported to
senior level.
50
b
50
100
5. LEARNING, DEVELOPMENT AND STAFF SUPPORT
5.1
Safeguarding is covered effectively within inductions for all staff.
a
Safeguarding awareness training is mandatory on induction for all staff who
will have contact with children and families. This induction should cover
familiarisation with child protection responsibilities and how to recognise
and respond to possible abuse or neglect
b
This induction includes awareness of the complaints and whistle-blowing
procedures.
10
c
This includes temporary / agency staff.
10
d
All new members of staff who have contact with children and families have
completed their safeguarding induction within the appropriate timescale
30
e
Compliance with this target is checked
10
10
Max
score
40
100
5.2
There is effective supervision and support for staff engaged in safeguarding
children work
Max
score
a
There is a named lead for Safeguarding who can be contacted by staff for
support and advice when dealing with safeguarding issues.
20
b
The organisation has a policy statement for the provision of professional
supervision to all staff working in the safeguarding and child protection
arena.
20
c
The organisation can evidence that all appropriate staff are receiving such
supervision.
20
d
Decisions that are made in supervision recorded in case records
10
e
The organisation evaluates the quality and effectiveness of staff supervision?
10
f
The organisation provides support and training to Safeguarding supervisors
20
100
5.3
Safeguarding learning and development opportunities are provided to all
staff at a level appropriate to their role.
There is a dedicated budget for Safeguarding Children training.
Max
score
10
b
All staff within the organisation can access basic awareness child protection
training/eLearning.
20
c
Training pathways / individual training plans are in place for those staff
members who will have more in depth contact with children.
20
d
Child protection Training records are maintained and can be monitored /
audited on request.
20
e
The organisation can demonstrate the impact that child protection training
has on practice.
20
f
Your organisation completes audits of training needs to inform their interagency safeguarding training programme
10
a
100
5.4
The organisation ensures that all safeguarding training is suitably quality
assured.
Max
score
a
Training is provided by safeguarding specialists, in-house and/or external
providers.
30
b
Quality assurance systems are in place for trainers to ensure the quality of
safeguarding training packages.
40
11
c
Safeguarding Training is routinely evaluated to assess its impact.
30
100
5.5
Learning from SCRs, SIs and other safeguarding reviews and audits is
disseminated and acted upon effectively
There are processes in place to monitor the action plans following Serious
Case Reviews, single agency and multi-agency Safeguarding Case Audits and
Reviews, and Serious Incidents and to ensure that the required actions are
implemented.
Max
score
30
b
The organisation participates fully when required with any LSCB-led MultiAgency Safeguarding Case Audit activity, and has systems in place to
disseminate and act on learning from them
NHS provider organisations must adhere to the principles set out in the
National Patient Safety Agency (NPSA)’s 2010 National Framework for
Reporting and Learning from Serious Incidents Requiring Investigation and
the Serious Incident Framework March 2013
30
c
Systems are in place to ensure that lessons learnt from these Reviews and
Audits are integrated into practice, and that front-line staff are familiar with
this learning
40
a
100
5.6
a
b
The organisation responds to and learns from national and local
developments and guidance relating to safeguarding children / vulnerable
adults.
The organisation keeps abreast of new local and national safeguarding
developments and guidance, 'scanning the horizon'.
Max
score
There are systems in place to ensure that all appropriate staff are made
aware of relevant new knowledge relating to safeguarding, and this is
incorporated into practice.
60
40
100
6. EARLY HELP AND INTER-AGENCY WORKING
6.1
The organisation effectively identifies children and families who would
benefit from early help
Max
score
a
Clear processes for identification of children and families who would benefit
from early help have been implemented.
30
b
Your organisation can evidence that it links effectively at a local level with
organisations providing preventative services for children and families,
including local authority, NHS, private, voluntary and independent sectors.
30
12
c
Assessment tools are in place within your organisation to identify such
children and families
20
d
Your organisation supports its front-line staff who are in contact with
children and families to provide early help, or work with other local
organisations that do
20
100
6.2
Staff, in contact with children and families, know the criteria for referral to
children's social care, and referral requests made to social care are
appropriate.
Staff, working with children and young people, have up to date written
guidance on children's social care referral criteria, endorsed by the local
safeguarding children board.
Max
score
b
There are processes for recording incidents, concerns and referrals in relation
to children and vulnerable adults. This includes recording the action that
results.
30
c
The proportion of requests to children's social care from the organisation
that do / do not lead to a social care referral is regularly monitored and
reviewed
20
d
The organisation monitors the extent to which these are understood and
used by staff.
20
a
30
100
6.3
Staff contribute fully when required with inter-agency child protection
cases
Max
score
a
Staff participate where relevant in child protection strategy discussions, S47
investigations, CP conferences and core groups – verbally and in writing.
20
b
This participation is recorded, and performance monitoring processes are in
place to know the level of attendance of invited staff at multi-agency child
protection meetings and action is taken to address non-attendance.
10
c
Attendance is consistently high.
10
d
Staff are carrying out actions assigned to them in accordance with child
protection plans.
20
e
Written reports are completed and presented when requested.
20
f
Literature is available to other professionals about the roles and
responsibilities of the agency’s staff.
10
g
Internal audits are undertaken on child protection practice.
10
100
13
6.4
The Organisation contributes fully with Local Safeguarding Board MultiAgency Case Audits, where required.
Full co-operation with requests for case file information, which is completed
and submitted within required timescales.
Max
score
25
b
The appropriate staff are released to attend any Multi-Agency Case Audit
meetings to which they have been invited, and are supported by their
managers in this.
25
c
The Organisation has systems in place to disseminate learning coming out of
Multi-Agency Case Audits.
50
a
100
6.5
Disagreements relating to inter-agency child-protection decision-making
are managed effectively.
Max
score
a
Staff making referrals to children’s social care know the procedures for
resolving inter-agency differences, or how to find them within the SET child
protection procedures manual.
30
b
The organisation monitors cases where there are differences of opinion
between children’s social care and their own staff relating to child protection
decisions.
20
c
Escalation is managed appropriately using the correct procedure, and
outcomes recorded.
30
d
Managers at all levels in the organisation can demonstrate that they
encourage a culture of constructive challenge and openness.
20
100
7. INFORMATION-SHARING
7.1
The organisation has a policy on information-sharing relating to
safeguarding that is accessible to staff.
Relevant information sharing documentation is available and accessible to all
staff.
Max
score
25
b
All staff receive training on information sharing and data protection
legislation.
25
c
There is audit evidence that staff share information appropriately.
25
d
Client/patient identifiable information is shared via appropriate secure
means
25
a
100
7.2
Staff are aware who they should go to should they require clarification on
information-sharing.
14
Max
score
a
Staff have a named contact to whom they can go for clarification of any
issues in relation to information sharing, and staff can easily find out who this
is.
100
100
7.3
The organisation effectively shares information with other professionals to
support early identification and assessment of need as guided by national
policy.
Staff working with children and young people have a clear understanding of
when to share information in relation to safeguarding concerns.
Max
score
b
Case audits within the organisation and multi-agency audits can demonstrate
effective information -sharing.
30
c
Senior leadership promote the importance of information sharing across the
organisation.
30
a
40
100
7.4
Records relating to service users are retained and destroyed safely.
a
There are clear policies on the safe retention and destruction of service
user's records and these are adhered to by staff.
b
This is audited to ensure compliance.
Max
score
60
40
100
The following descriptors can also be applied:
Score less than 50% of criteria fully met
An action plan is not in place for unmet criteria – the organisation needs to develop an
action plan at senior level to address this.
Potential safeguarding concerns.
Low compliance with Standard.
Score 50% – 74% of criteria fully met
For criteria not fully met there is an action plan signed off with time scales for completion.
Moderate compliance with Standard
Score 75% – 89% of criteria fully met
For criteria not fully met currently in the process of implementing action plan to be fully
compliant by next Audit.
High compliance with Standard.
Score 90% + of criteria fully met.
15
All or almost all the criteria are fully met, or exceeded, and can be clearly evidenced. For
areas unmet the organisation is currently in the process of implementing an action plan to
be fully compliant by next Audit.
Very High compliance with Standard.
16