• Find a children and families services inspection report
• Understanding a children and families services inspection report
• Types of children and families services Ofsted inspects
• Inspecting children and families services
• Types of children and families services Ofsted regulates
• Regulating children and families services
  • Registration not required for children and families services
  • Before registration as a children's social care provider
  • Registering as a children's social care provider
  • After registration as a children's social care provider
    • Notification of events/incidents at children's social care providers
    • Compliance, investigation and enforcement
• Safeguarding children
• About our survey reports
• How to complain

Compliance, investigation and enforcement

Our Compliance, investigation and enforcement handbook sets out the legal background to our compliance and enforcement work, our approach to this work and the extent of our powers.

We use the handbook in our regulation of early years and childcare providers and children’s social care services. It includes guidance for inspectors and others on:

• investigating complaints about registered providers
• investigating whether a provider is complying with standards and the law
• taking statutory enforcement action against a provider
• working with outside agencies – including those with child protection responsibilities – to protect children
• action we may take to safeguard children.

The handbook sets out what we do to make sure that we are consistent in our compliance, investigation and enforcement work.

We review the handbook regularly, so it remains up to date and in line with the law and government policies.

The handbook has nine sections and contains 29 documents.

Enforcement under the Childcare Act 2006 Policy

• Enforcement policy

Powers, principles and making decisions

• Investigating and enforcing compliance: our powers and principles of investigation
• Thresholds: childminding, childcare and children’s social care
• Decision making

Complaints and notifications (safeguarding)

• Receiving and categorising concerns about compliance
• Processing category one concerns: immediate priority
• Making referrals to the Independent Safeguarding Authority
• Notification of events from regulated providers
• Boarding schools: notification of failure to safeguard and promote welfare

Notifications made in relation to chapter eight of Working Together to Safeguard Children 2010: local authorities must tell us about incidents that occur in their area which fall into the categories set out in Local Authority Circular (2007) 25, and must follow the guidance set out in that document.

Investigations and surveillance

• Investigation planning
• Carrying out an investigation visit
• Recording and tracking investigations
• Surveillance

Offences and statutory enforcement actions

• Welfare requirements and compliance notices
• Suspension of registration of those on the Early Years Register and the Childcare Register
• Cancellation of registration
• Taking emergency action
• Unregistered services
• Issuing a notice restricting accommodation in a children’s home or residential family centre
• Warning letters and simple cautions
• Prosecutions

Disqualification

• Disqualification: childminding and childcare
• Disqualification and written consent process for social care

Objections, representations and appeals

• Objections
• Representations
• Appeals 

Legal advice

• Legal advice
• Appearing as a witness in a court or tribunal
• Guidance to attending an inquest

Disclosure of information

• Disclosure of information