Running a high-quality early years setting isn’t just about creating a warm, nurturing environment for children. It’s also about meeting the many legal and regulatory requirements designed to keep children safe and ensure best practice.
Yet, time and time again, the same compliance issues crop up in inspections and audits. Some are small oversights, while others can have serious consequences. So, what are the biggest pitfalls, and how can settings avoid them?
- Staffing Ratios and Supervision
The issue:
Not maintaining the correct staff-to-child ratios is a common compliance failure. Whether it’s being short-staffed at the start of the day, not having enough cover for breaks, or relying too heavily on an overall setting-wide ratio (rather than room-by-room), this is a major red flag.
How to avoid it:
- Regularly review staffing levels and ensure rotas reflect the needs of each room.
- Have a plan for cover during staff breaks, sickness, and training.
- Conduct frequent headcounts and checks to ensure ratios are always met in real time.
- Safeguarding and Child Protection
The issue:
Every setting must have robust safeguarding policies, yet breaches still happen. Whether it’s staff not fully understanding their duty to report concerns, poor record-keeping, or failing to act swiftly, any lapse in safeguarding can have serious consequences.
How to avoid it:
- Ensure all staff (including agency and cover staff) receive safeguarding training and refreshers.
- Have clear procedures for reporting concerns, and make sure staff know them inside out.
- Maintain up-to-date safeguarding records and act on any concerns immediately.
- Record-Keeping and Documentation
The issue:
Accurate records are essential for compliance, yet they’re often overlooked or inconsistently maintained. This includes staff training logs, accident reports, medication records, and learning and development observations. Missing or incomplete documentation can lead to serious issues during inspections.
How to avoid it:
- Implement a clear system for recording and storing key documentation.
- Conduct regular audits to check records are complete, accurate, and up to date.
- Ensure all staff understand their responsibility to document appropriately.
- Health and Safety Risks
The issue:
A poorly maintained environment poses risks to children and staff. Common problems include unchecked hazards, inadequate risk assessments, unsafe sleep practices, or poor food hygiene. Insufficient first aid cover can also be a critical failing.
How to avoid it:
- Conduct daily safety checks of indoor and outdoor areas.
- Ensure risk assessments are regularly reviewed and updated.
- Have clear procedures for managing accidents and incidents.
- Keep first aid training up to date and ensure qualified first aiders are always on-site.
- Staff Training and Qualifications
The issue:
All practitioners must have the right qualifications, and staff training should be an ongoing process. However, gaps in training—whether in safeguarding, first aid, or early years curriculum knowledge—are a recurring compliance issue.
How to avoid it:
- Keep an up-to-date record of staff qualifications and training.
- Schedule regular refresher courses and CPD opportunities.
- Ensure new staff (including agency workers) receive a proper induction.
Final Thought: Compliance is an Ongoing Commitment
Getting compliance right isn’t just about passing an inspection—it’s about ensuring a safe, high-quality environment for children and staff every day. Regular audits, strong leadership, and a culture of accountability can help prevent common compliance issues in Early Years and keep standards high.
By staying on top of these key areas, early years settings can ensure they’re not just meeting minimum requirements but exceeding them. After all, compliance isn’t just about ticking boxes—it’s about keeping children safe, happy, and thriving.
Please do me one favour after reading this blog, reflect on your setting and ensure that you are not making any common compliance issues, and if you are, please take the time to rectify this.
Written by Vanessa Dooley, Founder of Jigsaw Early Years Consultancy
