RED not met / AMBER partially met / GREEN fully met

Name of Setting:

Date Completed:

Governance

Question	Met/Part met/fully met/NA	Evidence/Actions	RAG
What is your legal structure? What is your governing document? When was your last AGM? Are you quorate? Charity/Companies house nos.
Do Management Committee/Governors/Directors demonstrate their understanding of their roles and responsibilities with regards to the EYFS Statutory Framework (Section 3 Safeguarding & Welfare Requirements)?
Has everyone who makes up the registered provider completed the DBS / EY2 process? Who is the Nominated Individual (NI)? Charity Commission/Companies House updated with regards to trustee/director information?
Is your setting compliant with GDPR? Date of the last audit? Are you registered with the ICO?

Premises

Question	Met/Part met/not met/NA	Evidence/Actions	RAG
Who owns the premises/land? * unincorporated charity only If you own the premises, do you have custodian trustees? Is a lease/licence/rental agreement in place?
Do you share the premises? If so do you have a user agreement?
Is the building in good condition? Who is responsible for the Maintenance of the building? If applicable do you have a building maintenance fund? Is this adequate?
Are you able to expand if required?
H&S and Appliance certificates check where applicable. Gas, PAT tests, Fire risk assessments, and emergency evacuation procedures, Fire extinguishers/alarms tests/smoke detectors/blankets, 1974 Health and safety poster

Finance

Question

Met/Part met/fully met/NA

Evidence/Actions

RAG

Does income meet expenditure?

Do you have a reserves/contingency fund?

If so, how much? Is this adequate to cover closure costs?

How many children on role?

Is there a waiting list?

What is your proportion of total staff costs to income (%)? Staff costs ÷ income x 100 should include all staff costs including NI/pension

Fees hourly rate - when were they last increased?

What is your Marketing Strategy?

Do you have robust financial policies and procedures in place, if so, what are they?

Do you have unpaid fees?

Do you have a financial forecast or set annual budgets?

Are accounts independently examined?

Does the treasurer submit a financial report at each committee meeting?

Do you submit your Annual Return to the Charities Commission/Companies House?

Employment

Question	Met/Part met/fully met/NA	Evidence / Actions	RAG
How many staff do you employ? Do your staff have up-to-date contracts and job descriptions?
Explain your safe recruitment practice? Explain your staff induction procedure?
What is the supervision process in your setting? How often are individual supervision meetings?
Do staff have access to employment policies and procedures? Do staff have opportunities to undertake regular CPD? Do you have a record of staff training?

Summary of Actions

Completed by

Agreed by