Final for Consultation Draft Provider Agreement

8/6/2019 Final for Consultation Draft Provider Agreement

1/26

APPLICATION FORM

(Please complete this section in BLOCK CAPITALS in BLACK or BLUE INK)

Name of setting:

Address of Provider

Provider postcode:

Provider telephone number:

Email address:

Website address:

Please provide the name of your

electoral ward if known:

Limited CompanyCompany

number:.

Registered Charity

Charity number:.

Committee led Not For Profit Organisation

Partnership

Registered LLP

LLP number:

Maintained School or Nursery School

Independent School

Other Please Describe:

Type of Establishment:Please tick as appropriate

.


2/26

Name of and position of the person tocontact about delivery of the freeentitlement on a day to day basis.Please provide the correspondence

address/email address if this differs from

the provision address:

Name of the person responsible for

inclusion and equal opportunities at thissetting?

Name of the nominated setting SENCO.

How many staff work directly with the

children receiving the free entitlement?

Please provide the highest qualification

level held by each member of staff.

Name Job Title Highest Qualification Held(Please write the name of

the qualification as stated

on the certificate).


3/26

(Please continue

overleaf..)

Qualifications Continued.. Name Job Title Highest Qualification Held(Please write the name of

the qualification as stated

on the certificate).


4/26

Please indicate your Ofsted Unique Ref

Number / DfE number for the school

NOTE: Please return this form with a copy of

your current Ofsted Registration Certificate.

..When was your last inspection date and

what was the outcome?

DATE:

OUTCOME:How many weeks a year are you open?

Please indicate the hours you are open

each day

Monday

Tuesday

Wednesday

Thursday

Friday

Morning and afternoon sessions of 3 hours

only.

Sessions longer than 3 hours but shorter than 5

hours a day.

How are you delivering the free entitlement?

Sessions of 5-8 hours each day enabling the

entitlement to be taken over a minimum of 3

days.

Other. Please state:

What services above the freeentitlement do you offer parents? Please

list with appropriate charges.

Eg. additional care, lunch, care for 0-3 year olds,other

How many registered places do youhave for eligible children / what is your

admissions number for schools?

Eligible 2 year olds (where 2 year old funding is

available):

Eligible 3 4 Year Olds:

What is your maximum capacity foreligible children ?

Eligible 2 year olds (where 2 year old funding isavailable):


5/26

Eligible 3 4 Year Olds:

If your operational numbers differ fromthe registered places/admissions

number, please indicate why, i.e.

staffing constraints, demand etcDo you anticipate any changes in your

present numbers in the academic yearfrom September 2011? If yes what and

why?


6/26

DRAFT Provider Agreement for 2011/12

This Agreement is made between:

(A) Norfolk County Council (acting by its Children Services Department),County Hall, Martineau Lane, Norwich, NR1 2DH (the Council); and

(B) The Provider of the setting as detailed in the attached application form(the Provider)

Background

Section 7(1) of the Childcare Act 2006 Act places a duty on Englishlocal authorities to secure free early years provision for all eligiblechildren in their area. Regulations made under Section 7 set out thetype and amount of free provision and the age of children to benefit.

Section 7(2) of the Act requires that in discharging their duty under

Section 7(1), local authorities must have regard to any guidance givenby the Secretary of State. The Code of Practice on Delivery of FreeEarly Years Provision for three and four year olds (the Code ofPractice) issued by the Department for Education constitutes suchguidance. It is effective from 1 September 2010 and replaces allprevious guidance on the delivery of free early years provision foreligible children.

This Agreement has been drafted with reference to the Code ofPractice.

Norfolk County Council maintains and keeps an up to date localDirectory of Providers who are in receipt of funding to deliver the freeentitlement to eligible children.

This Agreement sets out the conditions Providers must comply with inorder to be included on the Directory of Providers and receive fundingto provide free entitlement to early years education and childcare.

If the Provider accesses funding to provide free early learning andchildcare to eligible 2 year olds, they must also comply with the

Councils 2 Year Old Learning & Childcare Entitlement SchemeGuidance document, revised in April 2011, in addition to the conditionsof this Agreement.

Failure of the Provider to comply with this Agreement may result in:- funding being withdrawn or suspended;

- the Provider having to repay all or part of the funding; and/or

- being removed from the Directory of Providers.

Providers will not receive any free entitlement funding for any periodwhen they are not included on the Directory.


7/26

1. The Role of the Council

The Council is committed to supporting the Provider in its delivery ofthe free entitlement.The Council, acting by its Children Servicesdepartment, will:

(a) work collaboratively with the Provider to raise quality through the

Towards Excellence in the Early Years document issued by theCouncil in September 2010;

(b) offer timely and appropriate advice, support and challenge;

(c) update the information about provision and inform enquiriesthrough the Family Information Service (FIS), where informationis provided by Ofsted and/or the Provider;

(d) support the Provider through the Ofsted registration andinspection process;

(e) keep the Provider informed about the relevant local and nationalchanges;

(f) provide information on relevant training opportunities and securequality training where resources allow;

(g) ensure that its staff comply with the Councils Code of Conduct;

(h) consult the Provider about initiatives that could impact on theirprovision;

(i) actively support the Provider to improve outcomes for allchildren;

(j) apply the early years improvement procedure for settings ofconcern (See Appendix A). This may include, where necessary,the withdrawal of funding and/or support;

(k) invite feedback from the Provider about the services offered;

(l) manage and provide early learning and childcare funding forearly years childcare places for eligible children;

(m) work with the Provider to increase its flexibility in delivering thefree entitlement; and

(n) meet with the Provider as necessary to discuss the provision ofthe free entitlement.


8/26

2. The Delivery of the Free Entitlement

2.1 The Provider agrees to read and comply with the Code of Practice.

2.2 The Provider acknowledges that during the course of this Agreement it

must operate and provide early learning and childcare at premiseswithin the county of Norfolk.

2.3 The Provider will deliver the free entitlement to eligible children inaccordance with this Agreement.

2.4 The Provider will follow such procedures and obtain such informationas required by the Council and/or the Department for Education inorder to establish that each child claiming any free entitlement iseligible to receive it.

2.5 In relation to the provision of free entitlement to eligible three and fouryear olds, the Provider agrees to:

(a) follow the national framework for the delivery of the freeentitlement and the local variations applicable to Providers inNorfolk (see Appendix B);

(b) seek the agreement of the Council to provide an alternativedelivery model if, due to exceptional circumstances, the Provideris unable to meet the core offer of 15 hours per week over nofewer than 3 days a week over 38 weeks per annum; and

(c) ensure parents receive an offer for 570 hours in total where theoffer is to be delivered in excess of 38 weeks.

2.6 If the Provider accesses funding for the provision of free entitlement toeligible two year olds, it agrees to comply with the requirements anddelivery models as set out in the Councils 2 Year Old Early Learning& Childcare Entitlement Scheme Guidance document as revised inApril 2011.

2.7 On an annual basis, the Provider will consult with parents and reviewits delivery of all its free entitlement to establish future demand andwhether a change to its delivery model is needed. Where a change indelivery is anticipated, the Provider shall liaise and work with theCouncil to explore the possibility of any change during the applicationprocess for the next funding year.

2.8 The Provider will not charge for any part of the free entitlement, eitherdirectly or indirectly and no conditions of access will be levied (seeAppendix C).

2.9 The Provider will take steps to ensure bills are set out clearly, so thatparents/carers can easily recognise and understand what hours they


9/26

have accessed in relation to the free entitlement and how any feesrelate to any additional hours or services they have chosen to purchasefrom the Provider. (See Appendix D).

2.10 The Provider will require each parent/carer to complete and sign aParent/Carer Form (issued by the Council) for every child attendingand claiming the free entitlement. The Provider will retain the forms for

at least seven years and agrees to make them available to the Councilon request. (See Appendix E).

2.11 The Provider will accurately complete the Summary Claim Forms andList of Eligible Children Forms and submit them to the Council by thespecified deadlines. The Provider will ensure it only claims funding forthe actual sessions/hours each child attended at their setting during theclaiming period. (See Appendix E).

2.12 The Provider will ensure the information and documents listed inAppendix F are made available upon request to parents and the

Council.

2.13 The Provider will keep records of the presence or absence of eachchild for whom the funding has been claimed and will keep theserecords for each early education funding session (See Appendix G).These records shall be made available to the Council upon request.

2.14 The Provider will not unlawfully discriminate within the meaning andscope of any law, enactment, order, or regulation relating todiscrimination (whether in age, race, gender, religion, disability, sexualorientation or otherwise).

2.15 The Provider will take all reasonable steps to secure the observance ofclause 2.14 by all of its employees or agents in the delivery of itsservices, including the delivery of the free entitlement.

2.16 The Provider shall comply with the Health & Safety at Work Act 1974and all other relevant health and safety legalisation and guidance.

2.17 The Provider shall comply with the Safeguarding Vulnerable GroupsAct 2006 and any successor legislation together with any relevant

guidance, and have suitable policies and procedures in place.

2.18 The Provider will maintain adequate and suitable insurance to cover allclaims made by or on behalf of children, staff and visitors to thepremises in respect of loss or damage to property or goods, personalinjury, disease and death, to the extent that such a claim was due tothe act or omission of the group or its staff. The Council advises that atotal liability cover of 10,000,000 should be provided as a minimum(consisting of Public Liability cover of 5,000,000 and EmployersLiability of 5,000,000.)


10/26

2.19 Upon request, the Provider shall supply to the Council a copy of suchinsurance policies and evidence that the relevant premiums have beenpaid.

2.20 The Provider shall notify the Council within seven days of any claim inrespect of personal injury, disease and death made against them, by oron behalf of a child, arising out of early education in respect of which

the funding was claimed.

2.21 The Provider shall inform the finance department of the Council of anychanges to its bank details or contact details. This information shouldbe sent by email to [email protected] or in writing to:

Management Accounts,Children Services FinanceRoom 047County HallMartineau LaneNorwich

NR1 2DL

2.22 The Provider shall notify the Early Years Team of the Council of anymaterial change in its particulars including, but not limited to, a changein:

(a) its ownership;

(b) its staff and/or its committee;

(c) corporate status (e.g. from sole trader to a limited company);

(d) address/premises; or

(e) such other material change that may affect its delivery of thefree entitlement.

Information should be sent by email to:earlyyears&[email protected] or [POSTAL ADDRESS TO BECONFIRMED].

3. Continuous Quality Improvement

3.1 The Provider agrees to:

(a) work with the Council and will demonstrate an agreedcommitment to quality improvement;

(b) comply with the Towards Excellence in the Early Yearsdocuments issued by the Council in September 2010 and co-operate with the Council to achieve quality improvement;


11/26

(c) allow the Council to enter its premises and agree to beassessed by the Council under the RAG (Red-Amber-Green)Rating Process as part of the quality improvement processidentified in Towards Excellence in the Early Years;

(d) provide evidence of its improvement in quality to the reasonablesatisfaction of the Council; and

(e) work with the Council to improve outcomes for children in earlyyears and development and implement action plans identifiedduring an assessment within specified deadlines.

3.2 The Council will provide support and advice to the Provider as detailedin the Towards Excellence in the Early Years documents.

4. OfstedThe Provider will:

(a) establish and maintain registration with Ofsted (if they providechildcare that requires registration) of at least the standardconsidered by Ofsted as satisfactory;

(b) inform Ofsted whenever there is a material change in itsparticulars in accordance with the EYFS statutory requirements;

(c) inform the Council, Early Years Adviser, Development Workerand Childminding Matters (if a childminder) when complaints arereceived and/or reported to Ofsted;

(d) inform its local Early Years operational team of when Ofstedinspections are taking place;

(e) invite the Early Years Adviser/Development Worker to thefeedback session following an Ofsted inspection. The Providershould give the local Early Years operational team at least oneworking days notice of the feedback session. In the event theEarly Years Adviser/Development Worker is unable to attend thefeedback session, the Council will authorise another individual toattend in their place. The Provider will not prevent the Early

Years Adviser/Development Worker or authorised individualfrom attending the feedback session; and

(f) update the settings SEF following an inspection by Ofsted, andsubmit a copy of any action plan to the Councils Early Yearsoperational team within 28 days of receiving the draft report.

5. Qualifications and Training

5.1 The Provider will:

(a) ensure appropriately trained staff support children;


12/26

(b) ensure the setting has a training plan in place which is regularlyupdated;

(c) make new and existing staff and members of its committee /management aware of the Directory of Providers and the criteriafor inclusion;

(d) ensure each staff member accesses the equivalent of at least 4professional development days relating to the Early YearsFoundation Stage during 2011-12. The Provider will keeprecords of training on file and shall make them available forinspection upon request;

(e) encourage each staff members to demonstrate, at the veryleast, a basic level of competence in the six areas of theCommon Core of Skills and Knowledge for the ChildrensWorkforce;

(f) in the case of a group setting, ensure the workforce is graduateled or working towards a graduate led workforce if the setting isopen for four or more consecutive hours in any one day;

(g) ensure that practitioners working in the setting delivering theEarly Years Foundation Stage and included in the ratio ofqualified staff hold a full and relevant qualification as defined bythe Childrens Workforce Development Council (CWDC); and

(h) ensure that the CWDC Early Years Workforce QualificationsAudit Tool is completed for the setting and staff and regularlyupdated when staff and qualification changes occur.

5.2 Where the Provider is a childminder, they shall be part of a qualityassured childminding network.

6. PoliciesThe Provider will operate and maintain:

(a) a behaviour management policy, which does not includecorporal punishment;

(b) a Special Educational Needs policy in line with the SpecialEducational Needs Code of Practice, promoting inclusion andcovering admissions into the setting, transitions and applying forfunding to support children with additional needs;

(c) a fully inclusive equal opportunities policy for staff, children andfamilies; and

(d) the additional policies listed in Appendix F.


13/26

7. Special Educational Needs and Equal Opportunities

7.1 The Provider will identify a Special Educational Needs Co-ordinator(SENCO), who is responsible for establishing and implementing thesetting SEN policy.

7.2 The Provider will ensure the setting based SENCO accesses theequivalent of three professional development days a year, as aminimum.

7.3 The Council will work with the Provider to ensure the inclusion ofchildren from identified vulnerable and minority groups, including thosewith SEN or a disability.

7.4 The Council will have an expectation that experienced staff work withany child with SEN for whom an application for additional funding has

been awarded.

8. Records, Data Sharing and AuditingThe Provider agrees to:

(a) maintain records about children receiving the free entitlementand make that information available to Council representativeson request by using the Parent/Carer Claim Form;

(b) the Council storing details regarding early learning and childcarefunding claims on a confidential database operated by theCouncil;

(c) implement an effective transition policy and, with parentalconsent, pass on individual pupil records to a receiving settingwhen a child moves from one setting to another. This includeswhen a child moves to Reception class in school;

(d) provide all parents with a Privacy Notice that reflects thecollection and exchange of data around childrens attendanceand developmental outcomes;

(e) comply with the Data Protection Act 1998 and any other relevantlegislation regarding privacy or data protection together with anyrelevant guidance or advice on such matters issued by theInformation Commissioners Office and/or the Council from timeto time.

(f) assist and co-operate with the Council to enable it to complywith its duties under the Freedom of Information Act 2000.

(g) keep all records listed in Appendix G each term and hold them

securely for at least 7 years; and


14/26

(h) upon reasonable notice, agree to be inspected by officials fromthe Council for audit purposes. The Provider will allow theCouncil access to all relevant accounts, documents and othermaterials and will provide such further information, explanationsand documents as the Council may reasonably require in orderfor it to establish that the funding has been used properly inaccordance with this Agreement.

9. Withdrawing, Suspending and Re-Payment of Early Years Funding

9.1 The Provider agrees to repay to the Council any money incorrectly paidto it due to an administrative error or otherwise within 14 days ofbecoming aware that the payment was incorrect or within 14 days of awritten request for the return of the money (whichever is sooner). Anyoutstanding sums owed under this clause shall be recoverable as acivil debt.

9.2 The Council shall have regard to its Settings of Concern Procedure

(Appendix A) before exercising any of its rights under clause 9.3 or9.4. Where the Council views the relevant circumstances to besufficiently serious, it may omit stages or depart from the procedureentirely and exercise its rights at any time.

9.3 The Council may at its discretion withdraw or suspend payment of theearly years funding and/or require repayment of all or part of thefunding if:

(a) the Provider uses the funding for any purpose other thandelivering the free entitlement;

(b) the Provider fails to comply with the conditions set out in thisAgreement;

(c) Ofsted judges the provision as Inadequate (2);

(d) Ofsted judges the Provider as Inadequate (1) and/or theProvider is subject to support and insufficient progress is made;

(e) in the reasonable opinion of the Council, the Provider fails to

demonstrate and provide adequate evidence of its commitmentto continuous improvement in quality in accordance with anyaction plan produced following an assessment under theCouncils quality improvement process;

(f) the Provider ceases to operate for any reason, or it passes aresolution (or any court of competent jurisdiction makes anorder) that it be wound up or dissolved (other than for thepurpose of a bona fide and solvent reconstruction oramalgamation);

(g) the Provider becomes insolvent, or it is declared bankrupt, or itis placed into receivership, administration or liquidation, or a


15/26

petition has been presented for its winding up, or it enters intoany arrangement or composition for the benefit of its creditors,or it is unable to pay its debts as they fall due;

(i) the Provider has acted in a fraudulent manner, materially misledthe Council or has an action for fraud brought against it businessor is convicted of fraud by a recognised court of law;

(j) the Provider fails to co-operate with or refuses to submit to avisit, inspection or audit by either the Council or Ofsted asdetailed in this Agreement; or

(k) the Provider fails to comply with an investigation of the Councilor Ofsted in relation to a complaint made against them by anyparty.

9.4 The Council shall be entitled to remove the Provider from the Directoryof Providers should any situations under clause 9.3 arise and the

Council considers it is reasonable to do so.

9.5 Providers wishing to appeal against:

(a) funding being withdrawn or suspended;

(b) being asked to repay all or part of the funding; and/or

(c) being removed from the Directory of Providers.

should follow the appeal procedure shown in Appendix H.

10. Voluntary Withdrawal by the Provider

10.1 The Provider may withdraw from delivering the free entitlement bygiving at least one terms (3 months) notice in writing to the Council andindividual parents to allow for parents to make alternativearrangements.

10.2 If the Provider later wishes to be re-admitted to the Directory of

Providers, when processing the new application, the Council willconsider the original reasons for withdrawal and be mindful of theimpact on children and parents of further change before making adecision.

11. Complaints and Dispute Resolution

11.1 Any complaints should, in the first instance, be made directly to anEarly Years Improvement Officer by telephoning 01603 222900 oremailing earlyyears&[email protected].

11.2 An appeals process in relation to decisions about funding or removalfrom the Directory of Providers is set out at Appendix H.


16/26

11.3 The Council operates a Corporate Complaints Procedure and details

are available on request.

12. WaiverIf the Council fails to exercise or delays in exercising any right orremedy to which it is entitled under this Agreement or at law then this

shall not constitute a waiver of any such right or remedy.

13. NoticesAny notices may be issued by the Council or the Provider by email orfirst class post. A notice given by post shall be deemed to have beengiven the second working day after it was posted.

14. Variation

14.1 The Council shall be entitled to vary the terms of this Agreement by

providing not less than one months prior written notice to the Providerif such variation is necessary or desirable to enable the Council to giveeffect to any legal requirements or guidelines issued by the Departmentfor Education.

14.2 With the exception of the circumstances detailed in clause 14.1, anyother variation to this Agreement will only be effective if it is made inwriting and signed by both the Council and the Provider.

15. AssignmentThis Agreement is personal to the parties and neither party shallassign, transfer, mortgage, charge, subcontract or deal in any othermanner with any or all of its rights and obligations under thisagreement without the prior written consent of the other party.

16. Contracts (Rights of Third Parties) Act 1999A person who is not a party to this agreement shall not have any rightsunder the Contracts (Rights of Third Parties) Act 1999 to enforce anyterm of this agreement.

17. Governing Law

This Agreement will be governed by and construed according to thelaws of England.


17/26

APPENDIX A - Setting of Concern Procedure (SCP)

Option OneProvider causing concern at visit

Option TwoProvider causing concern as result of

Ofsted inspection

Setting discussed with core team, letter sent to notify setting of SCP

SCP meeting takes place with setting, EYA*/DW and Manager. The settingaction plan is in place including clear timescales and review dates

Letter sent to registered person including a summary of the meeting and reminderof legal consequences of not making improvements (removal of funding)

Interim visits made by EYA*/DW

Meeting of SCP group (all attendees same as first meeting) with lettersummarising outcome of meeting

Option OneNo progress or insufficient progressmade or setting has been in SCP for

longer than six months

Setting discussed at core team/area teammanagement meeting as part of SCP review

Letter sent to registered person/managerresponsible inviting them to review meeting.

Actions agreed and letter summarisingmeeting including reminder of possible

removal from directory of providers

Review visits by EYA* and core team

No progress made

Letter sent giving notice of removal fromdirectory of providers allowing time for

appeals process

Parents, Ofsted and FIS informed thatsubject to appeal withdrawal of funding will

take place

Appeals Process

Option twoProgress made against action plan

and follow up visits continue

Action plan complete

No further need for SCP

Sign off letter sent tosetting

6months

12mo

nths

Progress made *EYA (Early YearsAdviser) formerly knownas EYST (Early YearsSupport Teacher)


18/26

APPENDIX B - National Framework for the Delivery of the FreeEntitlement[Square brackets indicate paragraph numbers of the Code of Practice].

National Limits and Locally Agreed Limits

The Government has set national limits for the flexible delivery of the free

entitlement as set out in [Para 3.9] of the Code of Practice. In accordancewith those limits, the local limits for Providers in Norfolk have been agreed asfollows:

No session longer than 9 hours

No session shorter than 2.5 hours

Not before 8am or after 6pm.

The full 15 hours over no fewer than 3 days (equating to no more than 12.5hours in 2 days, or 9 hours in a single day).

Parents can access their free entitlement at a maximum of 2 providers perterm.

Core delivery patterns [Para 3.3]

The Government has set core delivery patterns which the Council shouldguarantee to any parent; these are shown below:

3 hours per day over 5 days per week

5 hours per day over 3 days per week

Other common models of delivering flexibility are:Over 3 days:

6 hours per day + 6 hours per day + 3 hours per day

9 hours per day + 3 hours per day + 3 hours per day

Over 4 days:

5 hours per day + 5 hours per day + 2.5 hours per day + 2.5 hours perday

4 hours per day + 4 hours per day + 3.5 hours per day + 3.5 hours perday

Over 5 days: 2.5 hours per day for 4 days + 5 hours on one day

The ProvisionProviders can chose their delivery patterns to suit parents, children and theirbusiness provided it is compliant with this Agreement.


19/26

APPENDIX C - The free entitlement will be entirely free at the point ofdelivery[Square brackets indicate paragraph numbers of the Code of Practice].

No conditions of access / completely free at the point of delivery [Para2.7]

Providers should not impose on parents conditions of access to which theymust agree in order to take-up their free hours.

Parents must not be obligated to purchase additional hours or pay lunchtimecharges in order to secure free provision.

No fees charged for free hours [Para 2.7]Providers must not charge top up fees (the difference between what aProvider would normally charge and the funding they receive from the Councilto deliver the free entitlement) in relation to any free hours. Providers shouldalso ensure no other fees are being charged in relation to the free entitlement,

for example for registration or uniform. If the practice continues the Councilmay consider removing the Provider from the Directory of Providers eligible todeliver the free entitlement and withdraw Early Years Funding.

Charging in advance [Para 2.9]Providers must not charge parents in advance for free entitlement hours andrefund those fees at a later date.

Charging for hours in excess of the free entitlement hours [Para 2.11]Should a child be in attendance for more than the maximum free entitlementhours per week/term the Provider is entitled to charge for all hours attended inexcess of those hours.

Should the number of weeks in a term be more than the free funded weeksthe Provider is entitled to charge for all hours attended in those weeks.

The rates that providers charge for their privately funded hours are a matterfor them to decide and may not be dictated by local authorities. However,parents should not be required or expected to take up additional services inorder to access a free place. Parents who do choose to take up additionalservices should not be charged any more for those services than parents of

children who are accessing a free place. Above all, arrangements for chargingfor additional services should be clear and transparent.

Charging for meals [Para 5.29]Providers can make a reasonable charge for meals provided to childrenduring the day but should:

agree any charge for meals with parents in advance

not require parents to pay lunch time charges in order to secure freeprovision

give parents the option of providing a packed lunch.


20/26

APPENDIX D Billing parents[Square brackets indicate paragraph numbers of the Code of Practice].

Billing parents [Para 2.11]When invoicing parents, providers should set out clearly which of the hoursattended relate to the free entitlement and how any fees relate to additionalservices or hours. In addition, the free entitlement hours should not be

represented as a monetary discount.


21/26

APPENDIX E Funding Processes

Parent/Carer Claim FormThe Parent/Carer Claim Form (also known as the Parental Contract) is theAgreement between the parent/s and the Provider setting out the hours andpattern of access to the free entitlement that has been agreed. This is done

on a termly basis.

The form is completed by the Parent and given to the Provider for theirrecords.

It is a requirement that completed forms for each claimed child are retained bythe Provider for seven years.

These forms will be required during an audit of the Provider and in the eventof a dispute over claims, they will be required as evidence.

It is expected that the Agreement will remain in place for the term to allowplanning for the Provider. Any known intention to re-locate should be reflectedin a reduction to the number of weeks claimed.

Increases in hours of attendance cannot be funded part way through the term.Charges should be applied by the Provider for any additional hours taken.

There are some circumstances where an Agreement may need to beamended or broken; for example:

If the family leaves the area altogether or for an unplanned extendedperiod.

If the familys circumstances change, i.e. a new job / unemployment

Child with long term sickness.

To accommodate changing shift patterns.

Provision not appropriate to the childs needs.

Although the Provider may wish to collect the Parent/Carer Claim Forminadvance of term, parents should be allowed a cooling off period once termstarts if they wish to amend their claim. The change on the form should besigned by both parties and the Council should be notified of the correction to

the Headcount by Headcount Day, if already submitted.

Claims processProviders are required to submit two claims per term in accordance with apublished timetable:

Estimate claim An estimate of the total number ofclaimed hours that children areexpected to attend during a term.

Headcount claim The actual number of claimed hours

that children will attendduring a term based on those children


22/26

in attendance in aHeadcount week.

Failure to submit a claim by a published deadline may result in late paymentor a financial penalty.

Over claims

An over claim is where the number of hours claimed for a child exceeds themaximum for the term/year or exceeds the number of hours that the childactually attends. This can be from one Provider or across two providers.

In the case of an over claim which is supported by two different Parent/ClaimFormfor the same child, both contracts become invalid. New contracts willhave to be completed for each Provider. No payment will be made until theover claim is cleared.

Payment processSubject to appropriate checks being carried out by the Council, providers will

be paid two times per term as follows:

Estimate claim Providers will receive 50% of theirtotal estimated hours at their EarlyYears Funding hourly rate.

Headcount claim Providers will receive the total of theheadcount claim at the hourly rate,minus the estimate payment.


23/26

APPENDIX F Information and Documents

The following information and documents should be available to parents.TheCouncil may also request to see these documents:

The name and address of the premises.

A telephone number for emergency contact during session time.

A plan of the rooms used by the Provider.

An inventory of equipment used by the Provider.

A list of all staff employed by the Provider and their qualifications.

The number of children for whom the Provider is registered.

The ratio of staff to children maintained by the Provider.

The term dates and, where possible, any closures for the followingyear.

Fee Structure.

Policieso Admissions;o Health and Safety;o Equal Opportunities;o Behaviour Management;o SEN;o Staff Development;o Complaints Procedure;o Child Protection/Safeguarding;o Employment;o Administration of Medicines;o Transition; ando Any other policies required in order to meet the EYFS statutory

requirements.

Curriculum Documents used for planning.

Long, medium and short-term curriculum plans.

A timetable where applicable.

Individual educational attainment and progress reports and recordsappertaining to their child.

Ofsted inspection reports and action plans.


24/26

APPENDIX G Record Keeping

The following records should be kept on a termly basis and kept for at least 7years:

Provider Details Update Form

Interim Claim Form

Summary Claim Form

List of Eligible Children Form

Signed Parent/Carer Claim Form

Bank Automated Clearing System (BACS) Advice

Child Attendance Records.

Payroll Information

Suppliers invoices and receipts

Records of cash/cheque payments

Paid cheques

Bank statements

Accounts

Receipt books

Records of income

Bank paying-in slips

BACS receipts.


25/26

APPENDIX H - Appeals ProcedureShould you wish to appeal against the withdrawal or suspension of yourfunding or a request to repay part or all of the funding please follow theprocedure shown below.

Step Action1. If you disagree with a decision by the Council to withdraw,

withhold or reclaim funding, you may write to [TO BECONFIRMED] setting out your reasons for disagreeing with thedecision.

You should write to:[POSTAL ADDRESS TO BE CONFIRMED]

2 The Council will investigate and respond to you in writing within 10working days. If the Council cannot provide a full response within10 working days then it will write to you explaining this and give adate by which you can expect a full response.

3. If you still disagree with the decision, you will be invited to anAppeals Panel. The panel will consist of officers from the Councilwho were not directly involved in the original decision makingprocess.

4. The Appeals Panel hearing will take place a date and timesuitable to both yourself and the Council.

5. You will be required to send in written representations to theAppeals Panel at least 5 working days before the agreed hearingdate.

6. You may supply additional information at the hearing in writingand/or orally.

7. In considering the appeal, the Appeals Panel may seekprofessional and/or legal advice.

8. We will inform you of the decision of the Appeal Panel within 5

working days of the date that the Appeal Panel considered yourappeal.

9. The decision of the Appeal Panel is final.


26/26

This Agreement should be signed by persons who have authority tosign legally binding agreements for the Provider. If applicable, theProvider should comply with any execution requirements or formalitiescontained within its governing document.

In signing this Provider Agreement, the Provider warrants, undertakes andagrees:

It has read, understood and agrees to the terms and conditions of thisAgreement;

It has full authority, power and capacity to enter into this Agreement,and that all necessary actions have been taken to enable it lawfully toenter into this Agreement; and

It acknowledges that failure to comply with this Agreement may resultin its funding being withdrawn or suspended. The Provider may also beremoved from the Directory of Providers and/or be required to repay allor part of the funding it has received.

Authorised Signatory .

Name:

Position:

Date:

Authorised Signatory .

Name:

Position:

Date:

Final for Consultation Draft Provider Agreement

Documents

Transcript of Final for Consultation Draft Provider Agreement