Infection Prevention and Control (IPC) Audit Tool for

Early Years Settings

NAME OF SETTING
NAME AND ROLE OF PERSON COMPLETING
AUDIT
NAME OF LINK EY IPC CHAMPION
DATE AUDIT UNDERTAKEN
DATE OF NEXT REVIEW

Merton Public Health (CYP IPC) DOCUMENT: v2.1 10/02/22

INTRODUCTION
 The IPC Audit Tool for Early Years Settings is intended to be used to encourage self-assessment and peer-to-peer review of settings IPC
practice and processes, and to ensure an evidence based and best practice approach. The audit tool incorporates all aspects of IPC provided
with the DfE Health Protection in Education and Childcare settings guidance and should be taken as a whole approach to IPC. The tool is also
to identify areas which are working well, and areas which settings could benefit from some support with. Support can be provided by the
relevant link Early Years IPC Champions and Merton PH. The tool is also to encourage shared learning of best practice and problem solving of
challenges faced, as well as a way to self-monitor changes to IPC practice. The audit tool relates primarily to day care nursery settings
although it can be utilised for settings such as play groups and childminders. The aim of improved IPC practice is to reduce the potential for
infection within settings and therefore reduce the likelihood of illness, as well as child and staff absence.
 The person completing the audit tool should make comments for each question in the box provided, and note any further support
required to improve practice. Total of Yes/No answers after each section to be completed to identify specific areas working well/for
improvement.
 Any issues identified as requiring action should aim to be addressed as soon as practicable, in accordance with the level of risk.
 The audit tool can be used in line with relevant risk assessment documents, relevant SOPs etc.
 The audit tool needs to be used and regularly checked in line with updated local and national guidance.
The audit tool is divided into seven sections:
1. General
2. Hand and respiratory hygiene
3. Food hygiene
4. Ventilation
5. Personal Protective Equipment (PPE)
6. Cleaning
6.1 General Cleaning
6.2 Safe management of blood and body fluids
7. Safe management of linen, soft furnishings and blood/body fluids
7.1 Linen
7.2 Managing nappies/continence aids
7.3 Equipment and soft furnishings
7.4 Managing cuts, bites, nose bleeds
7.5 Waste management

1. General Yes No N/A Comment Guidance

Is infection prevention Check training includes all aspects of IPC included in:
and control included in Chapter 2: infection prevention and control - GOV.UK
all staff induction (www.gov.uk)
programmes?

Are staff aware of the

IPC specific protocols
and risk assessment
documents in the
setting?

Does the setting have If you have a previous copy of COVID outbreak plan, you
an up to date outbreak may want to use the main principles from this document
management plan? for other infectious disease

Is the definition of an
outbreak and UKHSA
contact details
displayed in a
prominent place in the
setting?

Are risk assessments This includes having active arrangements in place to

regularly reviewed? monitor whether the controls are effective and working as
planned.

Is there regular Particularly when change in processes/measures/in

communication with outbreak
staff/parents about
IPC related matters?
(reminders/reassuranc
es)?

Can the person in

charge state who they
would alert if they
suspected an outbreak
of illness?

Is there at least one https://assets.publishing.service.gov.uk/government/

person on the uploads/system/uploads/attachment_data/file/974907/
premises and EYFS_framework_-_March_2021.pdf
available at all times
who has a current At least one person who has a current paediatric first aid
paediatric first aid (PFA) certificate must be on the premises and available at
(PFA) certificate? all times when children are present, and must accompany
children on outings. Providers should take into account the
number of children, staff and layout of premises to ensure
that a PFA is able to respond to emergencies quickly. Full
criteria for effective Paediatric first aid see Annex A
Statutory Framework.

Has the setting Staff encouraged to ensure that their immunisations are
considered having a up to date and in line with current national guidelines and
staff immunisation an in house record kept
policy?

Does the setting have Exclusion table: Exclusion table - GOV.UK (www.gov.uk)
an appropriate
exclusion policy? All settings should have a local policy for the appropriate
removal of staff, children and young people while they are
likely to be infectious. They should also have a procedure
for contacting parents and/or carers when children
become unwell at the setting. Children who are unwell and
showing the symptoms of an infectious disease or a
diagnostic result should be advised to stay away from their
 education or childcare setting for the minimum period
recommended. NB: If a parent or carer insists on a child
with symptoms attending your setting, where they have a
confirmed or suspected case of an infectious illness, you
can take the decision to refuse the child if, in your
reasonable judgement, it is necessary to protect other
children and staff from possible infection.

TOTAL
2. Hand and Yes No N/A Comment Guidance
respiratory
hygiene

Are there adequate Advise daily checking system for supplies

hand hygiene facilities
available (hand wash
basins/ liquid soap,
paper towels, alcohol
rub)?

Are staff following the (If in person - Observe staff for technique and give
correct technique for feedback as soon as possible. If remote – ask person to
hand talk through technique)
decontamination?
Pre wet hands apply liquid soap, rub hands together,
covering all surfaces including the wrists, rinse will and dry
if using soap (see handwashing poster below)

Are staff Observe/ talk through with staff. Appropriate times:

decontaminating After using the toilet
hands at appropriate After taking a child to the toilet
times? After cleaning equipment/environment
After removal of gloves
Before feeding children
Before preparing or handling food
Are all cuts and
abrasions covered
with a waterproof
dressing?

Are there foot pedal

operated domestic
waste bins available
for the disposal of
paper towels?

Are there appropriate Suitable sanitary disposal facilities should be provided

sanitary disposal where there are females including children aged 9 or over
facilities? (junior and senior age groups).

Is alcohol gel available Alcohol hand gel can be used if appropriate hand washing
at the entrance/exit of facilities are not available but should not replace washing
the setting? hands particularly if hands are visibly soiled or where there
are cases of gastroenteritis (diarrhoea and vomiting) in the
setting. Alcohol hand gel is not effective against norovirus.

Are staff and visitors

encouraged to
practice hand hygiene
upon entering/leaving
the setting?

Are children offered Activity links for hand hygiene promotion: https://e-bug.eu/
hand hygiene before
meals, between play
times, after using the
toilet, following cough
etiquette?

Is the ‘catch it, bin it,  cover nose and mouth with a tissue when coughing
kill it’ approach to and sneezing, and dispose of used tissue in non-
respiratory hygiene healthcare risk waste bin and perform hand
encouraged amongst hygiene
children and staff?  cough or sneeze into the inner elbow (upper
sleeve) if no tissues are available, rather than into
the hand
 keep contaminated hands away from the mucous
 membranes of the eyes and nose
 carry out hand hygiene after contact with
respiratory secretions and contaminated objects
and materials

If face coverings **As required by national guidance/ outbreak measures.

recommended for Requirement for face coverings to be regularly reviewed
example during an based on risk assessment/national guidance. This applies
outbreak– are face to staff and visitors, including children aged 11 or above.
coverings available for Face coverings not to be worn by under 11s.
staff and visitors, and
encouraged in areas
where adults are not
working with children
(communal areas,
corridors)?**

If face coverings are in In place covering nose and mouth, not below the nose and
use – are face mouth or hanging down), should fit securely and be made
coverings worn with a breathable material capable of filtering airborne
correctly? particles. Face visors or shields can be worn by those
exempt from wearing a face covering but they are not an
equivalent alternative in terms of source control of virus
transmission.

Oral hygiene - Are Babies / children only use their own dummy / toothbrush.
dummies/toothbrushes Toothbrushes are stored separately. Dummies are
managed to prevent disinfected using an appropriate solution between uses
cross infection?

Does the setting have This should be monitored regularly to assess how
a process in place to successful measures are
support children to be
independent in self-
care and hygiene
routines?

TOTAL
3. Food Hygiene

Have staff who https://help-for-early-years-providers.education.gov.uk/

handle/prepare food safeguarding-and-welfare/food-safety.
completed training in https://assets.publishing.service.gov.uk/government/uploa
food hygiene? ds/system/uploads/attachment_data/file/974907/
EYFS_framework_-_March_2021.pdf

Providers must be confident that those responsible for

preparing and handling food are competent to do so. In
group provision, all staff involved in preparing and
handling food must receive training in food hygiene.

Evidence – staff member explains protocols in place,

awareness of FSA guidance. Refer to SFBB management
plan for advice.

https://www.food.gov.uk/business-guidance/safer-food-
better-business-sfbb

https://www.food.gov.uk/business-guidance/safer-food-
better-business-for-childminders
Has the setting
completed a recent
Environmental Health
inspection?

Are feeds prepared, Feeds should be labelled with the date, time of
stored and labelled preparation, formula used, child’s name and preparers
correctly? name. Feeds can be stored for up to 24 hours at the back
of a refrigerator at no more than 5oC. Ideally, feed should
be made as you need them. Before preparation: clean
worktops and wash your hands. Clean and sterilise bottles
and teats before use.
Are feeds warmed and Re-warm for no more than 15 minutes. Do not use
administered microwave to re-warm feeds. Check temperature of milk.
correctly? Discard any leftover feed straightaway. All equipment
used for the preparation and administration of feeds must
be thoroughly cleaned in hand hot water and detergent,
rinsed and sterilised. For more information on sterilising
bottles, go to the NHS website.
Is food from home Make sure your fridge is set at 5°C or below.
kept at appropriate
temperatures? Keeping food chilled: Safer Food Better Business For
Childminders

Cooking and reheating safely:

https://www.food.gov.uk/sites/default/files/media/document
/5-cminders-cookingsafely-01-cooking-and-reheating-
safely.pdf
Does the setting have
a process to support
parents who are
breast feeding?
TOTAL
4. Ventilation Yes No N/A Comment Guidance Ventilation in the workplace (hse.gov.uk)

Does the setting

encourage well
occupied spaces to be
ventilated as much as
possible?
Does the setting have
a C02 monitor?
If yes.. are appropriate Appropriate actions: opens windows/doors (where safe to)
actions taken in areas to increase ventilation, reduce number of people in the
where the readings space. CO2 levels below 800ppm are recommended for
exceed 1500ppm areas with continuous talking, singing, high levels of
physical activity.
How to improve ventilation - Ventilation in the workplace
(hse.gov.uk)
If yes.. are the CO2 Using CO2 monitors - Ventilation in the workplace
monitors regularly (hse.gov.uk)
checked for
batteries/power and
calibrated as per
manufacturers
guidelines?
If no.. are well Video to reiterate importance of ventilation: Ventilation in
occupied the workplace - YouTube
spaces/poorly
ventilated spaces
identified as part of the
risk assessment and
steps taken to improve
fresh air flow in these
areas?
TOTAL
5. PPE Yes No N/A Comments Guidance

Is PPE worn by staff If there is a risk of splashing or contamination with blood

as appropriate? or bodily fluids during an activity, then disposable gloves
and plastic aprons should be worn.

Gloves and aprons should be disposable, non-powdered

vinyl/nitrile or latex-free and CE marked. Wear disposable
eye protection (or if reusable decontaminate prior to next
use) if there is a risk of splashing to the face.

If carrying out AGPs in the setting – follow further

guidance: Chapter 2: infection prevention and control -
GOV.UK (www.gov.uk)
Are surgical masks,
plastic aprons, gloves
and eye protection (if
required) readily
available and stored in
a clean area?

TOTAL
6. Cleaning Yes No N/A Comments Guidance
Living safely with respiratory infections, including COVID-
19 - GOV.UK (www.gov.uk)
6.1 General cleaning

Does the setting have It is important that cleaning schedules clearly describe the
a written and activities required, the frequency of cleaning and who will
accessible cleaning carry them out. A nominated member of staff should
schedule? monitor cleaning standards regularly and discuss any
issues with cleaning staff, or contractors employed by the
education or childcare setting.

Shared space: If setting is also used by other

services/public: establish agreement with premises
management of cleaning being completed before and after
use of each service.
Is there a written In the event of an outbreak of infection at your setting,
process for cleaning in your UKHSA HPT team may recommend enhanced or
the event of an more frequent cleaning, to help reduce transmission.
outbreak? Advice may be given to ensure twice daily cleaning of
areas (with particular attention to door handles, toilet
flushes and taps) and communal areas where surfaces
can easily become contaminated such as handrails.

Plans should be developed for such an event on how the

setting might carry this out which could also include during
term time. Dedicated cleaning equipment should be colour
coded according to area of use.
Are cleaning staff Cleaning staff should be appropriately trained and have
appropriately trained access to the appropriate PPE, such as gloves, aprons
and have access to and surgical masks.
appropriate PPE?
Is cleaning equipment Cleaning solutions should be stored in accordance
stored appropriately? with Control of Substances of Hazardous to Health
(COSHH), and cleaning equipment changed and
decontaminated regularly.

Are correct and in date

solutions available?
General purpose
detergent/ 1000ppm
active chlorine?

Does the setting have Although there is no legislative requirement to use a

a ‘colour coding’ colour coding system it is good practice and
system for cleaning? recommended by the Health and Safety Executive.

Colour-coded equipment should be used in different areas

with separate equipment for kitchen, toilet, classroom and
office areas (for example, red for toilets and washrooms;
yellow for hand wash basins and sinks; blue for general
areas and green for kitchens).

Are disposable cloths Cleaning equipment used should be disposable or, if

and mop heads reusable, disinfected after each use. Mop heads must be
available and used? changed regularly, and after use with any body fluids.
Separate mops should be used for different areas (ie.
kitchen, toilets, general areas) and it is recommended that
mops/buckets are colour coded to prevent cross use.

More info:
https://www.gov.uk/government/publications/health-
protection-in-schools-and-other-childcare-facilities/
chapter-3-prevention-and-control

If the setting uses Regular checks of contracted services’ procedure should

corporate services.. be made to ensure standards (as outlined) are being met.
Are regular checks Review COSHH documents of service.
made that services
meet cleaning
standards?
6.2 Safe management
of blood and body
fluids
Are staff aware of how All spillages of blood, faeces, saliva, vomit, nasal and eye
to adequately deal discharges should be cleaned up immediately, wearing
with spillages? PPE. Clean spillages: Use spillage kit as per
manufacturers instructions. Use disposable paper towels
or cloths to clean up blood and body fluid spills, and
dispose of after use. More info:
https://www.gov.uk/government/publications/health-
protection-in-schools-and-other-childcare-facilities/
chapter-3-prevention-and-control

Is a spillage kit readily A spillage kit should be available for bodily fluids like
available? blood, vomit and urine. Always follow the manufacturer’s
instructions when using.

TOTAL
7. Safe management Yes No N/A Comments Guidance
of the Living safely with respiratory infections, including COVID-
environment 19 - GOV.UK (www.gov.uk)

7.1 Linen

Are children’s clothes Clothing should not be sluiced or manually washed by

sent home for staff but double bagged in a plastic bag and handed over
washing? to the parent at the end of the session. Bagged clothing
should be kept separate from clean (not placed on the
child’s peg for collection by parent)

If on site laundry The area should be separate from any food preparation
facilities… is there a areas, have appropriate hand washing facilities, have a
designated area for washing machine with a sluice or pre-wash cycle
laundry?
If on site laundry Ensure that
facilities… Is laundry
handled  Manual sluicing of clothing is not carried out as
appropriately? there is a risk of inhaling fine contaminated aerosol
droplets;
 soiled articles of clothing should be rinsed through
in the washing machine pre-wash cycle, prior to
washing
 gloves and aprons should be worn when handling
soiled linen or clothing
 hands should be thoroughly washed after removing
the gloves and aprons

7.2 Managing
nappies/continence
aids
Are there dedicated Children in nappies must have a designated changing
and adequate nappy area. This should: be away from play facilities and any
changing facilities? area where food and/or drink is prepared or consumed
 have appropriate hand washing facilities available.

Are nappies changed Staff involved in managing nappies should: wrap soiled
appropriately? nappies in a plastic bag before disposal in the general
setting waste; clean children’s skin with a disposable wipe
(flannels should not be used); label nappy creams and
lotions with the child’s name and do not share with others;
wipe changing mats with soapy water or a mild detergent
wipe after each use; clean mats thoroughly with hot soapy
water if visibly soiled and at the end of each day; check
mats weekly for tears and discard if the cover is damaged

Do children have their Check that there are no communal pots/tubes of cream
own basket, creams used on children.
etc. eg sudocream ?
Are potties cleaned A designated sink for cleaning potties (not a hand wash
and disinfected after basin) should be located in the area where potties are
each use? used. Disposable gloves should be worn to flush contents
down the toilet. The potty should be washed in hot soapy
water, dried and stored upside down. Hands should be
washed using soap and warm water and dried after
removing disposable gloves.

Is there appropriate Continence pads should be changed in a designated area.

management of Appropriate PPE (disposable gloves and a disposable
changing continence plastic apron) should be worn and changed after every
aids?
child. Hand washing facilities should be readily available.
Contact your education or childcare health team for further
advice as needed.

7.3 Equipment and

soft furnishings
Do sand pits have Sand should be changed about monthly for indoor sand
fitted lids when not in pits and the tank washed with detergent and hot water
use and sand is
changed regularly? before replacing the sand.

Is play dough replaced

regularly?

Are toys cleaned All toys should be washed daily if children put them in their
regularly and mouths and individual allocation of toys as much as
decontaminated if possible. Soft toys should be washed at least weekly
required? (minimum 70degrees and tumble dried). Older children’s’
toys and larger equipment should be cleaned on a
minimum weekly basis. Books should be clean and intact.

7.4 Managing cuts,

bites, nose bleeds

Are there health and These policies should include having nominated first
safety policies in place aiders who are appropriately trained.
for managing incidents
such as cuts, bites,
bleeds and spills
accordingly?

Are incidents wear gloves when in contact with any accident or injury
managed (washing grazes, dressing wounds, cleaning up blood
appropriately? after an incident) and wearing a disposable plastic apron if
possible; carefully clean the wound under running water if
possible or using a disposable container with water and
wipes; carefully dab dry; covering all exposed cuts and
grazes with waterproof plasters; keep the dressing clean
by changing it as often as is necessary; managing
all spillages of blood or body fluids

If someone suffers a bite, scratch or puncture injury that

may have introduced someone else’s blood or
experiences a splash of blood to the eye, area of broken
 skin or mouth, rinse well with water and seek medical
advice.

If someone pricks or scratches themselves with a used

hypodermic needle or has a bite which breaks the skin:
wash the wound thoroughly with soap and warm running
water; cover the wound with a waterproof dressing; record
it in the accident book and complete the accident form;
seek immediate medical attention or advice from your
local accident and emergency department or occupational
health provider

7.5 Waste
management

Is waste dealt with Under the waste management duty of care, education and
appropriately in the childcare settings must ensure that all waste produce is
settings? dealt with by a licensed waste management company.
Any used PPE should be placed in a refuse bag and
disposed of as normal domestic waste. PPE should not be
put in a recycling bin or dropped as litter.

Settings that generate clinical waste should continue to

follow usual waste policies.

TOTAL
 Outcome of audit:

Section Total Total NO Comments/ specific areas of support needed

YES

1. General

2. Hand and respiratory hygiene

3. Food hygiene

4. Ventilation

5. PPE

6. Cleaning

7. Safe management of the environment

 All YES responses: Well done! Keep up the great work. re-audit periodically (every few weeks at different times) to ensure ongoing
support

 Some NO responses: Review what further guidance, support is required to address these areas. Re-audit 1 month after implementing
changes and refer to EYs IPC Champions/ Merton Public Health as needed for further support.

 All NO responses: Contact Merton Public Health to help provide support to setting.
Guidance:

Actions for early years and childcare providers during the COVID-19 pandemic (publishing.service.gov.uk)
https://www.gov.uk/government/publications/health-protection-in-schools-and-other-childcare-facilities
Coronavirus (COVID-19) – Advice for workplaces (hse.gov.uk)
Living safely with respiratory infections, including COVID-19 - GOV.UK (www.gov.uk)
Ventilation in the workplace (hse.gov.uk)
People with symptoms of a respiratory infection including COVID-19 - GOV.UK (www.gov.uk)
Sterilising baby bottles - NHS (www.nhs.uk)
Safer food, better business (SFBB) | Food Standards Agency
PHE document (england.nhs.uk)
https://e-bug.eu/
https://help-for-early-years-providers.education.gov.uk/safeguarding-and-welfare/food-safety.
https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/974907/EYFS_framework_-
_March_2021.pdf
https://www.food.gov.uk/business-guidance/safer-food-better-business-for-childminders
Safer Food Better Business For Childminders
https://www.food.gov.uk/sites/default/files/media/document/5-cminders-cookingsafely-01-cooking-and-reheating-safely.pdf
https://www.gov.uk/government/publications/health-protection-in-schools-and-other-childcare-facilities/chapter-3-prevention-and-control
National Resources Available From IPS | IPS
Living safely with respiratory infections, including COVID-19 - GOV.UK (www.gov.uk)
Additional Comments

1. Hand Hygiene: