Safeguarding and Record Keeping For Sport and Activity Organisations

Whatever method you choose to store your records, make sure it is secure, and access is clearly controlled for those who are entitled to view it.

Here are some of the benefits of keeping accurate and up-to-date records of safeguarding concerns:

• Identify concerns at an early stage, along with patterns of concern.
• Record seemingly minor issues to build a more complete picture of what a person may be experiencing.
• Monitor and manage safeguarding practices, including decision making, actions taken, and agreed joint strategies with other agencies.
• Collect evidence to support actions within your organisation, and also when working with external agencies.
• Demonstrate actions taken to reduce impact of harm.
• Provide continuity when staff or volunteers change, or are unavailable.

How long to keep records for

You should only store your records for as long as necessary. You should consider and decide in your own organisation how long you will store your records. This should form part of your Policy and Procedure.

The Information Commissioner’s Office (ICO) regulates data protection in the UK. Here is their advice on how long you should store records.

In the event of an investigation, you would have to demonstrate to the ICO that:

• You had specified a set period for data storage.
• This period was recorded and available throughout your organisation, and outside of your organisation in the case of multi-agency work.
• You had justification for keeping records for your specified period.

When determining how long to retain your records, consider:

• The potential future ramifications of safeguarding incidents, and the possible need to refer to records years down the line.
• The potential for future historic disclosures, along with future legal and civil cases.
• Insurance requirements and HR expectations.

Types of records

Records do not have to be complex. But as a minimum, you should create a reporting form, a case file, and a concerns log.

Reporting form

This could be a paper-based form, but it is usually an electronic form which staff and volunteers can use to report a concern.

We have an example of a reporting form here, along with several other form templates.

Your reporting form should include the following information

• Who is making the report.
• When the report was made.
• What the concern is, using the ‘who, what, where, when’ method.
• Why the person making the report was concerned.

Consider how you will receive the reporting form. If you are using email, or an online form, you must consider the security of the information you receive. Adding password protection is essential.

Safeguarding case file

A safeguarding case file is your record, as Lead Officer, of any decision making, actions or information related to the concern. You may use approved case management software or electronic ways to record this information.

What to include in your safeguarding case file:

• Name of the person supplying the information.
• Date the concern was received.
• Who else the concern has been discussed with.
• Action taken.
• Any rationale for decision making.
• Any external organisations reported or referred to.
• Information sharing (who, when and why).

Concerns log

A safeguarding concerns log is a tool to keep a track of any safeguarding concerns reported to you. It could be recorded on case management software or on an electronic file, like a spreadsheet.

The concerns log should give you a quick guide to outstanding cases and actions. It should not include any personal details. These should instead be kept in the safeguarding case file. The concerns log also helps you to report both internally and externally on the number and types of safeguarding concerns you’re receiving.

Keeping and storing records

There is no one way to set up safeguarding records. But there are a few key principles to bear in mind:

• They should be started as soon as you become aware of any concern.
• Use clear and straightforward language.
• Be concise and accurate, so that anyone not familiar with the case can still understand your records.
• Clearly differentiate between facts, opinions, and judgements.
• Make sure they’re up to date, and preferably store them in chronological order.

Storage of safeguarding records

• Keep them secure and separate from any general records.
• Only keep them for as long as necessary.
• Make sure they’re only accessible to relevant staff and volunteers.
• They must be password protected.
• Use suitable case management software.

Agreeing your storage policy

If the situation recorded required a multi-agency intervention or approach, remember that partner agencies such as police and social services will have their own retention requirements. So, if you have shared your information with these agencies, they may retain their records for years to come.

For low-level concerns, your retention of records needs to be proportionate. In short, you should only retain them for as long as necessary.

You might have special considerations if a record concerns an individual who is no longer affiliated with your organisation.

Discuss these issues at Board level. Ensure you set out your policy clearly and communicate it across your organisation.

Subject Access Requests (SARs)

Individuals have the right to access and receive a copy of their personal data, and other supplementary information that you may be storing.

You can read the full ICO guidance on rights of access here.

Safeguarding and information sharing:

Sharing information across agencies and organisations can help us make more informed decisions about how we safeguard individuals.

Sharing information is an important part of safeguarding. In the event of a safeguarding concern, sharing confidential information is allowed both within and between organisations if this is done securely, proportionately, and on a need-to-know basis.

The law recognises that sharing information is a part of day-to-day safeguarding practice.

It’s covered in a range of laws and legislation including:

• The common law duty of confidentiality
• Data Protection Act 2018
• Human Rights Act 1998
• Crime and Disorder Act 1998
• Care Act 2014
• Social Services and Wellbeing Act 2014
• Wales Safeguarding Procedures 2019
• Mental Capacity Act 2005

Be mindful that legislation can differ between nations. Ensure you are up to date with your relevant home nation legislation.

Here’s the Department for Education guidance on information sharing for practitioners and safeguarding services.

You can also read the Welsh Government advice on working together for effective safeguarding.

Do you need consent?

You should involve the adult involved in the concern wherever possible. Be open and honest with the person about how their information will be shared:

• Why it will be shared (e.g. are you making a formal referral because you think there’s a risk of harm, or are you letting others know for information purposes only?)
• What information will be shared
• Who will see their information
• What format will you use to share the information (i.e. will it be a paper form, a digital form, a phone call etc.)

Sharing without consent

There may be circumstances where you need to share information without an individual’s permission. In this case, you must explain to them why you have made the decision to share without their permission.

Here are some situations when you may need to share without consent:

• If you think a person is at serious risk of harm or abuse, including a risk of harming themselves.
• If you think a person is a risk to others – friends/family/children/colleagues/public/professionals.
• If you receive information which indicates that a serious crime has been or is going to be committed.
• Sometimes you may be required to share certain information by law. For example, some professionals may be required to share any suspicion of forced marriage or female genital mutilation.
• If you think the person lacks the mental capacity to make decisions. In this case, you may reach an agreement with another senior manager that sharing information is in the individual’s best interest.
• If an individual gives information which indicates a possible terrorist threat.

How to share information:

• Use the official form. If you are referring to another organisation or social services, they may require you to use a specific reporting form. Using this will help the organisation process the information as quickly as possible.
• Use specific language and describe the situation in factual detail. Different teams and agencies may use different terminology, so make sure you use clear language.
• Keep it secure. If you are sending personal or sensitive information, keep it secure. If you don’t have an encrypted email, password protect any documents or consider other methods to keep your information safe.
• Record what you have shared. Keep a record of any information you have shared, whether verbally or in writing.

Further information:

• Record management in charities – a toolkit for improvement.
• Department of Health – Protection of Vulnerable Adults (POVA) scheme.
• ICO’s guidance for small and medium organisations.

If you work with children, please refer to NSPCC Learning’s guidance for organisations on keeping and storing records.