SELF AUDIT TOOL
SAFEGUARDING IN YOUR
ORGANISATION
CRU SAFEGUARDING SERVICE
SAFEGUARDING/SA/Apr 14/v5
Keeping Children, Young People and Adults Safe is Everyone’s Business
Introduction
Voluntary and community groups play an important role in providing services and activities for children, young people and adults. In UK law,
someone is a child until they are 18 years old. It is essential that the services and activities your group offer are as safe as they can be, and to
ensure this, there is a need to have safeguards in place
Having safeguards in place will help your group protect children, young people and adults from harm and abuse as well as help staff and volunteers
know what to do if they are worried or concerned about a child or adult
Additionally, Adults have the right to be fully involved throughout the adult protection process and to make decisions about their safety and welfare,
unless it has been assessed that they do not have the mental capacity to make any particular decision.
This self audit tool has been put together to enable voluntary organisations and community groups, however large or small, to ensure that
safeguards are in place and are compliant with the relevant legislation (Safeguarding Vulnerable Groups Act 2006 and Protection of Freedoms Act
2012) and best practice as set out in “Working Together to Protect Children” 2006 and the Wales Policy and Procedures for the Protection of
Vulnerable Adults from Abuse (2011, revised 2013) (See Appendix 1)
The self audit tool can be used as a checklist to see where you are up to within your organisation, and identify what else you might need to do to put
safeguards in place. It can provide written evidence of your organisation’s commitment to best practice and could also be used should you be
invited to take part in any inspections, or to support any funding applications.
There will be procedures that your organisation meets fully (“Met”) or those that you have not yet or only partially implemented (“Not Met”), in which
case you will need to outline what action needs to be taken, when this should be done and who should do this. Some parts of the self-assessment
however may not be relevant to your organisation (N/A).
Over and above the self audit tool there are some important principles that should always be followed
where there are safeguarding concerns.
SAFEGUARDING/SA/Apr 14/v5
Addressing concerns
Children
If any person has knowledge, concerns or suspicions that a child is suffering, has suffered or is likely to be at risk of harm, it is their responsibility to
ensure that the concerns are referred to social services or the police, who have statutory duties and powers to make enquiries and intervene when
necessary. (All Wales Child Protection Procedures 2008) www.awcpp.org.uk
If you have any concerns about a child or adult, or suspect abuse may be happening, there is a list of who you should contact at the end of the self
audit tool (Appendix 3).
Adults
Protecting a vulnerable* adult should be everyone’s paramount concern. Wales Policy and Procedures for the Protection of Vulnerable Adults from
Abuse 2011/13 www.ssiacymru.org.uk
*NB the term “vulnerable” is not used in Disclosure and Barring Scheme definitions; the individual receiving regulated activity is not inherently
vulnerable but made vulnerable due to particular circumstances.
Help and Support
If you need help with putting safeguarding policies, procedures and practice in place, advice and training is available from CRU Safeguarding
Service or your local Voluntary Services Council.
SAFEGUARDING/SA/Apr 14/v5
SAFEGUARDING SELF ASSESSMENT
ORGANISATION NAME
GROUP/ACTIVITY
SELF ASSESSED BY
Name
signature
Name
signature
POSTION IN ORGANISATION
COUNTERSIGNED BY
POSITION IN ORGANISATION
DATE
REVIEW DATE
SAFEGUARDING/SA/Apr 14/v5
POLICIES & PROCEDURES
Your policy
Met
Not
Met
N/A
Action to be Taken
Target date
Met
Not
Met
N/A
Action to be Taken
Target date
Does your organisation have a
Safeguarding/child/adult Protection Policy?
If no, please see list of useful addresses and links at
the end of this document for help to put one in place
If yes, has it been reviewed in the last twelve
months?
If no, when do you intend to review it, and other
related policies?
Does your policy explain how you implement
safeguarding across all your activities?
Consider links to all other organisational policies
Your Safeguarding officer
Have you assigned a named officer for
Safeguarding/Child/Adult Protection?
SAFEGUARDING/SA/Apr 14/v5
Have you carried out a DBS check for the role of
Safeguarding / Protection Officer, if eligibility criteria
have been met?
See Links for DBS check eligibility
Is your Safeguarding / Protection Officer named in
your policy together with their contact details?
Are all your staff/volunteers/trustees aware of the
named Safeguarding / Protection Officer and how to
contact them?
Your procedures
Do all your staff/volunteers discuss all child / adult
protection concerns with the named Safeguarding
/Child/ Adult Protection Officer immediately?
Do all your staff/volunteers have access to the All
Wales Child Protection Procedures 2008 and/or the
All Wales Interim Adult Protection 2011/13? (see
Links)
SAFEGUARDING/SA/Apr 14/v5
Met
Not
Met
N/A
Action to be Taken
Target date
Are all staff/volunteers aware of procedures to follow
in relation to allegations of abuse against staff and
volunteers?
All Wales Child Protection Procedures 2008
(Section 4) and All Wales Interim Adult Protection
2011/13 (Section 7.2, 10.4)?
Are all appropriate allegations/incidents/concerns
reported to the relevant authorities - local social
services, police, and governing body/trustees?
DBS Duty to Refer
If your organisation provides *regulated activity, are
your staff/volunteers aware that if a staff
member/volunteer has been removed or is dismissed
because they have harmed, or posed a risk of harm
to a child/adult (or would have been dismissed if they
have already left) there is a statutory duty to refer this
information to the Disclosure and Barring Service?
See Links for definition of regulated activity
SAFEGUARDING/SA/Apr 14/v5
Met
Not
Met
N/A
Action to be Taken
Target date
RECRUITMENT
Employment/Volunteering
Does your organisation have procedures in place to
support good practice in recruitment and employment
of staff/volunteers including induction, supervision,
mentoring and appraisal?
Does your organisation carry out all appropriate nonspecific pre appointment checks including right to
work and identity checking, and take up references on
all staff/volunteers before an appointment?
Are all job positions within your organisation
assessed against eligibility for Disclosure and Barring
Service (regulated / non-regulated activity) checks
and carried out when eligible?
Do your job descriptions clearly state individual
safeguarding roles, responsibilities and the
requirement for DBS checks where appropriate?
Do you have a staff/volunteer/trustee Code of
Conduct in relation to working with vulnerable
groups?
SAFEGUARDING/SA/Apr 14/v5
Met
Not
met
N/A
Action to be Taken
Target date
TRAINING
Organisational Training
Met
Have all staff/volunteers/trustees that have regular
contact with children and/or adults in your
organisation completed an Introduction to
Safeguarding/Child/Adult Protection training within 6
months of starting work or volunteering?
Do you keep a record of staff/volunteers/trustees who
have and who have not been trained?
Do you have and implement an action plan for training
and/or continuous updating of staff /
volunteers/trustees in safeguarding (Adult / Child
protection)?
Have all relevant staff/volunteers been given training
in relation to The All Wales Child Protection
Procedures 2008 and/or All Wales Interim Adult
Protection 2011/13?
Please give the date and title of the latest course that
the named person for Safeguarding/Child /Adult
Protection attended at the appropriate level of
Safeguarding/Child /Adult Protection Training (within
the last two years).
SAFEGUARDING/SA/Apr 14/v5
Title:
Date
Not
met
N/A
Action to be Taken
Target date
INFORMATION HANDLING
Information Storage and Sharing
Are all your staff and volunteers aware of their
responsibilities regarding information sharing and
confidentiality, within the context of safeguarding?
(Safeguarding Children – Working Together Under the
Children Act 2004) (Section 8.31-8.33) All Wales
Interim Adult Protection 2011/13 (Section 7.2) and the
Wales Accord on the Sharing of Personal Information
(WASPI) where/if relevant?
Do you advise parents/carers & young people,
service users (e.g. by leaflet or letter) from first
attendance about how your organisation safeguards
children, young people and adults attending your
provision?
And if not, what are your plans to do so?
Are all details of child or adult protection referrals or
any records of safeguarding concerns, made by your
organisation, stored securely and in accordance with
the Data Protection Act? (see Links)
Does your organisation record all Disclosure and
Barring Service checks and keep this information (in
accordance with DBS Code of Practice)?
SAFEGUARDING/SA/Apr 14/v5
Met
Not
met
N/A
Action to be Taken
Target date
GENERAL SAFETY AND MANAGEMENT OF ACTIVITIES
Safeguarding Procedures for the
Building
Do you know and monitor public access points in the
building(s) you use so that you know if a child or
service users leave, or people enter the building?
Do you have policies and procedures in place to
maintain safeguarding when other people/vehicles not
involved with your organisation use/visit the premises
at the same time as your organisation?
Are Parents / Carers / Visitors monitored whilst they
are in the building including signing in and out
procedures if appropriate?
Are safeguarding issues reported to the Trustees and
the building’s management, as appropriate?
Do you risk assess for safeguarding and general
safety when using premises other than your own and
have a reporting system in place for issues identified?
SAFEGUARDING/SA/Apr 14/v5
Met
Not
met
N/A
Action to be Taken
Target date
General Safeguarding Issues
Met
Not
met
N/A
Action to be Taken
Target date
Met
Not
met
N/A
Action to be Taken
Target date
Do you have a forum where you can regularly discuss
general safeguarding concerns?
Does your Board of Trustees/Management Team
discuss the safeguarding of service users and
safeguarding practice on a regular basis?
E-Safety
Do service users have access to the internet via any
means in your group?
Do you have and implement a policy for the safe use
of internet access by service users, staff and
volunteers?
SAFEGUARDING/SA/Apr 14/v5
Further support
This self audit tool does not intend to cover all possible elements of safeguarding in third sector organisations but is designed
to highlight your legal responsibilities, good practice and some areas for practical consideration. Only you can determine what
best possible safeguarding looks like for your organisation.
Similarly, it is not possible to capture all elements and detail such as policy design.
For more specific help, please contact CRU Safeguarding Service for bespoke support and guidance;
0800 0197 391 option 5, crusafeguarding@wcva.org.uk or contact your local CVC.
Ideally the nominated governor/trustee for championing safeguarding, together with a senior staff member or the designated
Child/Adult Protection Officer should work on this audit, once a year and regularly review progress against any actions from it.
This self audit report is the first step towards a planned North Wales Accord for Safeguarding in the Third Sector.
With grateful thanks to the Children and Young People’s Partnerships, LSCB and CVC’s (CVSC and DVSC) of Conwy and
Denbighshire and Denbighshire Education: Safeguarding.
SAFEGUARDING/SA/Apr 14/v5
APPENDIX 1
Working Together 2006 - Voluntary organisations and private sector providers play an important role in delivering services for children and
young people, including in early-years and day care provision, family support services, youth work and children’s social care and healthcare.
Many voluntary organisations are skilled in preventative work, and may be well placed to reach the most vulnerable children, young people and
families. Voluntary organisations also deliver advocacy for looked after children and young people, and for parents and children who are the subject
of s47 enquiries and child protection conferences.
The voluntary sector is active in working to safeguard the children and young people with whom it works. A range of umbrella and specialist
organisations, including the national governing bodies for sports, offer standards, guidance, training and advice for voluntary organisations on
keeping children and young people safe from harm.
Childline is a national service for all children and young people who need advice about abuse, bullying and other concerns.
The NSPCC is the only voluntary organisation authorised to initiate proceedings to protect children under the terms of the Children Act 1989, but
other voluntary organisations often play a key role in implementing child protection plans.
Organisations in the voluntary and private sectors that work with children need to have the arrangements in place in the same way as organisations
in the public sector, and need to work effectively with Local Safeguarding Children Boards. Paid and volunteer staff need to be aware of their
responsibilities for safeguarding and promoting the welfare of children, and of how they should respond to child protection concerns.
All Wales Child Protection Procedures 2008 - The procedures are based on the fundamental principle that the protection of children from
harm is the responsibility of all individuals and agencies working with children and families, and with adults who may pose a risk to children. The
effective protection of children cannot be achieved by a single agency acting on its own.
If any person has knowledge, concerns or suspicions that a child is suffering, has suffered or is likely to be at risk of
harm, it is their responsibility to ensure that the concerns are referred to social services or the police, who have
statutory duties and powers to make enquiries and intervene when necessary.
SAFEGUARDING/SA/Apr 14/v5
Wales Interim Policy and Procedures for the Protection of Vulnerable Adults from Abuse - This manual is intended to guide the
safeguarding work of all those concerned with the welfare of vulnerable adults employed in the statutory, third (voluntary) and private sectors, in
health, social care, the police and other services. The Wales Adult Protection Policy and Procedures are based on certain principles of the European
Convention of Human Rights and the Human Rights Act 1998:
Everyone has the right to live their lives free from coercion, intimidation, oppression and physical, sexual, emotional or mental harm.
Putting these principles into practice in adult protection means:
Protecting a vulnerable adult should be everyone’s paramount concern.
All staff have an ethical and professional duty of care to act if they:
-
witness abuse;
-
receive information about abuse, suspected abuse or concerns about the care or treatment of a vulnerable adult; or
-
have concerns or suspicions about possible abuse or inappropriate care.

Vulnerable adults have the right to be fully involved throughout the adult protection process and to make decisions about their safety and
welfare, unless it has been assessed that they do not have the mental capacity to make any particular decision.
SAFEGUARDING/SA/Apr 14/v5
APPENDIX 2
Summary of the definition of regulated activity - apply to paid staff and volunteers alike.
The full, legal definition of regulated activity is set out in Schedule 4 of the Safeguarding Vulnerable Groups Act 2006, as amended (in particular, by
the Protection of Freedoms Act 2012). Regulated activity still excludes family arrangements, and personal, non-commercial arrangements.
Regulated activity relating to children: The new definition of regulated activity relating to children comprises only:
(i)
(ii)
Unsupervised activities: teach, train, instruct, care for or supervise children, or provide guidance on well-being, or drive a vehicle only for
children;
Work for a limited range of establishments (‘specified places’), with opportunity for contact: for example, schools, children’s homes,
childcare premises. Not work by supervised volunteers;
Work under (i) or (ii) is regulated activity only if done regularly. The Department for Education has provided statutory guidance about supervision of
activity which would be regulated activity if unsupervised.
(iii)
(iv)
Relevant personal care, for example, washing or dressing; or health care by or supervised by a professional;
Registered childminding; and foster-carers
A supervised volunteer in a specified place is not in regulated activity, but if the role is unsupervised or a paid role in a specified place, it is regulated
activity.
SAFEGUARDING/SA/Apr 14/v5
Regulated activity relating to adults: The new definition of regulated activity relating to adults comprises:
(i)
(ii)
(iii)
(iv)
(v)
(vi)
Providing personal care; help with eating, drinking, toileting, washing and dressing, or teaching someone to do any of these things due to
age, illness or disability
Providing healthcare; work as a regulated healthcare professional or under the direction or supervision of a healthcare professional
Working as a social care worker, providing social work required in connection with health or social services
Holding legal or enduring power of attorney or act as a deputy under the Mental Health Act to make welfare or financial decisions for the
adult
Helping the adult with day-to-day management of their money; pay cash or bills, shop, due to their age, illness or disability
Conveying the adult to, from or between places where they receive healthcare, personal care or social care due to age, illness or disability
(but not if a friend, family or taxi driver).
SAFEGUARDING/SA/Apr 14/v5
APPENDIX 3
Useful Phone Numbers
NSPCC 24-Hour Child Protection line
0808 – 800 5000 (They will give advice and will make a referral to Social Services as necessary)
Childline 24-hour Confidential Helpline
0800 – 1111 for Children and Young People (Freephone)
Age UK Advice:
0800 169 6565
Police
101 non-emergency, 999 in an emergency
Third sector support
Criminal Records Unit Safeguarding Service
Wales Council for Voluntary Action
Tel 0800 0197 391
www.wcva-cru.uk crusafeguarding@wcva.org.uk
CRU Safeguarding Service offers information and guidance to all third sector organisations working with vulnerable groups across Wales; through
its website, a dedicated enquiry service, training courses and briefings designed to meet the diverse needs of the sector.
SAFEGUARDING/SA/Apr 14/v5
Useful Links
All Wales Child Protection Procedures
All Wales Interim Adult Protection guidance
CSSIW
Children’s Commissioner for Wales
County Voluntary Councils in Wales
Data Protection
Disclosure and Barring Service for all DBS
guidance
DBS eligibility criteria
DBS regulated activity
Information Commissioner
Local Councils
– for Social Services contact details
NSPCC
Older People’s Commissioner for Wales
Police Authority areas
Safeguarding Children – Working Together
Under the Children Act 2004
Safe Network (England)
Wales Accord on the Sharing of Personal
Information
Wales Council for Voluntary Action
SAFEGUARDING/SA/Apr 14/v5
http://www.awcpp.org.uk/areasofwork/safeguardingchildren/awcpprg/index.html
http://www.ssiacymru.org.uk/home.php?page_id=8297
http://cssiw.org.uk/?lang=en http://cssiw.org.uk/?skip=1&lang=cy
http://childcom.org.uk/
http://www.complantcymru.org.uk/cy/
http://www.wcva.org.uk/members-partners/county-voluntary-councils
https://www.gov.uk/data-protection/the-data-protection-act#
www.gov.uk
https://www.gov.uk/disclosure-barring-service-check/overview
https://www.gov.uk/government/publications/dbs-regulated-activity
http://ico.org.uk/
http://wales.gov.uk/topics/localgovernment/localauthorities/?lang=en
www.nspcc.org.uk
http://www.olderpeoplewales.com/en/home.aspx
http://www.policeauthoritiesofwales.org.uk/
http://wales.gov.uk/publications/circular/2007/1637402/?lang=en
http://www.safenetwork.org.uk/Pages/default.aspx
http://www.waspi.org/
www.wcva.org.uk