Safeguarding, i.e. protecting those who come into contact with the activities of a charity from reasonably foreseeable harm, is ultimately a question of adequate risk assessment and management. Getting this right, we know from the Charity Commission, should be a key governance priority. This session will cover emerging best practice in this regard in the third sector, drawing upon and elaborating upon the requirements of the Charity Governance Code by reference to subsequently published guidance following the DfID Safeguarding Summits as well as more recent material from the Charity Commission.

1. SAFEGUARDING
GOVERNANCE AND
RISK MANAGEMENT IN
CHARITIES
Emma Dowden-Teale,
Partner at Bates Wells
Tom Burke, NCVO
Co-sponsor:
Lead sponsor:
Drinks reception sponsor:
Bursary sponsor:
Technology sponsor:
The current landscape and emerging best practice
4 November 2019

2. OVERVIEW Co-sponsor:
Lead sponsor:
Drinks reception sponsor:
Bursary sponsor:
Technology sponsor:
We are going to cover:
• What we mean by “safeguarding”
• Charity Commission guidance on safeguarding
• Tips for dealing with safeguarding issues
• Commonly arising questions
• Support to help you meet your duties and current
safeguarding challenges

3. SAFEGUARDING AND
PEOPLE PROTECTION
• “Conventional” safeguarding:
o Children
o Vulnerable Adults
• Charity Commission
Charities “must take reasonable steps to protect from harm
people who come into contact with the charity”
• DfID: concerned primarily with sexual exploitation, abuse and
harassment
• More generally: legal obligations, duties of care and appropriate
conduct

4. Conventional Safeguarding
Children
1. Children act 1989
2. Children and social work act 2017
3. Education act 2002
4. Children act 2004
5. Safeguarding vulnerable groups act 2006 – DBS checks and barred lists
6. Children and young persons act 2008
7. Children & families act 2014
8. Children’s homes regulations 2015
9. Childcare act 2006
10. Education (independent school standards) regulations 2014
Adults
1. Safeguarding vulnerable groups act 2006
2. Care act 2014 and statutory guidance – H&SC providers
3. Health and social care act 2008 (regulated activities) regulations 2014 – regulation on
safeguarding

5. Conventional Safeguarding

6. REGULATED ACTIVITY:
CHILDREN
a. teaching, training, instructing, caring for or supervising children if the
person is unsupervised, or providing advice or guidance on well-being, or
driving a vehicle only for children; or
b. an activity carried out in a limited range of establishments (which include
schools and colleges) by a person engaging in work for or in connection
with the purposes of the establishment (but not including work done under
a contract for occasional or temporary services which is not an activity in
(a), or work done by supervised volunteers), with the opportunity for contact
with children.
Regulated
activity in
relation to
children
includes
(among other
things):
Work under (a) or (b) is regulated activity only if carried out frequently by the same person
(once a week or more often), or on more than 3 days in any 30 day period (intensively) or
overnight. Work under (a) is not regulated activity if, on a regular basis, it is subject to the
day to day supervision of another person who is engaging in regulated activity related to
children (e.g. a teacher).
A person whose role includes the day to day management or supervision of any person who
is engaging in regulated activity, is also in regulated activity.

7. Regulated Activity: Children - Guidance
WORKING TOGETHER TO
SAFEGUARD CHILDREN
LOCAL SAFEGUARDING
CHILDREN PROCEDURES

8. Regulated Activity: Vulnerable Adults
Regulated activity in relation to adults includes the provision to
an adult of:
• Health care by, or under the direction or supervision of, a health care
professional
• Relevant personal care (includes physical assistance with eating, drinking,
washing etc., Or prompting and supervising where the person is unable to
make a decision without prompting and supervising)
• Relevant social work by a social care worker to an adult
• Assistance in relation to general household matters to an adult who is in
need of it by reason of age, illness or disability
• Any relevant assistance in the conduct of an adult's own affairs
• The conveying of adults who need to be conveyed by reason of age,
illness or disability

9. Charity Safeguarding
The Charity Commission for England and Wales uses
‘safeguarding’ more broadly than one would traditionally
expect. In summary, charities have a duty to:
“protect people who come into contact with your [their]
charity through its work from abuse or mistreatment of any
kind”.
However, charities which work with children or adults at
risk must comply with additional safeguarding legal
requirements. See Charity Commission guidance for more
information on this.
(Note that the Charity Commission updated its
safeguarding guidance very recently on 22 October).

10. Charity Safeguarding
“Protecting people and safeguarding responsibilities should be a
governance priority for all charities. It is a fundamental part of
operating as a charity for the public benefit.
As part of fulfilling your trustee duties, you must take reasonable
steps to protect from harm people who come into contact with your
charity.
This includes:
• people who benefit from your charity’s work
• staff
• volunteers
• other people who come into contact with your charity through its
work”

11. Trustees’ Duties
• The Charity Commission will hold trustees to account if
things go wrong and will check that trustees followed this
guidance and the law. Trustees are expected to take
responsibility for putting things right.
• Trustees should promote a fair, open and positive culture
and ensure all involved feel able to report concerns,
confident that they will be heard and responded to.
• Trustees must set out risks and how they will be
managed in a risk register which is regularly reviewed
• Trustees should have clear oversight of how
safeguarding and protecting people from harm are
managed within their charity, monitoring performance
with supporting information.

12. People Protection
“Safeguarding”:
• by staff;
• of staff; and
• from staff.

13. Safeguarding and
people protection
in charities

14. Safeguarding and people protection
Charities must take reasonable steps to protect
from harm people who come into contact with
the charity

15. “Safeguarding and protecting people for
charities and trustees”
The Charity Commission of England and Wales identified the
following types of risk/harm which charities should be alert to:
• sexual harassment, abuse and
exploitation
• criminal exploitation
• cyber abuse
• modern day slavery
• negligent treatment
• self-neglect
• physical or emotional abuse
• bullying or harassment
• health and safety
• commercial exploitation
• extremism and radicalisation
• forced marriage
• human trafficking
• female genital mutilation
• discrimination on any of the
grounds in the Equality Act 2010
• people may target your charity
• a charity’s culture may allow poor
behaviour and poor accountability
• people may abuse a position of
trust they hold within a charity
• data breaches, including those
under GDPR

16. “Safeguarding and protecting people for
charities and trustees”
• Safeguarding means the steps taken to protect people from
harm, including beneficiaries, staff and volunteers, and other
people who come into contact with your charity and/or your
partners. While safeguarding principally refers to the prevention
of harm, it also encompasses practices to handle incidents
and/or complaints.
• Does not just apply to those working with children or people
who are traditionally considered to be at risk.
• Safeguarding is a key governance priority for all charities,
regardless of size, type or income. What you need to do
depends on what your charity does and who it works with.

17. “Safeguarding and protecting people for
charities and trustees”
Have safeguarding policies and procedures which cover this
broader meaning of safeguarding and put them into practice.
However charities will also need:
• bullying and harassment policies and procedures
• whistleblowing policies and procedures
• health and safety arrangements
• clear first aid, fire safety and digital safety policies
• welfare, discipline and whistleblowing policies for staff
Policies must be fit for purpose and checked. Keep under
consideration whether any new policies may be needed to cover
new situations or risks.

18. Working Overseas
• Apply the same practices as in England and Wales but make
sure you comply with any extra requirements of the other
country.
• Charities must:
• Be aware of different risks for staff, volunteers and
beneficiaries who are overseas
• Have suitable reporting and monitoring processes in place
• Monitor for any changes or new safety systems which may
be required
• Challenges of working overseas include:
• Different practices or legal systems
• An unstable environment e.g. a conflict zone
• Working with many partners

19. Working with or making grants to
other organisations
Carry out proper due diligence when you work with, or make
grants to, any other bodies, including:
• delivery partners
• trading subsidiaries of the charity, including charity shops
• organisations you fund
• connected charities
Make sure that any grant recipient or partner body is suitable
and has appropriate safeguarding procedures in place.
Make sure there are clear lines of responsibility and reporting
between all bodies involved.

20. Where are we now in
the evolution of wider
safeguarding/people
protection best
practice?

21. International Development Committee Report
Safeguarding is not dispensable: it should be treated as a
fundamental element of programming.
Any organisation needs to create an environment in which
those who suffer harassment and abuse are safe to report
without fear of retaliation and with the confidence that their
allegations will be taken seriously.
Zero tolerance on sexual exploitation and abuse must be
more than just words. Safeguarding policies and procedures
will be utterly meaningless without a root and branch
transformation of organisational culture.

22. Not just for international NGOs…
“… Provides another focal point for the charitable
sector to come together to demonstrate their
commitment to change. We have worked
significantly to ensure alignment of this work
with the international aid sector, with the UK
charitable sector, particularly on improving
safeguarding standards and practices, including
on organisational culture…”
Charity commission response to IDC report

23. International Development Committee Report
(IDC) (follow-up on sexual exploitation and
abuse in the aid sector)16 October 2019
The summary headlines from the Report:
• The IDC recognised efforts had been made to improve
safeguarding since early 2018 but it was disappointed in the
progress made in several key areas.
• Resourcing for safeguarding should be built into ever programme
which DfID funds where there are safeguarding risks, and DfID
should hold organisations to account for how resources are used.
• The effectiveness of whistle-blowing policies must be improved.
• DfID should ensure that its private supplier and NGO partners are
participating in cross-sectoral safeguarding forums.
• The IDC advocates an independent safeguarding ombudsman.
• Transparency on exploitation and abuse could still be improved.

24. Where are we now?
• Bond/DfID working group outputs: outputs are at various
stages of progress, finalisation and publication. See:
https://www.Bond.Org.Uk/resources-support/safeguarding
• The safeguarding training fund is a project funded by DCMS
and the National Lottery Community Fund to produce a
comprehensive suite of free safeguarding tools and advice.
NCVO is leading the delivery of phase 1 of the safeguarding
training fund in partnership with 13 other organisations,
which have come together as the ‘safer social sector
partnership’. The safeguarding resource went live in October
2019 and its contents have been recommended by the
Charity Commission as helpful guidance for charities on best
safeguarding practice. See:
https://knowhow.ncvo.org.uk/safeguarding/
• Charity commission reports on statutory inquiries are being
published
The safeguarding journey continues…

25. Bond/DFID: Good Governance For
Safeguarding
Setting the right tone: set culture based on mission and values and develop a
code of conduct.
Reducing risk: do context-specific risk assessments, which are regularly
reviewed, with good planning, processes, checks and training. This includes
appropriate vetting of individuals and delivery partners.
Encouraging speaking up: have a clear referral and reporting system and
know how to spot and refer or report concerns.
Investigating complaints: handle complaints professionally, promptly and keep
records.
Supporting survivors: help complainants to be safe, provide support as
appropriate.
Ensuring transparency and accountability: embed the culture and annually
explain how safeguarding is overseen and provide a summary of complaints.
(The Bond/DFID guidance has also now been recommended by the Charity
Commission as helpful guidance for charities on best safeguarding practice)

26. Setting the right tone

27. Embedding a culture of openness and
accountability

28. Reducing risk

29. Policies and procedures

30. Encourage speaking up

31. Vetting new
staff &
volunteers

32. DBS CHECKS
It is a criminal offence:
- to allow someone to work with children or vulnerable adults if
they are barred from doing so, if you know or have reason to
believe they are barred
- to request a standard or enhanced DBS check if you know
that the position is not eligible for such a check
There are different types of DBS check
Eligibility depends on the role and responsibilities of the
member of staff / volunteer / board member as set out in:
- the Safeguarding Vulnerable Groups Act 2006
- the Rehabilitation of Offenders Act (ROA)
1974 (Exceptions) Order 1975 and
- the Police Act 1997 (Criminal Record) (No 2)
Regulations 2009
There is also an obligation to make a referral to the DBS in
certain circumstances (where a person is dismissed or would
have been dismissed for a safeguarding issue)

33. DBS CHECKS
• Check that trustees, staff and volunteers are suitable
and legally able to act
• Trustees must risk assess all roles
• Have clear policies when DBS checks are required,
how you assess this and how information is handled
• Always get an appropriate DBS check when a role is
eligible for one
• Use of self-reporting
• See NACRO guidance on dealing with DBS checks
(recommended by Charity Commission)

34. TYPES OF DBS CHECK

35. ENHANCED DBS WITH CHECK OF BARRED LIST -
CHILDREN
a. teaching, training, instructing, caring for or supervising
children if the person is unsupervised, or providing
advice or guidance on well-being, or driving a vehicle only
for children; or
b. an activity carried out in a limited range of establishments
(which include schools and colleges) by a person engaging in
work for or in connection with the purposes of the
establishment (but not including work done under a contract
for occasional or temporary services which is not an activity in
(a), or work done by supervised volunteers), with the
opportunity for contact with children.
Regulated
activity in
relation to
children
includes
(among other
things):
Work under (a) or (b) is regulated activity only if carried out frequently by the same person
(once a week or more often), or on more than 3 days in any 30 day period or overnight. Work
under (a) is not regulated activity if, on a regular basis, it is subject to the day to day
supervision of another person who is engaging in regulated activity related to children (e.g. a
teacher).
A person whose role includes the day to day management or supervision of any person who
is engaging in regulated activity, is also in regulated activity.

36. ENHANCED DBS WITH CHECK OF
BARRED LIST - ADULTS
Regulated activity in relation to adults includes the provision to an
adult of:
• health care by, or under the direction or supervision of, a health care
professional
• relevant personal care (includes physical assistance with eating, drinking,
washing etc., or prompting and supervising where the person is unable to
make a decision without prompting and supervising)
• relevant social work by a social care worker to an adult
• assistance in relation to general household matters to an adult who is in
need of it by reason of age, illness or disability
• any relevant assistance in the conduct of an adult's own affairs
• the conveying of adults who need to be conveyed by reason of age,
illness or disability

37. Safer recruitment
• Seek at least 2 references – 1 from current or last
employer
 Are they satisfactory in content?
 Are they on headed paper/from verified source?
 Any conflict with information provided by candidate?
 Is further information needed?
• Inter-agency scheme for the disclosure of safeguarding-related
misconduct in recruitment processes within the humanitarian and
development sector https://www.Bond.Org.Uk/safeguarding-our-
progress#employment_cycle

38. Handling and
reporting
issues

39. Internal reporting: receipt of information
• Safeguarding (beneficiaries) and whistleblowing/grievance (staff
misconduct) and complaints (those who come into contact with the
charity) policies readily available online and contacts on posters/similar
in projects and other outreach mechanisms
• Zero tolerance of misconduct; protection of whistleblowers/
complainants
• Information to flow confidentially on need-to-know basis through
appropriate procedure to decision maker (safeguarding/whistleblowing
etc.)
• Safeguarding trustee/equivalent: it is recommended that safeguarding
is not the responsibility of just one trustee
• Standing item in reports to board and on risk registers

40. What to do if a safeguarding concern
arises
• Follow policies and procedures
• Matter should be reported to the designated safeguarding officer /
lead
• Staff should not investigate
• External reporting to the appropriate authorities (police, local
authority)
• Keep documents and correspondence securely and information
limited to those who need to know
• Review policies and procedures

41. External reporting
Ensure safeguarding incidents are reported adequately and appropriately to
authorities, police and regulators, insurers
Reporting to the CC via a serious incident report (“SIR”):
• Full and frank disclosure and timely reporting
• Suitably anonymised
• Explain what actions the trustees are taking
• Reported to police if criminal – or can justify decision not to
• Explain the charity’s decisions on other external reporting
• Report material changes of facts and significant developments
• Mark the SIR “confidential”
• Ask the CC to notify you if the CC receives requests from the
media/public about the charity in relation to the SIR
• Consider reporting historic safeguarding incidents
NOTE: THERE IS A NEW
COMMISSION PORTAL

42. What to report to the Charity Commission…
A serious incident is an adverse event, whether actual or alleged, which
results in or risks significant:
• Harm to your charity’s beneficiaries, staff, volunteers or others who come
into contact with your charity through its work (who are collectively referred
to throughout this guidance as people who come into contact with your
charity through its work)
• Loss of your charity’s money or assets
• Damage to your charity’s property
• Harm to your charity’s work or reputation
NB you do not need to report allegations of abuse/neglect that occurred
outside the organisation if appropriate agencies have been made aware and
there is no harm to the organisation’s own reputation
Https://www.Gov.Uk/guidance/how-to-report-a-serious-incident-in-your-charity

43. INVESTIGATING COMPLAINTS

44. Data Protection/Privacy V. Safeguarding?
https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/72158
1/Information_sharing_advice_practitioners_safeguarding_services.pdf
Human
rights/DP not
barriers to
justified
information
sharing, but a
framework
Be open
about
how/when
info will be
shared:
privacy
notice and
contract
May share
without
consent if
there is a
lawful basis
e.g. where
safety may be
at risk
Necessary,
proportionate,
relevant,
adequate,
accurate, timely
and secure
Record of
decision
with reasons
Fears about
sharing
cannot be
allowed to
stand in the
way of
safeguarding

45. Support those affected

46. Providing
references for
departing staff

47. General principles
• An employer does not have to give a
reference by law unless:
 Contractually obliged Required for certain jobs such as those regulated by
the FCA
• Any reference provided must be accurate
and fair
 Duties owed to the subject of the reference
 Duties owed to the recipient of the reference

48. Reference Policy
• A reference policy should make
clear:
 Who can give a reference on the employer’s behalf
 What categories of information will be included
 When allegations or findings of misconduct will be included
 How further enquiries will be dealt with
• Update privacy notices

49. Potential Pitfalls
• Charity Commission statutory inquiry
• Suspension/withdrawal of funding
• Negative publicity
• Claim by subject of reference:
 Defamation, malicious falsehood or negligent
misstatement
 Discrimination claim
• Claim by recipient of reference:
 Breach of duty of care

50. Co-sponsor:
Lead sponsor:
Drinks reception sponsor:
Bursary sponsor:
Technology sponsor:
SUPPORT TO HELP YOU
MEET YOUR
SAFEGUARDING DUTIES

51. SAFEGUARDING TRAINING FUND
• DCMS &The National Lottery Community Fund
• Phase 1: partnership to develop new resources
for the voluntary and community sector
• Must be user-led
• Must make most of what exists
• Phase 2: awareness raising sessions across
England

52. SAFEGUARDING TRAINING FUND PHASE
ONE

53. PERCY THE PARK KEEPER IN
PETERBOROUGH
Only has incidental,
non intentional or
vicarious contact with
children and adults at
risk.
How does Percy find
find what he needs
to know?
Percy is a trustee of a
small community garden
and park group

57. • CEOs
• Trustee Guide (incl. Chair ofTrustees)
• Comms and Marketing
• Operations Managers
• Fundraising Managers (with Institute of Fundraising)
• Volunteer Managers
• HR Managers
• Funding organisations
• Infrastructure Organisations (with NAVCA)
NEW KNOWHOW “SPECIALIST” CONTENT
SAFEGUARDING FOR…

58. NEW KNOWHOW “SPECIALIST” CONTENT
SAFEGUARDING FOR TRUSTEES
Maps the Charity
Commission
guidance to the
rest of the site
What to include in
yourTrustees
Annual Report &
Accounts
What reports to
request come to
the Board…
Working with the
CEO & recognising
when things are
going wrong
…and how to
challenge them
well
LeadTrustee for
Safeguarding

59. NEW KNOWHOW “SPECIALIST” CONTENT
SafeguardingTraining
Safeguarding and Whistleblowing (with Protect)
Talking about Safeguarding
- An A-Z of common terms
Designated Safeguarding Lead Handbook
Criminal Record Checks (with Bates Wells)
Safeguarding and the Law
‘Super specialist’ guide (with Bates
Wells)

60. DEVELOPING NEW & EXISTING RESOURCES
NSPCC
Develop and enhance existing
safeguarding children standards
and guidelines
Children England
Revised editions of popular
resources around governance
and DBS checks

61. DEVELOPING NEW & EXISTING RESOURCES
Ann Craft Trust
Online checklist on working with
adults at risk
New audio visual training
UK Youth
Revise, update and enhance Safe
Spaces and First Steps
Quality assurance frameworks to
support youth organisations to
operate in a safe way.

62. ANY QUESTIONS?

63. CONTACT DETAILS
Tom Burke
NCVO Associate
Tom.Burke@ncvo.org.uk
Emma Dowden-Teale
Partner
E.Dowden-Teale@bateswells.co.uk
020 7551 7890