Lesson 8 – Factual Records, Professional Boundaries and Post-Incident Review

8.1 Why accurate records matter

A safeguarding record may later be examined by:

• Management;
• A safeguarding lead;
• The local authority;
• The police;
• A court;
• A regulator;
• A redress scheme; or
• A legal adviser.

The record should allow another authorised person to understand:

• What was observed;
• What was said;
• When it happened;
• Who was present;
• What action was taken;
• Who was informed; and
• Why any decision was made.

8.2 What to record

The record should include:

• Date and time;
• Location;
• Names of people present;
• The employee’s direct observations;
• The customer’s own words where possible;
• Visible injuries or property conditions without diagnosis;
• Whether children or other people were present;
• Immediate risks;
• Questions asked;
• The customer’s response;
• Consent given or refused;
• Information shared;
• The person receiving the report;
• Emergency action;
• Advice received; and
• Agreed next steps.

8.3 Facts, allegations and opinions

These should be clearly distinguished.

Factual observation

“The bedroom door had a lock fitted on the outside.”

Customer’s statement

“The occupant said, ‘I am not allowed to leave unless he comes with me.’”

Inappropriate conclusion

“The landlord is definitely trafficking the occupants.”

Employees should record the observable fact and what was said, not make unsupported legal findings.

8.4 Writing the customer’s words

Where possible, use the customer’s own words in quotation marks.

Do not:

• Rewrite the account to make it more dramatic;
• Remove important details;
• Add an interpretation;
• Use insulting or dismissive language; or
• Ask the customer to approve a rewritten version as proof.

8.5 Professional boundaries

Employees may:

• Listen;
• Reassure appropriately;
• Check immediate safety;
• Explain the reporting process;
• Arrange approved support;
• Report concerns; and
• Contact emergency services.

Employees should not:

• Diagnose vulnerability or abuse;
• Investigate;
• Confront the suspected abuser;
• Secretly remove someone from a property;
• Offer personal accommodation;
• Lend money;
• Transport a customer in a personal vehicle without authority;
• Provide legal or medical advice;
• Promise a particular outcome;
• Maintain private personal contact; or
• Become the customer’s counsellor.

8.6 Limits of MyEstate’s responsibility

MyEstate’s role is to:

• Train staff to recognise concerns;
• Provide clear reporting procedures;
• Respond proportionately;
• Keep appropriate records;
• Refer matters where necessary;
• Protect information;
• Support employee safety; and
• Review incidents.

MyEstate is not responsible for:

• Determining criminal guilt;
• Conducting safeguarding investigations;
• Diagnosing conditions;
• Providing social care;
• Assessing medical needs;
• Replacing the police or local authority; or
• Guaranteeing that external services will take a particular action.

8.7 Post-incident management review

Management should consider:

• Was the concern recognised promptly?
• Was the employee safe?
• Was the correct procedure followed?
• Was emergency action necessary?
• Was information shared appropriately?
• Were records complete?
• Does the property present continuing risks?
• Are children or other adults affected?
• Should future visits be restricted?
• Does the risk assessment need revision?
• Does the customer’s communication plan need updating?
• Does the employee need support?
• Is additional staff training required?
• Does policy need to be improved?

8.8 Closing or monitoring the concern

A concern should not be marked complete merely because it was reported externally.

Management should record:

• Any acknowledgement received;
• Further information requested;
• Action MyEstate is required to take;
• Ongoing safety arrangements;
• Contact restrictions;
• The outcome where known; and
• The date of the next review.

Lesson 8 key point

Safeguarding records must describe what was seen, heard and done—not what the employee assumes happened.