Frameworks

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Legal Framework Checklist Summary

To assist organisations in the development of their Safeguarding legal framework, a checklist divided by stages of development of Safeguarding is provided below.

Organisations can assess their current level of development by checking the items that they already have implemented. Based on this assessment each organisation can identify their specific needs.

1.   Codes of ethics and conduct

T1	Codes of ethics and conduct	In place
Beginning	The organisation has developed and adopted a Code of Ethics covering key topics and relevant procedures, which is published and clearly endorsed by senior management. Alternatively, the organisation adopts the IOC Code of Ethics or another applicable Code of Ethics from an organisation of which it is a member.	□
Intermediate	The organisation clearly states who is bound by their rules (See Participants).	□
	The organisation’s senior management either has designated responsibility for oversight and implementation of the Code or an individual who reports directly to senior management (e.g. Ethics Commission, Ethics Officer, Compliance Officer).	□
	The organisation dedicates adequate resources to detecting possible breaches of the Code and investigating it.	□
	The organisation has developed adequate Codes of Conduct for different stakeholders (e.g. athletes, coaches, staff, volunteers, member organisations).	□
	The organisation ensures that the cases are handled independently (from reporting to case resolution), meaning an individual or group conducts their role free from undue influence.	□
	The organisation provides support or education for different groups to promote an ethical culture (e.g. guidance materials, templates, ethical dilemma exercises, seminars).	□
Advanced	The organisation requires its members to comply with ethical-related regulations, such as by imposing sanctions or holding funds in case of non-compliance.	□
	The organisation carries out regular educational work with stakeholders about the Codes, at least annually.	□
	The organisation monitors the effectiveness of the Codes and reviews them regularly in consultancy with the relevant stakeholders.	□

2.   Safeguarding policy and related strategies

T2	Safeguarding policy and related strategies	In place
Beginning	The organisation formally adopts appropriate standards, such as guidelines developed by the relevant International Federation (IF), other national sports organisation, a governmental entity or the IOC Toolkit for IFs and NOCs.	□
	The organisation has issued a public statement pledging to address safeguarding appropriately.	□
	The organisation clearly describes its understanding and definitions of the addressed forms of transgressive behaviours. Alternatively, it indicates which definitions are applicable.	□
	The organisation cooperates with public authorities, where necessary.	□
Intermediate	The organisation developed its own safeguarding policy aligned with appropriate standards that apply all year-round and/or games-times period, if applicable.	□
	The organisation has a designated and suitably qualified individual or group of people who lead on safeguarding issues with relevant background and expertise. This person also liaises with safeguarding focal points at other organisations.	□
	The organisation’s case management is independent, meaning an individual or group is free from undue influence to conduct their role.	□
	The organisation provides mandatory education on safeguarding for a specific group of people involved with its activities.	□
	The organisation communicates publicly about safeguarding issues and can demonstrate that action has been taken on safeguarding matters.	□
	The safeguarding-related regulations are easily accessible in formats compatible with various devices, like plain text for website viewing and PDFs for download, to support research and mobile accessibility.	□
	The organisation conducts risk assessments for events, training, transport, accommodations, locker rooms and shared spaces.	□
	The organisation has a safe recruitment procedure in place (e.g. interview, references and background checks).	□
Advanced	The organisation has several rules and regulations in place that take safeguarding into consideration, such as involving photography of minors or guidance around the appropriate use of technology and social media.	□
	The organisation prioritises diversity in appointing persons or commissions for key safeguarding roles.	□
	The organisation provides mandatory education programs on safeguarding for all people involved with its activities.	□
	The organisation can demonstrate that action has been taken on time and appropriately.	□
	The safeguarding policy is built up in the consultancy of all stakeholders, mainly athletes and affected people, and timely reviewed based on lessons learned from experience.	□
	The latest version of all safeguarding-related regulations is available on the website, highlighting any revisions from the previous version or, alternatively, providing a document summarising update.	□
	The organisation is committed to managing every case considering a trauma-informed approach.	□
	The organisation offers appropriate support for any individual who has been affected while involved in the organisation’s activities and supports victims in seeking remedies, taking actions to correct or compensate for wrongs that have been done to them.	□
	The organisation empowers and provides relevant materials to support its members in implementing their strategies, creating a harmonised environment to protect participants.	□

3.   Reporting

T3	Reporting	In place
Beginning	The organisation provides a direct link on its website to external credible and operational mechanisms, such as those powered by the NOC or IF, the IOC Integrity Hotline or any other organisation that deals with safeguarding locally.	□
Intermediate	The organisation has a procedure in place and a reporting mechanism (e.g. a form on the website, a phone number or a dedicated e-mail address).	□
	The organisation guarantees confidentiality and anonymity when appropriate.	□
	The organisation takes steps to protect and support any affected person, and those individuals who report, including witnesses or other persons providing information.	□
	The organisation’s rules set out clear procedures for processing and managing reports and designate responsibility, including assessing urgency, categorising, prioritising or referring to the appropriate person or agency (See Triage).	□
	The organisation has mechanisms in place to mitigate the risk of conflicts of interest.	□
	The organisation requires participants to report any potential misconduct they are aware of, with potential sanctions for non-compliance.	□
Advanced	The organisation has a robust, confidential reporting mechanism which can be easily accessed through several means and may operate through an external supplier.	□
	The organisation monitors the quality and effectiveness of its reporting system through the implementation of indicators (such as the number of reports received, shelved or processed, processing times, and concerns raised).	□
	The organisation ensures everyone is well informed about what is likely to happen following a disclosure, in a format and language that everyone can easily understand.	□
	The organisation provides support and guidance to whistle-blowers, victims and other vulnerable individuals.	□
	The organisation takes disciplinary action against acts of retaliation and over those who: – intentionally ignore a reporting request for anonymity; – knowingly make false, unfounded, or incorrect reports that harm others; – unfairly penalise or discriminate against someone who has reported a potential breach or contributed information in a safeguarding issue in good faith.	□

4.   Investigation of a concern, suspicion or allegation

T4	Investigation of a concern, suspicion or allegation	In place
Beginning	The organisation’s rules clearly outline fair and impartial investigation procedures, which are published alongside other relevant regulations.	□
	The organisation has clear and objective criteria for selecting an ad hoc person or commission to conduct the investigation.	□
	The organisation cooperates with public authorities when there is suspicion of a criminal offence.	□
Intermediate	There is a clear separation between investigating and adjudicating responsibilities, which different persons or commissions conduct each of them independently.	□
	The organisation has a defined process and appropriate resources for investigating safeguarding threats, such as previously designated individuals or commissions with sufficient expertise, clear mandate, term of office and oversight.	□
	An individual or commission is responsible for assessing urgency, categorising, prioritising or referring to the appropriate person or agency (See Triage).	□
	The organisation has contacts previously established at a local and national level with relevant child protection and social services, police, NGOs and other public authorities to be referred to if any specific incident occurs.	□
	The organisation can impose provisional measures on a participant in cases where there are reasonable grounds to suspect that the violation was committed and/or there is a risk of further harm if the participant is allowed to continue participating in the sport, pending the outcome of the investigation.	□
	All personnel with designated responsibilities are trained and receives specialist advice, support and relevant information.	□
	Information is only shared on a “need-to-know” basis (confidential), thereby limiting unnecessary or inappropriate dissemination of potentially sensitive or private data.	□
	Participants are obliged to cooperate with investigations and may be sanctioned if they fail to do so.	□
	Victims have the right to submit (written) observations and evidence and are granted specific rights, including the ability to access their case file, which may be unrestricted, partial, or under a confidentiality agreement to protect others’ rights.	□
	The organisation responds to every case brought to its attention, either recent or non-recent, although statutes of limitation are applied.	□
Advanced	The organisation can show evidence of the implementation of the procedures, monitor their effectiveness, and improve them according to lessons learned through practical implementation.	□
	The organisation maintains the investigation case records stored securely for a reasonable and proportional period.	□
	The organisation has regulations governing the inspection of data stored in personal records and electronic devices that lead to potentially relevant evidence, respecting proportionality, confidentiality and privacy regulation.	□
	The organisation makes special protection measures available for vulnerable witnesses who have actual or potential fear or distress about providing testimony in a given case or investigation.	□
	Victims can have their testimony facilitated, preferably without the alleged perpetrator presence, using communication technologies when possible. Additionally, efforts are made to avoid further contact between them.	□
	The organisations allow and support victims in seeking remedies both within and beyond their domain throughout the entire process, leading to results.	□
	No statutes of limitation are applied to severe safeguarding breaches.	□

5.   Disciplinary proceedings

T5	Disciplinary proceedings	In place
Beginning	The organisation’s rules reference clear, fair, and impartial adjudication procedures, including a notice and the opportunity to be heard.	□
	The organisation’s rules are published alongside other relevant regulations.	□
	Individuals and organisations affected are entitled to formally challenge and seek a review of a decision made by the relevant authority (right to appeal).	□
	The organisation adheres to relevant privacy legislation that may limit the details that can be made public in certain instances.	□
Intermediate	There is a clear separation between investigating and adjudicating responsibilities, which different persons or commissions conduct each of them.	□
	The organisation’s adjudicatory person or body works independently and there are procedures in place to mitigate potential conflicts of interest.	□
	Adjudicators are appointed from a standing body composed of individuals with diverse backgrounds and expertise. They have a clear mandate, term of office and oversight and cannot be removed without a cause.	□
	The rules provide a clear set of applicable sanctions proportionate to the offence.	□
	Victims have the right to submit (written) observations and evidence and to be consistently promptly informed about the progress and outcomes of the proceedings, including being notified of the final decision.	□
	The organisation maintains a table of decisions and sanctions on its website, detailing basic information, such as the individuals or organisations currently under sanction, along with the specific rules they breach.	□
	Less severe cases, such as poor practices, can be resolved through alternative measures (e.g. mediation, guidance, training).	□
Advanced	The organisation allows and supports victims seeking remedies throughout the resolution process.	□
	An assessment of risk and legal obligations shapes the overall adjudication approach, and supportive engagement with victims is upheld.	□
	The organisation can impose measures other than disciplinary to hold members accountable.	□
	The organisation can show evidence of the implementation of the procedures, monitor their effectiveness, and improve them according to lessons learned through practical implementation.	□
	The organisation appropriately publishes decisions and sanctions in force, providing brief reasons, detailed reports, or summaries as necessary, while respecting personal data.	□
	The organisation maintains adjudication case records for a reasonable and proportional period.	□
	The organisation requires its members associations to report any sanction imposed, with potential sanctions for non-compliance.	□

The next step after the assessment of needs is to start the development of the Safeguarding processes and procedures for your organisation. To assist each area, download the legal framework document which includes references to kick start the process for each of the items listed on the checklist. 

Transgressive Behaviour Event Checklist

This checklist outlines key requirements to help ensure the safety of Covered Persons at sports events. It is recommended to maintain a Transgressive Behaviour Event Checklist throughout all stages of the event — bidding, planning, implementation, and legacy — to support continuous improvement.

Action	Details	In place
Event Plan	Include safeguarding in the Event Masterplan	□
Risk Assessment	Conduct a risk assessment to cover all potential risks that could jeopardise the health, safety, protection, and well-being of Covered Persons. Regularly update the risk assessment and share with all staff involved in the event. Keep a written record of the risk assessment on file.	□
Safeguarding Legal Framework	Ensure Legal Framework integrated into Event regulatory framework	□
Event Safeguarding Plan	Event safeguarding plan approved by the highest level of the Event Organis     ation and produced in different formats and for different stakeholders, e.g. posters, online; for children, athletes, coaches etc.	□
Roles and  Responsibilities	Define roles and responsibilities and ensure that all staff and volunteers are aware of their specific safeguarding roles and responsibilities at the event.	□
Event Safeguarding Officer	Appoint and train an Event Safeguarding Officer as the first point of contact for advice and to respond to any transgressive behaviour during the event..	□
Safeguarding Contacts	Make public the contact details of the Event Safeguarding Officer.	□
Safe Recruitment	Apply safe recruitment checks/vetting for all workforce and ensure Safe Recruitment form is signed.	□
Safeguarding Committee	Appoint members of Safeguarding Committee and train all fact-finders/investigators in conducting interviews using a trauma-informed, child centred (as needed) approach.	□
Covered Person’s Information, Consent Forms	Collect or ensure the collection (e.g. by Heads of Delegations of participating delegations) of essential information for Covered Persons including name, contact number, address, and emergency contact details. Prepare and send Consent Forms to the Covered Persons in advance of the event. If children and young people are involved in the event get consent from parents/guardians (or ensure Forms are sent to delegations for completion).	□
Special Policies	Write, approve and publish any special policies required for the event such as Online Protection and Safety, Transport, Accommodation etc.	□
Safeguarding Sport Event Pack	Prepare a Safeguarding Events Pack that includes all essential safeguarding information. Distribute this to Covered Persons before the event. The pack should include at the very least the safeguarding policy, code of conduct, safeguarding officer contact details, reporting channels, and safeguarding guidelines for the event.	□
Safeguarding Education	Deliver a pre-event briefing to provide essential safeguarding information and guidance about the event to delegations (depending on size of event – to heads of delegations for larger events or athletes directly for smaller events). The briefing should make sure that everyone is aware of expectations and fully briefed on the safeguarding policy, code of conduct and other guidelines and procedures relevant to the event (e.g., reporting and responding to concerns, guidelines for journalists and media etc).	□
Reporting	Prepare an Incident Report Form and make it easily available (e.g. on event website). Arrange for clear and accessible reporting channels at the event and inform Covered Persons of what steps to take if they have a concern.	□

To assist in the implementation of each area, download the operational and legal framework document which includes references and templates to for each of the items listed on the checklist. 

The simplified version to kick start safeguarding in your club consist of the following areas:

Safeguarding Policies

• Institutional support
• Purpose, principles and scope
• Definitions
• Training and induction
• Specific roles and responsibilities
• Reporting procedures
• Mandatory reporting to other organisations
• Reaction plan
• Outcomes
• Monitoring and evaluating

Complementary Strategies

• Code of Conduct
• Risk Management
• Safe recruitment
• Privacy and personal data

To assist in the implementation, download the legal framework document which includes references for each of the items listed on the checklist.