Safeguarding Audit - Care Homes

Evidence to check

• • Staff can explain safeguarding in practical terms, not just refer to the policy
• • Staff describe examples of concerns they would report
• • Safeguarding policy is current, accessible and aligned with local procedures
• • Staff know where to find safeguarding guidance if unsure

Evidence to check

• • Training matrix showing safeguarding training completion
• • Staff can describe signs of abuse, neglect and poor practice
• • Staff know immediate actions to protect a resident
• • Staff responses match the provider's safeguarding procedure

Evidence to check

• • Training logs with completion and renewal dates
• • Records of overdue training and follow-up action
• • Supervision or competency discussions where safeguarding knowledge was weak
• • Additional learning after incidents or concerns

Evidence to check

• • Staff scenario-based responses
• • Staff can identify less obvious abuse, such as coercion, neglect or institutional abuse
• • Safeguarding training covers all categories of abuse
• • Examples from incidents, complaints or daily records are recognised appropriately

Evidence to check

• • Staff feedback from supervision, meetings or surveys
• • Staff can describe internal and external reporting routes
• • Evidence that concerns raised by staff were acted on
• • No evidence of staff being discouraged from escalating concerns

Evidence to check

• • Named safeguarding lead and deputy arrangements
• • DSL training records
• • Staff know who to contact for safeguarding advice
• • DSL involvement in incident reviews, referrals and learning

Evidence to check

• • Safeguarding concern records
• • Referral dates compared with incident dates
• • Evidence of immediate protective action
• • CQC notifications and police referrals where applicable

Evidence to check

• • Safeguarding tracker or log
• • Referral outcomes recorded
• • Actions allocated to named people
• • Evidence that actions were completed and reviewed

Evidence to check

• • Resident feedback
• • Resident meetings or surveys
• • Accessible safeguarding information displayed or shared
• • Evidence that residents' concerns led to action

Evidence to check

• • Family information packs or visitor guidance
• • Safeguarding posters or contact details
• • Complaints and concerns from families reviewed for safeguarding themes
• • Records of communication and follow-up with relatives

Evidence to check

• • Incident records involving resident-to-resident harm
• • Risk assessments updated for both alleged victim and alleged perpetrator
• • Care plans changed to reduce recurrence
• • Evidence of referral or rationale for non-referral

Evidence to check

• • Safeguarding log reviewed for patterns
• • Incident, complaint and care note cross-checks
• • Management meeting records showing trend review
• • Escalation where repeated concerns indicate increased risk

Evidence to check

• • Investigation records
• • Chronologies and witness statements
• • Confidential record storage
• • Resident support, advocacy or family involvement where appropriate

Evidence to check

• • Lessons learned records
• • Team meeting minutes
• • Updated care plans or risk assessments
• • Evidence that changes were checked for effectiveness

Evidence to check

• • Communication care plans
• • Use of advocates, families or communication aids
• • Staff can explain how each resident communicates distress or concern
• • Evidence that behaviour changes are explored as possible safeguarding indicators

Evidence to check

• • DoLS applications, authorisations and expiry dates
• • Conditions attached to DoLS authorisations are acted on
• • Care plans reflect authorised restrictions
• • Reviews requested when restrictions or circumstances change

Evidence to check

• • Mental capacity assessments for relevant decisions
• • Best-interest decision records
• • Involvement of family, advocates or professionals
• • Evidence that less restrictive options were considered

Evidence to check

• • Staff conduct concern records
• • Disciplinary investigation records
• • Risk management actions while investigations are ongoing
• • Referrals to local authority, police, DBS or professional bodies where applicable

Evidence to check

• • DBS checks and risk assessments
• • References verified and gaps in employment explored
• • Right to work checks
• • No staff working unsupervised before required checks are complete

Evidence to check

• • Whistleblowing policy and external reporting contacts
• • Staff know internal and external whistleblowing routes
• • Records of whistleblowing concerns and outcomes where applicable
• • Evidence staff are protected from victimisation

Evidence to check

• • Safeguarding log or tracker
• • Regular management review
• • Actions and outcomes recorded
• • Themes and repeat concerns escalated

Evidence to check

• • Supervision records
• • Team meeting minutes
• • Handover notes where safeguarding risks are relevant
• • Staff can describe recent safeguarding learning

Evidence to check

• • Governance meeting minutes
• • Quality assurance reports
• • Safeguarding trend analysis
• • Provider or senior management review of safeguarding performance

Evidence to check

• • Financial support care plans and risk assessments
• • Records of money handling and receipts
• • Audit of residents' money or valuables
• • Concerns about family, staff or external financial pressure explored

Evidence to check

• • Restrictive practice records
• • Risk assessments and best-interest decisions
• • Incident records involving restraint or physical intervention
• • Reviews showing reduction or alternatives considered

Evidence to check

• • Staff can explain professional boundary expectations
• • Code of conduct or policy
• • Records of concerns or boundary breaches
• • Supervision discussions where boundaries were reinforced

Evidence to check

• • Visitor sign-in records
• • Staff challenge unknown visitors
• • Risk assessments for residents at risk from specific visitors
• • Incidents involving visitors reviewed and acted on

Evidence to check

• • Staff can explain how they would respond to a disclosure
• • Trauma-informed guidance or training
• • Records showing disclosures were listened to and escalated appropriately
• • Advocacy, mental health or safeguarding referrals where needed

Evidence to check

• • Environmental risk assessments
• • Walkaround observations
• • Incident locations reviewed for patterns
• • Controls such as supervision, layout changes or access management

Evidence to check

• • Business continuity plans
• • Staffing risk assessments
• • Records of safeguarding decisions during disruption
• • Evidence that reduced staffing or restrictions did not leave residents unsafe

Evidence to check

• • Complaint records cross-checked against safeguarding log
• • Concerns about neglect, dignity, staff attitude, falls or missing belongings reviewed
• • Evidence of escalation where safeguarding threshold is met
• • Rationale recorded where no safeguarding referral is made

Evidence to check

• • Referral records and professional correspondence
• • Chronologies showing when information was shared
• • Consent or best-interest considerations where relevant
• • No inappropriate delays in sharing safeguarding information

Evidence to check

• • Communication records with residents and families
• • Accessible explanations used where needed
• • Advocate involvement where appropriate
• • Clear record of what could and could not be shared

Evidence to check

• • Post-incident reviews
• • Follow-up checks with residents, families or staff
• • Care plan and risk assessment reviews
• • Evidence that repeated incidents reduced or stopped

Evidence to check

• • Staff scenario-based questioning
• • Examples of concerns about coercion or undue influence reviewed
• • Care plans identify residents at higher risk
• • Escalation records where exploitation was suspected

Evidence to check

• • Care plan updates after incidents
• • Risk assessments revised after safeguarding concerns
• • Staff handover or briefing records
• • Protective actions clearly recorded and reviewed

Evidence to check

• • Resident and family feedback
• • Advocate involvement
• • Staff feedback from meetings or supervision
• • Audit findings include lived experience and not only paperwork checks