Audit template
Safeguarding Audit
Reviews concerns, referrals, timeliness, local authority liaison and learning. This template runs monthly in MyCareCompliance and carries 8 mapped checks across 5 CQC quality statements.
Last reviewed: September 2026. This guidance reflects CQC information available at the date above — always refer to cqc.org.uk for current regulatory requirements.
What the audit covers
Every question in the Safeguarding Audit is mapped to a CQC quality statement and the underlying regulation, so a failed check tells you exactly which part of the single assessment framework is at risk. This is one of the core templates we recommend for every provider.
- Runs monthly — core template
- Part of the Safety & governance audit category
- Maps to 4 regulations: Regulation 17 — Good governance, Regulation 18 — Staffing, Regulation 13 — Safeguarding service users from abuse and improper treatment, Notifications (Registration Regulation 18) — Notification of other incidents
- Failed checks become tracked improvement actions with an owner, due date and evidence
The 8 checks
Learning culture
Safe — 1 check- Regulation 17 — Good governanceSafeguarding Audit
Are lessons learned from safeguarding incidents effectively analyzed and shared with the wider staff team to prevent recurrence?
What we look for: Look for evidence of 'closing the loop' after a safeguarding incident is resolved. Good looks like anonymized case studies discussed in team meetings and corresponding updates to risk assessments. A fail is incidents being closed with no documented reflection or shared learning.
Evidence: Root cause analysis reports, Team meeting minutes, Memos/Newsletters, Action plans
Safe and effective staffing
Safe — 1 check- Regulation 18 — StaffingSafeguarding Audit
Do staff training matrices demonstrate that all staff have completed safeguarding training at a level appropriate to their role, with no overdue refreshers?
What we look for: Sample the training matrix focusing on Safeguarding Adults (Levels 1-3 as appropriate). Good looks like 100% compliance with regular refreshers (usually annual). A fail is missing training records for active field staff.
Evidence: Training matrix, Training certificates, Induction records
Safeguarding
Safe — 4 checks- Regulation 13 — Safeguarding service users from abuse and improper treatmentSafeguarding Audit
Is the local safeguarding policy up to date, accessible to all staff, and aligned with the current Local Authority multi-agency safeguarding procedures?
What we look for: Review the safeguarding policy to ensure it contains current contact details for the local authority safeguarding team. Good looks like staff having instant access to this via their mobile devices in the field. A fail is an out-of-date policy or incorrect contact numbers.
Evidence: Safeguarding policy, Safeguarding procedure, Staff handbook, App or intranet access logs
- Regulation 13 — Safeguarding service users from abuse and improper treatmentSafeguarding Audit
Can staff confidently describe the signs of abuse and the exact process for reporting a safeguarding concern internally and externally?
What we look for: During spot checks or supervisions, ask 3-5 staff members how they would report a concern. Good looks like staff easily identifying signs of abuse and knowing to contact the office immediately, and the LA/CQC if the office fails to act. A fail is staff stating they would 'wait until tomorrow'.
Evidence: Staff interview notes, Spot check records, Supervision notes, Staff meeting minutes
- Regulation 13 — Safeguarding service users from abuse and improper treatmentSafeguarding Audit
Does the safeguarding log accurately capture all concerns, investigations, and outcomes, showing timely internal action?
What we look for: Review the safeguarding log for the last 6-12 months. Good looks like a fully completed tracker showing dates of concern, immediate actions taken to protect the person, and final outcomes. A fail is missing entries or concerns left open indefinitely without update.
Evidence: Safeguarding log, Incident reports, Client files, Investigation notes
- Notifications (Registration Regulation 18) — Notification of other incidentsSafeguarding Audit
Have all required statutory notifications regarding safeguarding incidents been submitted to the CQC without delay?
What we look for: Cross-reference the safeguarding log against CQC notifications. Good looks like a notification submitted for every safeguarding incident meeting the threshold, completed promptly. A fail is discovering a local authority safeguarding referral that was never notified to the CQC.
Evidence: CQC notification copies, Safeguarding log cross-reference, Provider portal records
Freedom to speak up
Well-led — 1 check- Regulation 17 — Good governanceSafeguarding Audit
Is the Whistleblowing (Freedom to Speak Up) policy actively promoted, and do staff feel safe raising concerns about poor practice?
What we look for: Check that whistleblowing procedures are distinct from grievances and are promoted. Good looks like an appointed, known Freedom to Speak Up champion and staff confirming in surveys they feel safe raising issues. A fail is staff not knowing what whistleblowing is or fearing retribution.
Evidence: Whistleblowing policy, Staff surveys, Freedom to Speak Up Guardian contact details, Meeting minutes
Partnerships and communities
Well-led — 1 check- Regulation 13 — Safeguarding service users from abuse and improper treatmentSafeguarding Audit
Is there documented evidence of effective partnership working with the Local Authority and police during safeguarding enquiries (Section 42)?
What we look for: Sample a recent safeguarding investigation. Good looks like prompt responses to LA requests for information and active participation in strategy meetings. A fail is a lack of communication records or failing to provide requested evidence to the LA.
Evidence: Email correspondence with LA, Multi-agency meeting minutes, Section 42 enquiry records, Strategy meeting notes
See it running for your service
Book a free demonstration and we will run the Safeguarding Audit against scenarios from a service like yours, or start your 7-day trial and try it yourself.
See it with your own service
Book a free demonstration and we will walk through the platform using scenarios from a service like yours.