CQC Regulation 13: safeguarding service users from abuse and improper treatment

Who it applies to

All CQC-registered providers and their staff. Local authority safeguarding procedures apply alongside it, and some events must also be notified to CQC.

What providers should consider

• Do all staff know how to recognise and report abuse, including out of hours?
• Are safeguarding concerns referred to the local authority promptly, and notified to CQC where required?
• Is each concern logged, followed up and closed with outcomes and learning?
• Are people's finances protected where staff handle money?
• Are any restrictive practices assessed, recorded and reviewed?

What evidence may be relevant

• Safeguarding policy and local procedures
• Safeguarding log with referral dates, outcomes and learning
• CQC notification records
• Training records and competency checks
• Whistleblowing records and how concerns were handled

Common areas to review

• Concerns handled internally that met the threshold for referral
• Missing CQC notifications
• No evidence of learning shared with staff

Internal audit questions

1. 1.Were all safeguarding concerns in the period referred and, where required, notified?
2. 2.Does each log entry show an outcome and learning?
3. 3.Can staff sampled describe how to raise a concern?
4. 4.Is safeguarding training in date for every staff member?

How MyCareCompliance can help

Use the Safeguarding Audit and CQC Notifications Audit, and raise improvement actions directly from a safeguarding concern — the immediate safety response is required before the action can be saved.

Official sources

• CQC guidance on Regulation 13
• Regulation 13 — Health and Social Care Act 2008 (Regulated Activities) Regulations 2014 (legislation.gov.uk)
• CQC: regulations for service providers and managers