Safeguarding Log Audit

Use this Safeguarding Log Audit Checklist to assess the care home's compliance with safeguarding policies and procedures, covering incident reporting, etc. monthly. References: CQC Regulation 13 (Safeguarding Service Users from Abuse and Improper Treatment), Care Act 2014 (Statutory Guidance on Safeguarding), Health and Social Care Act 2008 (Regulated Activities) Regulations 2014, Data Protection Act 2018 (handling of personal data related to safeguarding cases), The Safeguarding Vulnerable Groups Act 2006, CQC Statutory Notification Guidance.

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Safeguarding Log Audit



Complaints Log Checklist

1. Total Number of Safeguarding Incidents Logged:


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2. Types of Safeguarding Incidents (Abuse, Neglect, Exploitation, etc.):


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3. Number of Incidents Escalated to External Bodies (Local Authority, Police, CQC):


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4. Safeguarding Incidents Resolved:


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5. Average Time to Resolve (Days):


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6. Safeguarding Incidents Open:


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Safeguarding Documentation

1. Are all safeguarding incidents accurately recorded in the safeguarding log?


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2. Is there a unique reference number or ID for each safeguarding incident?


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3. Are the details of each safeguarding incident (date, type, individuals involved) clearly documented?


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4. Are incidents categorised properly (e.g., physical abuse, emotional abuse, neglect, financial exploitation)?


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5. Is there evidence that verbal and written reports of safeguarding incidents are logged?


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6. Is there evidence of anonymous safeguarding reports being handled appropriately?


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Timeliness Of Safeguarding Reporting

1. Were all safeguarding concerns raised and logged within the set timeframe (e.g., immediately or within 24 hours)?


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2. Was the Local Authority Safeguarding Team or CQC notified of relevant safeguarding incidents within the statutory timeframe?


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3. If there were delays in raising a safeguarding alert, is there a documented reason for the delay?


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Actions And Follow-Up

1. Were appropriate actions taken following each safeguarding incident (e.g., risk assessments, care plan reviews)?


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2. Is there clear documentation of who is responsible for resolving or investigating each safeguarding concern?


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3. Is the outcome of safeguarding investigations documented?


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4. Were safeguarding incidents communicated to the relevant external bodies (e.g., local safeguarding authority, police, CQC)?


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5. Were follow-up actions implemented to prevent recurrence (e.g., staff training, policy changes)?


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6. Is there evidence of contact with family or advocates when appropriate to ensure transparency?


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Safeguarding Risk Management

1. Were risk assessments completed and documented following the safeguarding incident?


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2. Have measures been put in place to safeguard the individuals involved in the incident from future harm?


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3. Is there a record of referrals made for additional support (e.g., counselling, mental health services)?


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4. Were safeguarding plans reviewed and updated following the incident?


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Trends And Recurring Issues

1. Are there recurring patterns or common themes in safeguarding incidents (e.g., repeated issues in care quality or staff conduct)?


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2. How many safeguarding incidents have been raised concerning the same issue?


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3. Has there been a formal review to address recurring safeguarding issues?


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4. Are systemic issues identified and acted upon to improve care or reduce safeguarding risks?


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Compliance With Safeguarding Policy And Regulations

1. Does the safeguarding process comply with the care home’s internal safeguarding policy and CQC’s Regulation 13 requirements?


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2. Is there documentation that all staff members have received training on safeguarding procedures and their responsibilities?


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3. Is there a clear and accessible safeguarding policy in place, which residents and their families are aware of?


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4. Are there systems in place to track whether all safeguarding concerns that meet the threshold for external notification have been reported to the appropriate bodies (Local Authority, CQC, etc.)?


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5. Is there a documented escalation protocol for serious safeguarding incidents?


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Communication And Transparency

1. Is there evidence of transparent communication with CQC, local authorities, and other external bodies regarding safeguarding incidents?


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2. Were relevant parties (e.g., families, advocates, local authorities) kept informed of safeguarding incidents and the progress of investigations?


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3. Was the outcome of each safeguarding investigation communicated clearly to all relevant parties?


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Safeguarding Types And Severity

1. Are safeguarding incidents categorized by severity (e.g., minor, moderate, severe)?


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2. Were serious safeguarding incidents (e.g., those involving abuse or exploitation) escalated and investigated by senior management or external bodies?


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3. Is there a clear process for handling severe safeguarding concerns, ensuring they are reported promptly and appropriately?


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Staff Involvement And Training

1. Were staff members involved in safeguarding incidents interviewed and provided with guidance or feedback as necessary?


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2. Has staff involved in safeguarding concerns received additional training or support following the incident?


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3. Has there been a review of staff conduct in relation to safeguarding incidents, and have any disciplinary actions been taken?


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Learning And Improvement

1. Has the care home implemented any policy or procedural changes based on the outcome of safeguarding incidents (e.g., revised safeguarding procedures, enhanced staff training)?


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2. Are lessons learned from safeguarding incidents shared across the team to prevent future issues?


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3. Is there evidence of continuous improvement in the safeguarding process, with clear outcomes from previous incidents?


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Audit And Review Process

1. Have previous safeguarding audits identified areas for improvement, and have those areas been addressed?


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2. Is there a system to track and ensure that the outcomes of safeguarding audits are implemented and followed up?


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3. Are safeguarding records handled in compliance with the Data Protection Act 2018 and GDPR?


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4. Is there a clear policy on how long safeguarding records are stored and when they are archived or deleted?


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Checklist by GoAudits.com – Please note that this checklist is intended as an example. We do not guarantee compliance with the laws applicable to your territory or industry. You should seek professional advice to determine how this checklist should be adapted to your workplace or jurisdiction.

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