How to Conduct Effective Safeguarding Audits in Domiciliary Care

In domiciliary care, safeguarding is the most profound responsibility a provider holds. Protecting vulnerable adults from harm, abuse, and neglect is not just a regulatory duty; it is the moral compass that guides every aspect of your service. While most providers are deeply committed to this principle, demonstrating its effective application requires more than good intentions. A regular, robust safeguarding audit is the most powerful tool you have to test your systems, identify weaknesses, and provide concrete evidence of your commitment to keeping people safe.

Conducting an effective safeguarding audit can seem daunting. It goes far beyond a simple checklist. It is an in-depth investigation into your culture, policies, and practices. This guide will provide a practical, step-by-step approach to conducting safeguarding audits specifically for the domiciliary care sector. We will cover the key areas to focus on, the evidence you need to gather, and how to use your findings to drive genuine improvement and ensure compliance.

Why are Safeguarding Audits Essential in Domiciliary Care?

The unique nature of domiciliary care, where staff often work alone in a client’s private home, creates specific safeguarding challenges. Issues can be harder to spot than in a residential setting, making proactive oversight critical. An effective safeguarding audit helps you to:

• Identify Hidden Risks: It uncovers vulnerabilities in your processes that could potentially lead to a safeguarding incident.
• Ensure CQC Compliance: It provides solid evidence for the Care Quality Commission that your service is ‘Safe’ and ‘Well-led’, directly addressing key lines of enquiry.
• Empower Your Staff: It highlights training needs and reinforces the importance of vigilance, giving your team the confidence to act correctly when concerns arise.
• Build Trust: It demonstrates to clients, families, and commissioners that you are serious about protecting the people you support.
• Drive Continuous Improvement: It moves you beyond mere compliance, fostering a culture where safeguarding is a dynamic, evolving process.

Step 1: Planning and Scoping Your Audit

A good audit begins with a clear plan. Decide on the scope before you start. Are you conducting a full, comprehensive audit, or are you focusing on a specific area, such as medication-related safeguarding or staff recruitment?

Key Planning Actions:

• Set a Schedule: Plan to conduct a full safeguarding audit at least annually, with smaller, more frequent themed audits throughout the year (e.g., quarterly).
• Define the Scope: For a full audit, your scope should cover all aspects of safeguarding, from policy to practice.
• Assign Responsibility: Designate a clear lead for the audit. This should be a senior member of staff, such as the registered manager or a quality lead, who has the authority to investigate thoroughly and implement change.
• Gather Your Tools: Prepare your audit template. This should be structured to gather evidence across different areas and should prompt you to look at policies, records, and interviews.

Step 2: The Three Pillars of Evidence Collection

An effective audit triangulates evidence from three key sources: what your policies say, what your records show, and what your people do. Relying on only one source will give you an incomplete picture.

Pillar 1: Reviewing Policies and Procedures

This is the foundation of your audit. Your written procedures set the standard for your organisation.

• Safeguarding Policy: Is it up-to-date and in line with current legislation and local authority procedures? Does it clearly define different types of abuse? Does it provide a simple, clear flowchart for staff to follow when reporting a concern?
• Recruitment Policy: Does it align with CQC requirements (Schedule 3)? Do you have a clear process for Disclosure and Barring Service (DBS) checks, right-to-work verification, and obtaining references?
• Whistleblowing Policy: Is it accessible and does it make staff feel safe to raise concerns internally without fear of reprisal?
• Mental Capacity Act (MCA) & Deprivation of Liberty Safeguards (DoLS) Policy: Is it clear on how capacity is assessed and how decisions are made in a person’s best interests? Does it explain the process for identifying and applying for DoLS when needed?

Pillar 2: Examining Records and Documentation

Your records provide the proof that your policies are being followed. This is where you connect theory to practice.

• Staff Files: Randomly select a sample of staff files (e.g., 10% or a minimum of five). Check for complete DBS checks, two satisfactory references, a full employment history, and evidence of safeguarding training during induction and as a refresher.
• Client Care Plans: Review a sample of care plans. Do they include a person-centred risk assessment for safeguarding? Do they clearly document any known vulnerabilities?
• Safeguarding Log: Scrutinise your central log of all safeguarding concerns. Is every concern recorded? Is there evidence of immediate action being taken? Are referrals to the local authority or other agencies documented clearly? Can you see evidence of a thorough investigation and a clear outcome?
• Supervision and Training Records: Check for evidence that safeguarding is a regular topic in staff supervision meetings. Cross-reference this with your training matrix to ensure all staff are up-to-date with their mandatory training.

Pillar 3: Interviewing and Observing Staff

This is arguably the most crucial pillar in domiciliary care. You need to know what your staff understand and what they do when they are working alone.

• Staff Interviews: Speak to a cross-section of your team, from new starters to long-serving carers and office staff. Ask open questions to test their knowledge, such as:
  • “Can you tell me what you would do if you arrived at a client’s house and suspected they were being financially abused by a family member?”
  • “What are the different types of abuse you know of?”
  • “Who is the designated safeguarding lead in our organisation?”
  • “How would you raise a concern if you felt management was not taking it seriously?”
• Management Interviews: Speak to the registered manager and any safeguarding leads. Ask about recent incidents, what was learned, and what changes were made as a result. This tests the ‘Well-led’ component of your service.
• Observation (where possible): While direct observation is difficult in domiciliary care, you can observe practice during supervisions or spot checks. Look for how staff communicate with clients, demonstrating dignity and respect.

Step 3: Analysing Findings and Creating an Action Plan

Once you have gathered all your evidence, you need to bring it together to identify themes and patterns.

• Identify Gaps and Weaknesses: Where are the disconnects? For example, your policy might be perfect, but staff interviews reveal they do not know who the safeguarding lead is. Or, your records might show everyone has had training, but your safeguarding log shows incidents were not referred correctly.
• Acknowledge Strengths: The audit is not just about finding faults. Acknowledge and document areas where your team is performing well. This boosts morale and reinforces good practice.
• Develop a SMART Action Plan: For each identified weakness, create a corresponding action. This plan should be:
  • Specific (e.g., “Deliver refresher safeguarding training to all staff”)
  • Measurable (e.g., “Achieve 100% completion by…”)
  • Achievable (Is the goal realistic?)
  • Relevant (Does it address the root cause of the issue?)
  • Time-bound (Set a clear deadline).

Assign a named individual to be responsible for each action. This creates accountability.

Step 4: Closing the Loop and Sharing the Learning

An audit is only useful if it leads to change.

• Implement Actions: The audit lead must oversee the implementation of the action plan, ensuring deadlines are met.
• Share Learnings with the Team: Be transparent with your staff. Share a summary of the audit findings (both good and bad) and the action plan. This demonstrates a culture of openness and continuous improvement. Use anonymised case studies from the audit as learning points in team meetings.
• Review and Repeat: Once your action plan is complete, review its impact. Did the changes work? This closing review then becomes the starting point for planning your next audit.

Your Commitment to Safety in Action

Conducting effective safeguarding audits is a non-negotiable part of running a high-quality domiciliary care service. It is a proactive, systematic process that moves you from hoping your service is safe to knowing it is safe. By digging deep into your policies, records, and staff knowledge, you are not just preparing for a CQC inspection; you are honouring your fundamental promise to protect the people who place their trust in you. Start today by planning your next audit and take a decisive step towards safeguarding excellence.