The following outline checklist has been prepared in association with a consultant to the care sector who works with care companies to help them prepare for, and successfully negotiate regulatory audits.
If you are considering an audit, we can help you make sure that you have made the right preparations. Audits not only ensure compliance with the CQC and other regulators, such as Care Inspectorate Wales and Care Inspectorate Scotland, but also makes sure that your company is being run as effectively as possible. A successful audit can maintain or improve your reputation in the community, help increase confidence in management, and can be used as a “due diligence” review for current or potential investors.
Evidence is the key to passing any inspection. This provides proof that you are following the correct policies and procedures and that you are fully compliant. Digital systems ensure continuous evidence. Click here if you would like hear more about the advantages of going digital.
You can pursue a self-audit or use specialist consultants but in both cases you need to make sure you meet the standards for your next inspection. The questions and information below will help you to achieve a smooth and successful audit. Feel free to contact us using the form provided at any stage.
- Quality Assurance
- Care and Support Planning
- Service User and Staff Personnel Records
- Health and Safety
- Staff Training and Development
- Policies and Procedures
- Complaints
- Safeguarding
- Medicine Administration Records (MAR charts)
Quality Assurance
Are the following up to date?
- Staff and service user surveys
- Supervision and spot checks
- Annual staff appraisals
- Service user quality monitoring checks
- Service user diary notes
If you have answered “no” to any of these questions and would like further advice click here.
Care and Support Planning
Are the following up to date?
- Care and support plans are up to date and signed by the service users and registered manager
- All risk assessments are up to date
- There is a “œOne Page Profile” on file
- Review due dates are recorded on your IT management system
- Care and support plan matches purchase order/ private contract
- Are “œhoist” services up to date and diarised on your IT management system, where applicable
If you have answered “œno” to any of these questions and would like further advice click here.
Service User and Staff Personnel Records
Are the following up to date?
- Signed private contracts, or copies of local authority purchase orders on file
- Consent from service user and staff re the use of private data
- All recruitment checks
- Right to work in the UK
- Two references ““ validated (from current or previous employer)
- Enhanced DBS check
- Full work history ““ with gaps in employment validated
- Copies of supervision and spot checks on file
- Staff training records
If you have answered “œno” to any of these questions and would like further advice click here.
Health and Safety
Are the following up to date?
- Are all health & safety risk assessments up to date ““ including moving and handling risk assessments, (where applicable)
If you have answered “œno” and you would like further advice click here.
Staff Training and Development
Are the following up to date?
- All staff training is up to date
- All training and updates due, are diarised on IT management system
- Copies of all staff training and qualifications are on file, including annual staff appraisals
- Are copies of staff personal development plans on file
If you have answered “œno” to any of these questions and would like further advice click here.
Policies and Procedures
Are the following up to date?
- All policies and procedures have been reviewed within the past 12 months
- All GDPR policies and procedures are up to date
- Staff have easy access to all policies and procedures
If you have answered “œno” to any of these questions and would like further advice click here.
Complaints
Are the following up to date?
- All complaints and associated documentation are in a “œComplaints folder” with a complaints log
- All complaints are fully up to date
If you have answered “œno” to any of these questions and would like further advice click here.
Safeguarding
Are the following up to date?
- All staff safeguarding training is up to date
- All safeguarding concerns and subsequent investigation documentation are in a “œSafeguarding folder” with a safeguarding log
- All safeguarding concerns are fully up to date
- Local authority and relevant inspectorate have been informed (where applicable?)
If you have answered “œno” to any of these questions and would like further advice click here.
Medicine Administration Records
Are the following up to date?
- All MAR are on file an up to date
- All errors have been investigated and subsequent actions have been recorded
If you have answered “œno” to any of these questions and would like further advice click here.
Evidence
- Evidence is of the utmost importance for passing any inspection.
- Evidence provides proof that you are following the correct policies and procedures and that you are fully compliant.
- Digitisation is encouraged to provide continuous evidence.
Conclusion
- If you have had to answer “œNo” to any of the above questions you may need to revisit that action, as it may mean that you are not quite ready for your next inspection.
- Should you require any assistance with any of the above, we have experienced in-house staff ready to assist, as well as external consultants, supported by the PASSsystem technology, that can support you in your CQC, Care Inspectorate Wales and Care Inspectorate Scotland compliance.
For professional advice, or to find out more about the benefits of going digital, please fill out the form below and someone will be in touch to help.
