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Complete on screen and print. Use to audit your service against CQC regulations, fundamental standards, and quality assurance requirements.
Assess each regulatory area against the requirements. Rate as Compliant (C), Partially Compliant (PC), or Non-Compliant (NC). Record evidence and any actions required.
| Requirement | Rating | Evidence / Notes | Action Required |
|---|---|---|---|
| Care plans are personalised, up to date, and reviewed regularly | |||
| People are involved in decisions about their care and support | |||
| Care plans reflect preferences, cultural needs, and communication requirements | |||
| People know who to speak to about their care plan |
| Requirement | Rating | Evidence / Notes | Action Required |
|---|---|---|---|
| People are treated with dignity and respect at all times | |||
| Privacy is maintained during personal care and discussions | |||
| Staff knock and wait before entering personal space | |||
| People are addressed by their preferred name |
| Requirement | Rating | Evidence / Notes | Action Required |
|---|---|---|---|
| Mental Capacity Act 2005 is followed in practice | |||
| Best interest decisions are documented where people lack capacity | |||
| Consent is sought and recorded before care is delivered | |||
| Advocacy services are accessible where needed |
| Requirement | Rating | Evidence / Notes | Action Required |
|---|---|---|---|
| Risk assessments are in place, current, and reviewed | |||
| Moving and handling plans are followed by staff | |||
| Infection prevention and control measures are in place | |||
| Medicines are managed safely and administered correctly | |||
| Environmental safety checks are completed and recorded |
| Requirement | Rating | Evidence / Notes | Action Required |
|---|---|---|---|
| Safeguarding policy is in place and staff understand it | |||
| Staff know how to report safeguarding concerns | |||
| Safeguarding training is current for all staff | |||
| DBS checks are completed for all staff and volunteers | |||
| There are no unreported safeguarding concerns |
| Requirement | Rating | Evidence / Notes | Action Required |
|---|---|---|---|
| Nutritional needs are assessed and documented | |||
| Food and drink choices reflect personal preferences | |||
| Weight monitoring is in place where required | |||
| Staff support eating and drinking where needed |
| Requirement | Rating | Evidence / Notes | Action Required |
|---|---|---|---|
| Premises are safe, clean, and suitable for purpose | |||
| Equipment is maintained, serviced, and tested | |||
| Safety checks are completed and recorded | |||
| Environment is accessible and meets diverse needs |
| Requirement | Rating | Evidence / Notes | Action Required |
|---|---|---|---|
| Complaints policy is accessible and available in suitable formats | |||
| Complaints are acknowledged, investigated, and responded to | |||
| Learning from complaints is shared with staff | |||
| Complaints records are complete and up to date |
| Requirement | Rating | Evidence / Notes | Action Required |
|---|---|---|---|
| Quality assurance system is in place and actively used | |||
| Audits are completed and actions followed up | |||
| Accidents, incidents, and near misses are recorded and analysed | |||
| Staff meetings and communication systems are effective | |||
| Policies and procedures are current, reviewed, and accessible |
| Requirement | Rating | Evidence / Notes | Action Required |
|---|---|---|---|
| Staffing levels meet the needs of people using the service | |||
| Staff have the right skills, training, and qualifications | |||
| Recruitment checks are completed before staff start work | |||
| Induction, supervision, and appraisal systems are in place | |||
| Staff training records are complete and current |
| Requirement | Rating | Evidence / Notes | Action Required |
|---|---|---|---|
| Directors and managers meet the fit and proper person requirements | |||
| Checks on directors and managers are completed and documented | |||
| Fitness to practise is monitored and reviewed |
| Requirement | Rating | Evidence / Notes | Action Required |
|---|---|---|---|
| Duty of candour policy is in place and understood | |||
| Notifiable incidents are reported to CQC within required timescales | |||
| People and families are informed when things go wrong | |||
| Apologies are offered and documented where appropriate |
| Action Required | Responsible Person | Due Date | Priority |
|---|---|---|---|
| Role | Name | Signature | Date |
|---|---|---|---|
| Auditor | |||
| Registered Manager | |||
| Provider / Nominated Individual |