CQC Inspection Audit

Use this checklist for regular self-audits, in order to prepare your care facilities for CQC inspections and ensure the best possible ratings. Use our CQC inspection form to assess your organisation across 5 key criteria: safe, effective, caring towards residents / patients, responsive to people's needs and well-led. Keep records and evidence of self-audits for the next CQC inspection.

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CQC Inspection Audit



Safety

1. Systems, processes and practices keep people safe and safeguarded from abuse.


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2. Safety and safeguarding systems, processes and practices are developed, implemented and communicated to staff.


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3. People are protected from discrimination (any abuse or cause of psychological).


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4. Safety is promoted in recruitment practice, arrangements in place to support staff, disciplinary procedures, and ongoing checks carried out.


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5. Staff receive effective training in safety systems, processes and practices.


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6. Staff understand their responsibilities and adhere to safeguarding policies and procedures.


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7. If arrangements for using bank, agency and locum are made, you ensure staff keep people safe at all times.


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8. Comprehensive risk assessments are carried out for people who use services and risk management plans are developed in line with the national guidance.


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9. Impact on safety is assessed and monitored when carrying out changes to the service or the staff.


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10. Residents have individual care records present (including clinical data, written and managed).


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11. All staff ensure the proper and safe use of medicines.


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12. Medicines are appropriately prescribed, administered and supplied to residents.


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13. Care home ensures that residents receive their medicines as intended and recorded appropriately.


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14. Residents' medicines are regularly reviewed, including the use of ‘when required’ medicines.


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15. Care home ensures that residents' behaviour is not controlled by excessive or inappropriate use of medicines.


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Effective

1. Lessons are learned and improvements are made when things go wrong.


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2. Technology and equipment is used to enhance the delivery of effective care and treatment and to support residents' independence.


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3. Staff are aware of the MHA Code of Practice and the rights of residents are protected by the Mental Health Act 1983.


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4. Information about the outcomes of residents' care and treatment are routinely collected and monitored.


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5. Care home ensures that staff have the skills, knowledge and experience to deliver effective care and support.


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6. Residents have their assessed needs, preferences and choices met by staff with the right skills and knowledge


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7. Staff are encouraged and given opportunities to develop.


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8. Poor or variable staff performance is identified and managed.


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9. All staff, including those in different teams, services and organisations are involved in assessing, planning and delivering appropriate care and treatment.


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10. Those residents who may need extra support are identified.


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11. Residents are empowered and supported to manage their own health, care and wellbeing and to maximise their independence.


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12. Consent to care and treatment is always sought in line with legislation and guidance.


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13. Staff understand the relevant consent and decision making requirements of legislation and guidance (including the Mental Capacity Act 2005 and the Children’s Acts 1989/2004).


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14. The process for seeking consent is monitored and reviewed to ensure it meets legal requirements and follows relevant national guidance.


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Caring

1. Care home ensures that people are treated with kindness, respect, and compassion and that they are given emotional support when needed.


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2. Staff understand and respect the personal, cultural, social and religious needs of people and how these may relate to care needs.


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3. Staff take the time to interact with people who use the service and those close to them in a respectful and considerate manner.


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4. Staff show an encouraging, sensitive and supportive attitude to people who use services and those close to them.


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5. Staff raise concerns about disrespectful, discriminatory or abusive behaviour or attitudes.


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6. Residents are given appropriate and timely support and information to cope emotionally with their care, treatment or condition.


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7. Residents are empowered and supported, to use and link with support networks and advocacy, so that it will have a positive impact on their health, care and wellbeing.


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8. Residents' privacy, dignity and independence is respected and promoted.


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9. Care home and staff make sure that people’s privacy and dignity needs are understood and always respected.


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10. Saff respond in a compassionate, timely and appropriate way when people experience physical pain, discomfort or emotional distress.


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11. Residents are assured that information about them is treated confidentially in a way that complies with the Data Protection Act.


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Responsive

1. Residents receive personalised care that is responsive to their needs.


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2. Facilities and premises are appropriate for the services that are delivered.


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3. Care home identifies and meets the information and communication needs of people with a disability or sensory loss.


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4. Residents are supported during referral, transfer between services and discharge.


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5. Reasonable adjustments are made so that residents with a disability can access and use services on an equal basis to others.


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6. Care home takes into account the particular needs and choices of different residents.


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7. Residents with the most urgent needs have their care and treatment prioritised.


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8. Residents' concerns and complaints are listened and responded to and used to improve the quality of care.


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9. Residents who use the service know how to make a complaint or raise concerns.


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10. Is it easy for individuals to use the complaints process or raise a concern?


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11. Are complaints effectively handled (ensure openness and transparency, confidentiality, regular updates for the complainant, a timely response and explanation of the outcome, and a formal record)?


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12. Are individuals who raise concerns or complaints protected from discrimination, harassment or disadvantage?


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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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