DOLS Tracker Audit

Use the DOLS Tracker Audit Checklist to stay compliant with Deprivation of Liberty Safeguards, ensuring lawful restrictions and protecting individual rights. This audit can be conducted monthly. References: CQC Regulations: Regulation 13 (Safeguarding Service Users from Abuse and Improper Treatment), Mental Capacity Act 2005 (MCA), Schedule A1 (Deprivation of Liberty Safeguards), Mental Capacity (Amendment) Act 2019 (Liberty Protection Safeguards - replacing DoLS), Health and Social Care Act 2008 (Regulated Activities) Regulations 2014, CQC Statutory Notification Guidance, Data Protection Act 2018 (handling of personal data related to DoLS applications and authorisations).

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DOLS Tracker Audit



DoLS Documentation

1. Are all DoLS applications and authorisations accurately recorded in the DoLS tracker?


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2. Is there a unique reference number or ID for each DoLS application and authorisation?


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3. Are the details of each DoLS application (date, type of application, person involved) clearly documented?


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4. Is the person’s mental capacity assessment recorded alongside the DoLS application?


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5. Is there documentation of the Best Interests Assessment for each person under DoLS?


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6. Are the dates of DoLS applications, reviews, and authorisations clearly recorded?


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Timeliness Of Applications And Authorisations

1. Were all DoLS applications submitted in a timely manner (e.g., within the required 21 days for standard applications, or immediately for urgent authorisations)?


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2. Were urgent authorisations submitted to the supervisory body within the statutory timeframe?


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3. If there were delays in submitting DoLS applications or renewals, is there a documented reason for the delay?


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4. Are renewals of existing DoLS authorisations requested before the expiration date of the current authorisation?


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5. Are DoLS applications followed up promptly if no response is received from the supervisory body?


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Actions And Follow-Up

1. Were appropriate actions taken to ensure the person’s best interests and to prevent any unlawful deprivation of liberty?


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2. Is there documentation of who is responsible for submitting, following up on, and managing each DoLS application?


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3. Is there clear evidence that the person’s rights, such as the right to challenge the DoLS authorisation, are communicated to them and their family or representative?


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4. Was there communication with family members or advocates throughout the DoLS process?


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5. Were Best Interests decisions reviewed periodically and documented?


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Compliance With DoLS Policy And Regulations

1. Does the care home’s DoLS process comply with the Mental Capacity Act 2005 and related CQC regulations?


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2. Is there documentation showing that all staff members are aware of the DoLS policy and understand their responsibilities under it?


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3. Is there a clear protocol in place to ensure that all people who may be deprived of their liberty have appropriate authorisation or legal protection?


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4. Is there evidence that the person and their family/representative were involved in discussions about the DoLS application and authorisation?


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5. Are DoLS records and documentation stored securely and in line with Data Protection regulations?


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Communication And Transparency

1. Is there evidence of transparent communication with CQC and the relevant supervisory body regarding DoLS applications and authorisations?


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2. Was the person under the DoLS authorisation, their family, or representative kept informed of the progress of their application and the outcome?


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3. Is the right of appeal against a DoLS authorisation explained to the individual and their representative?


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4. Were family members or advocates involved in reviewing and understanding the implications of the DoLS?


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DoLS Expiry And Renewal

1. Are there any expired DoLS authorisations, and if so, have renewal applications been submitted on time?


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2. Is there a process in place to track when DoLS authorisations are nearing expiry?


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3. Were renewals of DoLS authorisations submitted well before the expiration date to prevent gaps in legal protection?


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4. Have changes in the person’s condition or circumstances triggered a review of the DoLS authorisation?


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Safeguarding And Risk Management

1. Were any safeguarding concerns raised in relation to DoLS applications (e.g., deprivation of liberty without authorisation)?


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2. Is there evidence of risk assessments being completed for individuals under DoLS?


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3. Were concerns about unlawful deprivation of liberty raised with the appropriate bodies (CQC, Local Authority)?


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4. Is there a clear process for escalating any DoLS-related safeguarding concerns?


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Staff Involvement And Training

1. Have staff involved in the DoLS process received appropriate training on the Mental Capacity Act and DoLS?


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2. Were staff aware of how to identify when a DoLS application is needed and how to manage it appropriately?


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3. Have staff received feedback or additional training based on outcomes or issues related to the DoLS process?


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4. Are key staff members involved in submitting, following up on, and tracking DoLS applications regularly updated on changes to legislation (e.g., Liberty Protection Safeguards)?


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Learning And Improvement

1. Has the care home implemented any changes in policy or practice based on the outcomes of DoLS applications?


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2. Are lessons learned from any issues with DoLS applications (e.g., delays, missed renewals) shared across the team to prevent future problems?


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3. Is there evidence of continuous improvement in the DoLS process, with tracking and follow-up systems in place?


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Audit And Review Process

1. How often is the DoLS tracker reviewed or audited?


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2. Have previous DoLS audits identified areas for improvement, and have those areas been addressed?


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3. Is there a system to track and follow up on the outcomes of audits, ensuring that any recommendations are implemented?


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4. Are all DoLS records handled in compliance with the Data Protection Act 2018 and GDPR?


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


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6. Are DoLS records only accessible to authorised personnel?


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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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