💊 Medication Audit Safe, Effective, and Accountable Medication Practices Aim: Medication audits are a critical element of clinical governance and regulatory compliance. They ensure that all aspects of medication handling, storage, administration, and recording are carried out safely and in line with legal and professional standards, including those set by CQC, NICE, and local policy.

👥 Who Should Carry Out the Audit? Registered Managers, Clinical Leads, or Designated Medication Leads Audits can also be supported by external professionals (e.g., pharmacists) or senior staff trained in medication safety The person conducting the audit must have a clear understanding of the medication policy, relevant legislation (e.g. Medicines Act, Controlled Drugs Regulations), and service-specific protocols.

📅 When Should It Be Done? Monthly audits are best practice Additional audits following any medication error, incident, or change in practice Spot checks may also be completed randomly to ensure ongoing compliance

🔍 How Is It Carried Out? Audits should cover: Storage (temperature, security, stock levels) Administration (accuracy, MAR chart completion, double-checking) Prescriptions and reordering systems Disposal of medication Staff competency and training records Controlled Drug (CD) register if applicable Recording of missed doses or refused medication Evidence of PRN protocols and 'as required' usage Use a standard Medication Audit Tool or Checklist, and ensure findings are documented.

🧠 Lessons Learned & Actions Each audit should include a section for analysis and reflection: Were any errors or near misses recorded? What was the root cause? Was staff retraining required? Did policy or process need to be updated? Have actions been logged, assigned, and reviewed? Lessons learned should be shared in team meetings or clinical governance reviews, and changes must be followed up to ensure improvement.

🟣 Good Practice Tip: Keep a clear audit trail – completed forms, actions taken, and feedback loops. This is key to demonstrating Regulation 12 (Safe Care and Treatment) and Regulation 17 (Good Governance) under CQC.

👉 Click here to download the Medication Audit Template.

🦠 Infection Prevention & Control (IPC) Audit Promoting Safe, Hygienic Environments Across Your Service Aim: The Infection Prevention & Control (IPC) audit is essential to maintaining a clean, safe, and healthy environment for both staff and service users. It ensures that your service is compliant with CQC/Ofsted expectations, NHS infection control guidance, and Health & Safety legislation. IPC audits help identify risks, monitor hygiene practices, and ensure policies are followed in real time, reducing the spread of infection and supporting public health.

👥 Who Should Carry Out the Audit? Designated IPC Lead, Health & Safety Lead, or Registered Manager In larger services, this may include Facilities Leads, Cleaning Supervisors, or Nurses All auditors should be trained in infection prevention standards and have access to current IPC policies and PPE protocols.

📅 When Should It Be Done? Monthly IPC audits are recommended as best practice More frequent audits may be required during: Outbreaks (e.g. norovirus, COVID-19) Flu season Following refurbishment or service changes Spot checks and daily walkarounds should complement formal audits

🔍 How Is It Carried Out? Use a structured IPC Audit Tool that covers: Cleaning schedules and documentation Use and availability of PPE (gloves, masks, aprons) Hand hygiene practice and facilities Waste management and clinical waste bins Safe laundry handling Cross-contamination risks (e.g. food areas, medical areas) Staff training and IPC induction records COVID-19 or other outbreak-specific measures, where relevant Visual checks, interviews with staff, and record reviews should all form part of the audit.

🧠 Lessons Learned & Actions Each audit should conclude with: A list of non-conformances or areas for improvement Clear corrective actions and responsible persons Timescales for completion and re-audit A summary for discussion in staff meetings or H&S reviews Sharing outcomes promotes team accountability and learning, while reducing the risk of infection spread across your setting.

✅ Supports Compliance With: CQC Regulation 12: Safe Care and Treatment Health and Social Care Act 2008 (Regulated Activities) UK Health Security Agency (UKHSA) guidance NICE IPC Quality Standards Ofsted premises and welfare checks (in education settings)

👉 Click here to download the IPC Audit Template.

⚠️ Health & Safety Audit Ensuring a Safe Environment for Staff, Visitors, and Service Users Aim: The Health & Safety (H&S) audit ensures your service is compliant with relevant health and safety legislation, including the Health and Safety at Work Act 1974, CQC Regulation 12, and Ofsted’s welfare and premises standards. This audit provides a structured review of your organisation’s safety measures, risk controls, and compliance with employer duties, helping to prevent accidents and promote a culture of safety.

👥 Who Should Carry Out the Audit? The Health & Safety Lead, Registered Manager, or nominated competent person Auditors must be trained in risk assessment and aware of site-specific hazards External audits may also be conducted annually (e.g. insurers, H&S consultants)

📅 When Should It Be Done? Formal audits at least once per quarter Informal checks (walkarounds, maintenance reviews) monthly Immediately following any accident, near-miss, or change in premises use

🔍 How Is It Carried Out? Use a structured Health & Safety Audit Template that reviews: Fire safety (alarm checks, drills, evacuation plans) Risk assessments (manual handling, lone working, COSHH, slips/trips) Equipment checks (PAT testing, mobility aids, lifts, hoists) Building maintenance (lighting, flooring, handrails, signage) First aid provision and accident logs Staff training records (induction, H&S, first aid, fire warden) Workplace safety signage and PPE availability The audit should include visual inspections, record reviews, and staff consultation.

🧠 Lessons Learned & Actions Every audit should result in: A clear list of findings and safety risks Corrective actions with named individuals and deadlines Any training gaps or maintenance issues to be escalated A report filed for discussion at governance or team meetings Outcomes should be monitored and revisited to ensure changes are embedded.

✅ Supports Compliance With: CQC Regulation 12 – Safe care and treatment Health & Safety at Work Act 1974 The Management of Health and Safety at Work Regulations 1999 Ofsted standards for safe premises and safeguarding Local Authority health and safety inspections

👉 Click here to download the Health & Safety Audit Template.

🚨 Falls Risk Audit Monitoring, Reducing, and Learning from Fall-Related Incidents Aim: The Falls Risk Audit is designed to evaluate how well your service is identifying, managing, and learning from the risk of falls among service users. It supports compliance with CQC Regulation 12 (Safe Care and Treatment), NICE guidance (NG5), and health and safety best practices. This audit also ensures that your falls prevention strategies are embedded in everyday practice and regularly reviewed to reduce risk and improve outcomes.

👥 Who Should Conduct the Audit? Clinical Leads, Falls Champions, Registered Managers, or Senior Support Staff trained in falls prevention External professionals (e.g., NHS falls teams, physiotherapists) may support audits in some services

📅 When Should a Falls Risk Audit Be Done? Quarterly audits as part of routine quality monitoring Following any fall-related incident, cluster, or hospital admission In preparation for a CQC inspection After significant changes in environment, staffing, or service user profile

🔍 How Is It Carried Out? The audit tool should examine:

🔲 Are Falls Risk Assessments completed for every service user?

🔲 Are assessments reviewed after incidents or at least monthly/quarterly?

🔲 Are care plans updated with clear prevention strategies?

🔲 Are mobility aids and equipment (e.g., sensor mats, walking frames) used appropriately and checked?

🔲 Have environmental risks (flooring, lighting, clutter) been documented and addressed?

🔲 Are staff trained in falls awareness, manual handling, and incident reporting?

🔲 Are incidents recorded accurately with analysis of root cause, time, and location?

🔲 Are lessons from falls shared with staff and followed up?

🧠 Lessons Learned & Actions Every audit must: Highlight non-conformances or recurrent risk patterns Lead to an action plan with responsible persons and deadlines Be reviewed at team meetings or governance reviews Be used to inform training needs and environmental adjustments Recording learning and showing how it's applied is essential for demonstrating Regulation 17: Good Governance during CQC or commissioning reviews.

✅ Supports Compliance With: CQC Regulation 12 (Safe care and treatment) Regulation 17 (Good governance) NICE Falls Guidelines (NG5) Skills for Care Falls Awareness Standards Local Authority safeguarding and H&S audit expectations

👉 Click here to download the Falls Risk Audit Tool.

🚨 Incident Audit Monitoring, Learning, and Improving from Adverse Events Aim: The Incident Audit supports your service to systematically review all recorded incidents — including accidents, near misses, medication errors, safeguarding concerns, or challenging behaviour episodes. It ensures that you are learning from events, taking appropriate action, and meeting your legal obligations under CQC Regulation 12 (Safe Care and Treatment) and Regulation 17 (Good Governance). By conducting regular incident audits, you demonstrate that your service is responsive, reflective, and committed to continuous improvement and safety.

👥 Who Should Conduct the Audit? Registered Manager, Deputy Manager, or Designated Safeguarding or Quality Lead May also involve clinical leads, team leaders, or health & safety officers Auditors must be confident in reviewing incident forms, identifying patterns, and understanding regulatory thresholds for notification (e.g. to CQC or Local Authority).

📅 When Should It Be Done? Monthly or quarterly as part of regular governance Following any serious incident (SI) or multiple related incidents Prior to inspections, contract reviews, or board reporting After policy changes or incidents involving new staff or settings

🔍 How Is It Carried Out? Use a structured Incident Audit Tool to check:

🔲 Are incident forms fully completed and submitted on time?

🔲 Are follow-up actions clearly recorded, and have they been completed?

🔲 Has the incident been reviewed for safeguarding or RIDDOR thresholds?

🔲 Is there evidence of root cause analysis (where required)?

🔲 Are trends emerging (e.g. same time, staff, setting, individual)?

🔲 Have lessons learned been documented and shared with staff?

🔲 Are care plans, risk assessments, and supervision records updated in response?

🔲 Have families or external bodies (CQC, LA, ICB) been informed where appropriate?

🧠 Lessons Learned & Actions Every audit must include: A summary of key findings A clear action plan with owners and timelines Changes made to policy, training, environment, or care Evidence of communication to staff (e.g. in supervision or meetings) Use audit outcomes to inform team reflection, policy reviews, and staff development. Always revisit actions to confirm they’ve been embedded.

✅ Supports Compliance With: CQC Regulation 12 – Safe care and treatment CQC Regulation 17 – Good governance Duty of Candour and incident reporting expectations Health and Safety Executive (HSE) and RIDDOR thresholds Local Safeguarding Policies and Procedures

👉 Click here to download the Incident Audit Template and Action Tracker.

🛡️ Safeguarding Audit Ensuring Protection, Accountability, and Safe Practice Across Services Aim: The Safeguarding Audit is a vital tool in assessing how well your organisation protects children, young people, or adults at risk. It provides a structured method to ensure your service meets statutory safeguarding responsibilities and adheres to national guidance and local procedures. Conducting regular safeguarding audits helps demonstrate compliance with: CQC Regulation 13 – Safeguarding service users from abuse and improper treatment Ofsted’s safeguarding and welfare requirements Working Together to Safeguard Children (2018) Care Act 2014 (for adults)

👥 Who Should Conduct the Audit? Designated Safeguarding Lead (DSL) Registered Manager or Deputy Manager In larger organisations, the audit may be supported by the Quality Lead or Governance Team Auditors should have up-to-date safeguarding training and knowledge of internal policies, referral pathways, and legislation.

📅 When Should It Be Done? Every 6 months as part of governance Following any safeguarding incident or referral After policy changes, training updates, or inspection feedback Before commissioning, contract reviews, or compliance visits

🔍 How Is It Carried Out? The audit reviews whether:

🔲 All staff have received safeguarding training, and it's in date

🔲 Staff understand how to report and escalate concerns

🔲 Safeguarding policies and procedures are accessible and up to date

🔲 Referrals have been made appropriately and recorded

🔲 Any safeguarding concerns are followed up, with actions recorded

🔲 Supervision records include safeguarding discussions

🔲 Safer recruitment practices are followed (DBS, references, gaps in employment)

🔲 Lessons learned from safeguarding incidents have been shared and embedded

🧠 Lessons Learned & Actions Every audit should include: A review of themes, patterns, or gaps in safeguarding practices Recommendations for improvement, with responsible persons and timeframes Follow-up checks to ensure that policies, training, or practice have changed as required Evidence of team-wide learning and discussion in supervisions or staff meetings

✅ Supports Compliance With: CQC Regulation 13 – Safeguarding service users Regulation 17 – Good governance Local Authority safeguarding policies Ofsted framework: Leadership and Management, and Personal Development National guidance including Keeping Children Safe in Education (KCSIE) and Care Act 2014

👉 Click here to download the Safeguarding Audit Tool and Policy Review Template.

📝 Accident/Incident Log Audit Reviewing Patterns, Preventing Harm, and Strengthening Governance Aim: The Accident/Incident Log Audit ensures that all recorded events — including accidents, injuries, behavioural incidents, and near-misses — are being properly logged, reviewed, and used to inform service improvement. This audit supports compliance with: CQC Regulation 12 – Safe care and treatment CQC Regulation 17 – Good governance Health & Safety at Work Act 1974 RIDDOR (Reporting of Injuries, Diseases and Dangerous Occurrences Regulations) Ofsted's requirements for health, safety, and safeguarding

👥 Who Should Carry Out the Audit? Registered Manager or Deputy Manager Health & Safety Lead, Quality Lead, or Designated Safeguarding Officer Must be familiar with incident reporting, safeguarding thresholds, and accident investigation procedures

📅 When Should It Be Done? Monthly or quarterly as part of regular governance After any serious incident, injury, or cluster of related events Ahead of inspections, contract reviews, or regulatory visits

🔍 How Is It Carried Out? Review your Accident/Incident Logs for:

🔲 Complete and timely entries

🔲 Consistency with supporting documentation (e.g. body maps, witness statements, MAR charts)

🔲 Clear outcomes and action taken (e.g. risk assessment updates, staff debriefs)

🔲 Escalation routes followed (e.g. safeguarding, RIDDOR, CQC notifications)

🔲 Patterns or repeat incidents (e.g. same time of day, staff member, setting, or individual)

🔲 Incident categorisation (injury, fall, medication, behaviour, environmental)

🔲 Linked training, policy changes, or reflective learning recorded

🧠 Lessons Learned & Actions Each audit should conclude with: Identification of themes, risk factors, and gaps in reporting A clear action plan with roles, timelines, and follow-up checks Team discussion during supervisions or meetings Changes to care plans, training, staffing, or environment where needed Regular auditing of incident logs builds a culture of safety, transparency, and continuous learning.

✅ Supports Compliance With: CQC: Regulations 12, 13 (Safeguarding), and 17 Ofsted: Health and safety, leadership and management Local Authority reporting procedures Internal quality assurance and governance

👉 Click here to download the Accident/Incident Log Audit Template.

Protecting People, Premises, and Peace of Mind Aim: The Fire Safety Audit is a structured review of your organisation’s fire prevention, detection, evacuation, and staff training systems. It ensures that your service is compliant with the Regulatory Reform (Fire Safety) Order 2005, CQC Regulation 12 (Safe care and treatment), and Ofsted welfare and premises requirements. Regular audits reduce the risk of fire, ensure staff know what to do in an emergency, and provide evidence of your commitment to health and safety.

👥 Who Should Carry Out the Audit? Fire Safety Lead, Health & Safety Officer, or Registered Manager May be supported by a nominated Fire Warden or external fire risk assessor Auditors should be trained and familiar with the site’s fire risk assessment and emergency plan

📅 When Should It Be Done? At least annually as part of a formal audit schedule After a fire drill, incident, or change to the building or staffing Following any updates to fire safety legislation or your local Fire and Rescue Service advice In preparation for CQC, Ofsted, or health and safety inspections

🔍 How Is It Carried Out? The Fire Safety Audit should review:

🔲 The presence of a current, signed Fire Risk Assessment

🔲 Functionality and servicing of fire detection and alarm systems

🔲 Accessibility and condition of fire exits and signage

🔲 Availability, servicing, and accessibility of fire extinguishers and blankets

🔲 Completion and logging of fire drills (at least twice yearly)

🔲 Staff training records (including Fire Warden training)

🔲 Personal Emergency Evacuation Plans (PEEPs) in place for individuals who require them

🔲 Testing logs for emergency lighting, alarms, and detection systems

🔲 Evacuation procedure signage in key locations

🔲 Any fire safety incidents or near misses recorded and reviewed

🧠 Lessons Learned & Actions Each audit should include: Areas of non-compliance or overdue actions Corrective actions with named responsibilities and deadlines Feedback from recent fire drills or simulations Evidence of learning shared with the team Outcomes must be reviewed in team meetings and followed up to ensure fire safety culture is embedded.

✅ Supports Compliance With: Regulatory Reform (Fire Safety) Order 2005 CQC Regulation 12 – Safe care and treatment Ofsted guidance on welfare and premises Health and Safety at Work Act 1974 Local authority and Fire and Rescue Service guidance

👉 Click here to download the Fire Safety Audit Template and Log Sheet.