Audit preparation
CQC audit preparation: checklist and example templates
A good internal audit programme is the difference between finding your own problems and having an inspector find them for you. This page gives you the working checklist AJG Advisory uses with providers, plus two example audit templates — the first half of each is shown in full so you can see the structure, and the rest unlocks free inside MyCareCompliance.
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Last reviewed: 10 October 2026. This guidance reflects CQC information available at the date above — always refer to cqc.org.uk for current regulatory requirements.
Why audit preparation matters
Regulation 17 (good governance) requires providers to assess, monitor and improve the quality and safety of their service continuously. Inspectors read your audits to see whether you know your own service. A folder of completed audits with no actions tells them you audit for show; a short audit with honest findings and dated actions tells them you are in control.
How to use the checklist below
Work through the visible items first — they are the foundation every service needs, whatever its size. The blurred items cover the next level: sampling, triangulation and governance reporting. They, and the full audit templates, are included in every MyCareCompliance plan, including the free trial.
The audit preparation checklist
- Name an owner for every audit — one person accountable for each area, not 'the team'
- Set a written audit schedule for the year: what is audited, how often, and by whom
- Audit the fundamentals monthly: care plans, medication, staff files, incidents and complaints
- Record findings the same day, while the evidence is in front of you
- Give every shortfall an action with a named owner and a due date
Example template 1: medication audit
Medication audits are among the first records an inspector samples. Here is the opening of our monthly medication audit template:
- Are MAR charts signed immediately after administration, with no gaps?
- Are PRN (when required) medicines supported by a current protocol?
- Are controlled drugs checked and countersigned at every handover?
Example template 2: care plan audit
Care plan audits evidence Regulation 9 (person-centred care). The opening questions:
- Does the care plan reflect the person's current needs, not last year's?
- Is there evidence the person (or their representative) was involved in reviews?
- Are risks assessed individually rather than covered by blanket restrictions?
Unlock the full checklist and templates
Every item above — plus more than 60 ready-made CQC audit templates — is inside MyCareCompliance. Start a free trial and run your first audit today.