CQC quality statement — Effective
Assessing needs
"We maximise the effectiveness of people's care and treatment by assessing and reviewing their health, care, wellbeing and communication needs with them." In MyCareCompliance, 13 mapped checks across 13 audit templates map to this quality statement.
Last reviewed: September 2026. This guidance reflects CQC information available at the date above — always refer to cqc.org.uk for current regulatory requirements.
How we check it
Each check below is a real question from a MyCareCompliance audit template. It names the regulation it evidences, describes what an auditor looks for in good and poor practice, and lists the evidence an inspector would expect you to produce.
- 13 mapped checks under the "Assessing needs" quality statement
- Evidences 2 regulations: Regulation 9 — Person-centred care, Regulation 12 — Safe care and treatment
- Failed checks become tracked improvement actions with an owner, due date and evidence
The 13 checks
- Regulation 9 — Person-centred careAccessible Information
Are people's communication and information needs proactively identified and assessed before or during the initial assessment of care?
What we look for: Sample 3-5 recent care assessments. Look for specific questions asking about hearing, visual, cognitive, or linguistic needs. A fail would be assessments that gloss over communication needs or only mark 'N/A'.
Evidence: Initial assessment forms, pre-admission checklists, needs assessments, communication passports
- Regulation 9 — Person-centred careCare Plan Audit
Is there a comprehensive initial assessment that captures the person's holistic needs prior to the commencement of care?
What we look for: Sample 3-5 recent care plans. Good looks like a detailed assessment covering physical, mental, and social needs completed before care starts. Fails if assessments are missing, blank, or lack detail on core needs.
Evidence: Initial assessment form, Local Authority care plan, hospital discharge summary
- Regulation 9 — Person-centred careCommissioned vs Delivered Care
Do initial care plans and assessments accurately reflect the exact hours, call times, and tasks commissioned by the local authority or funding body?
What we look for: Sample 5 recent care packages. Verify that the care plan matches the commissioned specification precisely. Discrepancies without documented rationale or commissioner agreement would be a fail.
Evidence: Commissioning documents (e.g. PAMMS/brokerage forms), Initial assessment records, Initial care plans
- Regulation 12 — Safe care and treatmentDriving Compliance
Are staff health conditions that could impair their ability to drive safely (e.g., eyesight, epilepsy, sleep apnea) assessed during recruitment and monitored?
What we look for: Look at staff health declarations. Check if staff are asked to declare conditions that the DVLA must be notified about, and if eyesight checks are promoted. A fail is ignoring a disclosed health condition that directly impacts driving safety.
Evidence: Health questionnaires, Occupational health reports, Return to work interviews, Sickness absence records
- Regulation 9 — Person-centred careFalls Management
Are risk assessments and care plans reviewed and updated following a fall?
What we look for: Check records of people who have recently fallen. Within 24-48 hours, their falls risk assessment and care plan should be reviewed to see if changes are needed (e.g., more visits, different equipment). Fail if no post-fall review is evident.
Evidence: Updated care plans, updated risk assessments, review meeting minutes
- Regulation 9 — Person-centred careHospital Transitions
Does the service conduct and document a comprehensive re-assessment of needs prior to restarting care following a hospital discharge?
What we look for: Sample records of recently discharged people. Check that a manager or senior reviewed the hospital discharge summary and confirmed the agency can still safely meet the person's needs. A fail is restarting care without verifying if mobility, dietary, or clinical needs have changed.
Evidence: Discharge summaries, Pre-restart assessments, Communication with hospital discharge teams, Updated dependency tools
- Regulation 9 — Person-centred careLate / Shortened Visits Audit
When a visit is shortened, is there clear documentation confirming that all assessed needs and essential tasks were still safely completed?
What we look for: Sample care notes for visits flagged as shortened. The notes must evidence that the client's needs were fully met despite the reduced time, rather than tasks being skipped. A fail is rushed care where essential personal care or nutrition is missed.
Evidence: Daily care notes, Task completion logs, Care worker daily records
- Regulation 9 — Person-centred careMCA / Consent / Best Interests
Do care plans clearly state the person's current capacity status, communication needs, and how they make choices day-to-day?
What we look for: Read 5 care plans. Look for clear instructions for staff on how to support the person's decision-making, maximize capacity, and communicate choices. Fails if care plans lack guidance on the person's cognitive status or assume lack of capacity without assessment.
Evidence: Care plans, Support plans, Communication profiles, Review documents
- Regulation 9 — Person-centred careMissed Visits Audit
Are care plans and individual risk assessments updated following a missed visit if environmental or access factors contributed to the issue?
What we look for: If a visit was missed due to a faulty key safe, locked gate, or the client not hearing the door, check that the care plan/risk assessment was immediately updated with new instructions. A fail is recurring access issues not being risk assessed.
Evidence: Updated care plans, Key safe records, Environmental risk assessments, Care reviews
- Regulation 9 — Person-centred careMoving & Handling
Is there a comprehensive and up-to-date moving and handling assessment in place for the service user?
What we look for: Review a sample of care files to ensure a specific moving and handling assessment is completed before care commences. Good looks like detailed information on mobility capabilities, equipment needs, and number of carers required. Fail if assessments are missing, generic, or not updated following a change in mobility.
Evidence: Initial assessment records, OT assessments, manual handling assessment forms, review documents.
- Regulation 9 — Person-centred careNutrition & Hydration
Are nutritional and hydration needs, including cultural preferences and allergies, comprehensively assessed before care begins?
What we look for: Sample 5 recent care assessments. Look for clear documentation of dietary needs, allergies, religious/cultural preferences, and any required support level. Fail if allergies or preferences are missing.
Evidence: Initial assessments, malnutrition screening tools (e.g., MUST), dietary requirement records, allergy logs
- Regulation 9 — Person-centred careOnboarding New Service Users
Is a comprehensive initial assessment completed prior to the commencement of the care package, detailing all care, support, and health needs?
What we look for: Sample the files of 3-5 recently onboarded service users. Check that a thorough assessment was completed before the first care visit. Good looks like a holistic assessment covering physical, mental, and social needs. A fail would be starting care based only on a brief local authority summary without the agency's own assessment.
Evidence: Initial assessment documents, hospital discharge summaries, local authority care/support plans, pre-admission checklists.
- Regulation 12 — Safe care and treatmentRisk Assessments Audit
Are risk assessments formally reviewed on a regular basis (e.g., monthly, annually) and signed by the reviewer?
What we look for: Check the 'next review' dates on assessments. Ensure reviews are actually happening and documented, not just copy-pasted. A fail is an assessment that is out of date or marked 'reviewed' without any updates despite a known change in needs.
Evidence: Review schedules, updated risk assessment documents, signatures and dates
Other Effective quality statements
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