Policy & Procedure Audit

Does the Infection Prevention and Control (IPC) policy align with current national guidance and cover domiciliary-specific risks?

What we look for: Review the IPC policy to ensure it addresses specific risks in people's own homes (e.g., clinical waste disposal, pet risks, handling soiled laundry). A fail is an outdated policy or one written for a clinical/care home setting that doesn't translate to homecare.

Evidence: IPC policy, PPE guidance, spot check records, waste disposal procedures

Does the Business Continuity plan provide actionable procedures for emergencies specific to a domiciliary care service?

What we look for: Review the Business Continuity plan for scenarios like severe weather, mass staff sickness, cyber-attacks, or office power failure. It must include a robust priority rating system for service users. A fail is a generic plan lacking prioritized lists for missed visits.

Evidence: Business continuity plan, on-call folder, IT failure procedure, severe weather plan

Does the Safeguarding policy accurately reflect the current multi-agency procedures of the local authority?

What we look for: Cross-reference the service's safeguarding policy with the local Safeguarding Adults Board (SAB) procedures. It must include correct local contact details and thresholds. A fail is a generic national policy that lacks local referral pathways.

Evidence: Safeguarding policy, local authority SAB guidelines, incident reporting flowcharts

Is the Complaints policy provided in accessible formats to people using the service and their relatives?

What we look for: Check the information pack given to people at the start of their care. The complaints process must have clear timescales and detail how to escalate to the Ombudsman. A fail is if the policy is only available upon request or lacks escalation options.

Evidence: Service user guide, Easy Read complaints procedure, website, welcome pack

Is the Whistleblowing policy actively promoted, clearly outlining external escalation routes (e.g., CQC, Local Authority)?

What we look for: Check that the policy clearly distinguishes whistleblowing from grievances and lists correct external contacts (CQC, Whistleblowing Helpline). Staff must feel safe to use it without fear of reprisal. A fail is if the policy only directs concerns internally.

Evidence: Whistleblowing policy, staff noticeboards, staff handbook, induction records

Are all mandatory policies and procedures readily accessible to all staff, including remote domiciliary care workers?

What we look for: Check if care workers can easily access key policies (e.g., via an app or secure portal) while in the community. Good practice means immediate access without having to visit the office. A fail is if staff rely on outdated paper copies or cannot locate policies.

Evidence: Staff app or portal access, policy index, staff handbook, spot checks with staff on duty

Is there a robust version control system ensuring all policies are reviewed annually or when legislation changes?

What we look for: Review a sample of 5 key policies (e.g., Safeguarding, Medication, IPC). Ensure they have an active version number, date of last review, and date of next review. A fail is finding past-due review dates or multiple versions of the same policy in circulation.

Evidence: Policy review schedule, policy document footers (version control), minutes of management meetings

Are data protection and confidentiality policies compliant with UK GDPR, with clear guidelines for mobile devices and remote working?

What we look for: Ensure policies cover the secure use of digital care planning apps on personal or company mobile phones (e.g., screen locks, not sharing passwords). A fail is the absence of clear instructions on handling sensitive data securely in the community.

Evidence: Data protection policy, mobile device usage policy, staff confidentiality agreements

Is there evidence that staff read, understand, and formally acknowledge critical policy updates?

What we look for: Sample 3 recently updated policies and check the tracking system used to confirm staff have read them. Good practice includes brief knowledge checks. A fail is a lack of evidence that staff are informed of crucial changes in practice guidelines.

Evidence: Policy sign-off sheets, digital read-receipts, supervision records, team meeting minutes