Risk Assessments Audit

Are all required individual risk assessments completed before or at the commencement of the care package?

What we look for: Sample 3-5 new service users from the last 30 days. Verify that risk assessments were completed prior to care delivery starting. A fail would be care being delivered for days or weeks without a baseline risk assessment in place.

Evidence: New service user files, initial assessment forms, signed and dated risk assessments

Where applicable, are specific moving and handling risk assessments detailed, accurate, and reflective of the equipment used?

What we look for: Check files for people requiring hoisting or physical support. Ensure the assessment specifies the type/size of sling, hoist type, and number of carers required. A fail is contradictory information between the care plan and the moving and handling assessment.

Evidence: Moving and handling plans, mobility assessments, equipment servicing records within the home

Are risk assessments immediately updated following an incident, accident, or change in the person's condition?

What we look for: Select 3 service users who recently had an incident (e.g., a fall). Check if their falls risk assessment and care plan were updated subsequent to the incident. A fail is a recurrent issue with no reassessment of risk.

Evidence: Accident/incident logs, updated risk assessments, hospital discharge summaries

Has a comprehensive environmental/home safety risk assessment been completed and documented for the person's home?

What we look for: Review the environmental checks for a sample of homes. Good practice includes checking access, trip hazards, pets, and safe storage. It fails if the environmental check is completely generic, unsigned, or ignores obvious documented hazards.

Evidence: Environmental risk assessment forms, lone worker assessments, hazard check sheets

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 A fail is an assessment that is out of date or marked 'reviewed' without any updates despite a known change in needs.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

Can care workers accurately describe the key risks and control measures for the people they support?

What we look for: Speak with or review spot checks for 2-3 care staff. They must know where to find risk assessments and be able to articulate the specific risks for their regular clients. A fail is staff being unaware of a critical risk (e.g., dysphagia).

Evidence: Spot check records, staff supervision notes, staff interview notes during audit

Do risk assessments demonstrate support for positive risk-taking and the promotion of the person's independence?

What we look for: Look for evidence that risks are not used as a blanket reason to restrict independence. Good practice shows discussions with the person about the risks they choose to take (e.g., walking without an aid) and how staff support this safely.

Evidence: Positive risk-taking assessments, mental capacity assessments, consent forms

Are control measures for identified risks practical, clearly documented, and embedded into the daily care plan?

What we look for: Cross-reference the risk assessment with the main care plan. If a risk of choking is identified, the care plan must clearly state the required food textures and supervision levels. A fail is an identified risk with no corresponding action plan for care staff.

Evidence: Care plans, daily task lists, risk assessment control measure sections