Audit template
Spot Checks Audit
Captures observed practice in the workplace, including findings and required improvements. This template runs monthly in MyCareCompliance and carries 8 mapped checks across 7 CQC quality statements.
Last reviewed: September 2026. This guidance reflects CQC information available at the date above — always refer to cqc.org.uk for current regulatory requirements.
What the audit covers
Every question in the Spot Checks Audit is mapped to a CQC quality statement and the underlying regulation, so a failed check tells you exactly which part of the single assessment framework is at risk. This is one of the core templates we recommend for every provider.
- Runs monthly — core template
- Part of the Workforce audit category
- Maps to 5 regulations: Regulation 12 — Safe care and treatment, Regulation 18 — Staffing, Regulation 10 — Dignity and respect, Regulation 9 — Person-centred care, Regulation 17 — Good governance
- Failed checks become tracked improvement actions with an owner, due date and evidence
The 8 checks
Infection prevention and control
Safe — 1 check- Regulation 12 — Safe care and treatmentSpot Checks Audit
Do spot checks robustly assess staff compliance with current infection control protocols, including appropriate use, donning/doffing, and disposal of PPE?
What we look for: Check that hand hygiene and correct PPE usage (aprons, gloves, masks if applicable) are explicitly monitored during the unannounced visit. A fail is if the field supervisor ignores poor handwashing or incorrect uniform/PPE practices.
Evidence: Spot check forms, IPC policies, supervisor observation notes
Involving people to manage risks
Safe — 1 check- Regulation 12 — Safe care and treatmentSpot Checks Audit
Do spot check records confirm direct, physical observation of moving and handling practices rather than just relying on self-reporting?
What we look for: Review recent spot check forms where the client requires hoisting or mobility support. Good looks like the supervisor explicitly noting how the carer used the equipment safely. Tick-box forms with no qualitative comments constitute poor practice.
Evidence: Completed spot check forms, field supervisor notes, manual handling risk assessments
Medicines optimisation
Safe — 1 check- Regulation 12 — Safe care and treatmentSpot Checks Audit
Are staff directly observed administering medicines, with supervisors checking MAR chart completion and adherence to the 6 Rs?
What we look for: Examine spot checks for visits involving medication support. The supervisor must observe the carer checking the MAR, preparing the medication, offering it, and signing correctly. Missing observations of these critical safety steps would be a fail.
Evidence: Spot check records, medication competency assessments, MAR charts
Safe and effective staffing
Safe — 1 check- Regulation 18 — StaffingSpot Checks Audit
Are spot checks conducted at the frequency required by policy for all care staff, including those on probation, night staff, and bank workers?
What we look for: Sample 10% of staff files (min 5) to verify spot checks occur as per policy (e.g., quarterly or bi-monthly). Look for gaps for weekend/night staff. A fail would be a lack of a tracking matrix or staff missing checks for extended periods.
Evidence: Spot check matrix, staff list, individual staff files, probation records
Kindness, compassion and dignity
Caring — 1 check- Regulation 10 — Dignity and respectSpot Checks Audit
Is the care worker's attitude, communication, and respect for the person's dignity and privacy formally evaluated during the observation?
What we look for: Read the qualitative comments left by the supervisor. They should comment on whether the carer engaged warmly with the client, maintained privacy during personal care, and respected choices. Lack of focus on values and behaviours is a fail.
Evidence: Spot check forms, service user feedback notes, care worker supervision records
Listening to and involving people
Responsive — 1 check- Regulation 9 — Person-centred careSpot Checks Audit
Does the spot checking process include gathering immediate, private feedback from the person receiving care about the care worker's performance?
What we look for: Look for evidence that the supervisor spoke directly to the client (and/or relatives) during or immediately after the spot check to ask if they are happy with the carer. Spot checks that only evaluate tasks without capturing the client's voice are ineffective.
Evidence: Spot check forms (service user feedback section), client survey records
Governance, management and sustainability
Well-led — 2 checks- Regulation 17 — Good governanceSpot Checks Audit
When spot checks identify poor practice or non-compliance, are clear action plans created, communicated, and followed up promptly?
What we look for: Trace 2-3 spot checks where issues were identified (e.g., missed PPE, lateness). Good looks like an immediate debrief, documented retraining/shadowing, and a follow-up spot check within a few weeks. Failure to address identified poor practice is a regulatory breach.
Evidence: Failed spot check records, performance improvement plans, training records, disciplinary notes
- Regulation 17 — Good governanceSpot Checks Audit
Does the Registered Manager maintain an overarching matrix to analyze spot check data for systemic issues or widespread training gaps?
What we look for: Ask the Registered Manager how they use spot check data. They should be able to show a tracker that flags overarching trends (e.g., multiple staff failing on manual handling, triggering a whole-team refresher). Siloed spot checks with no management oversight fail this check.
Evidence: Spot check tracker, monthly audit reports, management meeting minutes, training matrix
See it running for your service
Book a free demonstration and we will run the Spot Checks Audit against scenarios from a service like yours, or start your 7-day trial and try it yourself.
See it with your own service
Book a free demonstration and we will walk through the platform using scenarios from a service like yours.