Free checklist
Regulation 17 governance checklist
Regulation 17 requires systems and processes that assess, monitor and improve the quality and safety of your service. It is the regulation most often cited in enforcement, usually because the systems existed but the evidence of them working did not.
How to use this checklist
- Check each system exists and is written down
- Then check it produced something in the last three months
- Finally check somebody acted on what it produced
- A system with no output and no action is a breach waiting to be found
Print it, share it with your team, or download it as a branded PDF.
Systems and monitoring
- Documented audit programme covering all key risksEvidence: Annual schedule by location
- Audits completed on time by named peopleEvidence: Completion record
- Findings scored consistently, not as free textEvidence: Ratings or scoring method
- Trends reviewed across months and servicesEvidence: Trend report or dashboard
- Provider-level oversight of every locationEvidence: Provider assurance report
Risk management
- Service-level risk register maintainedEvidence: Reviewed and dated
- Individual risks reviewed after incidentsEvidence: Post-incident reviews
- Emerging risks escalated to the provider or boardEvidence: Escalation records
- Learning shared with the staff teamEvidence: Team meeting minutes, bulletins
Records
- Accurate, complete and contemporaneous care recordsEvidence: Record-keeping audit
- Secure storage with appropriate access controlsEvidence: Access policy and system logs
- Retention and destruction in line with UK GDPREvidence: Retention schedule
- Business records available on requestEvidence: Index of where records are held
Feedback and improvement
- Feedback sought from people, families and staffEvidence: Survey cycle and results
- Complaints analysed for themesEvidence: Complaints analysis
- Improvement actions with owners, dates and evidence of closureEvidence: Improvement plan
- Evidence that improvements were sustainedEvidence: Re-audit results
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