Information
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Audit Title
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Document No.
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Client / Site
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Conducted on
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Prepared by
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Location
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Personnel
Previous Audits
Previous Inspections and Audits
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Total Number of day students. Total number of residential students
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Has the Audit from the Previous Audit been Reviewed & Signed Off?
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What areas and topics formed the inspection during the last audit?
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How many Corrective Actions were raised last audit?
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Have ALL Corrective Actions raised from last Audit been completed?
Staff
STAFF RECORDS
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Are staff records for annual leave, time off, overtime and hours taken in lieu in place and up to date?
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Action Required
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By Who
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Date for Completion
-
Date Completed
-
Sign
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Is there a program for delivering training at a local level?
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Action Required
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By Who
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Date for Completion
-
Date Completed
-
Sign
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Are training records for staff up to date that show local on site training delivered?
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Action Required
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By Who
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Date for Completion
-
Date Completed
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Sign
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Is there a process to identify any training needs for staff?
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Action Required
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By Who
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Date for Completion
-
Date Completed
-
Sign
ADMINISTRATION
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Is there a local system of audit in place? Enter date of last local audit and list all corrective actions required?
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Action Required
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By Who
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Date for Completion
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Date Completed
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Sign
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Are staff debriefed following incidents, near misses and adverse events?
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Action Required
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By Who
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Date for Completion
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Date Completed
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Sign
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Are recorded debriefs suitable, sufficient and comprehensive?
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Action Required
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By Who
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Date for Completion
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Date Completed
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Sign
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Are beginning of shift checks and duties completed and recorded?
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Action Required
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By Who
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Date for Completion
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Date Completed
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Sign
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Is beginning of shift documentation completed comprehensively?
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Action Required
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By Who
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Date for Completion
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Date Completed
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Sign
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Are staff / shift hand overs recorded, suitable, sufficient and comprehensive?
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Action Required
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By Who
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Date for Completion
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Date Completed
-
Sign
COMMUNICATION
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Is there a communication process in place to handover information between departments and in particular education on a daily basis?
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Action Required
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By Who
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Date for Completion
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Date Completed
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Sign
Students
SUPERVISION OF STUDENT REQUIREMENTS
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Are student food and nutrition plans followed, checked and recorded?
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Action Required
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By Who
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Date for Completion
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Date Completed
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Sign
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Are periodic checks made to ensure students have their timetables & lesson plans before leaving for class and is this recorded?
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Action Required
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By Who
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Date for Completion
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Date Completed
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Sign
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Are periodic checks carried out to ensure that students leave in sufficient time to get to class and is this recorded?
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Action Required
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By Who
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Date for Completion
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Date Completed
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Sign
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Is their an adequate programme of enrichment for students and does it take into account individual needs?
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Action Required
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By Who
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Date for Completion
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Date Completed
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Sign
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Is a record kept of all enrichment activities and trips out undertaken by students?
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Action Required
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By Who
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Date for Completion
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Date Completed
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Sign
CARE PLANS
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Sample a Minimum of 4 Care Plans for Relevance and Updates / Reviews to Risk Assessments - Record Details Below
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Do paper copies of all care plans correlate with electronic copies?
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Action Required
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By Who
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Date for Completion
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Date Completed
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Sign
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Are student risk assessments in place, suitable, sufficient and reviewed regularly?
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Action Required
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By Who
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Date for Completion
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Date Completed
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Sign
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Where student risk assessments have been updated, where are previous assessments kept?
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Action Required
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By Who
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Date for Completion
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Date Completed
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Sign
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Are all behaviour plans up to date?
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Action Required
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By Who
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Date for Completion
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Date Completed
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Sign
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Are all care plans up to date and reviewed as necessary?
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Action Required
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By Who
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Date for Completion
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Date Completed
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Sign
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Where care plans have been updated, where are previous plans filed?
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Action Required
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By Who
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Date for Completion
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Date Completed
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Sign
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Do / have all staff signed care plans when they have read them?
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Action Required
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By Who
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Date for Completion
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Date Completed
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Sign
Accident / Incident / Near Miss
ACCIDENT / INCIDENT / NEAR MISS REPORTING
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Have all Accident Forms in the 'Accident File' been logged? (Note Date of Last Accident Report Sheet and Log Entry)
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How many of the following have been reported over the past 30 days?
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Accidents to STAFF
- 0
- 1
- 2
- 3
- 4
- 5
- 6
- 7
- 8
- 9
- 10+
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Accidents to SERVICE USERS
- 0
- 1
- 2
- 3
- 4
- 5
- 6
- 7
- 8
- 9
- 10+
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Accidents to OTHERS
- 0
- 1
- 2
- 3
- 4
- 5
- 6
- 7
- 8
- 9
- 10+
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Incidents to STAFF
- 0
- 1
- 2
- 3
- 4
- 5
- 6
- 7
- 8
- 9
- 10+
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Incidents to SERVICE USERS
- 0
- 1
- 2
- 3
- 4
- 5
- 6
- 7
- 8
- 9
- 10+
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Incidents to OTHERS
- 0
- 1
- 2
- 3
- 4
- 5
- 6
- 7
- 8
- 9
- 10+
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Near Miss to STAFF
- 0
- 1
- 2
- 3
- 4
- 5
- 6
- 7
- 8
- 9
- 10+
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Near Miss to SERVICE USERS
- 0
- 1
- 2
- 3
- 4
- 5
- 6
- 7
- 8
- 9
- 10+
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Near Miss to OTHERS
- 0
- 1
- 2
- 3
- 4
- 5
- 6
- 7
- 8
- 9
- 10+
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If reportable under 'RIDDOR' has this happened? (if 'YES', record details)
Fire Safety
FIRE SAFETY - Look for Gaps in the Records
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Has the Fire Alarm Test Record been completed correctly? (Insert Date of last check)
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Action Required
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By Who
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Date for Completion
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Date Completed
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Sign
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Has the Fire Extinguisher Test Record been completed correctly? (Insert Date of last check)
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Action Required
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By Who
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Date for Completion
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Date Completed
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Sign
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Has the Emergency Lighting Test Record been completed correctly? (Insert Date of last check)
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Action Required
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By Who
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Date for Completion
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Date Completed
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Sign
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Has there been a Fire Drill in the last six months? (Insert date of Last Drill)<br>This may be passive on residential houses.
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Action Required
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By Who
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Date for Completion
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Date Completed
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Sign
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Are fire sufficient fire notices in place
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Action Required
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By Who
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Date for Completion
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Date Completed
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Sign
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Are all fire escape routes and final exits clear of obstruction?
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Action Required
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By Who
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Date for Completion
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Date Completed
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Sign
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Are fire exits available for use and do they open easily?
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Action Required
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By Who
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Date for Completion
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Date Completed
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Sign
Infection Control
INFECTION CONTROL
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Are Waste Bin 'Foot / Knee' pedals in working order?
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Action Required
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By Who
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Date for Completion
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Date Completed
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Sign
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Is the Service currently 'Clear' of 'Special' Infection Control Measures? If 'NO' record details of current status.
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Action Required
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By Who
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Date for Completion
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Date Completed
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Sign
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Are All Required PPE Items available for Staff? (Gloves, Aprons, Paper Towels, Hand Gels etc)
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Action Required
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By Who
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Date for Completion
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Date Completed
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Sign
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Are 'Hand Gels / Sanitisers' available throughout the premises? (check if empty)
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Action Required
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By Who
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Date for Completion
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Date Completed
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Sign
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Is the policy and process to control infection clearly understood by all staff?
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Action Required
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By Who
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Date for Completion
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Date Completed
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Sign
COSHH
CONTROL OF SUBSTANCES HAZARDOUS TO HEALTH (COSHH)
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Is there a suitable and sufficient COSHH folder available?
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Action Required
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By Who
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Date for Completion
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Date Completed
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Sign
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Are ALL Substances stored as detailed in the COSHH Risk Assessment?
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Action Required
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By Who
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Date for Completion
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Date Completed
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Sign
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Is a Hazard Data Sheet available for all substances used?
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Action Required
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By Who
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Date for Completion
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Date Completed
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Sign
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Is suitable and sufficient Clothing and PPE available for the use of the substances?
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Action Required
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By Who
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Date for Completion
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Date Completed
-
Sign
Medication
MEDICATION - GENERAL
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When was the last local medication audit undertaken? Insert date
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Action Required
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By Who
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Date for Completion
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Date Completed
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Sign
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Is Medication Stored Safely and Appropriately? (Locked Cabinet / Trolley. Note: Trolley must be securely Stored also)
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Action Required
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By Who
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Date for Completion
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Date Completed
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Sign
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Is 'STOCK' medication Stored Correctly? (Locked Cupboard / Room - Internal Meds separate from External Meds)
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Action Required
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By Who
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Date for Completion
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Date Completed
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Sign
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Is 'ALL' Medication Received into the Service appropriately Checked & Signed for? (Check latest records)
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Action Required
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By Who
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Date for Completion
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Date Completed
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Sign
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Is a 'Medication Stock Check' carried out weekly?
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Action Required
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By Who
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Date for Completion
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Date Completed
-
Sign
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Are Medicines that are No Longer Required / Out of Date, disposed of correctly and documented? (Check 'Disposal Records')
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Action Required
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By Who
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Date for Completion
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Date Completed
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Sign
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Does the Fridge Used for Medication Storage Have a 'Working' Lock Fitted?
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Action Required
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By Who
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Date for Completion
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Date Completed
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Sign
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Does the Fridge Used for Medication Storage have a 'Calibrated' Max. / Min. Thermometer?
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Action Required
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By Who
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Date for Completion
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Date Completed
-
Sign
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Are Fridge Temperatures (Max & Min) Recorded Daily? (look for gaps in log - Should Read Between 2 & 8 Deg. C)
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Action Required
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By Who
-
Date for Completion
-
Date Completed
-
Sign
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Are the contents of the Fridge Correct? If 'NO' record findings
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Action Required
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By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Check selection of MAR sheets - Are they completed correctly (No gaps etc) if 'NO' Record Details
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Action Required
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By Who
-
Date for Completion
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Date Completed
-
Sign
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Are Medications given as 'PRN' Recorded Correctly?
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Action Required
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By Who
-
Date for Completion
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Date Completed
-
Sign
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How Many Medication Errors have been Reported this Month?
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Do Staff have access to appropriate, up to date info about Medications they administer? e.g. British National Formula (BNF)
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Action Required
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By Who
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Date for Completion
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Date Completed
-
Sign
MEDICATION - CONTROLLED DRUGS
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Are 'CD' Stored Safely and Appropriately? (Locked Wall Cupboard, Bolted to wall)
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Action Required
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By Who
-
Date for Completion
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Date Completed
-
Sign
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Is the 'CD Register' up to date? (look for gaps / missing drug info etc)
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Action Required
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By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Is there an up to date 'Sample Staff Signatures' Record
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Action Required
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By Who
-
Date for Completion
-
Date Completed
-
Sign
-
On the 'CD'' MAR Sheet, have 'TWO' Staff Signed?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
Manual Handling
MANUAL HANDLING
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Are there Risk Assessments for ALL Manual Handling Activities?
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Action Required
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By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Do 'Care Plans' contain appropriate Risk Assessments for Moving and Handling? (Make a note of Sample Files Checked)
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Action Required
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By Who
-
Date for Completion
-
Date Completed
-
Sign
Kitchens
KITCHEN / UTILITY AREAS
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Is there evidence of a 'Cleaning Schedule'?
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Action Required
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By Who
-
Date for Completion
-
Date Completed
-
Sign
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Are Doorways 'Clear of Obstacles' that may hinder passage?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Are Floor Coverings in Good Condition and Clear of Obstructions?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Is the unit clear of any evidence of 'Spillage' today?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Are all Work-Surfaces Clean, in Good Condition and Free from Clutter?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Do all 'Opening Windows' have Fly Screens Fitted?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Are 'Hot Water' Warning Signs displayed as required?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Is a BURNS KIT located in Kitchen?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Is there a fire blanket available in the kitchen and is it secure?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Detail any Bulbs Not Working i.e. Type/Wattage/Fitting
-
FOOD HYGIENE
-
Do all staff involved with the preparation of food have appropriate training and certificates? (List Staff Files Checked & Note Expiry Dates of certs)
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Are Colour Coded Chopping Boards available?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Do staff Know the 'Colour Coding' of Chopping Boards?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Is there a 'Guide' to the Colour Coding? (WHITE- Bakery & Dairy, GREEN - Salad & Fruit, RED - Raw Meat, YELLOW - Cooked Meat, BROWN - Vegetables, BLUE - Raw Fish)
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Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Is the unit clear of any 'Out of Date' or 'Mouldy' Food items in cupboards etc?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Have all Fridge Temperatures Been Logged 'Daily' (Record last 3 dates and temperatures / Note: Temp should be 5C @ middle shelf)
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Have all Freezer Temperatures Been Logged 'Daily' (Record last 3 dates and temperatures / Note: Temp should be -18 to -23)
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Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Fridges
-
Are Raw and Cooked Meats Stored Separately?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Is Raw Meat Stored on the Bottom Shelf?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Is all food covered and stored in Plastic, Glass or EarthenWare containers? (Not in 'Tins")
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Is all 'Opened' food labelled with the 'Opened & Use By' Date?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Is the unit clear of any 'Out of Date' items?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
If Staff use the fridge to store their own food items, are they clearly labelled to identify this?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Appliances
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Are all Appliances, Kitchen Equipment and Cupboards Clean?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Have Appliances been Tested as required? (Check PAT Test Label & Log)
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Is a Food Temperature Probe available?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Are Food Temperature Checks Recorded as required? (Record Date of last entry inc. Item & Temp.)
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
Buildings & Environment
HALLWAYS / STAIRS / LANDINGS
-
Are all Areas Free from 'Odour' problems?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Are Doorways Clear of Obstacles that may hinder passage?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Are all Floor Coverings, inc. Rugs / Mats etc in Good Condition and Clean?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Are Stair Carpets 'Free' from any Looseness / Wear?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Is there sufficient Contrast between Stair Case Elements? e.g. Steps & Risers
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Are Stairs Clear of Obstacles and Equipment?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Are all Fittings Fixed Securely e.g. Handrails / Gates etc
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Detail any Bulbs Not Working i.e. Type/Wattage/Fitting
LIVING ROOMS / DINING ROOMS
-
Are all Areas Free from 'Odour' problems?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Are Doorways Clear of Obstacles that may hinder passage?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Are all Floor Coverings, inc. Rugs / Mats etc in Good Condition and Free from Obstructions?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Are all items of Furniture / Equipment in Good condition and Clean?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Are All Electrical Cables Stored appropriately so as not to cause an Obstruction or Trip-Hazard?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Detail any Bulbs Not Working i.e. Type/Wattage/Fitting
BATHROOMS / TOILETS
-
Are Liquid Soap / Paper Towels / PPE / Hands-Free waste Bins available?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Are Bathmats available and 'Clean'? (check underside)
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Are Emergency Call Points Operational?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Any 'Odour' problems?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Are 'Hot Water' Warning Signs displayed as required?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Are Doorways Clear of Obstacles that may hinder passage?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Are all Floor Coverings, inc. Rugs / Mats etc in Good Condition and Free from Obstructions?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Are all items of Bathroom Furniture / Equipment in Good condition and Clean?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Can Doors be Locked?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Can locked doors be opened from the outside in an emergency? (Test)
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Detail any Bulbs Not Working i.e. Type/Wattage/Fitting
EXTERNAL CHECKS
-
Are Doorways Clear of Obstacles that may hinder passage?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Can External Doors be opened easily when Un-Locked?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Do ALL the Locks on External Doors work correctly?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Are External Areas around doorways well lit?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Are any External Steps in Good Condition and Clear of Obstructions?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Are External Mats / Coverings in Good Condition?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Do External Mats / Coverings Prevent Slipping, especially when wet?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Are Pathways in Good Condition and Clear of Obstructions?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Are any Items of Garden Furniture and Equipment Safe and in Good Condition?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Are all Doors and Windows in a Good State of Repair?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Detail any Bulbs Not Working i.e. Type/Wattage/Fitting
Equipment
Maintenance of Equipment
-
Are the following in good working order & free from defects and wear & tear. Record details
-
Note: check for evidence of maintenance and regular disinfection cleaning routines
-
Are all Doors and Windows in a Good State of Repair?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Mop head / toilet brushes / cleaning equipment
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Hoist & slings (note any clips & rings for damage or wear
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Are records kept and up to date for the daily / weekly checks for fixed and portable hoists and slings?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Lift chairs / turning aids
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Wheelchairs?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Frames and other moving / stability aids?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Handling belts?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Slide sheets / Transfer boards?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Note the location of ALL FIRST AID KITS and when their contents were last checked?
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
Detail any Bulbs Not Working i.e. Type/Wattage/Fitting
Additional Comments
Any Additional Comments:
-
Is there no requirement to make additional comments or raise concerns? (Concerns MUST be Reported to a Manager immediately and Corrective Action Plans completed)
-
Action Required
-
By Who
-
Date for Completion
-
Date Completed
-
Sign
-
How many Corrective Actions were raised from this audit?
-
Audit Completed By:
-
Audit Reviewed By:
-
Review Date:
