How the audit works

What happens before, during and after an audit

The work does not have to stop at identifying gaps. Your quote sets out the audit, action plan and any correction support, re-audit or ongoing monitoring you book.

Paper illustration of audit planning, evidence review, reporting and follow-up
Six stages

The audit process

Start with an agreed scope and fee. Review the evidence, set actions and check the improvements, with each support stage limited to what you have booked.

View the six stages
01

Scope and quote

Discuss your concerns, service size and the areas to review. Agree the sample, time period, delivery method, timetable, fee and safe route for sharing records.

  • On-site, remote or blended work, with any travel agreed
  • Records, sample size and anything outside the review
  • Correction-support and re-audit allowances, plus monitoring if booked
Before records are shared

Read and sign the client agreement after the scope and quote are agreed. Use the agreed safe business route, and do not send care data before the records-sharing arrangements are confirmed.

02

Independent evidence review

Check the agreed evidence against the review questions, your policies and relevant requirements. This may include records, discussions and observation where agreed.

  • Use a risk-based sample rather than assume every record is checked
  • Explain where records are missing or findings have limits
  • Recommend a wider review if serious or repeated concerns need more work
Urgent concerns

Urgent risks are raised promptly through the agreed escalation route. They do not wait for the final report or re-audit.

03

Findings and action plan

Receive a clear account of what was checked, what is working and where action is needed.

  • Findings linked to the evidence reviewed
  • An action for each gap, with priority, owner and target date
  • The evidence needed to show the action is complete
  • A discussion to clarify the findings and next steps
04

Correction support

Get help with the corrections included in your quote. Work is based on genuine evidence and authorised information, within the agreed time and task allowance.

  • The provider approves amendments and keeps responsibility for its records
  • No invented evidence, false backdating or unauthorised decisions
  • Care, clinical and regulatory decisions remain with the provider
  • Additional records or correction work require a further agreement
05

Re-audit and closure check

Recheck updated evidence within the agreed sample and allowance. An action is not treated as complete just because a document has been changed.

  • Closed: sufficient evidence supports completion
  • Partly Closed: some work is complete, but gaps remain
  • Open: the action or supporting evidence is still outstanding
  • Urgent/High Risk: the concern needs prompt escalation or action
Review limits

The re-audit records its limits and any further checks recommended. It cannot guarantee a CQC finding or rating.

06

Ongoing monitoring

Where booked, review selected areas monthly or at another agreed frequency. Track recurring concerns, updated records and progress against the action plan.

  • Agree the areas, sample, review dates and reporting
  • Keep a record of progress and actions still open
  • Set clear limits on review time and correction support
Where booked

Monitoring is optional and does not replace day-to-day management. See Monthly Compliance Monitoring.

Written record of the work

What you receive

Audit summary

What was reviewed, the sample, positive findings, gaps and limits.

Findings ordered by risk

Urgent work is separated from longer-term improvements.

Action plan

Priority, action, owner, target date and evidence needed for completion.

Follow-up record

Corrections, re-audit findings and monitoring updates where these are booked.

View the sample reportCompare consultantsRequest a written plan