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8 Top Tips For Care Compliance

8 Top Tips for Care Compliance

Compliance is an area that care providers need to get right. There can be no shortcuts and severe consequences if you get it wrong. Hopefully the following recommendations will help to keep your organisation safe.


  • Ideally you should aim to put in place a Good Governance Board if you have not already got one. This Board will consist of a number of Steering groups to monitor and guide each aspect of your  organisation. Each group should comprise of Directors and Non Executive Directors whose role is to observe and guide the company towards success.


  • You should ensure that each steering group has a level of independence and consist of members who can remain impartial. The objective of the Governance Board is to share learning, review practice, identify improvements and provide a forum for peer support and supervision. It is good practice to encourage an annual turnover of board members where possible.


  • Quality assurance and monthly compliance audit reports need to be produced regularly and shared with all the stakeholders within your organisation. The information should be analysed from the results of all the combined organisational ‘checks and balances’ (eg. the team leader weekly audits, staff surveys, client and family feedback surveys, monthly audits, spot checks, INSPIRE feedback reports and provider visits).


  • Ensure that any electronic care management systems you are using enables you to conduct and track audits easily and effectively, as they will become a key part of the governance process. Ensure that your auditing system also allows the auditor to assign tasks to staff and alerts if tasks are not complete.


  • Your Good Governance Board – steering groups should consist of the following::
  1. Executive Board
  2. HR and Organisational Development Steering group
  3. Contract Monitoring group
  4. Safeguarding Steering group


  • The HR and Organisational Development group will monitor people and organisational development. This group should consist of field-based and senior management, HR and training staff whose role is to review, design and implement developments to enable the organisation to maintain safe and effective practices.


  • The Safeguarding Steering group will be responsible for reviewing any safeguarding issues, analysing trends and putting strategies in place concerning any lessons learned. You should nominate a couple of safeguarding leads to sit on the Safeguarding Steering group (the leads should ideally already be meeting frequently to discuss all safeguarding issues) and include senior managers and clinical staff.


  • It is of paramount importance that your company values are at the heart of all decision making and that this is evidenced throughout your minutes and corporate agendas. If you have not already defined a set of core values, then your first board meeting would be a good place to start formulating a plan to put these in place.


Care Consort’s goal focused auditing system will pre-score your audits based around either KLOE or OFSTED standards depending on the needs of your organisation.

If your current system does not allow you to implement this level of oversight and flexibility, or you would like to see how our dynamic auditing suite can help your organisation to stay safe please email me at



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