Compliance Audits

Regulatory Assurance

Compliance Audits

Independent, evidence-based compliance audits that give health and social care providers a clear, accurate and prioritised picture of their regulatory position across every key area.

Independent Assessment

Compliance You Can Rely On

Internal audits are a valuable part of quality assurance, but they have limits. The same team that delivers care day-to-day can develop blind spots, normalise practices that have drifted from standards and lack the external regulatory knowledge to recognise emerging risks before they become serious.

An independent compliance audit from AJG Advisory brings an experienced, objective perspective to your service. Every audit is led personally by Jack Andrew Green, drawing on direct operational experience and deep knowledge of CQC regulatory requirements, the Health and Social Care Act and sector best practice.

The output is not a generic checklist. It is a tailored, evidence-based report that reflects your specific service type, size and regulatory history, with a clear, prioritised action plan that your leadership team can act on immediately.

See how mock inspections complement compliance audits Learn about our governance review service

Areas Covered

What We Audit

Each audit is tailored to your service type and regulatory context, covering the areas of greatest risk and regulatory significance.

Medication Management

Full review of medication administration records, storage, ordering, disposal and governance. Assessed against NICE guidance and CQC regulatory requirements.

Safeguarding

Review of safeguarding policies, training compliance, referral processes, Deprivation of Liberty Safeguards (DoLS) and Mental Capacity Act application.

Care Planning

Assessment of care plan quality, person-centredness, risk assessment documentation, review frequency and alignment with assessed needs.

Staffing and Recruitment

Review of safer recruitment processes, DBS checks, references, induction, supervision records, training matrices and mandatory training compliance.

Health and Safety

Assessment of health and safety systems, fire safety documentation, COSHH compliance, accident and incident reporting and environmental risk assessments.

Governance and Quality Assurance

Review of governance structures, audit schedules, quality assurance processes, provider oversight and continuous improvement mechanisms.

Complaints and Feedback

Assessment of complaint handling procedures, outcome tracking, lessons learned processes and service user engagement in quality improvement.

Infection Prevention and Control

Review of IPC policies, training compliance, PPE availability, cleaning schedules, outbreak management procedures and audit evidence.

What You Receive

Audit Outputs

01

Detailed Written Report

A comprehensive document covering every audit area, with evidence-based findings clearly linked to regulatory requirements and quality standards.

02

RAG-Rated Action Plan

A red, amber and green rated action plan prioritising findings by risk level. Each action includes a recommended owner, suggested timescale and reference to the relevant regulation.

03

Regulatory Risk Summary

A concise executive summary highlighting the areas of greatest regulatory risk and the immediate actions required to address them.

04

Progress Review Support

Follow-up support to review progress against the action plan, revise timescales where needed and provide additional guidance on complex areas.

Common Questions

Frequently Asked Questions

How often should a care provider carry out compliance audits?

Best practice is to conduct comprehensive compliance audits at least annually, with targeted audits in higher-risk areas such as medication management, safeguarding and care planning carried out quarterly. An independent audit adds an important external perspective that internal systems cannot replicate.

What is the difference between a compliance audit and a mock inspection?

A compliance audit focuses on systematic review of specific regulatory areas and documentation, typically producing a detailed RAG-rated report. A mock inspection replicates the full CQC inspection process including observations and interviews, covering all five key questions. Both are complementary and many providers benefit from both.

Can a compliance audit be carried out remotely?

A document-based compliance audit can be carried out remotely for many areas. However, a full compliance audit including observation of practice, environment assessment and staff interaction is best conducted on site. We offer both options depending on your requirements.

Will the compliance audit cover the new CQC single assessment framework?

Yes. All audits are aligned to the current CQC single assessment framework, quality statements and evidence categories. The regulatory landscape is closely monitored to ensure all assessments remain current and relevant.

Can you audit a service that has recently received a Requires Improvement rating?

Yes, and this is often when a compliance audit is most valuable. An independent audit helps identify precisely which areas drove the rating, supports development of an evidence-based improvement plan and provides the governance evidence needed to demonstrate improvement to CQC at the next inspection.

Commission an Audit

Get an Independent View of Your Service

Contact AJG Advisory to discuss a compliance audit tailored to your service type and current regulatory position.

Request a Compliance Audit CQC Consultancy Overview