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Registration Number: {{org_field_registration_no}}

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Spot Checks Policy

1. Purpose

The purpose of this policy is to ensure that {{org_field_name}} conducts regular spot checks to maintain high standards of care delivery, regulatory compliance, staff performance, and service user safety. Spot checks are unannounced visits carried out by management to assess the quality of care, adherence to policies, and staff conduct in real-time.

This policy ensures compliance with:

• The Regulation and Inspection of Social Care (Wales) Act 2016 – Requires care providers to monitor service quality and ensure high standards.
• The Social Services and Well-being (Wales) Act 2014 – Mandates a person-centred approach to care, ensuring service users receive safe and appropriate support.
• Care Inspectorate Wales (CIW) Regulations – Requires providers to implement effective quality assurance and monitoring processes.
• The Health and Safety at Work Act 1974 – Ensures a safe working environment for both staff and service users.
• The Data Protection Act 2018 (UK GDPR) – Regulates how information gathered during spot checks is stored and handled.

2. Scope

This policy applies to:

• All employees, including care workers, supervisors, and managers.
• Service users and their families, ensuring they receive the highest level of care.
• Regulatory bodies, including CIW, as part of ongoing quality monitoring.

It covers:

• The purpose and benefits of spot checks.
• How spot checks are conducted.
• What is monitored during a spot check.
• Roles and responsibilities of staff.
• Reporting, feedback, and follow-up actions.
• Confidentiality and compliance with GDPR.

3. Purpose and Benefits of Spot Checks

Spot checks help to:

• Ensure service users receive high-quality, safe, and dignified care.
• Monitor staff performance and compliance with care plans and policies.
• Identify any training needs or areas for improvement.
• Reduce risks of neglect, abuse, or misconduct.
• Gather feedback from service users and families.
• Ensure workplace safety and infection control procedures are followed.

4. How Spot Checks Are Conducted

4.1 Frequency of Spot Checks

• Spot checks are conducted at least once per quarter for each care worker.
• Additional spot checks may be carried out:
  • If concerns are raised about a staff member’s performance.
  • Following complaints from service users or families.
  • After incidents requiring investigation.

4.2 Notification and Unannounced Visits

• Spot checks are typically unannounced to ensure an accurate assessment of real-time care delivery.
• In some cases, service users and families may be informed in advance to ensure cooperation.

4.3 Who Conducts Spot Checks?

• Registered Manager or Senior Supervisor is responsible for conducting spot checks.
• Trained Quality Assurance Officers may also carry out spot checks as part of service evaluations.

5. What is Monitored During a Spot Check?

Spot checks assess:

5.1 Service User Well-being

• Is the service user safe, comfortable, and receiving appropriate care?
• Are care plans being followed correctly?
• Is the service user treated with dignity, respect, and kindness?

5.2 Staff Performance and Conduct

• Are care workers punctual and professionally presented?
• Do they follow safe moving and handling procedures?
• Are medication management and administration correctly followed?
• Are infection control procedures being adhered to?
• Is staff communication with service users and families appropriate and respectful?

5.3 Documentation and Record-Keeping

• Are care records and MAR charts updated and accurate?
• Is the service user’s daily log completed correctly?
• Are risk assessments being followed and updated as needed?

5.4 Health and Safety Compliance

• Are work environments safe, clean, and free from hazards?
• Are PPE and infection control measures being used correctly?
• Are any hazards reported and addressed appropriately?

6. Roles and Responsibilities

6.1 Responsibilities of the Registered Manager

• Oversee and schedule spot checks for all care workers.
• Ensure findings from spot checks are documented and reviewed.
• Address any concerns or incidents immediately.
• Ensure any training needs identified during spot checks are actioned.

6.2 Responsibilities of Care Staff

• Comply with all workplace policies and procedures.
• Follow care plans and provide high-quality service at all times.
• Engage positively with spot checks as a tool for professional development.
• Cooperate with supervisors during spot checks.

6.3 Responsibilities of Service Users and Families

• Provide feedback about care delivery.
• Report any concerns about service quality or staff conduct.

7. Reporting, Feedback, and Follow-Up Actions

7.1 Documenting Spot Check Findings

• A Spot Check Report Form must be completed after every visit.
• Reports include:
  • Date and time of the visit.
  • Names of the care worker and service user.
  • Observations on care quality and staff performance.
  • Any concerns or areas for improvement.
  • Action plan for training or corrective measures (if required).

7.2 Providing Feedback to Staff

• Care workers receive constructive feedback after every spot check.
• Positive feedback is recognised to encourage good practice.
• Any areas of concern are discussed professionally and supportively.

7.3 Addressing Concerns and Non-Compliance

• If a staff member fails to meet standards, they may be subject to:
  • Additional training or supervision.
  • A formal performance review.
  • Disciplinary procedures if serious misconduct is found.
• Service users and families are informed if their concerns have been addressed.

8. Confidentiality and GDPR Compliance

• Information collected during spot checks is kept confidential and stored securely in line with GDPR and the Confidentiality and Data Protection (GDPR) Policy (DCW34).
• Spot check findings are shared only with relevant managers and staff to maintain privacy.
• Staff have the right to request copies of their performance reviews following spot checks.

9. Monitoring and Compliance

• The Registered Manager is responsible for ensuring compliance with this policy.
• Quarterly reviews of spot check reports ensure continuous improvement.
• CIW inspections will assess how spot checks are implemented as part of regulatory audits.

10. Related Policies

This policy should be read in conjunction with:

• Staff Conduct and Code of Ethics Policy (DCW28).
• Safeguarding Adults from Abuse and Improper Treatment Policy (DCW13).
• Health and Safety at Work Policy (DCW16).
• Medication Management and Administration Policy (DCW21).
• Risk Management and Assessment Policy (DCW18).

11. Policy Review

This policy will be reviewed annually or sooner if required by legislative updates, CIW guidance, or operational needs.

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Responsible Person: {{org_field_registered_manager_first_name}} {{org_field_registered_manager_last_name}}
Reviewed on: {{last_update_date}}
Next Review Date: {{next_review_date}}
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