CQC local authority assessment guidance

We are on track to complete all on-site activity by the end of December 2025. The list of local authorities we have contacted to start assessment activity can be found on the CQC website. This is regularly updated.

The remaining dates in 2025 when we will be sending notification emails are published on the CQC website 

These are:

• 14 July
• 4 August
• 1 September

The list of local authorities we have contacted to start assessment activity can be found on the CQC website. This is regularly updated.

 This will vary but will usually be approximately two months between our on-site activity and the local authority receiving their draft report. This will vary depending on the timing and feedback of our calibration panel. 

No, you do not have to book accommodation for our assessment teams.

We will not start on-site activity during the pre-election period at any local authorities which have elections this year. 

The information return requests the documentary evidence and key information that we need to carry out an assessment. This enables the assessment team to:

• gain valuable insight into how the local authority is delivering its adult social care functions identify areas for further exploration
• identify the additional evidence that we need to actively collect to complete the assessment
• target on-site activity and minimise time demands on both the assessment team and the local authority.

When we send the information return request, we will tell you:

• what types of information we need – and what you do not need to send us
• the deadline date when we need to have received it by
• contact details of a planning co-ordinator who will be your key contact at CQC if you have any queries.

You do not need to send us any information until we request it. We have published the contents of the information return request to help local authorities prepare.

The information return also includes a request for a self-assessment. This is an item of evidence in the ‘Feedback from staff and leaders’ evidence category. It is an opportunity for local authorities to:

• assess and make judgements about their performance in relation to Care Act duties
• highlight key successes, risks and challenges
• identify actions being taken to address the most pressing risks.

We do not currently specify the format of the self-assessment. But we anticipate that local authorities will use the guidance from the Local Government Association (LGA) and ADASS ‘Getting Ready for Assurance: A guide to support the development of your Adult Social Care Self-Assessment’ (December 2022).

The information return also includes a request for a self-assessment. This is an item of evidence in the ‘Feedback from staff and leaders’ evidence category. It is an opportunity for local authorities to:

• assess and make judgements about their performance in relation to Care Act duties
• highlight key successes, risks and challenges
• identify actions being taken to address the most pressing risks.

We do not currently specify the format of the self-assessment. But we anticipate that local authorities will use the guidance from the Local Government Association (LGA) and ADASS ‘Getting Ready for Assurance: A guide to support the development of your Adult Social Care Self-Assessment’ (December 2022).

We do not currently require access to case management systems during our on-site activity. We review records through our case tracking activity which the local authority provides to us. If we do need to see any records on a case management system we would do this with the appropriate colleague in the local authority.

We use a range of approaches to gather evidence before we carry out an on-site visit. We corroborate the evidence to ensure our judgements are robust.

To help us collect this, we work with groups and organisations that represent people who use social acre and support and unpaid carers. For example:

• local Healthwatch groups
• voluntary, community, faith and social enterprise groups.

Along with our Experts by Experience, they can help us to contact people, families and representative groups, and engage with communities whose voices are seldom heard.

We gather feedback by speaking directly with unpaid carers themselves and with voluntary and community groups about the experiences of the people they support. The way we do this depends on the arrangements for providing carers support in each local authority. The organisations that are providing support will select the carers to speak with us.

We aim to speak with carers who have had a carers assessment as well as those who haven’t. The number of carers we speak with depends on how many people give their consent to speak to us.

During our on-site activity, we will usually speak with people who are involved in co-production work with the local authority. The types of people and meetings will vary according to the co-production structures and projects within each local authority.

Our assessment findings are detailed in our reports. We do not share feedback from individuals or groups that we have engaged with to ensure confidentiality.

We ask your local authority to identify people who represent a registered care provider in their area. The local authority will help to schedule a time to enable us to speak with a selection of these people as a group. We will adapt how and when we do this to accommodate providers – either in person during the on-site activity of our assessments or through an online call, to make sure we can gather their views.

We also ask providers in the local authority area for their feedback through anonymous survey. We send the survey to both registered managers and nominated individuals. The survey aims to obtain feedback on the relationship between them and the local authority at an operational and strategic level.

We use the responses to inform how we gather further evidence during interviews and the onsite visit and to corroborate other evidence.

When we send local authorities notification of their site visit, we also send a briefing to circulate to people that will be interviewed. This describes the assessment process and what to expect in the interviews. Our interview questions will relate to people’s roles and aim to find out what works well and leads to good outcomes for people using the services provided by the local authority.

Members of our assessment teams carry out a different aspect of the overall assessment activity. This starts when we receive the information return and ends with the on-site activity. This approach helps us to bring together all the evidence and information to form a comprehensive picture of quality. For example, members of the assessment team may:

• analyse information received in the information return to inform the on-site activity
• speak with people who use services and conduct case tracking activity
• carry out interviews during the site visit.

We aim to avoid requesting information during the on-site activity that has already been sent to us in the information return. This may happen occasionally, but if it does happen, we will not ask for it again.

When we send local authorities notification of their site visit, we also send a briefing to circulate to people that will be interviewed. This describes the assessment process and what to expect in the interviews. Our interview questions will relate to people’s roles and aim to find out what works well and leads to good outcomes for people using the services provided by the local authority.

We gather feedback by speaking directly with unpaid carers themselves and with voluntary and community groups about the experiences of the people they support. The way we do this depends on the arrangements for providing carers support in each local authority. The organisations that are providing support will select the carers to speak with us. 

We aim to speak with carers who have had a carers assessment as well as those who haven’t. The number of carers we speak with depends on how many people give their consent to speak to us.

During our on-site activity, we will usually speak with people who are involved in co-production work with the local authority. The types of people and meetings will vary according to the co-production structures and projects within each local authority.

Before we carry out on-site activity as part of the assessment, we hold an online meeting with the local authority’s senior leadership team (SLT). This enables local authority staff to meet with our assessment team and provide key information about:

• the structure of the local authority
• the main pathways for people who use adult social care.

Having this information ahead of the site visit enables the assessment team to structure the on-site activity in the most effective way. It ensures they meet with the right teams, people and partners to focus on specific issues where there is a need for further evidence and corroboration, rather than spending time to understand structures and pathways while we are on site.

There is no prescribed format to the senior leadership team meeting, but most local authorities present information using slides. We ask that this presentation is shared with us as a useful reference.

We have a drop in for managers while we are on site. The focus on site visits is speaking with front line staff but there may be occasions where we ask to speak to managers while we are on site.

During our on-site activity, we will usually speak with people who are involved in co-production work with the local authority. The types of people and meetings will vary according to the co-production structures and projects within each local authority.

We gather feedback by speaking directly with unpaid carers themselves and with voluntary and community groups about the experiences of the people they support. The way we do this depends on the arrangements for providing carers support in each local authority. The organisations that are providing support will select the carers to speak with us.

We aim to speak with carers who have had a carers assessment as well as those who haven’t. The number of carers we speak with depends on how many people give their consent to speak to us.

We interview the independent chair of the safeguarding board during our assessments as it is important in helping us to understand how a local authority is managing safeguarding and its partnership working.

When we have carried out an initial formal assessment of all local authorities, we will be able to understand how well they are meeting their Care Act duties as a starting point. We will then begin our longer-term approach to regular ongoing assessments. We are currently considering our future assessment approach, and we will be involving our stakeholders in developing our future approach this year.

We are currently considering our future assessment approach, and we will be involving our stakeholders in developing our future approach this year.

Our teams have a breadth of experience in health, social care and regulation. Teams include:

• social workers
• nurses
• occupational therapists
• commissioners
• people who have delivered care and run services.

Our teams work alongside executive reviewers and specialist advisors who will be substantively or recently employed as senior leaders such as directors of adult social services within a local authority or other relevant organisation. This will help ensure our judgements are informed by up-to-date professional knowledge and experience. 

Our assessment managers lead the assessment and lead on writing the report of our findings

No, we do not use AI to produce our reports.

We will generally use England as the comparator in our reports apart from in a few instances where there are specific reasons to compare against London or other regions. This will be detailed in the specific report.

The Department of Health and Social Care will provide guidance and co-ordinate any improvement or intervention activity with the appropriate organisation (for example, NHS England, the Local Government Association, the Association of Directors of Adult Social Services).

Each draft assessment report goes through a robust quality assurance process. This includes a review by a calibration panel. These panels review and validate the scores and ratings from the assessments to make sure they provide a reliable and consistent view of quality across local authorities.

The panel will include representatives from external organisations as well as CQC colleagues. Each calibration panel typically looks at 3 to 4 reports, which are moderated against all previous reports. We have a single detailed record of the individual scores for every local authority, which is available to the standing members of the panel to use as a reference tool.

Data is only one part of the evidence we use to form our judgements, as we consider all the other information gathered during the assessment. Our assessment reports only include the evidence that is needed to provide the context and to underpin our judgements. They do not include every data or evidence item.

To inform our judgements, we will use metrics and look at specific types of data under some quality statements. These indicators have been thoroughly reviewed and are appropriate for this purpose. See the indicators we will use to inform judgements.

Our assessment team will answer specific queries during the assessment.

We would expect local authorities achieving an outstanding rating to be meeting all of their Care Act duties at a high standard and demonstrating innovative and creative approaches to meeting the needs of people. Our assessment of Camden found exceptional standards across multiple areas which led to an outstanding rating for the local authority. Read the full report: London Borough of Camden: local authority assessment - Care Quality Commission

We use case tracking to gather evidence across all nine quality statements in the assessment framework. We consider the evidence gathered alongside what people have told us through other methods, and from evidence gathered by the local authority itself (for example through surveys).

Through case tracking, we follow the pathway of a small number of people to gather evidence. A pathway is a person’s 'journey' from the point they first approach the local authority through to when care and support is provided. It covers: 

• the assessment of their needs
• care planning
• moving through services (if applicable)
• the impact of the care
• experiences and outcomes for the person
• review of their needs.

It involves reviewing a person’s care records and talking with them and sometimes their family, friends, or advocate. We may also talk with staff at the local authority and other partners and agencies involved with the person’s care and support journey.

We will send to each local authority:

• guidance about case tracking that includes consent and data protection requirements
• information about case tracking to give to people whose records we are looking at.

Before we visit, we will ask a local authority for an anonymised list of 50 people who fit the themes we are assessing. We will provide a template for you to tell us about the primary needs of those people. The themes and primary needs may change, but are currently:

• older people
• young people who have transitioned to adult services
• people who have recently come out of hospital and are receiving care
• autistic people and people with a learning disability
• people with needs relating to their mental health or substance misuse
• people with physical disabilities or long-term conditions
• unpaid carers.

From the list, we will select six people to speak with, plus four reserve people. We will ask the local authority to check with those people to confirm they are willing to talk to us. They can then send us specific information about each person's care using a secure online portal.

We will only ask for information that is essential to enable us to carry out our assessments. For example, this will include details of:

• the person’s care
• their assessments and reviews
• the professionals involved
• any referrals
• services provided.

This information helps us decide the areas for discussion with the person – it is not a ‘case file audit.’ We will also ask the local authority to complete a brief evaluation of the person’s care and support. This should highlight any areas of good practice or areas for improvement.

We use case tracking to gather evidence across all nine quality statements in the assessment framework. We consider the evidence gathered alongside what people have told us through other methods, and from evidence gathered by the local We use case tracking to gather evidence across all nine quality statements in the assessment framework. We consider the evidence gathered alongside what people have told us through other methods, and from evidence gathered by the local authority itself (for example through surveys).

Through case tracking, we follow the pathway of a small number of people to gather evidence. A pathway is a person’s 'journey' from the point they first approach the local authority through to when care and support is provided. It covers: 

• the assessment of their needs
• care planning
• moving through services (if applicable)
• the impact of the care
• experiences and outcomes for the person
• review of their needs.

It involves reviewing a person’s care records and talking with them and sometimes their family, friends, or advocate. We may also talk with staff at the local authority and other partners and agencies involved with the person’s care and support journey.

We will send to each local authority:

• guidance about case tracking that includes consent and data protection requirements
• information about case tracking to give to people whose records we are looking at.

Before we visit, we will ask a local authority for an anonymised list of 50 people who fit the themes we are assessing. We will provide a template for you to tell us about the primary needs of those people. The themes and primary needs may change, but are currently:

• older people
• young people who have transitioned to adult services
• people who have recently come out of hospital and are receiving care
• autistic people and people with a learning disability
• people with needs relating to their mental health or substance misuse
• people with physical disabilities or long-term conditions
• unpaid carers.

From the list, we will select six people to speak with, plus four reserve people. We will ask the local authority to check with those people to confirm they are willing to talk to us. They can then send us specific information about each person's care using a secure online portal.

We will only ask for information that is essential to enable us to carry out our assessments. For example, this will include details of:

• the person’s care
• their assessments and reviews
• the professionals involved
• any referrals
• services provided.

This information helps us decide the areas for discussion with the person – it is not a ‘case file audit.’ We will also ask the local authority to complete a brief evaluation of the person’s care and support. This should highlight any areas of good practice or areas for improvement.

We use case tracking to gather evidence across all nine quality statements in the assessment framework. We consider the evidence gathered alongside what people have told us through other methods, and from evidence gathered by the local authority itself (for example through surveys).

Through case tracking, we follow the pathway of a small number of people to gather evidence. A pathway is a person’s 'journey' from the point they first approach the local authority through to when care and support is provided. It covers: 

• the assessment of their needs
• care planning
• moving through services (if applicable)
• the impact of the care
• experiences and outcomes for the person
• review of their needs.

It involves reviewing a person’s care records and talking with them and sometimes their family, friends, or advocate. We may also talk with staff at the local authority and other partners and agencies involved with the person’s care and support journey.

We will send to each local authority:

• guidance about case tracking that includes consent and data protection requirements
• information about case tracking to give to people whose records we are looking at.

Before we visit, we will ask a local authority for an anonymised list of 50 people who fit the themes we are assessing. We will provide a template for you to tell us about the primary needs of those people. The themes and primary needs may change, but are currently:

• older people
• young people who have transitioned to adult services
• people who have recently come out of hospital and are receiving care
• autistic people and people with a learning disability
• people with needs relating to their mental health or substance misuse
• people with physical disabilities or long-term conditions
• unpaid carers.

From the list, we will select six people to speak with, plus four reserve people. We will ask the local authority to check with those people to confirm they are willing to talk to us. They can then send us specific information about each person's care using a secure online portal.

We will only ask for information that is essential to enable us to carry out our assessments. For example, this will include details of:

• the person’s care
• their assessments and reviews
• the professionals involved
• any referrals
• services provided.

This information helps us decide the areas for discussion with the person – it is not a ‘case file audit.’ We will also ask the local authority to complete a brief evaluation of the person’s care and support. This should highlight any areas of good practice or areas for improvement.

Our duty is to assess how local authorities are meeting their social care duties under Part 1 of the Care Act. We do not consider local authority funding or finances in our assessments.

Our duty is to assess how local authorities are meeting their social care duties under Part 1 of the Care Act. We do not consider local authority funding or finances in our assessments.

We consider how local authority leadership are addressing issues and the length of time leaders have been in post is part of this. Our calibration panels ensure this is consistently applied across assessments.

The information gathering phase of our assessments usually takes between three to 6 six months prior to on-site activity and there is approximately two months between our on-site activity and the local authority receiving their draft report. These timeframes are specific to the baselining period which we are required to complete in a two-year period. Learning from the baselining period will be used to inform our future assessment approach which we will be developing this year.

We adapt our approach depending on the governance of a local authority and have done this for those local authorities working in the committee system.