Financial Support and Risk Audit - Supported Living

Relevant CQC Fundamental Standards

Regulation 13: Safeguarding service users from abuse and improper treatment Regulation 9: Person-centred care Regulation 17: Good governance

Answered 0 / 28(0% complete)

Note: This is the "clipboard" version of the audit. Only allocate tasks to users once you are satisfied that the audit is complete and accurate. Once saved, it is added to your Compliance Calendar as the final version for that month, where you can allocate tasks, upload evidence, and manage actions.

Score

N/A counts as Yes (full credit). Unanswered reduces the score until completed.

Breakdown

0 Yes •0 No •0 N/A •28 Unanswered

0%100%

Answers Overview

Yes

N/A

Unanswered

Questions

0/28 answered

Q1 | Unanswered
Is there a clear policy that defines the service’s role, limits and safeguards when supporting tenants with money, benefits, shopping, bills or financial decisions?
Evidence to check
- • Financial support and money handling policy is current and specific to supported living
- • Policy explains what staff can and cannot do when supporting finances
- • Policy covers cash, bank cards, online banking, shopping, benefits, appointeeship, deputyship, gifts and financial abuse
- • Staff can explain their role boundaries in practical supported living scenarios
Supporting Notes
No notes yet.
Notes are stamped with your name, date and time.
Q2 | Unanswered
Are tenants supported to manage their own money wherever possible, with support focused on independence, understanding and confidence rather than staff taking control?
Evidence to check
- • Support plans describe what the tenant can manage independently
- • Staff use prompts, coaching and budgeting support rather than taking over where possible
- • Tenant goals include money skills, saving, budgeting or independent shopping where relevant
- • Support is reviewed to avoid creating unnecessary dependency
Supporting Notes
No notes yet.
Notes are stamped with your name, date and time.
Q3 | Unanswered
Are financial support needs clearly recorded in the support plan and reviewed when the tenant’s circumstances, capacity, risks or wishes change?
Evidence to check
- • Support plan records the exact financial support required
- • Plan states who is responsible for each financial task
- • Reviews include changes in benefits, bills, debt, spending, risk or independence
- • Financial support is updated after safeguarding concerns, arrears, scams or changes in capacity
Supporting Notes
No notes yet.
Notes are stamped with your name, date and time.
Q4 | Unanswered
Are staff trained and competent in safe money handling, budgeting support, record keeping and recognising financial abuse or exploitation?
Evidence to check
- • Training records for money handling, safeguarding and professional boundaries
- • Staff can identify financial abuse, scams, coercion, theft and exploitation
- • Competency checks or supervision include financial support scenarios
- • Training is refreshed after incidents, audit findings or policy changes
Supporting Notes
No notes yet.
Notes are stamped with your name, date and time.
Q5 | Unanswered
Are records of financial support, such as shopping, bill payments, cash handling or bank support, clear, accurate, signed and completed at the time?
Evidence to check
- • Finance logs, shopping records or transaction records are sampled
- • Records include date, amount, purpose, staff involved and tenant involvement where relevant
- • Entries are signed or electronically attributable
- • Corrections are transparent and unexplained gaps are investigated
Supporting Notes
No notes yet.
Notes are stamped with your name, date and time.
Q6 | Unanswered
Is valid consent recorded where staff handle, assist with or access money, benefits, bank cards, online accounts or financial information?
Evidence to check
- • Consent records are current and specific to the financial support provided
- • Tenant understands what staff are assisting with where possible
- • Consent is reviewed when support changes
- • Where the tenant lacks capacity, best-interest or legal authority records are in place
Supporting Notes
No notes yet.
Notes are stamped with your name, date and time.
Q7 | Unanswered
Are staff clearly prohibited from borrowing, lending, exchanging money, accepting inappropriate gifts or entering financial arrangements with tenants?
Evidence to check
- • Policy or code of conduct covers gifts, loans and financial boundaries
- • Staff can explain what they must not do
- • Gift records are maintained where gifts are offered
- • Boundary concerns are investigated and managed promptly
Supporting Notes
No notes yet.
Notes are stamped with your name, date and time.
Q8 | Unanswered
Are any financial restrictions or controls, such as spending limits, locked money storage or restricted access to cards, risk assessed, justified and reviewed?
Evidence to check
- • Risk assessment records the reason for any financial control
- • Consent, capacity or best-interest decision is documented where relevant
- • Least restrictive options are considered
- • Restrictions are reviewed and reduced where possible
Supporting Notes
No notes yet.
Notes are stamped with your name, date and time.
Q9 | Unanswered
Are tenants supported to understand benefits, entitlements, budgeting options and routes for independent financial advice or appeals?
Evidence to check
- • Support plan records benefit or entitlement support needs
- • Staff signpost to appropriate advice agencies, appointees, social workers or advocates
- • Support with forms, appointments or appeals is recorded where agreed
- • Staff do not give specialist financial or legal advice beyond their role
Supporting Notes
No notes yet.
Notes are stamped with your name, date and time.
Q10 | Unanswered
Are receipts retained, checked and reconciled when staff support shopping, spending or cash transactions for tenants?
Evidence to check
- • Receipts match finance logs and cash balances
- • Tenant checks or agrees transactions where possible
- • Missing receipts are explained and followed up
- • Managers review repeated discrepancies or poor recording
Supporting Notes
No notes yet.
Notes are stamped with your name, date and time.
Q11 | Unanswered
Are financial safeguarding risks, including exploitation, scams, coercion, mate crime, digital fraud, theft or misuse of money, considered in the support plan?
Evidence to check
- • Financial safeguarding risks are recorded where relevant
- • Support plan includes signs staff should watch for
- • Risks from visitors, family, friends, online contacts or co-tenants are considered
- • Preventive actions are proportionate and respect tenant rights
Supporting Notes
No notes yet.
Notes are stamped with your name, date and time.
Q12 | Unanswered
Do staff know how to raise concerns about suspected financial abuse, exploitation, missing money or coercive control?
Evidence to check
- • Staff can explain safeguarding and internal escalation routes
- • Records show concerns are reported promptly
- • Police, local authority safeguarding, appointee, bank or commissioner involvement considered where required
- • Immediate protective action is recorded where the tenant may be at risk
Supporting Notes
No notes yet.
Notes are stamped with your name, date and time.
Q13 | Unanswered
Are tenants able to report missing funds, disputed transactions or worries about money, and are these concerns taken seriously?
Evidence to check
- • Accessible information about raising money concerns
- • Records of missing money, disputes or financial complaints
- • Concerns are investigated promptly and fairly
- • Tenant is updated on the outcome in a way they understand
Supporting Notes
No notes yet.
Notes are stamped with your name, date and time.
Q14 | Unanswered
Where there are concerns about a tenant’s ability to make a specific financial decision, is a decision-specific mental capacity assessment completed and recorded?
Evidence to check
- • Capacity assessments relate to specific financial decisions, not global capacity
- • Assessment records how the tenant was supported to understand, retain, weigh and communicate the decision
- • Unwise spending decisions are not automatically treated as lack of capacity
- • Capacity is reviewed when circumstances or risks change
Supporting Notes
No notes yet.
Notes are stamped with your name, date and time.
Q15 | Unanswered
Are appointeeship, deputyship, Lasting Power of Attorney or other financial authority arrangements clearly recorded, verified and understood by staff?
Evidence to check
- • Copies or verification of appointeeship, deputyship or LPA documents where relevant
- • Scope of authority is clearly recorded
- • Staff understand who can make which financial decisions
- • Concerns about misuse of authority are escalated as safeguarding where appropriate
Supporting Notes
No notes yet.
Notes are stamped with your name, date and time.
Q16 | Unanswered
Are bank cards, PINs, passwords and online banking details protected, and are staff prevented from using them unless there is clear lawful authority, consent and documented risk control?
Evidence to check
- • Policy prohibits unsafe use of PINs, passwords and bank cards
- • Support plan records any exceptional authorised arrangements
- • Staff do not know or store PINs/passwords unless explicitly authorised and risk-assessed
- • Digital finance support is observed or audited where relevant
Supporting Notes
No notes yet.
Notes are stamped with your name, date and time.
Q17 | Unanswered
Are individual finance logs, cash records and financial support records reviewed by management and included in regular audits?
Evidence to check
- • Manager checks of finance logs and cash balances
- • Audit schedule includes financial support records
- • Discrepancies are investigated and resolved
- • Audit findings lead to staff support, retraining or safeguarding action where needed
Supporting Notes
No notes yet.
Notes are stamped with your name, date and time.
Q18 | Unanswered
Are tenants given opportunities to build financial skills, such as budgeting, saving, shopping, understanding bills or planning spending, where this matches their goals?
Evidence to check
- • Support plans include financial independence goals where relevant
- • Daily notes show coaching, prompts or supported practice
- • Progress and setbacks are reviewed with the tenant
- • Support promotes confidence rather than staff control
Supporting Notes
No notes yet.
Notes are stamped with your name, date and time.
Q19 | Unanswered
Are tenancy sustainment risks linked to money management, such as arrears, debt, unpaid bills or benefit issues, identified and acted on early?
Evidence to check
- • Support plan or risk assessment identifies arrears, debt or bill-payment risks
- • Early escalation to housing provider, appointee, benefits advice, social worker or advocate where needed
- • Tenant is supported to understand risks to their tenancy
- • Actions focus on tenancy stability and rights-based support
Supporting Notes
No notes yet.
Notes are stamped with your name, date and time.
Q20 | Unanswered
Are digital finance tools, such as online banking, benefit portals or payment apps, used safely and only with consent, clear boundaries and appropriate safeguards?
Evidence to check
- • Support plan records digital finance support arrangements
- • Staff protect passwords, privacy and screen visibility
- • Tenant is supported to retain control where possible
- • Risks of scams, fraud or unauthorised access are discussed and managed
Supporting Notes
No notes yet.
Notes are stamped with your name, date and time.
Q21 | Unanswered
Is advocacy or external support offered where tenants have difficulty managing finances, understanding decisions, challenging benefits decisions or raising concerns?
Evidence to check
- • Advocacy or advice service information is available
- • Referrals or signposting are recorded where needed
- • Tenant consent and choice are respected
- • Independent support is offered for complex or disputed financial issues
Supporting Notes
No notes yet.
Notes are stamped with your name, date and time.
Q22 | Unanswered
Are staff clear on the difference between supporting financial independence and controlling the tenant’s money?
Evidence to check
- • Staff can answer practical scenarios about budgeting, spending and refusals
- • Support plans promote tenant choice and control
- • Restrictions or controls are justified and reviewed
- • Managers challenge overly controlling practice
Supporting Notes
No notes yet.
Notes are stamped with your name, date and time.
Q23 | Unanswered
Are records of financial involvement stored securely and handled in line with confidentiality and data protection requirements?
Evidence to check
- • Finance records are stored securely with controlled access
- • Bank statements, benefit letters and transaction records are not left visible
- • Information is shared only with consent or lawful basis
- • Records are retained and disposed of according to policy
Supporting Notes
No notes yet.
Notes are stamped with your name, date and time.
Q24 | Unanswered
Is tenant feedback used to evaluate whether financial support feels empowering, respectful, safe and helpful?
Evidence to check
- • Tenant feedback about financial support is recorded
- • Feedback is gathered in accessible ways where needed
- • Concerns about feeling controlled, embarrassed or unsupported are acted on
- • Support arrangements are changed where feedback shows they are not working
Supporting Notes
No notes yet.
Notes are stamped with your name, date and time.
Q25 | Unanswered
Is financial support discussed in supervision, team meetings or governance so practice is consistent, safe and rights-based?
Evidence to check
- • Supervision records include money handling or financial risk where relevant
- • Team meetings discuss learning from finance audits, incidents or safeguarding concerns
- • Governance reviews financial support themes and discrepancies
- • Actions are followed up to improve consistency and safety
Supporting Notes
No notes yet.
Notes are stamped with your name, date and time.
Q26 | Unanswered
Are financial incidents, discrepancies, missing receipts or unexplained spending reviewed for safeguarding, staff conduct and system learning?
Evidence to check
- • Incident records for financial discrepancies or concerns
- • Safeguarding threshold considered and recorded
- • Staff conduct concerns are investigated where appropriate
- • Learning leads to changes in process, training or supervision
Supporting Notes
No notes yet.
Notes are stamped with your name, date and time.
Q27 | Unanswered
Are family members, friends, appointees or representatives involved in financial support only where the tenant consents or where they have lawful authority?
Evidence to check
- • Consent or legal authority is recorded before involving others
- • Tenant’s own wishes are central where they have capacity
- • Staff challenge inappropriate pressure or control from others
- • Concerns about exploitation or coercion are escalated
Supporting Notes
No notes yet.
Notes are stamped with your name, date and time.
Q28 | Unanswered
Do financial audits check real practice and tenant experience, not only whether receipts and forms are present?
Evidence to check
- • Audit includes tenant feedback where appropriate
- • Audit checks whether support promotes independence and protects rights
- • Records are compared with actual practice, staff knowledge and tenant outcomes
- • Actions from audits are tracked and reviewed for effectiveness
Supporting Notes
No notes yet.
Notes are stamped with your name, date and time.

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