How we assess local authorities

Rather than rate all 5 key questions in our assessment framework, we will use a subset of the quality statements.

This is to encourage improvement where needed and keep people safe. 

Evidence categories

We use 5 of our 6 evidence categories:  

1. People’s experience
2. Feedback from staff and leaders
3. Feedback from partners
4. Processes
5. Outcomes (we will not use this category in the initial formal assessments)

We do not use the observation evidence category as it does not apply to the specific context of a local authority.

Examples of the types of evidence we need to look at are in the assessment framework for local authority assurance. 

The quality statements and evidence categories will not change. But the specific evidence sources we will look at will change more often, in line with the most up-to-date best practice standards, guidance and information.

For each local authority, we will gather evidence in this order: 

• what we have, for example evidence from national data collections, insight from our regulation of providers
• what we need to request, for example specific policies and strategies, internal and external survey results, feedback from staff, self-assessment of performance
• what we need to actively collect, for example from case tracking, focus groups, conversations with staff and leaders; we will only actively collect information that we can’t get through other means.

How we gather evidence

We will use the most appropriate options to gather evidence for a quality statement through both on-site and off-site methods. 

Information return and self-assessment

Each assessment starts when we send a request for information to local authorities with adult social care functions. This is called an information return.

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.

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).

Factual financial information

The Department of Health and Social Care has requested that we include financial information in assessment reports. However, we do not consider this in our assessment – it is presented for information purposes only.

Note: Local authorities spend money on a range of adult social care services, including supporting individual people. No two care packages are the same and vary significantly in their intensity, duration, and cost. 

Site visits before 6 October 2025

For site visits before 6 October 2025, the local authority financial information will include the following financial information:

• The local authority estimated that in (year), its total budget would be £XX. Its actual spend for that year was £XX, which was £XX more than estimated.
• The local authority estimated that it would spend £XX of its total budget on adult social care in (year). Its actual spend was £XX, which is £XX more than estimated.
• In (year), XX% of the budget was spent on adult social care.  
• The local authority [has/has not] raised the full adult social care precept for (year) and (year).
• Note: the amount raised through adult social care precept varies from local authority to local authority.  
• Approximately XX people were accessing long-term adult social care support, and approximately XX people were accessing short-term adult social care support in (year).

Site visits after 6 October 2025

For site visits after 6 October 2025, the local authority financial information will include the following financial information:

• The Local Authority's total spend was £XX in 2023/2024, in comparison to a total spend of £XX in 2022/2023. In 2023/2024, XX% of the total spend was spent on adult social care​. Spend figures are net current expenditure (total service expenditure) sourced from Outturn Data and are not adjusted for inflation.
• The Local Authority's total spend on Adult Social Care was £XX in 2023/2024, compared to a total spend on Adult Social Care of £XX in 2022/2023. The LA spent £XX (Adult Social Care spend) per 100,000 total adults in 2023/2024. Spend figures are net current expenditure sourced from ASC Finance Returns and are not adjusted for inflation.
• The local authority has raised the full adult social care precept for 2023/24, with a value of XX%. Please note that the amount raised through adult social care precept varies from local authority to local authority.​ Adult social care precept data sourced from Council Tax Levels set by Local Authorities in England.
• Approximately XX people were accessing long-term ASC support, and approximately XXpeople were accessing short-term adult social care support in 2023/24. ​Local Authorities spend money on a range of adult social care services, including supporting individuals. No two care packages are the same and vary significantly in their intensity, duration, and cost.​ Data on people accessing support sourced from Short- and Long-Term Support (SALT).

Gathering people’s experiences and feedback

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 care 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. 

Speaking with unpaid carers and voluntary and community groups

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.  

Case tracking

This is another way we gather the lived experiences of people using social care arranged through a local authority. It is a key part of  our assessment.

We use case tracking to gather evidence across all 9 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. 

How we carry out case tracking

Before we visit, we will ask your 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 6 people to speak with, plus 4 reserve people. We will ask you to check with those people to confirm they are willing to talk to us., You can then send us specific information about each person's care using a secure online portal. 

Information we need for case tracking

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. 

Feedback from providers

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.

Information collected from national bodies

We will use and develop insight from national data collections, particularly where there are nationally agreed measures of quality. For example, Adult Social Care Outcomes Framework (ASCOF) and the Short and Long Term (SALT) collection as the primary source of information about local authority adult social care activity.

See metrics for local authority assessment framework.

Feedback we receive

We will also use the feedback we receive about people’s experiences. This could be:

• from our Give feedback on care service
• when people contact us through our National Customer Service Centre. 

Senior leadership meeting

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. 

Gathering evidence through on-site activity

When we are on site, we will speak with the local authority’s staff, including leaders, and with partner organisations.

We’ll usually do this through small group discussions or interviews. We may hold these online if it is suitable for the people taking part.

We aim to find out what works well and leads to good outcomes for people who are using the services provided through your local authority.

When we send the notification about the site visit, we also send a briefing. This describes the assessment process and what to expect in the on-site interviews. We ask you to circulate this to people who we will interview, so they know what to expect. The questions we ask during interviews relate to people’s roles and the areas where we need to corroborate and gather more evidence.

We do not have a set question list for specific roles as the roles vary across local authorities, so we adapt accordingly.  

Our local authority assessment teams

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.

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.