CQC inspection readiness checklist

Source anchors

How to use this checklist

This is the whole-service readiness audit. It sits above the topic checklists: it walks the five key questions CQC asks and, under each, tests whether you can show the evidence today. Most inspections of small services are unannounced, so readiness is something you hold every day, not something you build in the week before a visit.

Use it before a governance meeting, as a rolling readiness review, or at any time. Where a row points at a topic that has its own detailed checklist (medicines, infection control, safeguarding, complaints and the rest), work through that checklist for the depth; the Related reading section links every one.

For each row, record:

Met: evidence is current and complete.
Part met: evidence exists but has a gap or needs follow-up.
Not met: evidence is absent or the control is not working.
Not applicable: the service does not carry out this activity.

Every Part met or Not met item should create an action with an owner and a due date.

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This checklist is a starting point and a guide to what CQC inspectors look for. It is not a complete or deployable procedure, and it is not legal advice. Working through it does not guarantee a rating or compliance. Check all regulatory references and timescales against current primary sources and adapt it to your own service.

Service details

Field	Local entry
Service name
Location
Date completed
Completed by
Registered Manager
Nominated Individual or provider lead
Period reviewed

1. The evidence an inspector asks for first

Check	Evidence to review	Status	Action owner	Due date
The statement of purpose is current and matches the service actually delivered.	Statement of purpose, registration record.
Registration, regulated activities and conditions are accurate.	CQC registration, conditions record.
Key policies are current, version-controlled and known to staff.	Policy register, review dates, staff sign-off.
The training matrix shows who is current and who is overdue.	Training matrix, renewal tracker.
The latest audits, incidents, complaints and risks can be produced in minutes, not rebuilt from inboxes.	Audit log, incident log, complaint log, risk register.
Someone can speak to the service's main risks and what is being done about them today.	Risk register, governance minutes, manager interview.

2. Safe

Check	Evidence to review	Status	Action owner	Due date
A live risk register shows review decisions and dates, not a static list.	Risk register, review notes.
Incidents and near misses are recorded, reviewed, themed and linked to learning.	Incident log, theme report, actions.
Where a notifiable safety incident caused harm, the duty of candour steps are recorded.	Duty of candour record, incident link.
Staff can recognise safeguarding concerns and know the referral route and thresholds.	Safeguarding procedure, training record, staff interview.
Safeguarding records show the concern, the decision, who was told and what happened next.	Safeguarding log, referral evidence.
Medicines, where handled, are stored, recorded, administered and reconciled to standard.	MAR sample, storage check, CD register.
Infection prevention and control audits run on a cycle and issues are actioned.	IPC audit, hand hygiene and PPE evidence.
Staffing levels and skill mix match the service's needs, with rotas that show it.	Rota, dependency or staffing tool, induction records.
Emergency equipment, medicines and procedures are current and checked where applicable.	Equipment log, emergency procedure, servicing record.

3. Effective

Check	Evidence to review	Status	Action owner	Due date
Care, treatment or support follows current guidance and the service can name its source.	Care records, guidance reference, audit.
Assessments, decisions, rationale and what the person was told are recorded, not just outcomes.	Assessment, consultation or care record.
Consent is recorded as a discussion, not just a signed form.	Consent record, care note.
Where capacity is in doubt, an assessment and a best-interest decision are recorded.	Mental Capacity Act record, best-interest note.
The training matrix shows mandatory training current per role, with renewals tracked before they expire.	Training matrix, renewal tracker.
Supervision and appraisal happen on a cycle and are recorded.	Supervision log, appraisal records.
Staff work within scope and competence, with registration, checks and competency sign-off.	Competency records, registration checks.

4. Caring

Check	Evidence to review	Status	Action owner	Due date
Privacy is protected at the points where it could be compromised.	Observation, care plan, environment check.
Records avoid language that is blaming, disrespectful or unclear.	Record sample, audit.
Reasonable adjustments are made, recorded and reviewed where people need them.	Care plan, accessible information record.
People are involved in decisions about their care, and staff can explain how.	Care plan, feedback, staff interview.
Feedback, complaints and compliments are reviewed for themes about dignity and involvement.	Feedback log, complaint themes.

5. Responsive

Check	Evidence to review	Status	Action owner	Due date
Care plans are person-centred, current and reviewed when needs change.	Care plan, review record.
Accessible information and communication support are recorded where people need them.	Communication record, care plan.
Waiting, access, cancellations, missed visits or delays are monitored where they apply.	Access data, missed-visit log.
Complaints are easy to make, acknowledged, investigated and answered in the timescale that applies.	Complaint log, response evidence.
The service can show changes it made because of complaints, feedback or outcomes.	You said, we did record; action log.

6. Well-led

Check	Evidence to review	Status	Action owner	Due date
A regular governance review looks across incidents, complaints, risks, audits, staffing, training and feedback.	Governance minutes, dashboard.
Board, owner or senior-lead oversight can see repeated themes and unresolved risks.	Oversight report, minutes.
Statutory notification decisions are recorded, including decisions that no notification was required.	Notification log, decision notes.
Audits are scheduled, completed and turned into actions, not just filed.	Audit schedule, completed audits, actions.
A live action tracker shows owner, due date, progress and closure evidence.	Action log, evidence attachments.
Registered Manager, Nominated Individual or provider oversight is visible and current.	Oversight record, minutes.
Policies have a review cycle and the service can show staff know the current version.	Policy register, sign-off record.

7. Summary judgement

Question	Answer
What are the three strongest pieces of evidence you can show today?
What is the biggest evidence gap?
Which action needs owner attention this week?
Which repeated theme needs governance review?
What would a CQC inspector see if they arrived unannounced today?

8. Action log

Action	Source check	Owner	Due date	Completion evidence

9. Completion

Sign-off	Name	Date
Completed by
Reviewed by Registered Manager

This checklist is a working tool. It does not replace live regulator guidance, professional advice or clinical judgement. The evidence is there because the work happened, not because the inspection is coming.