Inside Compliance Guidance

CQC Inspection Checklist — What to Have Ready Before the Inspector Arrives

CQC inspections may occur with limited notice.

Under the Care Quality Commission Single Assessment Framework, inspectors assess services using quality statements organised around five key questions:

Safe

Effective

Caring

Responsive

Well-led

This checklist focuses on the records providers commonly keep ready to evidence workforce oversight, governance, and safe service delivery.

1. Governance and Management — Regulation 17

Providers should be able to demonstrate governance oversight and effective monitoring systems.

Documentation commonly reviewed includes:

•Statement of Purpose — current and aligned with registration

•Quality assurance audit records and improvement action plans

•Management or board meeting minutes evidencing oversight

•Complaints logs and evidence of learning from complaints

•Incident and near-miss logs with review outcomes

•Notifiable events records, including evidence that required CQC notifications have been submitted on time

2. Staffing and Workforce Records — Regulations 18 and 19

Inspectors commonly review workforce documentation demonstrating recruitment checks and staffing oversight.

This may include:

•Staff rota records and staffing arrangements

•Dependency or needs assessments supporting staffing decisions

•Recruitment files including references, identity checks, and right-to-work verification

•Full employment history, with written explanations for gaps where relevant

•Health or fitness-to-work declaration completed before start date where required

•Enhanced DBS checks appropriate to the role, including barred list checks where regulated activity applies

•DBS Update Service monitoring records where used

•Training matrix covering mandatory and role-specific training

•Supervision records showing frequency and outcomes

•Annual appraisal documentation

•Fit and Proper Person Requirement records where relevant for directors or registered managers

3. Safe Care and Treatment — Regulation 12

Inspectors assess how providers manage risks and deliver safe care.

Documentation may include:

•Person-specific risk assessments

•Incident records and learning reviews

•Medication administration records (MAR)

•Medicines policies and staff competency assessments

•Infection prevention and control policies and audits

•Equipment safety and maintenance records

4. Safeguarding

Providers should demonstrate effective safeguarding systems.

Inspectors may review:

•Safeguarding policies and procedures

•Safeguarding lead arrangements and escalation processes

•Safeguarding training records

•Safeguarding referrals and outcomes

•Evidence that staff understand their safeguarding responsibilities

5. Care Planning

Inspectors commonly review care planning documentation.

This may include:

•Care plans that are current and regularly reviewed

•Evidence of person-centred planning

•Documentation showing involvement of people using the service

6. Medicines Management

Documentation may include:

•Medicines policies and procedures

•Medication administration records (MAR)

•Staff competency assessments for medicines administration

•Medication audit records

7. Environment and Safety

Providers should maintain safety documentation for premises and equipment.

Examples include:

•Gas safety certificates

•Electrical safety checks

•Fire risk assessments and evacuation plans

•Legionella risk assessments

•Health and safety risk assessments

•Equipment maintenance records

The exact documentation requested will vary, but providers should be able to locate and explain key records quickly when asked.

Need help getting inspection-ready?

If your workforce and governance records feel scattered or difficult to evidence, get in touch and we'll help you work out the most practical next step.

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Related Guidance

What Documents Do CQC Inspectors Ask For?How to Prepare for a CQC Inspection — 30-Day Readiness Plan Do DBS Checks Expire?What Is the DBS Update Service?Inspection Readiness for Care and Childcare Providers

Legal Notice

EntryComply is a compliance tracking and evidence management service operated by Spur Support Ltd (Company No. 13474305).

EntryComply organises workforce documentation and governance records. It does not certify regulatory compliance, assess the suitability of any individual, or guarantee inspection outcomes.

Providers remain solely responsible for suitability assessments and regulatory compliance decisions.