How to Run a CQC Mock Inspection: A Step-by-Step Guide for Care Homes

A mock inspection is an internal preparedness exercise only — it does not replicate or replace an official CQC assessment. The scoring and questioning frameworks described below are illustrative and based on publicly available CQC methodology; they are not endorsed by CQC. Always refer to CQC's published assessment framework for the current approach.

A CQC mock inspection is the single most effective way to find out what an assessor would find before they actually arrive. Not a rehearsal. Not a box-ticking exercise. Done properly, it is a governance tool that stress-tests your service against the same framework CQC uses — and produces evidence of a learning culture that maps directly to quality statements S1 and W7.

This guide covers how to plan, conduct, and act on a mock inspection in a care home setting.

Why Run a Mock Inspection

The obvious reason is preparation: you want to know where you stand before CQC assesses you. But a well-run mock inspection does more than that.

Under the single assessment framework, CQC evaluates whether your service learns and improves. Quality statement W7 (Learning, improvement and innovation) specifically looks for evidence that you proactively identify issues and act on them. A mock inspection — with documented findings, an action plan, and evidence of completed actions — is direct evidence of exactly that.

Quality statement S1 (Learning culture) asks whether you learn from safety events and near-misses. A mock inspection that uncovers a medication error pattern or a gap in safeguarding knowledge and leads to targeted training is precisely the kind of evidence assessors want to see.

Put differently: the mock inspection report and the completed action plan are themselves evidence for your CQC evidence pack. The process creates the proof that your service takes governance seriously.

When to Run a Mock Inspection

Quarterly is the recommended frequency for most care homes. This keeps findings current and creates a rolling audit trail. Beyond that, schedule a mock inspection:

Before an expected assessment — If CQC has made contact or you are within the typical assessment window for your service, a mock inspection gives you a realistic picture of readiness. See our guide to inspection frequency for more on assessment timing.
After a Requires Improvement rating — An RI rating signals specific failings. A mock inspection focused on those areas, followed by a clear action plan, demonstrates the response CQC expects under Regulation 17 of the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014.
After significant changes — New manager, change of provider, major building work, introduction of a new care type (e.g., adding nursing or dementia care). Any change that alters how the service operates warrants a fresh assessment against the framework.
After a serious incident — A safeguarding event, a medicines-related hospital admission, or a cluster of falls. The mock inspection tests whether your response was adequate and whether systemic changes have been embedded.

Who Should Conduct It

The cardinal rule: the person conducting the mock inspection must not be auditing their own area of responsibility. A registered manager inspecting their own service will inevitably have blind spots — not through dishonesty, but through familiarity.

The best options, in order of rigour:

External consultant with CQC experience — A former inspector or experienced compliance consultant brings an outside perspective and knows exactly what a real assessment looks like. This is the gold standard for pre-assessment preparation.
Peer review from another service — If you are part of a group or have a relationship with another registered manager, a mutual mock inspection arrangement provides a credible outside view at no cost.
Internal cross-department review — Your deputy inspects the areas you manage directly; you inspect areas they oversee; the senior carer team reviews documentation while the admin team reviews care delivery records. The principle is separation: nobody audits their own work.

Whoever conducts it should have a working knowledge of the CQC quality statements and the six evidence categories CQC uses.

Step-by-Step Process

1. Planning (1-2 Weeks Before)

Define the scope. A full mock inspection covers all five key questions (Safe, Effective, Caring, Responsive, Well-Led). Alternatively, focus on specific quality statements — particularly useful after an RI rating where you know the problem areas.
Set the date and allocate a full day. A meaningful mock inspection takes 6-8 hours for a service with 20-40 beds.
Brief the team. Staff should know a mock inspection is happening but should not be coached on answers. The point is to see how they respond naturally.
Prepare the mock inspection toolkit: a checklist against the quality statements, a document request list, an observation template, and question prompts for staff and residents.

2. Document Review (Morning, 1-2 Hours)

Request the same documents a real inspector would (see the full checklist below). Review them for:

Currency — Are care plans, risk assessments, and policies up to date?
Completeness — Are MARs fully signed? Are recruitment files complete against Schedule 3?
Consistency — Do care plans match what is recorded in daily notes? Do audit findings appear in action plans?
Evidence of action — When audits identify issues, is there a documented response with deadlines and outcomes?

3. Environmental Walkabout (1-1.5 Hours)

Walk the building as an assessor would, looking at:

Cleanliness and infection control (hand gel availability, PPE stations, bathroom hygiene)
Safety (trip hazards, fire doors propped open, COSHH storage, equipment maintenance stickers)
Dignity (are bedroom doors closed during personal care? Are residents dressed and groomed to their preference?)
Signage and accessibility (fire evacuation routes displayed, complaints procedure visible, information in accessible formats)
Call bell response — time how long it takes staff to respond during the walkabout
Mealtime observation — if timing allows, observe a mealtime using the principles behind CQC's SOFI (Short Observational Framework for Inspection) approach: watch for staff interactions, whether residents are offered choices, positioning, pace of support, and whether the experience appears person-centred or task-driven

4. Staff Interviews (1.5-2 Hours)

Speak individually to 4-6 staff members across different roles (carer, senior, nurse if applicable, domestic, kitchen). Select them yourself — do not ask the manager to choose. Use the sample questions below.

Staff should speak freely and without a manager present. You are testing whether policies translate into practice. The most revealing indicator is whether staff answers are consistent with each other and with the documentation.

5. Resident and Family Conversations (1-1.5 Hours)

Speak to 3-5 residents (with capacity and willingness to engage) and, where possible, 2-3 family members. These conversations should feel informal. You are listening for satisfaction, complaints, and whether residents feel heard and safe. Use the sample questions below.

For residents with advanced dementia or significant communication difficulties, rely on observation rather than direct questioning — this mirrors how CQC uses SOFI during real inspections.

6. Feedback Session (30-60 Minutes)

At the end of the day, meet with the registered manager and senior team. Present findings structured by key question. Be specific: "Three out of five care plans reviewed had risk assessments last updated more than three months ago" is useful. "Some care plans need updating" is not.

Distinguish between:

Critical findings — Issues that could result in enforcement action (safeguarding gaps, unsafe staffing, medication errors)
Areas for improvement — Issues that would likely result in a Requires Improvement finding
Good practice — Strengths to maintain and evidence to highlight

7. Action Plan (Within 1 Week)

Every finding needs:

Element	Detail
Finding	Specific description of the issue
Quality statement	Which statement it relates to (e.g., S3, E6)
Severity	Critical / Improvement needed / Advisory
Action required	What needs to happen
Owner	Named person responsible
Deadline	Specific date
Evidence of completion	How you will demonstrate the action is done
Re-audit date	When this will be checked again

The action plan itself becomes evidence for quality statements W5 (Governance) and W7 (Learning, improvement and innovation). File completed action plans in your evidence pack.

Sample Questions CQC Inspectors Ask Staff

These are drawn from CQC's published inspection methodology and reflect the kinds of questions real assessors use. Use them in your mock inspection staff interviews.

Safeguarding:

What would you do if you suspected a resident was being abused or neglected?
Who is the safeguarding lead in this home?
How would you report a safeguarding concern externally?
Have you ever raised a safeguarding concern? What happened?

Medication:

Talk me through how you administer medication to a resident.
What do you do if a resident refuses their medication?
What happens if you discover a medication error?
How do you handle PRN (as needed) medication? How do you decide when it is appropriate?

Person-centred care:

Tell me about [resident name]. What matters to them?
How do you know what care to provide for each resident?
How do you support residents to make choices about their daily routine?

Whistleblowing:

What would you do if you saw a colleague doing something you were concerned about?
Do you know how to raise a concern outside of this organisation?
Do you feel comfortable raising concerns with management?

Mental Capacity Act:

How do you know if a resident has capacity to make a particular decision?
What happens if a resident lacks capacity to consent to their care?
Can you give me an example of a best interests decision made for a resident here?

General:

What training have you received in the last 12 months?
Do you feel there are enough staff on shift to provide safe care?
What happens during handover?

Sample Questions for Residents and Families

For residents:

Do you feel safe here?
Do staff treat you with respect?
Can you choose when to get up, go to bed, and eat meals?
Do you know how to make a complaint if you are unhappy about something?
Is there anything you would change about living here?

For families:

Are you kept informed about your relative's care?
Do you feel welcome when you visit?
Have you ever raised a concern? How was it handled?
Do you feel staff know your relative well?
Have you been involved in care plan reviews?

Mock Inspection Document Checklist

Request these documents during the mock inspection — they mirror what a CQC assessor would ask for:

Registration and governance:

CQC registration certificate (displayed)
Statement of purpose (current, accurate)
Registered manager DBS and fit person evidence
Organisational chart
Insurance certificates (employer's liability, public liability)
Business continuity plan
Governance meeting minutes (last 6 months)
Nominated individual visit reports (last 4 quarters)
Service improvement plan

Staff records (sample 3-5 files):

Training:

Training matrix (all staff, all mandatory subjects)
Certificates for safeguarding, MCA/DoLS, moving and handling, fire safety, first aid, infection control, medication (where applicable)

Care records (sample 3-5 residents):

Pre-admission assessment
Person-centred care plan
Individual risk assessments (falls, nutrition, skin integrity, moving and handling)
Mental capacity assessments (where applicable)
Best interests decisions (where applicable)
DoLS applications and authorisations
Daily care notes (last 2 weeks)
Weight and nutrition monitoring
Repositioning charts (where applicable)

Medication:

Medication Administration Records — MARs (current month and previous month)
PRN protocols
Controlled drugs register and balance checks
Medication audit (most recent)
Medication error log

Incidents and complaints:

Incident and accident log (last 12 months)
Investigation records for serious incidents
Safeguarding referral log with outcomes
Complaints log with responses and outcomes
CQC notifications log (statutory notifications sent)

Audits and quality assurance:

Audit schedule
Completed audits with action plans (medication, care plans, IPC, health and safety, environment)
Action tracker showing completion status

Environment and safety:

Fire risk assessment (current)
Fire drill records
Legionella risk assessment and water temperature logs
Equipment maintenance records
COSHH assessments
Food hygiene rating and kitchen records

Staffing:

Staffing rotas (current week plus previous 4 weeks)
Dependency tool calculations
Agency use records

This checklist aligns with the requirements under the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014. For a deeper walkthrough of documentation organisation, see our CQC compliance guide for small care homes.

Acting on Findings

A mock inspection without follow-through is worse than no mock inspection at all. It creates a written record that you identified problems and did nothing — exactly the kind of evidence that works against you during a real assessment.

Within one week: Finalise the action plan. Every finding has a named owner, a deadline, and a defined measure of completion.

Ongoing: Track actions through your regular governance meetings. If an action is overdue, document why and set a revised deadline.

Re-audit within 4-8 weeks: Return to the specific findings and check whether the actions have been completed and embedded — not just done once but sustained. Document the re-audit results. This creates a closed loop that assessors recognise as effective governance.

File everything. The mock inspection report, the action plan, evidence of completed actions, and the re-audit findings all belong in your evidence pack under the relevant quality statements.

Common Mistakes

Being too lenient. A mock inspection that finds nothing wrong is not a good mock inspection — it is a wasted opportunity. If the auditor is reluctant to identify issues, the exercise has no value. External auditors or peer reviewers tend to be more objective than internal reviews for exactly this reason.

No action plan. Conducting the mock inspection and then filing the report without creating or completing an action plan actively damages your position. It demonstrates awareness of problems without a response.

Doing it once and never again. A single mock inspection is a snapshot. Quarterly reviews create a trend line that shows sustained governance and continuous improvement — exactly what quality statement W7 describes.

The manager auditing their own service. This is the most common mistake and the most damaging to credibility. If the registered manager both runs the home and conducts the mock inspection, the findings carry little weight. Separation between the auditor and the area being audited is fundamental.

Coaching staff before interviews. Giving staff scripted answers defeats the purpose. If staff cannot explain safeguarding, medication procedures, or the Mental Capacity Act in their own words, that is a training gap the mock inspection should surface — not one it should hide.

Ignoring the environment. Document reviews and staff interviews are essential, but a real CQC assessment always includes observation. Skipping the environmental walkabout and mealtime observation means missing the findings an assessor would catch within the first hour.

Start With a Baseline

If you have never run a mock inspection, start by understanding where your evidence currently stands. Our free CQC Readiness Assessment scores your service against the quality statements and highlights the areas that need the most attention. The Evidence Gap Checker identifies specific documentation gaps so you know what to prioritise before your first mock inspection.

For a full guide to preparing for a CQC assessment — including what to expect on the day — see our guide for new managers preparing for their first inspection.