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    <title>InspectReady — CQC Compliance for UK Care Homes</title>
    <link>https://inspectready.co.uk</link>
    <description>Practical guides on CQC compliance, audit preparation, and inspection readiness for UK care home managers.</description>
    <language>en-GB</language>
    <lastBuildDate>Mon, 30 Mar 2026 09:04:34 GMT</lastBuildDate>
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      <title>Care Home Policies and Procedures: Every Policy CQC Expects You to Have</title>
      <link>https://inspectready.co.uk/blog/care-home-policy-list/</link>
      <guid isPermaLink="true">https://inspectready.co.uk/blog/care-home-policy-list/</guid>
      <pubDate>Sat, 28 Mar 2026 00:00:00 GMT</pubDate>
      <description>Complete list of care home policies and procedures CQC expects, mapped to key questions and quality statements, with review frequency and version control guidance.</description>
      <content:encoded><![CDATA[
Every CQC inspection involves a policy review. Inspectors will not read every policy cover to cover, but they check that key policies exist, are current, reflect actual practice, and are known to staff. "Can you show me your policy on X?" is one of the most common questions a registered manager hears during an assessment visit.

This guide lists every policy CQC expects, mapped to key questions, with review frequencies and version control guidance.

## How Policies Map to CQC Assessment

Under the single assessment framework, policies provide evidence across multiple key questions simultaneously. A safeguarding policy is primary evidence for Safe but also supports Well-Led (governance) and Responsive (protecting rights). For more on the framework, see our [complete guide to CQC compliance for small care homes](/blog/cqc-compliance-guide-small-care-homes/).

CQC looks for three things: the policy exists, it reflects current legislation, and staff know about it and follow it.

## The Complete Care Home Policy List

Organised by primary CQC key question, with regulatory basis and secondary mappings noted. Regulation numbers refer to the [Health and Social Care Act 2008 (Regulated Activities) Regulations 2014](https://www.legislation.gov.uk/uksi/2014/2936/contents) unless otherwise stated.

### Safe

| Policy | Regulatory Basis | Secondary KQ | Review |
|--------|-----------------|-------------|--------|
| Safeguarding Adults | [Regulation 13](https://www.legislation.gov.uk/uksi/2014/2936/regulation/13), [Care Act 2014 s.42-46](https://www.legislation.gov.uk/ukpga/2014/23/section/42) | Well-Led | Annual + legislative change |
| Safeguarding Children (if applicable) | [Children Act 1989](https://www.legislation.gov.uk/ukpga/1989/41)/[2004](https://www.legislation.gov.uk/ukpga/2004/31) | Well-Led | Annual |
| Medication Management | [Regulation 12(2)(g)](https://www.legislation.gov.uk/uksi/2014/2936/regulation/12) | Effective | Annual + NICE updates |
| Infection Prevention and Control | [Regulation 12(2)(h)](https://www.legislation.gov.uk/uksi/2014/2936/regulation/12), [HSC Act 2008 Code of Practice](https://www.legislation.gov.uk/ukpga/2008/14/section/21) | Effective | Annual + UKHSA updates |
| Health and Safety | [Health and Safety at Work Act 1974](https://www.legislation.gov.uk/ukpga/1974/37) | Well-Led | Annual |
| Fire Safety | [Regulatory Reform (Fire Safety) Order 2005](https://www.legislation.gov.uk/uksi/2005/1541) | — | Annual + post fire risk assessment |
| COSHH | [COSHH Regulations 2002](https://www.legislation.gov.uk/uksi/2002/2677) | — | Annual |
| Incident and Accident Reporting | [Regulation 18](https://www.legislation.gov.uk/uksi/2009/3112/regulation/18) (CQC Registration Regs) | Well-Led | Annual |
| Risk Assessment | [Regulation 12(2)(a)-(b)](https://www.legislation.gov.uk/uksi/2014/2936/regulation/12) | Effective | Annual |
| Moving and Handling | [Manual Handling Operations Regulations 1992](https://www.legislation.gov.uk/uksi/1992/2793) | — | Annual |
| Lone Working | [Health and Safety at Work Act 1974](https://www.legislation.gov.uk/ukpga/1974/37) | — | Annual |
| Environmental Safety | Various (legionella, electrical, gas) | — | Annual |
| Falls Prevention | [Regulation 12](https://www.legislation.gov.uk/uksi/2014/2936/regulation/12), [NICE NG232](https://www.nice.org.uk/guidance/ng232) | Effective | Annual + NICE updates |
| Missing/Absent Resident | [Regulation 12](https://www.legislation.gov.uk/uksi/2014/2936/regulation/12) | Responsive | Annual |
| Bedrails and Restrictive Practices | [Regulation 13(4)-(5)](https://www.legislation.gov.uk/uksi/2014/2936/regulation/13), [MCA 2005](https://www.legislation.gov.uk/ukpga/2005/9) | Caring | Annual |

### Effective

| Policy | Regulatory Basis | Secondary KQ | Review |
|--------|-----------------|-------------|--------|
| Consent and Mental Capacity | [MCA 2005](https://www.legislation.gov.uk/ukpga/2005/9), [Regulation 11](https://www.legislation.gov.uk/uksi/2014/2936/regulation/11) | Caring | Annual |
| DoLS / Liberty Protection Safeguards | [MCA 2005 Schedule A1](https://www.legislation.gov.uk/ukpga/2005/9/schedule/A1) / LPS (when enacted) | Safe | Annual + LPS commencement |
| Nutrition and Hydration | [Regulation 14](https://www.legislation.gov.uk/uksi/2014/2936/regulation/14) | Caring | Annual |
| Care Planning | [Regulation 9](https://www.legislation.gov.uk/uksi/2014/2936/regulation/9) | Responsive | Annual |
| End of Life Care | [Regulation 9](https://www.legislation.gov.uk/uksi/2014/2936/regulation/9), [NICE NG142](https://www.nice.org.uk/guidance/ng142) | Caring, Responsive | Annual |
| Staff Training and Development | [Regulation 18(2)(a)](https://www.legislation.gov.uk/uksi/2014/2936/regulation/18) | Well-Led | Annual |
| Staff Supervision and Appraisal | [Regulation 18(2)(a)](https://www.legislation.gov.uk/uksi/2014/2936/regulation/18) | Well-Led | Annual |
| Clinical Observations and Escalation | [NICE CG50](https://www.nice.org.uk/guidance/cg50) | Safe | Annual |
| Oral Health Care | [NICE NG48](https://www.nice.org.uk/guidance/ng48) | Caring | Annual |

### Caring

| Policy | Regulatory Basis | Secondary KQ | Review |
|--------|-----------------|-------------|--------|
| Dignity, Privacy, and Respect | [Regulation 10](https://www.legislation.gov.uk/uksi/2014/2936/regulation/10) | Responsive | Annual |
| Equality, Diversity, and Inclusion | [Equality Act 2010](https://www.legislation.gov.uk/ukpga/2010/15), [Regulation 10](https://www.legislation.gov.uk/uksi/2014/2936/regulation/10) | Responsive | Annual |
| Communication | [Regulation 9(3)(b)-(d)](https://www.legislation.gov.uk/uksi/2014/2936/regulation/9), Accessible Information Standard | Responsive | Annual |
| Visitors and Relatives | [Regulation 9](https://www.legislation.gov.uk/uksi/2014/2936/regulation/9) | Responsive | Annual |

### Responsive

| Policy | Regulatory Basis | Secondary KQ | Review |
|--------|-----------------|-------------|--------|
| Complaints | [Regulation 16](https://www.legislation.gov.uk/uksi/2014/2936/regulation/16) | Well-Led | Annual |
| Admissions and Pre-Admission Assessment | [Regulation 9](https://www.legislation.gov.uk/uksi/2014/2936/regulation/9) | Safe, Effective | Annual |
| Activities and Social Engagement | [Regulation 9(3)(b)](https://www.legislation.gov.uk/uksi/2014/2936/regulation/9) | Caring | Annual |
| Discharge and Transfer | [Regulation 9](https://www.legislation.gov.uk/uksi/2014/2936/regulation/9) | Safe | Annual |
| Service User Records and Access | [Regulation 17(2)(c)-(d)](https://www.legislation.gov.uk/uksi/2014/2936/regulation/17), [UK GDPR](https://www.legislation.gov.uk/eur/2016/679) | Well-Led | Annual |

### Well-Led

| Policy | Regulatory Basis | Secondary KQ | Review |
|--------|-----------------|-------------|--------|
| Governance and Quality Assurance | [Regulation 17](https://www.legislation.gov.uk/uksi/2014/2936/regulation/17) | All | Annual |
| Duty of Candour | [Regulation 20](https://www.legislation.gov.uk/uksi/2014/2936/regulation/20) | Responsive | Annual |
| Whistleblowing (Freedom to Speak Up) | [Public Interest Disclosure Act 1998](https://www.legislation.gov.uk/ukpga/1998/23) | Safe | Annual |
| Recruitment (including DBS) | [Regulation 19](https://www.legislation.gov.uk/uksi/2014/2936/regulation/19), [Schedule 3](https://www.legislation.gov.uk/uksi/2014/2936/schedule/3) | Safe | Annual |
| Disciplinary and Grievance | [Employment Rights Act 1996](https://www.legislation.gov.uk/ukpga/1996/18) | — | Annual |
| Business Continuity | [Regulation 17(2)(f)](https://www.legislation.gov.uk/uksi/2014/2936/regulation/17), [Civil Contingencies Act 2004](https://www.legislation.gov.uk/ukpga/2004/36) | Safe | Annual |
| Data Protection and Confidentiality | [UK GDPR](https://www.legislation.gov.uk/eur/2016/679), [Data Protection Act 2018](https://www.legislation.gov.uk/ukpga/2018/12) | — | Annual + ICO changes |
| Notifications to CQC | [Regulation 18 (CQC Registration Regs 2009)](https://www.legislation.gov.uk/uksi/2009/3112/regulation/18) | — | Annual |
| Financial Procedures (if managing residents' money) | [Regulation 13](https://www.legislation.gov.uk/uksi/2014/2936/regulation/13) | Safe | Annual |

For detail on complaints policy requirements, see our [guide to care home complaints procedures](/blog/care-home-complaints-procedure/).

## Policies Often Missed

- **Duty of candour** — Many small homes lack a standalone policy despite Regulation 20. CQC enforcement actions in 2023-2024 repeatedly cited this gap.
- **Deprivation of liberty** — With Liberty Protection Safeguards still awaiting a commencement date as of early 2026, some homes have let DoLS policies lapse. The current framework under Schedule A1 of the MCA 2005 remains in force.
- **Business continuity** — Plans for boiler failure, water loss, mass staff illness, or evacuation. CQC raised this across the sector during COVID-19.
- **Oral health** — NICE NG48 requires care homes to support residents' oral health. A specific policy or clear section within personal care policy is expected.

## Review Triggers Beyond the Annual Cycle

Review a policy immediately when:

- **Legislation changes** — e.g., Building Safety Act 2022 changes affecting fire safety policy
- **Guidance updates** — New NICE guidelines, UKHSA infection control guidance
- **After a serious incident** revealing the policy was inadequate
- **After a CQC inspection** identifying a gap (act within the stated timeframe, or 4 weeks if none given)
- **After a complaint** revealing the policy did not cover the situation

For more on quality statements, see our [guide to CQC quality statements explained](/blog/cqc-quality-statements-explained/).

## Version Control

Every policy should include: policy title, version number, date of this version, next review date, author, approver, and a summary of changes from the previous version.

Maintain a **policy register** — a single spreadsheet listing every policy with current version and review dates. This is the first thing to hand an inspector. It demonstrates governance at a glance and prevents policies falling overdue. Set calendar reminders 4 weeks before each review date.

## Making Policies Functional

A policy staff follow is evidence of compliance. A policy staff ignore is evidence of governance failure. To bridge the gap:

- **Keep policies concise** — 8-10 pages, not 40
- **Use plain English** — regulation references in metadata, not every paragraph
- **Add one-page quick-reference summaries** — flowcharts or checklists staff can use in the moment
- **Test understanding in supervisions** — "What would you do if a resident refused medication?" reveals more than "Have you read the medication policy?"
- **Record policy briefings** — attendees, date, and key points when introducing updated policies

For guidance on how policies connect to staffing compliance, see our [guide to safe staffing requirements](/blog/cqc-safe-staffing-policy/).

## Policy Audit Checklist

Use this quarterly:

- [ ] Policy register up to date with current versions and review dates
- [ ] No policies overdue for review
- [ ] Updated policies have version control metadata completed
- [ ] New or updated policies briefed to staff with attendance recorded
- [ ] At least 3 staff can describe key steps in safeguarding, medication, and complaints procedures
- [ ] CQC or Ombudsman recommendations on policies actioned
- [ ] Policies reflect current legislation (check gov.uk and NICE)

A comprehensive, current, and genuinely used policy library is one of the most tangible things you can do to support a Good rating across all five key questions.
]]></content:encoded>
    </item>
    <item>
      <title>How to Run a CQC Mock Inspection: A Step-by-Step Guide for Care Homes</title>
      <link>https://inspectready.co.uk/blog/cqc-mock-inspection-guide/</link>
      <guid isPermaLink="true">https://inspectready.co.uk/blog/cqc-mock-inspection-guide/</guid>
      <pubDate>Sat, 21 Mar 2026 00:00:00 GMT</pubDate>
      <description>How to run a CQC mock inspection in your care home — step-by-step process, sample questions for staff, document checklist, and how to act on findings.</description>
      <content:encoded><![CDATA[
*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](https://www.cqc.org.uk/about-us/how-we-will-regulate/single-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](/blog/cqc-evidence-pack-guide/). 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](/blog/how-often-are-cqc-inspections/) 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](https://www.legislation.gov.uk/uksi/2014/2936/regulation/17).
- **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:

1. **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.
2. **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.
3. **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](/blog/cqc-quality-statements-explained/) 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](/blog/cqc-evidence-pack-guide/).

## 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):**
- [ ] DBS certificates
- [ ] Two references (including most recent employer)
- [ ] Full employment history with gaps explored
- [ ] Right to work documentation
- [ ] Health declaration
- [ ] Interview records
- [ ] Induction completion records
- [ ] Supervision records (6-8 weekly)
- [ ] Annual appraisal

**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](https://www.legislation.gov.uk/uksi/2014/2936/contents). For a deeper walkthrough of documentation organisation, see our [CQC compliance guide for small care homes](/blog/cqc-compliance-guide-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](/tools/cqc-readiness-assessment/) scores your service against the quality statements and highlights the areas that need the most attention. The [Evidence Gap Checker](/tools/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](/blog/preparing-first-cqc-inspection/).
]]></content:encoded>
    </item>
    <item>
      <title>What Do CQC Look For? A Checklist for Care Homes</title>
      <link>https://inspectready.co.uk/blog/what-do-cqc-look-for/</link>
      <guid isPermaLink="true">https://inspectready.co.uk/blog/what-do-cqc-look-for/</guid>
      <pubDate>Sat, 14 Mar 2026 00:00:00 GMT</pubDate>
      <description>What CQC look for in care homes during inspections — the five key questions, evidence categories, common findings, and a practical checklist to prepare.</description>
      <content:encoded><![CDATA[
# What Do CQC Look For? A Checklist for Care Homes

CQC assesses care homes against five key questions — Safe, Effective, Caring, Responsive, and Well-Led — using the [single assessment framework](https://www.cqc.org.uk/about-us/how-we-will-regulate/single-assessment-framework) introduced in November 2023. Under each question sit quality statements describing what good care looks like, and CQC gathers evidence across six categories to make judgements.

This guide distils what CQC actually focuses on during care home assessments into a practical checklist you can use today.

## The five key questions at a glance

| Key Question | What CQC is asking | What trips homes up |
|---|---|---|
| **Safe** | Are people protected from abuse and avoidable harm? | Medication errors, missing risk assessments, gaps in safeguarding knowledge |
| **Effective** | Does care achieve good outcomes? | Generic care plans, missing capacity assessments, outdated training |
| **Caring** | Are people treated with compassion and dignity? | Task-focused care delivery, lack of resident involvement, privacy breaches |
| **Responsive** | Are services organised around people's needs? | Poor complaints handling, no evidence of personalisation, rigid routines |
| **Well-Led** | Is leadership effective and does the service learn? | Audits without actions, no governance structure, no evidence of improvement |

For a full breakdown of all 34 quality statements under these questions, see our [quality statements guide](/blog/cqc-quality-statements-explained/).

## How CQC gathers evidence

CQC does not just read your files. They gather evidence from six categories, and a strong assessment relies on consistency across all of them:

1. **People's experience** — What residents and families say about the care
2. **Staff feedback** — What your team reports about working conditions, support, and culture
3. **Partner feedback** — What GPs, pharmacists, local authorities, and other professionals say
4. **Observation** — What assessors see during visits (environment, interactions, mealtimes)
5. **Processes** — Your policies, audits, care plans, risk assessments, and governance documents
6. **Outcomes and data** — Measurable results: incidents, infection rates, complaints trends, staffing data

The most common mistake is over-relying on process evidence (policies and audits) while neglecting people's experience and outcomes data. CQC weights the lived experience of residents heavily.

## What CQC look for: the practical checklist

### Safe

- [ ] Monthly medication audits completed with action plans and evidence of follow-up
- [ ] MAR charts fully signed with no unexplained gaps
- [ ] PRN protocols in place for every as-required medication
- [ ] Controlled drugs register checks at every shift handover
- [ ] Individual risk assessments (falls, nutrition, skin integrity, moving and handling) current and reviewed after incidents
- [ ] Environmental risk assessments current (fire, legionella, COSHH)
- [ ] Safeguarding lead identified; all staff can name them and describe the referral process
- [ ] Safeguarding training current for all staff with evidence of competency testing
- [ ] Incident and accident log up to date with investigation and learning documented
- [ ] Statutory notifications submitted to CQC without delay under [Regulation 18 of the CQC (Registration) Regulations 2009](https://www.legislation.gov.uk/uksi/2009/3112/regulation/18)
- [ ] Staffing levels assessed using a dependency tool, with rota evidence matching assessed needs
- [ ] IPC audit programme running monthly (hand hygiene, environmental cleanliness, PPE)

### Effective

- [ ] Care plans personalised, based on thorough assessment, reviewed monthly or after significant change
- [ ] Resident and/or family involvement in care plan reviews documented
- [ ] Decision-specific mental capacity assessments on file where restrictions apply
- [ ] Best-interest decisions documented with evidence of consultation
- [ ] DoLS applications submitted where appropriate, with a status tracker
- [ ] Staff training matrix at 100% mandatory compliance
- [ ] Care Certificate completed for staff new to care
- [ ] Supervision records (6-8 weekly minimum) and annual appraisals on file
- [ ] Evidence of evidence-based practice (NICE guidelines referenced in care plans where relevant)

### Caring

- [ ] Staff can describe individual residents' needs, preferences, and what matters to them
- [ ] Observation shows respectful interactions — knocking before entering, maintaining privacy during personal care
- [ ] Residents have choice over daily routines (meals, activities, getting up, going to bed)
- [ ] Residents and families are involved in decisions about their care
- [ ] Accessible information provided in appropriate formats

### Responsive

- [ ] Complaints policy displayed and included in welcome packs
- [ ] Complaints log captures verbal and written complaints, with investigation, written response, and outcome
- [ ] Evidence of practice changes resulting from complaints
- [ ] Individualised activity plans based on assessed interests
- [ ] Admission assessments completed thoroughly within 48 hours
- [ ] Escalation route to the [Local Government and Social Care Ombudsman](https://www.lgo.org.uk/) clearly stated in complaints materials

### Well-Led

- [ ] Monthly audit programme consistently completed for 6+ months
- [ ] Every audit generates an action plan with named owners, deadlines, and evidence of completion
- [ ] Governance meetings held regularly (at least quarterly) with minutes showing discussion of audit findings, incidents, complaints, and staffing
- [ ] Nominated individual oversight documented (visit reports, provider-level assurance)
- [ ] Service improvement plan in place and actively maintained
- [ ] Staff meetings where CQC findings, audit results, and improvement plans are discussed
- [ ] Feedback sought from residents, families, and staff (surveys, meetings) with evidence of response
- [ ] Policies current, version-controlled, and reviewed within 12 months

## The most common CQC findings in care homes

Based on published inspection reports, these are the areas where homes most frequently receive enforcement action:

1. **[Regulation 12](https://www.legislation.gov.uk/uksi/2014/2936/regulation/12) — Safe care and treatment.** Medication management failures account for the largest share. Incomplete MAR charts, missing PRN protocols, and poor fridge temperature monitoring are the most cited.

2. **[Regulation 17](https://www.legislation.gov.uk/uksi/2014/2936/regulation/17) — Good governance.** Audits completed but with no action follow-up. This is worse than having no audit — it proves you identified problems and did nothing.

3. **[Regulation 18](https://www.legislation.gov.uk/uksi/2014/2936/regulation/18) — Staffing.** No dependency assessment tool used. Agency staff not inducted. Training not current.

4. **[Regulation 11](https://www.legislation.gov.uk/uksi/2014/2936/regulation/11) — Consent.** Blanket capacity assessments instead of decision-specific ones. Best-interest decisions not documented.

For the full list of regulations and what each requires, see our [fundamental standards guide](/blog/fundamental-standards-of-care/).

## How to use this checklist

Work through each section honestly. For every item you cannot tick:

1. **Identify the gap** — What is missing or incomplete?
2. **Assign an owner** — Who will fix it and by when?
3. **Evidence the fix** — What will demonstrate the gap has been closed?
4. **Re-check** — Come back in 4 weeks and verify it is embedded, not just done once.

Our free [CQC Readiness Assessment](/tools/cqc-readiness-assessment/) automates this process — it walks you through each quality statement and produces a prioritised action list. The [Evidence Gap Checker](/tools/evidence-gap-checker/) identifies specific documentation gaps. Both take about 15 minutes and give you a clear picture of where you stand.

For a comprehensive guide to building and maintaining your compliance framework, see our [CQC compliance guide for small care homes](/blog/cqc-compliance-guide-small-care-homes/).
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    </item>
    <item>
      <title>How Often Are CQC Inspections? Frequency, Triggers, and What to Expect</title>
      <link>https://inspectready.co.uk/blog/how-often-are-cqc-inspections/</link>
      <guid isPermaLink="true">https://inspectready.co.uk/blog/how-often-are-cqc-inspections/</guid>
      <pubDate>Sat, 07 Mar 2026 00:00:00 GMT</pubDate>
      <description>How often CQC inspects care homes under the single assessment framework — inspection frequency, what triggers assessments, focused vs full inspections, and how to check your last rating.</description>
      <content:encoded><![CDATA[
There is no fixed schedule for CQC inspections. Under the current single assessment framework, CQC uses a risk-based model rather than a set cycle, which means how often CQC inspections happen depends on your rating, your data profile, and whether anything has flagged concern. For care homes rated Good, the historical aim was roughly every two to three years — but in 2026, many homes have not been assessed since before the framework changed in November 2023.

This guide covers how the current system works, what triggers CQC assessments, and what you can do to check where you stand.

## The short answer: CQC does not inspect on a fixed timetable

Before the single assessment framework launched, CQC aimed to re-inspect care homes rated Good approximately every 30 months and those rated Requires Improvement or Inadequate more frequently (typically within 12 months). That frequency was never a guarantee, and it no longer applies as a formal target. CQC has moved to **continuous assessment** where data monitoring, feedback analysis, and risk signals determine when and how a service is assessed.

In practice:

- **Good-rated homes** may go significantly longer than 30 months between on-site assessments
- **Requires Improvement and Inadequate-rated homes** remain higher priority for reassessment
- **New registrations** require initial assessment, which CQC prioritises
- **Any home** can face a focused assessment at short notice if data signals suggest a concern

## The backlog: why many homes have waited years

CQC's transition to the single assessment framework caused substantial disruption. The independent review led by Dr Penny Dash, published in October 2024, found "significant operational failings" in how the new system was implemented. Assessment volumes dropped sharply, creating a backlog CQC is still working through.

CQC's 2025/26 business plan set a target of 9,000 assessments across approximately 28,000 adult social care locations. Even at that rate, it would take over three years to assess every service once. The Department of Health and Social Care's response to the Dash review, "Better regulation, better care," set expectations for CQC to restore volumes and prioritise services that have gone longest without assessment — but the 9,000 target is an acceleration, not a return to pre-pandemic throughput.

For a detailed breakdown, see our [analysis of CQC's 9,000-assessment target](/blog/cqc-inspection-backlog-2026/).

## Full assessments vs focused assessments

CQC conducts two main types of assessment under the current framework.

### Full assessments

A full assessment covers all five key questions — Safe, Effective, Caring, Responsive, and Well-led — and produces a complete set of ratings on the four-point scale (Outstanding, Good, Requires Improvement, Inadequate). Full assessments are more likely for services that have not been assessed for a long time, new registrations, and services where CQC has concerns across multiple areas.

### Focused assessments

A focused assessment examines specific quality statements or key questions rather than the whole framework. CQC uses these to respond to a particular concern or follow up on a previous finding.

A focused assessment can still change your rating. If CQC assesses only the Safe key question and finds significant concerns, your Safe rating can be downgraded — which may pull your overall rating down with it. You do not need a full assessment to move from Good to Requires Improvement. Focused assessments count towards the 9,000-assessment target for 2025/26.

## What triggers a CQC assessment

Assessment activity is driven by a risk model that combines multiple data sources. Understanding these triggers helps you ensure nothing in your data profile is sending unintended signals.

### Data signals CQC monitors

CQC continuously monitors:

- **Statutory notifications** — submitted under Regulation 18 of the Care Quality Commission (Registration) Regulations 2009. Deaths, serious injuries, safeguarding incidents, and events threatening service continuity must all be notified. Under-notification is itself a risk signal.
- **Safeguarding referral data** — shared by local authorities. A spike in referrals involving your home raises your risk profile.
- **Complaints to CQC** — submitted through the "Give feedback on care" service. Patterns of complaints can trigger focused assessment activity.
- **Workforce data** — vacancy rates, agency reliance, and training completion rates feed into the risk model through national datasets.
- **Partner intelligence** — feedback from GPs, local authority commissioners, Healthwatch, and other bodies that interact with your service.

### Events that can trigger immediate assessment

- A safeguarding enquiry involving serious harm or death
- A whistleblower disclosure from staff or a professional
- Multiple complaints raising similar concerns within a short period
- Intelligence from local authority quality monitoring visits
- Media reporting about your service
- A significant change in registration (new manager, change of provider)

### Time since last assessment

Services assessed longest ago are prioritised. If your last inspection predates the single assessment framework (before November 2023), you are higher in the queue regardless of your current rating.

## How continuous monitoring works

Under the single assessment framework, CQC gathers evidence about your service on an ongoing basis — not only during on-site visits. CQC can and does:

1. **Review statutory notifications** in real time and compare patterns against similar services
2. **Receive and analyse feedback** from the public, staff, and partners at any time
3. **Request evidence remotely** before deciding whether an on-site visit is needed
4. **Conduct interviews by phone or video** without visiting your premises
5. **Update risk profiles** based on aggregated data, changing your assessment priority without direct interaction

Your published rating can become out of step with CQC's internal view of your service. A home rated Good three years ago might already be flagged as elevated risk based on data received since.

Our [guide to CQC quality statements](/blog/cqc-quality-statements-explained/) covers each of the 34 statements and evidence categories that feed into this model.

## Are CQC inspections unannounced?

Most CQC assessment visits to care homes are **unannounced**. The default position, established under the Health and Social Care Act 2008, is that CQC has the right to enter and inspect registered premises at any reasonable time without notice. CQC may give short notice in limited circumstances — for example, to ensure a specific person is available — but you should always assume an assessor could arrive on any working day.

Under continuous assessment, the first contact from CQC may be a remote evidence request rather than a knock on the door — and the timeline for responding is typically short. If your evidence is only assembled when you know someone is coming, you are exposed.

## How to check your last CQC inspection date

Search for your service on [cqc.org.uk](https://www.cqc.org.uk/) by name, location, or provider. Your profile shows:

- Your current overall rating and individual key question ratings
- The date of your last inspection or assessment
- The published inspection report
- Any enforcement actions or conditions on your registration

If your last inspection date is before November 2023, your next assessment will be under the single assessment framework — a different system from the one you were last assessed against. The five key questions remain, but the evidence framework, quality statements, and methodology have all changed. Our [complete CQC compliance guide for small care homes](/blog/cqc-compliance-guide-small-care-homes/) covers the current framework in detail.

## What the legal framework says

CQC's powers and assessment frequency are governed by:

- **Health and Social Care Act 2008** — establishes CQC, grants inspection and enforcement powers. Section 60 gives CQC the right to enter and inspect registered premises.
- **Care Quality Commission (Registration) Regulations 2009** — sets out provider duties including statutory notifications under Regulation 18 and Schedule 3, which feed directly into the risk model.
- **Health and Social Care Act 2008 (Regulated Activities) Regulations 2014** — contains the fundamental standards (Regulations 9-20) against which providers are assessed.

None of this legislation prescribes a fixed inspection frequency. When and how to assess a service is left to CQC's discretion, guided by its risk-based approach.

## How to prepare when you do not know when inspection is coming

CQC's model is designed so that the best preparation is running a well-governed service every day. But specific steps make a difference:

1. **Check your statutory notifications** — review the past 12 months and confirm you have reported everything required under the CQC (Registration) Regulations 2009. Under-notification is one of the clearest risk signals.
2. **Review your CQC profile** — does your published rating still reflect reality? If things have improved, have evidence ready. If quality has slipped, address it now.
3. **Organise evidence by quality statement** — structure files around the 34 quality statements rather than by document type so you can respond quickly when CQC makes contact.
4. **Brief your team** — staff who can confidently describe the care they provide and how they raise concerns are your strongest asset in any assessment.
5. **Run regular self-audits** — medicines, care plans, infection control, and governance are the areas most frequently cited in enforcement actions. Monthly audits with documented actions close the gap between what CQC expects and what you can demonstrate.

## Frequently asked questions

**Important:** There is no guaranteed CQC inspection schedule. All timeframes mentioned in this guide are historical patterns and targets, not commitments. CQC can assess any registered service at any time based on risk.

### What is a CQC inspection?

A CQC inspection — now formally called an assessment under the [single assessment framework](https://www.cqc.org.uk/about-us/how-we-will-regulate/single-assessment-framework) — is a review of a registered health or social care service by the Care Quality Commission. CQC is the independent regulator of health and social care in England, established under the Health and Social Care Act 2008. During an assessment, CQC gathers evidence across six categories (people's experience, staff feedback, partner feedback, observation, processes, and outcomes data) to rate your service against five key questions: Safe, Effective, Caring, Responsive, and Well-Led. Each key question receives a rating of Outstanding, Good, Requires Improvement, or Inadequate.

### How often do CQC inspect care homes?

There is no fixed cycle. CQC uses a risk-based approach where data signals, complaints, and time since last assessment determine when a home is assessed. Historically, Good-rated homes were assessed roughly every two to three years, but the current backlog means many have waited significantly longer. CQC's 2025/26 target is 9,000 assessments across approximately 28,000 adult social care locations.

### How often do CQC inspect?

CQC assesses all registered health and social care services, not just care homes. The frequency varies by sector and risk level. For adult social care, the principles are the same — risk-based prioritisation with no guaranteed timetable. Services rated Inadequate or Requires Improvement are assessed more frequently than those rated Good or Outstanding.

### Are CQC inspections unannounced?

Yes, in the vast majority of cases. The Health and Social Care Act 2008 gives CQC the legal power to enter and inspect registered premises at any reasonable time. Short notice may occasionally be given for practical reasons, but assume an assessor could arrive on any working day.

### What are the 3 types of CQC inspections?

Under the single assessment framework there are three main types of CQC assessment activity: **full assessments** (covering all five key questions and producing a complete set of ratings), **focused assessments** (examining specific quality statements in response to a concern, data signal, or follow-up — these can still change your rating for the key questions assessed), and **ongoing monitoring** (continuous analysis of statutory notifications, complaints, partner feedback, and national datasets that feeds into CQC's risk model and can trigger either type of assessment). A focused assessment is the most common form of reassessment for homes with an existing rating.

### How do I find out when my care home was last inspected?

Visit [cqc.org.uk](https://www.cqc.org.uk/) and search for your service. Your profile shows the date of your last inspection, your current ratings, and the published report.

## Take stock of where you stand

If your last assessment predates the single assessment framework — or was more than two years ago — your next one could arrive at any point under a different system from what you last experienced.

Rather than waiting to find out where you stand when an assessor makes contact, find out now. Our free [CQC Readiness Assessment](/tools/cqc-readiness-assessment/) walks you through each quality statement under the current framework and produces a gap analysis showing where your evidence is strong and where to focus first. It takes about 15 minutes.
]]></content:encoded>
    </item>
    <item>
      <title>CQC Quality Statements Explained: What Each One Means for Your Care Home</title>
      <link>https://inspectready.co.uk/blog/cqc-quality-statements-explained/</link>
      <guid isPermaLink="true">https://inspectready.co.uk/blog/cqc-quality-statements-explained/</guid>
      <pubDate>Sat, 28 Feb 2026 00:00:00 GMT</pubDate>
      <description>All 34 CQC quality statements across the five key questions explained, with practical evidence examples for care home managers preparing for assessment.</description>
      <content:encoded><![CDATA[
The CQC's single assessment framework replaced the old key lines of enquiry (KLOEs) with 34 quality statements spread across five key questions. If you manage a care home, understanding what each statement actually asks for — and what evidence demonstrates compliance — is the difference between a confident inspection and a scramble through filing cabinets.

This guide breaks down every quality statement with the type of evidence CQC assessors typically look for. Use it as a reference when building your evidence portfolio or preparing staff for assessment conversations.

## Quick reference

| Key Question | Statements | Focus |
|---|---|---|
| [Safe](#safe-7-quality-statements) | S1–S7 | Safeguarding, staffing, IPC, risk, environment |
| [Effective](#effective-6-quality-statements) | E1–E6 | Needs assessment, evidence-based care, consent |
| [Caring](#caring-4-quality-statements) | C1–C4 | Dignity, independence, responsiveness |
| [Responsive](#responsive-3-quality-statements) | R1–R3 | Person-centred care, integration, information |
| [Well-Led](#well-led-14-quality-statements) | W1–W14 | Governance, culture, partnerships, learning |

## How the quality statements work

Under the [single assessment framework](https://www.cqc.org.uk/about-us/how-we-will-regulate/single-assessment-framework) introduced in November 2023, CQC gathers evidence against quality statements rather than the previous KLOEs. Each statement sits under one of the five key questions and maps to a specific "We" statement describing what good looks like.

Evidence can come from six categories CQC uses to gather information:

1. **People's experience** — feedback from residents, families, advocates
2. **Feedback from staff and leaders** — supervision records, staff surveys, whistleblowing logs
3. **Feedback from partners** — GP letters, social worker correspondence, safeguarding board communications
4. **Observation** — what assessors see during site visits
5. **Processes** — your policies, audits, governance records
6. **Outcomes** — measurable results like falls data, infection rates, complaint resolution times

For each quality statement below, consider what evidence you hold across these six categories.

## Safe (7 quality statements)

The Safe key question asks: are people protected from abuse, avoidable harm, and neglect? Under the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014, Regulations 12–18 set the legal baseline here.

### S1 — Learning culture

**What it means:** You identify and respond to risks, and you learn from safety events including near-misses and incidents.

**Evidence examples:** Incident and accident logs with documented root cause analysis. Minutes from lessons-learned meetings. Changes to care plans following incidents. Staff training records showing updates after safety events. Your policy on duty of candour (Regulation 20).

### S2 — Safe systems, pathways and transitions

**What it means:** People move safely between services, and staffing levels keep people safe at all times.

**Evidence examples:** Staffing rotas mapped against resident dependency levels. Handover documentation. Hospital transfer records including completed SBAR or similar tools. Admission and discharge checklists. Evidence of staffing reviews when occupancy changes.

### S3 — Safeguarding

**What it means:** People are protected from abuse and neglect, and staff know how to recognise and respond to safeguarding concerns.

**Evidence examples:** Safeguarding policy referencing the Care Act 2014, sections 42–46. Training records (Level 1 for all staff, Level 2 for designated leads). Safeguarding referral log with outcomes. DBS check records. Evidence of Mental Capacity Act 2005 assessments and best interests decisions. DoLS applications and authorisations.

### S4 — Involving people to manage risks

**What it means:** Risks are assessed and managed with the person's involvement, balancing safety with personal choice.

**Evidence examples:** Individual risk assessments signed or contributed to by the resident (or their representative where capacity is lacking). Care plans showing risk-positive approaches. Evidence that residents have been offered choices and that the reasoning behind risk decisions is documented.

### S5 — Safe environments

**What it means:** The physical environment is safe, well-maintained, and suitable.

**Evidence examples:** Fire risk assessment (current, reviewed annually as per the Regulatory Reform (Fire Safety) Order 2005). Legionella risk assessment and water temperature records. Equipment maintenance logs (hoists, bath chairs, beds). COSHH records. Environmental risk assessments. PAT testing certificates.

### S6 — Safe and effective staffing

**What it means:** There are enough qualified, skilled, and experienced staff to keep people safe.

**Evidence examples:** Dependency tool calculations (e.g., using a recognised tool such as the Telford or similar). Staffing rotas for the past 3 months. Recruitment files showing pre-employment checks per Schedule 3 of the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014. Induction records. Supervision and appraisal logs.

### S7 — Infection prevention and control

**What it means:** Systems are in place to prevent, detect, and control the spread of infection.

**Evidence examples:** IPC policy reviewed at least annually. IPC audit results (monthly recommended). Hand hygiene audit records. PPE stock management records. Cleaning schedules and environmental cleanliness audits. Outbreak management plans. COVID-19 IPC arrangements aligned with UKHSA guidance.

## Effective (6 quality statements)

The Effective key question asks: does care achieve good outcomes and help people maintain quality of life? This maps primarily to Regulations 9, 11, 12, 17, and 18.

### E1 — Assessing needs

**What it means:** People's needs are assessed accurately, and care is delivered in line with current legislation and best practice.

**Evidence examples:** Pre-admission assessments covering physical, mental health, nutritional, and social needs. Evidence of using validated tools (Waterlow for pressure ulcer risk, MUST for malnutrition, Abbey Pain Scale for non-verbal residents). Assessments reviewed after significant changes.

### E2 — Delivering evidence-based care and treatment

**What it means:** Care and treatment is delivered in line with legislation and current evidence-based good practice.

**Evidence examples:** Care plans referencing NICE guidelines (e.g., NG97 for dementia, CG161 for falls). Policies updated to reflect current legislation. Evidence that staff are aware of and apply best practice guidance.

### E3 — How staff, teams and services work together

**What it means:** Staff work collaboratively and share information to deliver joined-up care.

**Evidence examples:** Multidisciplinary team meeting notes. Evidence of timely GP referrals and follow-up. Communication with community nurses, physiotherapists, speech and language therapists. Handover records showing continuity.

### E4 — Supporting people to live healthier lives

**What it means:** People are supported to manage their health and wellbeing, and to access healthcare services.

**Evidence examples:** Records of health appointments attended (dentist, optician, podiatry, GP reviews). Screening participation records. Nutritional monitoring (weight charts, MUST scores, food and fluid charts where indicated). Oral health care plans per NICE NG48.

### E5 — Monitoring and improving outcomes

**What it means:** Outcomes for people are routinely monitored, and care is adjusted accordingly.

**Evidence examples:** Key performance indicators tracked monthly (falls rates, pressure ulcers, infections, hospital admissions, weight changes). Audit results showing trends over time. Evidence that audit findings lead to action plans with deadlines and named owners.

### E6 — Consent to care and treatment

**What it means:** People's consent is sought in line with legislation, and staff understand and apply the Mental Capacity Act 2005.

**Evidence examples:** Signed consent forms. Mental capacity assessments where capacity is in doubt (decision-specific, time-specific). Best interests decision records. DoLS applications and authorisations tracked and reviewed. Training records for MCA/DoLS.

## Caring (4 quality statements)

The Caring key question asks: does the service treat people with compassion, kindness, dignity, and respect? This maps to Regulations 9, 10, and 13.

### C1 — Kindness, compassion and dignity

**What it means:** People are treated with kindness, empathy, and compassion, and their dignity is upheld.

**Evidence examples:** Resident and family feedback (surveys, compliments, complaints). Observation records showing personalised interactions. Dignity audits. Named examples of how staff have responded to individual preferences or cultural needs.

### C2 — Treating people as individuals

**What it means:** Care is personalised and takes account of people's strengths, abilities, aspirations, and culture.

**Evidence examples:** "This is me" or "About me" documents in care plans. Evidence of life history work. Activities tailored to individual interests. Cultural, religious, and dietary preferences documented and met.

### C3 — Independence, choice and control

**What it means:** People are supported to be as independent as possible and to make choices about their own care.

**Evidence examples:** Care plans showing goals for independence. Evidence of residents choosing daily routines (mealtimes, activities, waking/sleeping times). Use of assistive technology. Risk assessments that support positive risk-taking.

### C4 — Responding to people's immediate needs

**What it means:** People can get help, support, and information when they need it.

**Evidence examples:** Call bell response time audits. Staffing levels during peak demand periods. Evidence that staff are visible and accessible. Complaint records showing timely responses.

## Responsive (3 quality statements)

The Responsive key question asks: are services organised to meet people's needs? This maps primarily to Regulations 9, 16, and 17.

### R1 — Person-centred care

**What it means:** Care is designed and delivered around what matters to the individual.

**Evidence examples:** Person-centred care plans with "I" statements. Resident involvement in care plan reviews (documented). Evidence of advanced care planning conversations. Activity programmes reflecting individual preferences and assessed needs.

### R2 — Care provision, integration and continuity

**What it means:** Care is joined up, and people experience smooth transitions.

**Evidence examples:** Discharge and transfer documentation. Coordination with other services (district nurses, mental health teams, palliative care). Named key workers for each resident. Evidence of consistent staffing where possible.

### R3 — Providing information

**What it means:** People receive clear, accessible information about their care and the service.

**Evidence examples:** Service user guide provided at admission. Information in accessible formats (large print, Easy Read, translated where needed). Evidence that residents and families know how to raise concerns. Displayed complaints procedure.

## Well-Led (14 quality statements)

The Well-Led key question asks: does leadership and governance ensure high-quality, person-centred care? This is the largest group, mapping to Regulations 5, 17, 18, and 20. It also underpins all other key questions.

### W1 — Shared direction and culture

**What it means:** There is a clear, shared vision for the service and a positive, open culture.

**Evidence examples:** Written vision and values statement. Evidence that staff can articulate the service's purpose. Staff survey results. Whistleblowing policy and evidence it is accessible to staff.

### W2 — Capable, compassionate and inclusive leaders

**What it means:** Leaders have the skills, knowledge, experience, and integrity to lead effectively.

**Evidence examples:** Registered manager qualifications (Level 5 Diploma in Leadership for Health and Social Care or equivalent). Leadership CPD records. Evidence of manager's fitness per Regulation 5 (fit and proper persons: directors). CQC notifications submitted on time.

### W3 — Freedom to speak up

**What it means:** People, staff, and partners can speak up and their concerns are responded to.

**Evidence examples:** Whistleblowing policy and log. Freedom to Speak Up Guardian (if appointed). Staff meeting minutes showing open discussion. Anonymous feedback mechanisms. Evidence of action taken following concerns raised.

### W4 — Workforce equality, diversity and inclusion

**What it means:** Equality and diversity are promoted across the workforce.

**Evidence examples:** Equality and diversity policy. Training records. Workforce demographic monitoring. Evidence of reasonable adjustments for staff with disabilities. Recruitment practices that demonstrate fair and inclusive processes.

### W5 — Governance, management and sustainability

**What it means:** There are effective governance systems that ensure accountability, performance monitoring, and continuous improvement.

**Evidence examples:** Governance meeting minutes (monthly recommended). Quality assurance frameworks. Audit schedule and completed audits. Action plans with evidence of completion. Financial sustainability indicators. Business continuity plan.

### W6 — Partnerships and communities

**What it means:** The service works in partnership with others to deliver care and support.

**Evidence examples:** Relationships with local authority commissioners. Healthwatch engagement. Links with community groups, volunteers, faith organisations. Evidence of responding to community needs.

### W7 — Learning, improvement and innovation

**What it means:** The service learns, improves, and innovates.

**Evidence examples:** Quality improvement projects with documented outcomes. Benchmarking against similar services. Engagement with research or pilot projects. Evidence of implementing recommendations from inspections, complaints, or incidents.

### W8 — Environmental sustainability

**What it means:** The service considers its environmental impact and takes steps to reduce it.

**Evidence examples:** Environmental sustainability plan. Waste management and recycling records. Energy efficiency measures. Evidence of working toward the NHS net zero commitment where applicable.

### W9–W14 — Additional governance statements

The remaining well-led statements (W9 through W14) cover specific governance areas including robust information governance (Regulation 17), accurate and timely notifications to CQC (Regulation 18), financial governance, and effective use of resources. Evidence includes Data Protection Impact Assessments, Caldicott Guardian arrangements, CQC notification logs, and budget management records.

## Pulling it all together

The volume of evidence across 34 statements can feel overwhelming. A practical approach:

1. **Map what you already have.** Most care homes hold 70–80% of the evidence CQC wants — it is just not organised against the quality statements. Start by listing what you already collect and matching it to the relevant statement.

2. **Prioritise gaps in Safe and Effective.** These two key questions generate the most enforcement action. If you only have time to strengthen evidence in two areas, make it these.

3. **Keep evidence current.** Assessors look at the past 12 months most closely. A brilliant audit from 2023 carries little weight if nothing since supports it.

4. **Use a consistent filing structure.** Whether paper or digital, organise evidence folders by key question and quality statement code (S1, S2, E1, etc.). This makes retrieval during inspection straightforward.

For a complete walkthrough of how the single assessment framework applies to smaller services, see our [CQC compliance guide for small care homes](/blog/cqc-compliance-guide-small-care-homes/). If you need guidance on organising this evidence into a usable portfolio, our [guide to building a CQC evidence pack](/blog/cqc-evidence-pack-guide/) covers filing structures and common mistakes.

You can also use our [CQC Readiness Self-Assessment](/tools/cqc-readiness-assessment/) to identify which quality statements need the most attention in your service, or the [Evidence Gap Checker](/tools/evidence-gap-checker/) to quickly highlight missing documentation.
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    <item>
      <title>CQC Inspection Backlog: What the 9,000-Assessment Target Means for Your Care Home</title>
      <link>https://inspectready.co.uk/blog/cqc-inspection-backlog-2026/</link>
      <guid isPermaLink="true">https://inspectready.co.uk/blog/cqc-inspection-backlog-2026/</guid>
      <pubDate>Sat, 21 Feb 2026 00:00:00 GMT</pubDate>
      <description>CQC&apos;s inspection backlog, the 9,000-assessment target for 2025/26, and what the Penny Dash review means for your care home. Practical steps to prepare.</description>
      <content:encoded><![CDATA[
# CQC Inspection Backlog: What the 9,000-Assessment Target Means for Your Care Home

*This article contains time-sensitive policy figures and regulatory context. Key sources: [Penny Dash independent review of CQC (October 2024)](https://www.gov.uk/government/publications/independent-review-of-the-care-quality-commission), [DHSC "Better regulation, better care" response (2024)](https://www.gov.uk/government/publications/better-regulation-better-care), [CQC business plan 2025/26](https://www.cqc.org.uk/about-us/our-strategy-plans/business-plan). Figures quoted were accurate at publication; verify against current CQC publications for the latest position. Next scheduled review: Q2 2026.*

Thousands of care homes across England are operating with CQC ratings based on inspections conducted before the pandemic. An ITV News investigation highlighted that many adult social care services had not received an inspection since 2020 or earlier, with some ratings based on visits from as far back as 2018. For residents, families, and commissioners relying on those ratings to make decisions, the published rating may bear little resemblance to the current reality of care.

CQC knows this is a problem. The question is what they are doing about it — and what it means for your preparation.

## What the Penny Dash Review Found

In October 2024, Dr Penny Dash published her independent review of CQC, commissioned by the Secretary of State for Health and Social Care. The findings were blunt:

- CQC's transition to the Single Assessment Framework had caused "significant operational failings"
- Assessment volumes had dropped substantially during the transition period
- The new regulatory platform and portal had technical problems that slowed assessor workflow
- Provider confidence in CQC's ability to identify and act on quality concerns had declined
- There were concerns about consistency in how the new framework was being applied across different assessment teams

The review did not recommend abandoning the Single Assessment Framework — it recommended fixing the implementation. That distinction matters because the framework itself, with its 34 quality statements and six evidence categories, is not going away. What is changing is the pace and consistency of how it is applied.

CQC accepted the review's recommendations and committed to an improvement programme. The Department of Health and Social Care's response, "Better regulation, better care," set out expectations including restoring assessment volumes and improving the reliability of CQC's operations.

## The 9,000-Assessment Target

[CQC's 2025/26 business plan](https://www.cqc.org.uk/about-us/our-strategy-plans/business-plan) set a target of completing 9,000 assessments by September 2026. To put that in context, CQC regulates approximately 28,000 adult social care locations in England. Even at 9,000 assessments per year, it would take more than three years to assess every service once.

But those 9,000 assessments will not be evenly distributed. CQC has indicated it will prioritise:

1. **Services not assessed for the longest period** — if your last inspection was 2021 or earlier, you are near the front of the queue
2. **Services where data signals suggest risk** — high safeguarding referral rates, statutory notification patterns, complaints data, and workforce indicators all feed into CQC's risk model
3. **Services with current Requires Improvement or Inadequate ratings** — these have always been subject to more frequent assessment
4. **New registrations and services that have changed provider** — these require initial assessment under the new framework

CQC also conducts focused assessments, which look at specific quality statements rather than the full framework. A focused assessment on "Safe and effective staffing" or "Safeguarding" can be triggered by data signals without a full assessment being scheduled. These count towards the 9,000 target and can result in rating changes.

## The Shift to Continuous Assessment

The 9,000-assessment target is only part of the picture. Under the Single Assessment Framework, CQC is moving towards a model of continuous assessment that reduces reliance on periodic on-site inspections. This means:

**Data monitoring is ongoing.** CQC receives and analyses data continuously from multiple sources — statutory notifications submitted by providers under the Care Quality Commission (Registration) Regulations 2009, safeguarding referrals from local authorities, feedback submitted through CQC's public-facing "Give feedback on care" service, and national datasets on workforce, admissions, and outcomes.

**Assessments can be remote.** CQC can request evidence, conduct interviews, and review documentation without visiting your home. A remote evidence request followed by a focused assessment is a realistic scenario for many homes in 2026.

**Ratings can change without a full inspection.** A focused assessment on one or two quality statements can lead to a rating change for an individual key question, which can in turn affect the overall rating. You do not need a full reassessment to go from Good to Requires Improvement — a single focused assessment finding significant concerns under "Safe" can trigger a downgrade.

**Third-party feedback carries weight.** Under the SAF's evidence category framework, "People's experience of health and care services" and "Feedback from partners" are primary evidence sources. A pattern of negative feedback from residents' families, GPs, or local authority commissioners can trigger assessment activity independently of any inspection schedule.

## What This Means Practically

If your last CQC assessment was before the Single Assessment Framework launched in November 2023, your next assessment will be under a different system than the one you were last assessed against. The five key questions remain the same, but the evidence framework has changed. Preparing for your next assessment means understanding the current framework, not the one you last experienced.

Here is what to do:

### 1. Check Your CQC Profile

Log into your CQC provider portal and review your statutory notification history. Are there gaps? Under-notification is one of the data signals CQC monitors. Under Regulation 18 of the CQC (Registration) Regulations 2009, you are required to notify CQC of deaths, serious injuries, safeguarding incidents, events affecting service continuity, and other specified events without delay.

If you have been under-reporting — even unintentionally — correct this now. A sudden spike in notifications after years of low reporting will itself draw attention, but the alternative (continued under-notification) is a regulatory breach.

### 2. Review Your Rating Against Current Reality

Look at your published CQC rating and ask honestly: does it still reflect the quality of care you provide? If your team, resident cohort, or operational circumstances have changed significantly since your last inspection, your evidence needs to reflect your current position.

If you have improved since a Requires Improvement rating, have evidence ready to demonstrate it. If quality has dipped since a Good rating, identify the issues and address them now rather than waiting for an assessor to find them.

### 3. Assess Yourself Against the 34 Quality Statements

The quality statements are published on CQC's website and describe what good care looks like under each key question. Work through them systematically and ask:

- Do we have current evidence for this statement?
- Would that evidence satisfy an independent assessor?
- Are there gaps we know about but have not addressed?

Our [CQC Readiness Assessment tool](/tools/cqc-readiness-assessment/) is built for exactly this exercise. It walks you through each quality statement and produces a gap analysis you can act on.

For a detailed walkthrough of each quality statement and how they map to CQC's framework, see our [complete CQC compliance guide for small care homes](/blog/cqc-compliance-guide-small-care-homes/).

### 4. Prioritise the High-Risk Areas

CQC enforcement data consistently shows that the most common breaches are:

- **Regulation 12** — Safe care and treatment (medicines management, risk assessments, clinical monitoring)
- **Regulation 17** — Good governance (audit programmes, action tracking, oversight systems)
- **Regulation 18** — Staffing (adequate numbers, training, competency)

If you have limited time and resources — and most small homes do — focus on these three areas first. A home that can demonstrate safe medicines management, a functioning audit programme, and adequate staffing with training records is covering the most frequently assessed ground.

### 5. Get Your Evidence Organised Now

The worst time to organise your evidence is after CQC makes contact. Under the continuous assessment model, you may receive a request for specific evidence with relatively short notice. Having an evidence pack organised by quality statement and evidence category means you can respond quickly and confidently.

This does not require software (though it helps). A well-structured digital filing system, maintained weekly, is sufficient. What matters is that evidence is current, findable, and tells a coherent story about the quality of care in your home.

### 6. Brief Your Team

Your staff are evidence sources. CQC assessors will speak to them and ask about safeguarding procedures, residents' care needs, how they raise concerns, and what training they have received. Staff who can speak confidently about the care they provide and the processes they follow are your strongest asset in any assessment.

Ensure every staff member knows:
- The names and key needs of the residents they support
- How to raise a safeguarding concern and to whom
- The home's complaints procedure
- What to do in an emergency (fire, medical emergency, significant incident)
- Where to find key policies and procedures

## The Bottom Line

CQC's [9,000-assessment target](https://www.cqc.org.uk/about-us/our-strategy-plans/business-plan) for 2025/26 is an acceleration, not a return to pre-pandemic inspection levels. But combined with the shift to continuous assessment, data monitoring, and focused assessments, it means the regulatory temperature is rising.

The homes that will fare best are not the ones that scramble when they hear assessors are coming. They are the ones whose day-to-day operations already produce the evidence CQC needs to see — because that evidence is a byproduct of genuinely good governance, not a performance assembled for an audience.

If you have not been assessed since before November 2023, your assessment under the Single Assessment Framework is coming. The question is not whether, but when. The time to prepare is now, while you still have the luxury of choosing your own timeline.

Our free [CQC Readiness Assessment](/tools/cqc-readiness-assessment/) takes about 15 minutes and gives you a clear picture of where you stand against the current framework. Start there.
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    <item>
      <title>What to Look for in Care Home Compliance Software</title>
      <link>https://inspectready.co.uk/blog/what-to-look-for-care-home-compliance-software/</link>
      <guid isPermaLink="true">https://inspectready.co.uk/blog/what-to-look-for-care-home-compliance-software/</guid>
      <pubDate>Sat, 14 Feb 2026 00:00:00 GMT</pubDate>
      <description>Checklist for evaluating care home compliance software. CQC alignment, key features, pricing expectations, red flags, and why integrated beats piecemeal.</description>
      <content:encoded><![CDATA[
# What to Look for in Care Home Compliance Software

Most small care homes manage compliance with some combination of Word documents, spreadsheets, ring binders, and a filing cabinet that only the manager fully understands. It works — until it does not. A staff member leaves and takes institutional knowledge with them. An audit template gets overwritten. A policy review date passes unnoticed. CQC makes contact and you spend three days pulling evidence together from six different places.

If you are considering compliance software, this guide covers what to look for, what questions to ask, and what to avoid — based on what CQC actually requires under the Single Assessment Framework.

## Why Compliance Software Exists

The regulatory burden on care homes is substantial. Under the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014, registered providers must demonstrate compliance across 17 fundamental standards. CQC's Single Assessment Framework assesses against 34 quality statements, drawing evidence from six categories. That is a lot of moving parts.

For a full breakdown of those quality statements and how they map to assessments, see our [CQC compliance guide for small care homes](/blog/cqc-compliance-guide-small-care-homes/).

Compliance software does not make you compliant — your care, governance, and leadership do that. What software does is reduce the administrative friction of demonstrating compliance: keeping policies current, scheduling audits, organising evidence, and tracking actions.

## Key Features to Look For

Not all compliance tools are built equal. Here is what matters for a care home operating under CQC regulation:

### 1. Alignment with the Single Assessment Framework

This is the baseline. Any software you consider should be structured around CQC's current framework, not the pre-2023 KLOE model. Specifically, it should:

- Map to the 34 quality statements, not just the five key questions
- Support the six evidence categories (people's experience, feedback from staff, feedback from partners, observation, processes, outcomes and data)
- Allow you to tag or link evidence to specific quality statements

If a product still references KLOEs as its primary structure, it has not been updated since November 2023 and is not fit for purpose.

### 2. Policy Management

Policies are the backbone of your "Processes" evidence category. Good compliance software should provide:

- A library of template policies you can customise (not generic templates — they should reference UK legislation and CQC requirements)
- Version control so you can see what changed and when
- Review date tracking with automated reminders
- Staff acknowledgement tracking — evidence that staff have read and understood policies
- The ability to link policies to the regulations and quality statements they support

A shared drive full of Word documents technically provides policy storage, but it does not give you version control, review reminders, or acknowledgement tracking. Those gaps become compliance gaps.

### 3. Audit Scheduling and Management

Under Regulation 17 (Good governance), you need a functioning audit programme. Software should offer:

- Configurable audit templates mapped to quality statements
- Scheduling with automated reminders
- Action plan generation from audit findings
- Action tracking with named owners and deadlines
- Trend reporting across audits — are issues recurring?

The weakness of spreadsheet-based audit tracking is that it separates the audit from the action plan from the evidence of completion. Three documents that should be one workflow.

### 4. Evidence Organisation

The entire purpose of CQC assessment is reviewing evidence. Your software should:

- Allow you to store and categorise evidence by quality statement and evidence category
- Support multiple file types (documents, photos, scanned records)
- Make evidence searchable
- Show when evidence was last updated (currency is critical under continuous assessment)
- Generate an evidence summary or report for each quality statement

### 5. Incident and Action Tracking

Incident reporting feeds into multiple quality statements under "Safe" and links directly to Regulation 12 (Safe care and treatment) and Regulation 20 (Duty of candour). Look for:

- Incident reporting with categorisation
- Automatic escalation rules (e.g., flagging potential safeguarding)
- Trend analysis and reporting
- Linked action plans with completion tracking

### 6. Training and Competency Records

Regulation 18 (Staffing) and Regulation 19 (Fit and proper persons employed) require evidence of training and competency. Useful features include:

- Training matrix with expiry date tracking
- Automated reminders for renewal
- Competency assessment templates
- Supervision and appraisal scheduling
- Care Certificate tracking for new starters

### 7. Reporting and Dashboards

You need to know your compliance position at any point, not just when you run a manual check. Look for:

- A dashboard showing overall compliance status by key question/quality statement
- Overdue action alerts
- Expiring policy and training alerts
- Exportable reports for governance meetings and provider oversight

## Questions to Ask Any Vendor

Before committing to a product, ask these questions:

**Is the system updated when CQC changes its framework or guidance?** The Single Assessment Framework is still evolving — CQC has committed to iterating based on feedback and the Penny Dash review recommendations. You need a product that keeps pace.

**What does implementation look like?** Migrating from paper or spreadsheet systems takes time. Ask about data migration support, training provision, and how long it typically takes for a small home to be fully operational.

**What happens to your data if you cancel?** Your evidence, audits, and policies are critical operational records. Ensure you can export everything in usable formats (PDF, CSV) if you leave.

**Is it designed for care homes, or adapted from another sector?** Generic quality management or ISO-compliance tools are not built for CQC regulation. Healthcare-specific features — medicines management, DoLS tracking, safeguarding workflows — are not afterthoughts you can bolt on.

**What support is included?** A help desk is not the same as implementation support. Ask specifically about ongoing support for a team that may not be technically confident.

**Can you see the product with realistic care home data?** Ask to see the system populated with care home scenarios, not empty templates. A product that cannot show you what day-to-day use looks like may not have been built with your workflow in mind.

## Red Flags to Watch For

Be cautious if you encounter any of these:

- **Long-term contracts with no exit clause.** You should be able to leave if the product does not deliver. Twelve-month rolling contracts with 30-60 days' notice are reasonable; three-year lock-ins are not.
- **No UK care-specific content.** If the policy templates reference regulations from other jurisdictions or use terminology that does not match CQC's framework, the product was not built for your market.
- **No mobile access.** Your staff are not at desks. If the system cannot be accessed on a phone or tablet, adoption will be low and the data will be incomplete.
- **Pricing that requires per-user fees at scale.** If you have 30 staff and the software charges per user per month, costs escalate quickly. Look for pricing models based on home size (number of beds) rather than number of users.
- **No data export.** Your regulatory records should never be held hostage by a software vendor.

## Pricing Expectations for the UK Market

For a single small care home (under 30 beds), expect to pay in the range of £100-£400 per month for a comprehensive compliance platform. Simpler tools — audit-only or policy-only — may be less, but you will likely end up needing multiple subscriptions that do not integrate.

Be cautious of:

- Setup fees above £500 for a single-site implementation
- Mandatory training packages charged separately
- Per-module pricing that makes the full feature set unaffordable

The cost of compliance software should be weighed against the cost of non-compliance: CQC enforcement action, potential rating downgrades affecting occupancy, and the registered manager's time spent on manual administration. A Requires Improvement rating can reduce enquiries and referrals significantly — the software pays for itself if it helps you maintain or improve your rating.

## Why Integrated Beats Piecemeal

The temptation with a small budget is to solve problems individually: one tool for policies, a spreadsheet for audits, a shared drive for evidence, a paper system for incidents. Each tool might work on its own, but together they create gaps:

- Audit findings in one system, action plans in another, evidence of completion in a third
- No single view of your compliance position
- Duplication of data entry
- Staff needing to learn and use multiple systems
- No automatic cross-referencing between a policy, the audit that checks it, and the quality statement it supports

An integrated system connects these workflows. When you complete an audit, the action plan is generated in the same system. When the action is completed, the evidence is filed against the relevant quality statement. When CQC asks about a specific area, you can pull the full picture from one place.

## Where InspectReady Fits

We are building InspectReady specifically for small and independent care homes that need CQC compliance support without enterprise complexity or enterprise pricing. Our planned platform is structured around the Single Assessment Framework's 34 quality statements and designed to be used by registered managers, not compliance departments.

We are launching in phases. Three free tools are available now — our [CQC Readiness Assessment](/tools/cqc-readiness-assessment/) (a gap analysis against all five key questions), the [Audit Schedule Generator](/tools/audit-schedule-generator/) (a tailored internal audit calendar), and the [Evidence Gap Checker](/tools/evidence-gap-checker/) (documentation gap analysis by quality statement). The full compliance platform is in development. If you want to be notified when it launches, [join the waitlist](/#waitlist).
]]></content:encoded>
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    <item>
      <title>How to Build a CQC Evidence Pack That Survives Continuous Assessment</title>
      <link>https://inspectready.co.uk/blog/cqc-evidence-pack-guide/</link>
      <guid isPermaLink="true">https://inspectready.co.uk/blog/cqc-evidence-pack-guide/</guid>
      <pubDate>Sat, 07 Feb 2026 00:00:00 GMT</pubDate>
      <description>How to organise care home documentation into a CQC evidence pack by quality statement and evidence category. Filing structure, common mistakes, and what assessors look for.</description>
      <content:encoded><![CDATA[
# How to Build a CQC Evidence Pack That Survives Continuous Assessment

The most common mistake care homes make with CQC evidence is treating it as an archive. Folders stuffed with policies, training certificates, and audit forms — organised by document type and last touched the week before an inspection.

Under CQC's Single Assessment Framework, that approach falls apart. Assessments can happen at any time, focused on specific quality statements, drawing on evidence categories that cut across your filing system. If an assessor asks to see evidence for "Safe and effective staffing" and your staffing data is split across four different folders, three ring binders, and someone's desk drawer, you have a problem.

This guide covers how to structure an evidence pack that stays current, makes sense to assessors, and does not require a panic rebuild every time CQC makes contact.

## What CQC Assessors Actually Look For

CQC does not want to see a perfect paper trail. Assessors are trained to look for three things:

1. **Consistency** — Does the evidence across different sources tell the same story? If your care plans say one thing but staff describe something different, that inconsistency is a finding.
2. **Currency** — Is the evidence recent? A brilliant audit from 18 months ago with no follow-up since tells assessors that governance has lapsed.
3. **Impact** — Does your evidence show that actions lead to outcomes? An audit that identifies 12 issues but shows no completed actions is worse than having no audit.

This means your evidence pack is not a showcase — it is a working tool that demonstrates your home is actively governed.

## The Six Evidence Categories

Under the Single Assessment Framework, CQC gathers evidence across six categories. Your pack should be organised to provide evidence in each:

### 1. People's Experience of Health and Care Services

This is the most heavily weighted category. Assessors want to see that you actively seek, record, and act on feedback from the people living in your home and their families. Key sources include resident and family surveys (with your analysis of themes), residents' meeting minutes showing actions taken, individual feedback captured during care plan reviews, and advocacy involvement records where applicable. The common thread: it is not enough to collect feedback — you need to show what you did with it.

### 2. Feedback from Staff and Leaders

This category covers what your team reports about working conditions, culture, and care quality. Evidence includes staff survey results, supervision records showing themes staff have raised, staff meeting minutes, "freedom to speak up" and whistleblowing records (anonymised appropriately), and exit interview summaries. Assessors are looking for a culture where staff feel heard and where their feedback leads to visible change.

### 3. Feedback from Partners

External professionals who work with your home provide a valuable outside perspective. Gather GP visit records and feedback, pharmacy audit reports with recommendations, local authority contract monitoring reports, feedback from visiting professionals (district nurses, therapists, dietitians), and safeguarding enquiry outcomes. This evidence is often overlooked — much of it already exists but is not filed in a way that connects it to quality statements.

### 4. Observation

You cannot pre-package observation evidence — this is what assessors see during visits. However, you can demonstrate that your own observation-based quality checks happen regularly. Management walkabout records, mealtime observation audits, spot-check records for care delivery, and environmental observation checklists all show that you are looking at your service the way an assessor would.

### 5. Processes

This is where most homes have the bulk of their evidence. It covers your policies and procedures (current, version-controlled, reviewed within 12 months), your audit programme with completed audits and action plans, risk assessments (individual and organisational), training matrix and records, recruitment files (DBS, references, right-to-work, interviews), rota records with staffing dependency assessments, and business continuity plans. The risk here is volume without structure — having all the documents but not being able to find the right one when asked.

### 6. Outcomes and Data

This is the evidence that shows whether your processes actually make a difference. It includes incident and accident trend analysis (monthly patterns, not just individual reports), falls data with intervention tracking, safeguarding referral data, pressure ulcer incidence and grading, medicines error logs with trends, infection rates, hospital admission and readmission data, complaints with outcome tracking, and staffing data (vacancy rates, agency use, turnover). The key word is *analysis* — raw data alone is not evidence. Assessors want to see that you identified a pattern and did something about it.

## A Practical Filing Structure

Forget filing by document type. Organise by quality statement, with sub-sections for each evidence category. Here is a structure that works for both digital and physical filing:

```
Evidence Pack/
├── Safe/
│   ├── Learning culture/
│   │   ├── Peoples experience/
│   │   ├── Staff feedback/
│   │   ├── Processes/
│   │   └── Outcomes and data/
│   ├── Safeguarding/
│   │   ├── Peoples experience/
│   │   ├── Partner feedback/
│   │   ├── Processes/
│   │   └── Outcomes and data/
│   ├── Safe and effective staffing/
│   │   └── [same sub-categories]
│   └── [remaining Safe statements...]
├── Effective/
│   └── [quality statements with sub-categories]
├── Caring/
│   └── [quality statements with sub-categories]
├── Responsive/
│   └── [quality statements with sub-categories]
└── Well-led/
    └── [quality statements with sub-categories]
```

Some documents will support multiple quality statements. Rather than duplicating files, use a cross-reference index — a simple spreadsheet listing each key document and which quality statements it supports.

For a full breakdown of all 34 quality statements and how they map to CQC's five key questions, see our [CQC compliance guide for small care homes](/blog/cqc-compliance-guide-small-care-homes/). If you want a quick assessment of which quality statements you already have evidence for, our free [CQC Readiness Assessment](/tools/cqc-readiness-assessment/) walks through each one and produces a prioritised gap list.

## Common Evidence Mistakes

These are the errors that repeatedly surface in CQC inspection reports for homes rated Requires Improvement or Inadequate:

**Policies without practice.** Having a 40-page safeguarding policy means nothing if staff cannot describe the referral process when asked. CQC tests whether policies translate into practice by speaking to staff and observing care. Keep policies concise and ensure staff actually read and understand them.

**Audits without actions.** A completed audit form that identifies seven issues and has an empty action column actively works against you. It demonstrates you knew about problems and did not address them. Every audit finding needs a named owner, a deadline, and evidence of completion.

**Out-of-date evidence.** A training matrix from March 2024 does not demonstrate current competency. Care plans reviewed eight months ago do not reflect current needs. Risk assessments from before a resident's last fall do not demonstrate learning. Currency matters.

**Missing consent evidence.** Mental Capacity Act compliance requires decision-specific capacity assessments documented at the point decisions are made. A blanket capacity assessment done on admission does not meet the requirement of the [Mental Capacity Act 2005](https://www.legislation.gov.uk/ukpga/2005/9), which requires assessment for each specific decision.

**No triangulation.** If your care plans say a resident is repositioned every two hours, your repositioning charts should confirm it, and staff should be able to describe the process. Assessors triangulate across evidence sources. Single-source evidence is weak evidence.

**Over-reliance on processes.** Some homes have excellent systems documentation but limited evidence of outcomes. CQC wants to see what difference your processes make. Falls audits should show whether fall rates reduced. Feedback surveys should show whether satisfaction improved. Medicines audits should show whether error rates decreased.

## Keeping Your Evidence Pack Current

An evidence pack that only gets updated before assessments is not an evidence pack — it is a display folder. Build evidence maintenance into your existing routines:

- **Weekly:** File incident reports, update trackers, log feedback received
- **Monthly:** Complete scheduled audits, update action plans, review and file any new policies or correspondence
- **Quarterly:** Review the pack as a whole — is anything out of date? Are there quality statements with thin evidence? Update your cross-reference index
- **Annually:** Full review of all policies, training matrix refresh, resident and staff surveys

Our [Evidence Gap Checker](/tools/evidence-gap-checker/) can help you identify which quality statements currently lack adequate evidence, so you can focus your efforts where they will have the most impact.

## Start With What You Have

You almost certainly have more evidence than you think — it is just not organised in a way that maps to the Single Assessment Framework. Before creating anything new, gather what exists and sort it into the structure above. You will likely find that some quality statements are well-covered and others have significant gaps.

Those gaps are your priority list. Address the areas under "Safe" and "Well-led" first, since these are where CQC most frequently identifies breaches under [Regulations 12](https://www.legislation.gov.uk/uksi/2014/2936/regulation/12) and [17](https://www.legislation.gov.uk/uksi/2014/2936/regulation/17) of the [Health and Social Care Act 2008 (Regulated Activities) Regulations 2014](https://www.legislation.gov.uk/uksi/2014/2936/contents).

A well-maintained evidence pack is not extra work on top of running your home — it is the documentation of running your home well. The filing structure just needs to match how CQC will look at it.
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      <title>CQC Compliance for Small Care Homes: The Complete 2026 Guide</title>
      <link>https://inspectready.co.uk/blog/cqc-compliance-guide-small-care-homes/</link>
      <guid isPermaLink="true">https://inspectready.co.uk/blog/cqc-compliance-guide-small-care-homes/</guid>
      <pubDate>Sat, 31 Jan 2026 00:00:00 GMT</pubDate>
      <description>CQC compliance guide for small care homes under the Single Assessment Framework. All 34 quality statements, common failures, and step-by-step preparation.</description>
      <content:encoded><![CDATA[
# CQC Compliance for Small Care Homes: The Complete 2026 Guide

If you manage a small or independent care home — say, under 30 beds with a lean team — CQC compliance can feel like a second full-time job. The regulatory framework shifted substantially when the Single Assessment Framework (SAF) launched in November 2023, and the transition has been anything but smooth. CQC's own independent review, led by Dr Penny Dash and published in October 2024, found "significant operational failings" in how the new system was rolled out.

That review matters to you because it triggered changes to how assessments are conducted and prioritised. CQC committed to completing 9,000 assessments by September 2026 — a target that means the odds of your home being assessed in the coming months have increased sharply.

This guide covers what CQC actually expects under the current framework, where small homes most commonly fall short, and how to build a compliance approach that works without a dedicated compliance team.

## The Single Assessment Framework: What Changed and Why It Matters

Before November 2023, CQC inspections followed the "key lines of enquiry" (KLOEs) model — a set of detailed prompts grouped under five key questions. The Single Assessment Framework replaced KLOEs with 34 quality statements organised under those same five key questions, but with a fundamentally different approach to gathering and weighing evidence.

### The Five Key Questions Remain

CQC still structures every assessment around these five questions, established under the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014:

1. **Safe** — Are people protected from abuse, avoidable harm, and neglect?
2. **Effective** — Does care achieve good outcomes and help people maintain quality of life?
3. **Caring** — Do staff treat people with compassion, kindness, dignity, and respect?
4. **Responsive** — Are services organised to meet people's needs?
5. **Well-led** — Does leadership ensure high-quality, person-centred care and support learning and innovation?

Each question is still rated on the four-point scale: Outstanding, Good, Requires Improvement, or Inadequate.

### 34 Quality Statements Replace KLOEs

The 34 quality statements sit beneath those five questions and describe what good care looks like. Unlike KLOEs, which were prompts for inspectors, quality statements are framed as outcomes for people using services.

Here is how they map:

**Safe (7 statements)**
- Learning culture
- Safe systems, pathways, and transitions
- Safeguarding
- Involving people to manage risks
- Safe environments
- Safe and effective staffing
- Infection prevention and control

**Effective (6 statements)**
- Assessing needs
- Delivering evidence-based care and treatment
- How staff, teams, and services work together
- Supporting people to live healthier lives
- Monitoring and improving outcomes
- Consent to care and treatment

**Caring (4 statements)**
- Kindness, compassion, and dignity
- Treating people as individuals
- Independence, choice, and control
- Responding to people's immediate needs

**Responsive (6 statements)**
- Person-centred care
- Care provision, integration, and continuity
- Providing information
- Listening to and involving people
- Equity in access
- Equity in experiences and outcomes

**Well-led (11 statements)**
- Shared direction and culture
- Capable, compassionate, and inclusive leaders
- Freedom to speak up
- Workforce equality, diversity, and inclusion
- Governance, management, and sustainability
- Partnerships and communities
- Learning, improvement, and innovation
- Environmental sustainability
- Capable, compassionate, and inclusive leaders (at provider level)
- Governance, management, and sustainability (at provider level)
- Learning, improvement, and innovation (at provider level)

Note that Well-led has both location-level and provider-level statements — if you are a single-site operator, you need to address both sets.

### Evidence Categories

Under the SAF, CQC gathers evidence across six categories:

1. **People's experience of health and care services** — direct feedback from residents and families
2. **Feedback from staff and leaders** — what your team reports about working conditions and culture
3. **Feedback from partners** — input from GPs, pharmacies, local authorities, and other agencies
4. **Observation** — what assessors see during visits
5. **Processes** — your policies, procedures, audits, and governance documents
6. **Outcomes and data** — measurable results including incidents, safeguarding referrals, staffing data, and clinical outcomes

This is a significant shift from the old model. CQC now explicitly weights people's lived experience alongside documentary evidence. For small homes, this can work in your favour — residents and families in smaller settings often report more personal, responsive care. But only if you are actively capturing and acting on that feedback.

## What "Inspection-Ready" Actually Means Under Continuous Assessment

The phrase "always inspection-ready" used to mean having your files in order for when an inspector turned up. Under the SAF, the concept is broader because CQC now gathers evidence continuously, not just during on-site visits.

CQC can and does:

- **Monitor data feeds** from statutory notifications you submit, safeguarding referral data, and other national datasets
- **Review feedback** submitted through the "Give feedback on care" service on the CQC website
- **Request information** remotely before deciding whether to visit
- **Conduct focused assessments** on specific quality statements rather than full inspections

This means a complaint submitted to CQC, a spike in safeguarding referrals, or a pattern of statutory notification failures can trigger assessment activity before anyone sets foot in your home.

Being inspection-ready in 2026 means three things:

1. **Your evidence is current and organised** — not compiled in a rush when you hear assessors are coming
2. **Your statutory notifications are accurate and timely** — under Regulation 18 of the Care Quality Commission (Registration) Regulations 2009, you must notify CQC of specific events without delay
3. **You are actively monitoring your own performance** — using audits, feedback analysis, and outcome data the same way CQC would

## Common Compliance Failures: What CQC Enforcement Data Shows

CQC publishes enforcement action data, and patterns emerge clearly for small and independent homes. The most frequent compliance failures cluster around a predictable set of regulations.

### [Regulation 12](https://www.legislation.gov.uk/uksi/2014/2936/regulation/12): Safe Care and Treatment

This is consistently the most breached regulation across all care home types. For small homes, typical failures include:

- Medicines management errors — missed doses, inadequate stock checks, poor PRN (as required) protocols
- Risk assessments not updated after falls or changes in health
- Lack of evidence that clinical observations (weight, skin integrity, nutritional intake) are being acted on
- Equipment not maintained or checked (hoists, pressure-relieving mattresses, call systems)

### [Regulation 17](https://www.legislation.gov.uk/uksi/2014/2936/regulation/17): Good Governance

The second most common failure area. Small homes often struggle here because governance feels like something for larger organisations. In practice, CQC expects:

- A regular audit programme covering medicines, care plans, infection control, health and safety, and staffing
- Evidence that audits lead to action — completed audits that identify problems but show no follow-up are worse than no audit at all
- Oversight of incidents, complaints, and safeguarding with documented learning
- Up-to-date policies that reflect current legislation and guidance

### [Regulation 18](https://www.legislation.gov.uk/uksi/2014/2936/regulation/18): Staffing

Small homes frequently receive breaches for:

- Insufficient staffing levels relative to residents' assessed needs (not just meeting a ratio)
- Lack of evidence of ongoing training and competency assessment
- No structured induction programme aligned to the Care Certificate standards
- Agency staff not properly inducted or briefed on individual residents' needs

### [Regulation 11](https://www.legislation.gov.uk/uksi/2014/2936/regulation/11): Need for Consent

Mental capacity assessments and best-interest decisions under the [Mental Capacity Act 2005](https://www.legislation.gov.uk/ukpga/2005/9) remain a weak point. CQC expects:

- Decision-specific capacity assessments documented at the time decisions are made
- Best-interest decisions that evidence consultation with relevant people
- Deprivation of Liberty Safeguards (DoLS) applications submitted where appropriate, with a tracker showing status
- Staff who can articulate the principles of the MCA and how they apply them day to day

### [Regulation 13](https://www.legislation.gov.uk/uksi/2014/2936/regulation/13): Safeguarding

CQC expects small homes to demonstrate:

- Staff trained to recognise and report abuse and neglect
- A named safeguarding lead
- Evidence of referrals made to the local authority and cooperation with enquiries
- Proactive identification of safeguarding risks, not just reactive reporting

## Step-by-Step Compliance Approach for Small and Independent Homes

If you are starting from scratch or rebuilding your compliance framework, this sequence prioritises the areas CQC weights most heavily.

### Step 1: Map Your Current Position Against Quality Statements

Before you can improve, you need to know where you stand. Work through each of the 34 quality statements and honestly assess:

- Do you have evidence that demonstrates compliance?
- Is that evidence current (within the last 12 months)?
- Would a third party — not just you — understand and be convinced by it?

This is exactly what our [CQC Readiness Assessment tool](/tools/cqc-readiness-assessment/) is designed to help with. It walks you through each quality statement and identifies where your evidence is strong, adequate, or missing.

### Step 2: Fix Your Statutory Notifications

This is non-negotiable and easily checked. Under Schedule 3 of the CQC (Registration) Regulations 2009, you must notify CQC of:

- Deaths of service users (whether or not related to care)
- Serious injuries
- Abuse or allegations of abuse
- Events that stop or may stop the service running safely
- Police involvement
- Applications to deprive someone of their liberty
- Absences of the registered person for 28+ days

CQC cross-references notifications with other data sources. Under-notification is a red flag that can trigger focused assessment activity.

### Step 3: Get Your Medicines Management Right

Medicines are checked in virtually every assessment. At minimum you need:

- A current medicines policy referencing NICE guidance SC1 (Managing medicines in care homes)
- Monthly medicines audits with documented actions
- PRN protocols for every as-required medicine, with clear guidance on when to give, maximum doses, and review dates
- Controlled drugs register checks at every shift handover
- Temperature monitoring for medicines storage (room and fridge) with documented action when out of range
- Evidence of regular pharmacy support and review

### Step 4: Ensure Care Plans Are Person-Centred and Current

Every resident needs a care plan that:

- Is based on a thorough initial assessment (within 48 hours of admission, updated within 4-6 weeks)
- Covers all identified needs with specific, measurable interventions
- Reflects the person's preferences, history, and what matters to them
- Is reviewed monthly at minimum, and after any significant change
- Shows evidence of resident and/or family involvement in reviews
- Includes decision-specific capacity assessments where relevant

### Step 5: Build a Practical Audit Programme

You do not need 30 different audits running monthly. A realistic programme for a small home covers:

| Audit | Frequency | Owner |
|-------|-----------|-------|
| Medicines management | Monthly | Senior carer / nurse |
| Care plan reviews | Monthly (rolling) | Manager / deputy |
| Infection prevention and control | Monthly | IPC lead |
| Health and safety / environment | Monthly | Maintenance / manager |
| Falls analysis | Monthly | Manager |
| Safeguarding tracker | Monthly | Manager |
| Staffing and training | Quarterly | Manager |
| Complaints and feedback | Quarterly | Manager |
| Governance overview | Quarterly | Registered manager / provider |

The audit itself is only half the job. Each audit must generate an action plan, and you must be able to show that actions were completed. CQC assessors will follow the thread from audit finding to action to evidence of completion.

### Step 6: Capture Feedback Systematically

CQC now explicitly gathers evidence from "people's experience" as a primary category. You need:

- Regular resident and family surveys (at least annually, with interim check-ins)
- A complaints and compliments log with documented responses and outcomes
- Residents' meetings with minutes showing issues raised and actions taken
- A mechanism for people who cannot fill in surveys — observation, one-to-one conversations, advocacy involvement

### Step 7: Train and Evidence Competency

Training records need to show:

- Mandatory training completion and renewal dates (moving and handling, safeguarding, fire safety, food hygiene, first aid, infection control, MCA/DoLS)
- Care Certificate completion for staff new to care (or evidence of equivalence)
- Role-specific training (e.g., diabetes management, PEG feeding, epilepsy, dementia)
- Supervision records — at least 6-8 sessions per year per staff member
- Annual appraisals
- Evidence of competency assessment, not just attendance — observed practice, knowledge checks, reflective discussion

### Step 8: Prepare Your Evidence Pack

Organise your evidence by quality statement, not by document type. When an assessor looks at "Safe and effective staffing," they should be able to find your staffing tool/dependency assessment, rota analysis, training matrix, supervision records, and competency assessments all in one place — or cross-referenced to one place.

Our [Evidence Gap Checker tool](/tools/evidence-gap-checker/) can help you identify which quality statements lack supporting evidence, so you can prioritise your preparation.

### Step 9: Conduct a Mock Assessment

Before CQC assesses you, assess yourself. Walk through your home as an assessor would:

- Review a sample of care plans against the quality statements
- Check medicines storage, records, and administration
- Look at the environment with fresh eyes — are call bells accessible, are bathrooms clean and stocked, is equipment in good repair?
- Talk to staff — can they describe the needs of residents they support, explain how they would raise a concern, articulate what person-centred care means in their daily work?
- Talk to residents and families — do they feel listened to, safe, and well cared for?

### Step 10: Document Your Improvement Journey

CQC is explicitly interested in homes that demonstrate learning and improvement. Keep a log of:

- What you identified as needing improvement
- What you did about it
- What changed as a result

This evidence directly supports the "Learning culture" and "Learning, improvement, and innovation" quality statements and can make the difference between a Good and Outstanding rating.

## The 9,000-Assessment Target: Why 2026 Is the Year to Get Ready

CQC's 2025/26 business plan committed to completing 9,000 assessments by September 2026. Following the Penny Dash review's finding that assessment volumes had dropped significantly during the SAF transition, CQC is under political pressure to demonstrate it can regulate effectively.

The Department of Health and Social Care's response, "Better regulation, better care" (published following the Dash review), made clear that CQC must prioritise:

- Homes that have not been assessed for the longest period
- Services where data signals suggest quality may have declined
- New registrations and services with a history of enforcement

If your last full inspection was before 2023, the likelihood of assessment activity in the next 12 months is high. If your last rating was Requires Improvement or Inadequate, it is near certain.

## Key Regulation References

For your reference, the core regulations you need to know sit within the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014, accessible at [legislation.gov.uk](https://www.legislation.gov.uk/uksi/2014/2936/contents):

- **Regulation 9** — Person-centred care
- **Regulation 10** — Dignity and respect
- **Regulation 11** — Need for consent
- **Regulation 12** — Safe care and treatment
- **Regulation 13** — Safeguarding service users from abuse and improper treatment
- **Regulation 15** — Premises and equipment
- **Regulation 17** — Good governance
- **Regulation 18** — Staffing
- **Regulation 19** — Fit and proper persons employed
- **Regulation 20** — Duty of candour

CQC's own guidance on the Single Assessment Framework, including the full set of quality statements and evidence categories, is published at [cqc.org.uk](https://www.cqc.org.uk/about-us/how-we-do-our-job/single-assessment-framework).

## Where to Start

If the scope of this feels overwhelming — and for a registered manager who is also handling day-to-day operations, resident care, family communication, staffing, and everything else — it is entirely reasonable that it does.

Start with the basics: statutory notifications, medicines, and care plans. These three areas account for the majority of regulatory breaches and the majority of CQC enforcement actions against small homes. Get those right, then build outward.

Our free [CQC Readiness Assessment](/tools/cqc-readiness-assessment/) gives you a structured starting point. It maps your current position against the quality statements and produces a prioritised list of gaps. It takes about 15 minutes, and you will walk away with a clear picture of where to focus first.

Being compliant is not about perfection — it is about demonstrating that you know where you stand, that you act on what you find, and that the people in your care are safe and well looked after. That is what CQC is looking for, and it is what good care looks like.
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