Having the right policies and procedures in place is one of the most important steps any care home can take to prepare for a CQC inspection and maintain ongoing compliance.
This checklist covers the key policies, procedures and Standard Operating Procedures (SOPs) that CQC inspectors expect to see in UK care homes, organised by the five key inspection domains.
Read our guide on How to Prepare for a CQC Inspection for a comprehensive overview of the inspection process and what to expect. Read our guide on why SOPs are non-negotiable for CQC registration to understand the fundamental role of documented procedures in CQC compliance.
Safe
Under the Safe domain, inspectors assess whether residents are protected from abuse, avoidable harm and unsafe care. Key documents include:
- Safeguarding Adults Policy and SOP — read our guide on Safeguarding SOPs in care homes
- Medication Administration SOP — read our guide on why every care home needs a Medication Administration SOP
- Incident and Accident Reporting SOP — read our guide on Care Home Incident Reporting SOPs
- Wound Care SOP — read our guide on how to write a Wound Care SOP that meets CQC standards
- Infection Prevention and Control Policy
- Moving and Handling SOP
- Falls Prevention Policy
- Risk Assessment Procedure — read our guide on Risk Assessment vs Standard Operating Procedure
- Lone Working Policy
- Fire Safety Procedure
Effective
Under the Effective domain, inspectors assess whether care achieves good outcomes for residents. Key documents include:
- Care Planning Procedure
- Mental Capacity Act (MCA) and DoLS Policy
- Nutrition and Hydration SOP
- Pressure Ulcer Prevention SOP
- Continence Management SOP
- End of Life Care Policy
- Oral Health SOP
- Physiotherapy and Rehabilitation Referral Procedure
Caring
Under the Caring domain, inspectors assess whether staff treat residents with compassion, dignity and respect. Key documents include:
- Dignity and Respect Policy
- Person-Centred Care Policy
- Complaints and Compliments Procedure
- Resident and Family Involvement Policy
- Equality and Diversity Policy
Responsive
Under the Responsive domain, inspectors assess whether services are organised to meet individual needs. Key documents include:
- Complaints Handling SOP
- Discharge and Transfer Procedure
- Activities and Social Engagement Policy
- Communication and Information Policy
- Accessible Information Standard Procedure
Well-led
Under the Well-led domain, inspectors assess whether leadership and governance arrangements are effective. Key documents include:
- Governance Framework — read our guide on CQC Regulation 17: Good Governance in Care Homes
- Clinical Governance Policy — read our guide on Clinical Governance in Care Homes
- Internal Audit SOP — read our guide on how to conduct an internal audit using your care home SOPs
- CAPA SOP — read our guide on Creating a CAPA SOP: Turning Care Home Incidents into Improvements
- Staff Induction SOP — read our guide on how a Staff Induction SOP reduces turnover in care homes
- Supervision and Appraisal Policy
- Whistleblowing Policy
- Business Continuity Plan — read our guide on Business Continuity SOPs
- Records Management SOP — read our guide on Records Management SOPs
- Document Control SOP — read our complete guide on Document Control Procedures
Common Gaps Found During CQC Inspections
Read our guide on the 5 most common SOP gaps found during CQC inspections to understand where care providers most frequently fall short and how to address these gaps before your inspection.
Implementing SOPs Across Your Care Home
Having the right documents is only the first step. Our Care Home Enterprise QMS 50-SOP Master Suite provides a complete, CQC-aligned SOP library covering all five inspection domains — the most comprehensive care home documentation package available. Read our guide on how to implement 50 SOPs across your care home without overwhelming your team for practical guidance on rolling out a comprehensive SOP programme. Read our guide on Care Home Compliance Checklist for a monthly review framework to maintain ongoing compliance between inspections.
How SOPStream Can Help
SOPStream provides professionally written care home SOP templates covering all five CQC inspection domains. Our templates are designed for UK care providers and can be customised to reflect your service's specific policies, procedures and operational requirements.
For care homes with specialist requirements, we also offer bespoke SOP writing services tailored to your service model, resident group and regulatory obligations.
Final Thoughts
A comprehensive set of current, reviewed policies and procedures is one of the strongest foundations for CQC compliance.
By ensuring every key document is in place, regularly reviewed and actively used by staff, care homes demonstrate the consistent, safe and well-governed service that CQC inspectors expect to see. Read our guide on how SOPs improve business governance to understand the wider strategic value of documented procedures.