Domiciliary Care Compliance Checklist: Pre-Inspection Essentials

How to use this checklist

This checklist is designed for registered managers and agency owners to use as an ongoing readiness audit — not just a pre-inspection scramble. CQC can inspect with as little as 48 hours' notice, or no notice at all. The agencies that consistently achieve Good and Outstanding ratings are those that maintain evidence as a matter of routine, not those that assemble it the week before.

Work through each domain section and note any gaps. For each gap, identify who owns the fix and set a resolution date. Review the full checklist quarterly, and after any significant change (new manager, change in client base, staff turnover, change in policy).

For a deeper explanation of what each CQC key question means in practice, read CQC's Five Key Questions Explained.

Medication management

• MAR charts are complete with no unsigned rows or unexplained gaps
• All carers handling medications have a current medication administration certificate
• Medication errors are recorded and there is evidence of action taken in response
• Controlled drug records (where applicable) are fully reconciled
• A process is in place for PRN (as-required) medication recording and review

Visit verification and missed visits

• A system is in place to identify missed or late visits within minutes, not hours
• There is a written process for what happens when a visit is missed (who is contacted, in what order, within what timeframe)
• Records of missed visits and the response taken are maintained and accessible
• GPS or electronic visit verification is in use to create a timestamped attendance record

Safeguarding

• All staff have completed safeguarding adults training within the required renewal period
• A written safeguarding policy is in place, reviewed within the last 12 months
• Safeguarding referrals (if any) are documented with the outcome recorded
• Staff can articulate the signs of abuse and know what to do if they witness or suspect it

Recruitment and DBS

• Enhanced DBS checks are on file for all staff, with a recheck process in place
• Two professional references have been obtained and checked before employment
• Right-to-work checks are documented for every employee
• Overseas criminal record checks are held for staff who lived abroad in the last five years
• A record is maintained of all staff on the DBS Update Service (if applicable)

Training and competency

• A training matrix lists every required training module for every member of staff, with completion dates and renewal dates
• No certificates are expired or within 30 days of expiry without a renewal booked
• Mandatory training includes as a minimum: manual handling, first aid, food hygiene, fire safety, infection control, safeguarding, medication (where applicable), dementia awareness
• Competency assessments have been completed in the care setting (not just classroom training)
• Supervision records are held for all care staff, with at least four formal supervisions per year per person
• Annual appraisals are documented

Care plans

• Each client has a current, signed care plan that reflects their current needs
• Care plans include: assessed needs, personal preferences, communication needs, risk assessments, consent record
• Care plans have been reviewed within the last six months (or sooner if needs have changed)
• Risk assessments are included for moving and handling, falls, skin integrity, nutrition, and any other identified risk
• Mental capacity assessments are in place where relevant, with best-interest decisions recorded

Person-centred evidence

• Care plans include "what matters to me" or equivalent — the client's preferences, routines, and values, not just clinical needs
• There is evidence of consistent carer allocation — clients are not routinely seen by different carers each visit
• Clients and families have been asked for feedback, and this is documented
• Positive feedback is recorded alongside formal complaints

Dignity and privacy

• Care plans address how personal care is managed in a way that respects dignity
• Cultural, religious and dietary preferences are recorded and followed
• End-of-life wishes are documented where relevant (DNACPR, advance directive)
• Staff can demonstrate in interviews that they understand and apply dignity principles

Assessment and care planning

• A pre-service assessment was completed for each client before care began
• Care plans are updated when needs change — with a date and signature showing the update
• There is a process for urgent care plan changes (e.g. hospital discharge, fall) that does not wait for the next scheduled review

Complaints and concerns

• A complaints policy is in place and given to all clients and families at the start of service
• All complaints are logged with the date received, response date, outcome, and any action taken
• Complaints are analysed for themes — not just resolved individually
• Clients and families know how to escalate to CQC if they feel their complaint has not been handled satisfactorily
• Compliments are recorded alongside complaints to give a balanced picture

Quality assurance

• A regular audit programme is in place: care plan audits, medication audits, call monitoring, complaint analysis
• Audit results are documented, and there is evidence of action taken in response to findings
• A senior manager or director has oversight of the quality assurance process
• Key performance indicators (KPIs) are tracked: visit completion rates, missed visit rates, complaint volumes, staff turnover
• A business intelligence or reporting function provides the registered manager with real-time operational data

Governance and policies

• All policies are dated and have been reviewed within the last 12 months
• Staff have read and signed the key policies relevant to their role
• Team meetings are documented with minutes and actions
• There is a robust process for notifiable incidents (Statutory Notifications to CQC)
• Business continuity plans are documented (what happens if the office system fails, a key manager is absent)

Culture and openness

• A whistleblowing policy is in place and staff know how to use it
• Staff surveys or regular one-to-ones capture staff experience and morale
• There is evidence that staff feedback leads to change
• The registered manager is accessible to staff, clients and families

Staff readiness

The checklist above focuses on records and systems. But CQC inspectors also interview staff — and what your team says matters as much as what your files contain. In the run-up to any inspection, brief your team on:

• What to do if they suspect abuse — the safeguarding steps, who to contact, and how to report
• How to handle a missed visit — the exact process: who they call, what they record, what happens next
• Where to find a client's care plan — either in the app or a physical folder, and how to check it's current
• How to raise concerns about a client's wellbeing — the internal escalation route
• What iStaffRota/the app shows them — their schedule, the care notes, how to clock in and out

Inspectors are trained to spot the difference between a team that understands the agency's approach and one that has been briefed with answers. The goal is genuine understanding, not scripted responses.

For more detail on any of these areas, see our full CQC compliance guide and our guide to CQC's five key questions. To see how iStaffRota automates the evidence-gathering for many of these items, visit the compliance features page.

Common questions

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