Free CQC Mock Inspection Checklist: 100 Checks and an Action Plan
A fire risk assessment may be up to date, but have its actions been completed? Staff may have had safeguarding training, but do they know who to contact if they have a concern?
Those are the sorts of questions worth asking before a CQC assessment. I’ve put together a free CQC mock inspection checklist to help GP practices, dental practices and independent healthcare services check how their systems are working in practice.
It’s an Excel workbook with 100 checks, a dashboard and an action plan. Download the free checklist here.
How does CQC assess a service?
CQC asks whether a service is safe, effective, caring, responsive and well-led. Its published assessment guidanceexplains that it gathers evidence both on and off site. The evidence CQC looks for depends on the type of service, the area being assessed and any risks or concerns it already knows about. There is no single list of documents that fits every provider.
That matters when you carry out your own review. Finding a policy answers one question, but it may raise another: is the policy being followed? You might need to look at records, walk around the premises or ask staff to explain what they do.
I built the checklist around those practical checks. It does not copy CQC’s assessment process, but it helps you examine areas of your service, record what you found and follow up on gaps.
What’s in the free CQC mock inspection template?
The Site Walkthrough tab contains 100 questions grouped into 22 practical topics. They include infection prevention and control, fire and water safety, medical equipment, emergency arrangements, safeguarding, recruitment, training, complaints, audits and governance.
For each question, you can select Yes, No or N/A and write down the evidence behind your answer. The workbook also shows a risk level, a suggested action if the answer is “No”, and a link to relevant guidance.
Two further tabs help you use the results:
Dashboard: Shows your overall result and results by topic, while highlighting critical and high-priority failures separately.
Action Plan: Brings together questions you marked “No”. You can add an owner, target date, status and completion notes.
You won’t need every question for every service. Mark N/A where a check genuinely does not apply, and consider whether your particular service has other risks that need reviewing.
How should you use the checklist?
Set aside time to go through it with the staff who know each area. Try to check the evidence as you answer, rather than completing the spreadsheet from memory.
Take emergency equipment as an example. Look at what is available, check the recorded checks and ask a relevant member of staff how they would access it in an emergency. If something is missing or a check has been overlooked, record what you found. The action plan then gives you a place to assign and track the work needed to put it right.
The same approach works for other questions. If an infection control audit has identified actions, check whether they were completed. If a procedure depends on staff knowing what to do, ask them. Use the notes column to record what you checked and anything you could not confirm.
When you finish, review critical findings first. A good overall percentage should not hide an individual safety concern.
When is a mock inspection checklist useful?
You can use the template before a planned CQC assessment, after a change in management, or as part of a regular internal compliance review. It can also help you check whether actions from a previous inspection or audit have made a difference.
The workbook gives you a record of the checks you carried out and the improvements you identified. Its readiness score is for your own use. It is not a CQC score and cannot predict a rating. CQC makes its judgements using the evidence relevant to each service and its own assessment process.
Download my free CQC mock inspection checklist and use it to start a practical review of your service.
If you would like an independent assessment of what you find, I also provide CQC compliance support and mock inspections. I can review evidence, speak with staff and give you a prioritised plan tailored to your service.
Related reading: CQC Inspection Compliance Checklist: Prepare with Confidence.
Comments