Sample CQC Inspection Prep Pack

EVIDENCE PORTFOLIO GUIDE Sunrise Care Home - Residential Care Home Prepared for CQC Inspection ================================================================================ This guide organises your evidence against CQC's 5 key questions. Use this as a checklist to ensure you have accessible, up-to-date evidence for inspectors. SAFE Is the service safe? Required Evidence: □ Safeguarding policy and procedures (last reviewed: within 12 months) □ Safeguarding training records - all staff completed Level 2 minimum □ Safeguarding referral log and outcomes □ Incident and accident log with analysis of trends □ Risk assessments - individual service user risks □ Environmental risk assessments □ Fire safety records - drills, equipment checks, evacuation plans □ Medication Administration Records (MARs) - sample last 3 months □ Medication audits and error reporting □ Staff recruitment files - DBS checks, references, right to work □ Staffing rotas showing safe staffing levels □ Infection control policy and audit records □ Equipment maintenance logs Key Evidence to Have Ready: - Last 3 safeguarding referrals with outcomes - Staff training matrix showing compliance rates - Medication audit from last month - Sample of 3 care plans with risk assessments EFFECTIVE Is the service effective? Required Evidence: □ Care plans - person-centred, regularly reviewed □ Assessments on admission □ Health action plans □ Nutritional assessments (MUST scores where applicable) □ Mental capacity assessments and best interest decisions □ DoLS applications and authorisations □ Staff supervision records □ Staff appraisals □ Training records and competency assessments □ Partnership working records - GPs, hospitals, specialists □ Consent documentation Key Evidence to Have Ready: - 5 sample care plans showing person-centred approach - Evidence of multi-disciplinary working - Staff supervision schedule and completion rates - Training compliance report CARING Is the service caring? Required Evidence: □ Service user feedback - surveys, comments, complaints □ Family/carer feedback □ Dignity in care policy □ End of life care plans (where applicable) □ Advocacy referrals and involvement □ Cultural and religious needs assessments □ Communication passports for those with needs □ Records of activities and social engagement Key Evidence to Have Ready: - Recent satisfaction survey results with actions taken - Examples of person-centred care delivery - Records showing service user involvement in care planning - Compliments log RESPONSIVE Is the service responsive? Required Evidence: □ Pre-admission assessments □ Care plan reviews - evidence of responsiveness to change □ Hospital admission/discharge records □ Complaints log with responses and outcomes □ Activities programme □ Evidence of meeting individual preferences □ End of life care planning and delivery □ Records of reasonable adjustments Key Evidence to Have Ready: - Complaints from last 12 months with resolution evidence - Examples of care plan updates following health changes - Activities calendar and participation records - Evidence of meeting cultural/religious needs WELL-LED Is the service well-led? Required Evidence: □ Statement of Purpose (current) □ Service user guide □ Governance structure and accountability □ Quality assurance audits □ Action plans from audits □ Meeting minutes - staff, management, residents □ Notifications to CQC (check all submitted) □ Insurance certificates □ Registration certificate □ Policies index with review dates □ Business continuity plan □ Duty of candour records Key Evidence to Have Ready: - Quality audit schedule and recent results - Evidence of learning from incidents - Staff meeting minutes showing engagement - Improvement plan with progress updates ================================================================================ INSPECTOR PREPARATION CHECKLIST Before the inspection: □ Evidence folders organised by key question □ Key policies accessible (not in locked cabinets) □ Registered Manager available throughout □ Staff briefed on inspection process □ Service users/families informed inspection may happen □ Recent CQC notifications checked - all submitted? □ Previous inspection report reviewed - all actions addressed? On the day: □ Provide quiet space for inspector □ Access to IT systems for record review □ List of current service users with room numbers □ Staff rota for inspection period □ Contact details for families (if consent given)