CQC Compliance: What It Means, What You Must Meet and How to Prove It (2026)
A plain-English guide for registered managers and providers in England: the legal standards, how CQC checks them, what good compliance looks like week to week and a checklist you can use today.
CQC compliance means meeting the legal standards for registered care services in England, called the fundamental standards, and being able to show with evidence that you meet them every day. The standards are set out in the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014. CQC checks them by assessing five key questions (is the service safe, effective, caring, responsive and well-led) and publishes a rating of Outstanding, Good, Requires Improvement or Inadequate. Falling short can lead to action plan requests, warning notices and, in serious cases, conditions, suspension or cancellation of registration.
This guide is for registered providers, nominated individuals and registered managers of care homes and home care agencies in England. It explains what CQC compliance covers, sets out the 14 fundamental standards and the evidence that shows each one, summarises how CQC assesses and rates services, and ends with a compliance checklist. It is based on CQC’s own guidance, linked in the sources section. Where we suggest a routine or a piece of evidence that is not a CQC requirement, we say so.
Key takeaways
- Compliance means meeting the fundamental standards in law and proving it with evidence, not only having policies.
- CQC lists 14 fundamental standards. They are separate from the five key questions CQC uses to assess and rate a service.
- The registered provider and, where one is required, the registered manager are legally responsible.
- Inspectors gather evidence from six sources: people’s experience, staff and leaders, partners, observation, processes and outcomes.
- Regulation 17 (good governance) ties it together: you need systems that check quality, find problems and show you acted.
- CQC’s 2026 draft frameworks would change how services are assessed, but they are not in force and the regulations are not changing.
In this guide
- What does CQC compliance mean?
- The 14 fundamental standards and the evidence for each
- Standards versus key questions: what is the difference?
- How CQC checks compliance
- What good compliance looks like week to week
- Records you should be able to produce quickly
- What happens if you are not compliant?
- CQC compliance checklist
- Tools and support that help
- Sources and how this was checked
- Frequently asked questions
What does CQC compliance mean?
CQC compliance is the state of meeting the requirements that the law places on registered health and social care providers in England, and being able to demonstrate it. In practice it has three parts:
- The fundamental standards: the standards below which care must never fall, set in regulations. CQC lists 14 (below).
- The registration requirements: for example having a registered manager where one is needed, keeping your registration details current, displaying your rating and sending statutory notifications.
- Evidence: records, observations and feedback that show the standards are met in practice, because CQC judges what happens, not what is written down.
Both the provider and the registered manager carry responsibility. Compliance is continuous: CQC can assess a service at any time (see how often CQC inspects).
The 14 fundamental standards and the evidence for each
The first two columns follow CQC’s list of fundamental standards (updated 3 March 2026). The evidence column is our suggestion of what inspectors commonly expect to see, not an official CQC list.
| Standard (regulation) | What it requires, in short | Evidence that shows it | Guide |
|---|---|---|---|
| Person-centred care (Reg 9) | Care tailored to the person’s needs and preferences | Assessments, care plans in the person’s words, reviews with the person | Person-centred care |
| Visiting and accompanying (Reg 9A) | People in care homes and hospices can have visitors and go out; can be accompanied to appointments | Visiting policy, records showing visits are supported | Regulation 9A |
| Dignity and respect (Reg 10) | Privacy, equality and support to stay independent and involved in the community | Observation, feedback, care plans that record choices | Dignity in care |
| Consent (Reg 11) | Consent from the person or someone legally acting for them before care | Consent records, capacity assessments, best interests decisions | Consent |
| Safety (Reg 12) | No unsafe care or avoidable harm; risks assessed; competent staff | Risk assessments, medicines records, infection control audits, incident reviews | Regulation 12 |
| Safeguarding from abuse (Reg 13) | No abuse, neglect, degrading treatment, disproportionate restraint or inappropriate limits on freedom | Safeguarding log, referrals, staff training, restrictive practice reviews | Safeguarding |
| Food and drink (Reg 14) | Enough to eat and drink to stay in good health | Nutrition screening, food and fluid records, menus, dietary plans | Regulation 14 |
| Premises and equipment (Reg 15) | Clean, suitable, secure, properly maintained places and equipment | Servicing and safety certificates, cleaning schedules, maintenance logs | Regulation 15 |
| Complaints (Reg 16) | People can complain; the provider investigates and acts | Complaints log, responses, learning and changes | Complaints log |
| Good governance (Reg 17) | Plans, systems and checks that keep quality and safety under review and reduce risk | Audit schedule and results, governance meeting minutes, action plans, accurate records | Regulation 17 |
| Staffing (Reg 18) | Enough suitably qualified, competent and experienced staff with support, training and supervision | Rotas and dependency assessments, training matrix, supervision and appraisal records | Regulation 18 |
| Fit and proper staff (Reg 19) | Staff able to do the job, recruited with checks such as criminal records and work history | Recruitment files, DBS records, references | Recruitment files |
| Duty of candour (Reg 20) | Be open when something goes wrong: say what happened, support the person and apologise | Candour letters, incident records, notifications | Duty of candour |
| Display of ratings (Reg 20A) | Display your CQC rating in a visible place and on your website; make the latest report available | Photo of the displayed rating, website link to the report | Display of ratings |
You may see “13 fundamental standards” in older guides. CQC’s current list has 14 because visiting and accompanying (Regulation 9A) is now listed. For the full explanation see the CQC fundamental standards explained.
Standards versus key questions: what is the difference?
People mix these up, and it is why searches for “the five CQC standards” produce confusing answers.
| Fundamental standards | Key questions | |
|---|---|---|
| What they are | Legal minimum requirements in regulations | The five questions CQC asks to assess and rate a service |
| How many | 14 on CQC’s list | Five: safe, effective, caring, responsive, well-led |
| What happens | Breaching them can lead to enforcement action | Each gets a rating; the ratings combine into an overall rating |
| Under them | Individual regulations | 34 quality statements in the current framework |
The current framework is described in CQC’s assessment framework. CQC has published draft sector frameworks for 2026 that would replace quality statements with key lines of enquiry and remove scoring. They are not in force, and the regulations are not changing. See CQC’s new assessment framework for 2026 and the list of quality statements.
How CQC checks compliance
CQC assesses services against the five key questions, rates each one and combines them into an overall rating. Evidence comes from six sources:
- People’s experience: what people using the service and their families say.
- Feedback from staff and leaders: conversations about culture, support and how concerns are handled.
- Feedback from partners: GPs, social workers, commissioners and other professionals.
- Observation: how staff interact with people, the environment and everyday practice.
- Processes: records, policies, audits, training and governance.
- Outcomes: the results of care, such as incidents, errors and how people are doing.
Visits are mostly unannounced for care homes and more often announced a few days ahead for home care. For what inspectors ask for, see what evidence CQC inspectors look for, and to test yourself use our free mock inspection template.
What good compliance looks like week to week
Providers that stay compliant treat it as a routine, not a project. This is our suggested rhythm, not a CQC requirement. The free CQC audit pack includes the 12 audits below.
| How often | What to do | Why |
|---|---|---|
| Daily | Handover and record checks; incidents logged the same day; medicines records checked at the end of each round | Catches gaps while they can still be fixed (Reg 12, 17) |
| Weekly | Review incidents, complaints and safeguarding concerns; check rotas against needs; check the actions list for overdue items | Shows you act on what you find (Reg 16, 17, 18) |
| Monthly | Medication, care plan, infection control and training audits; sample of records; governance meeting | Evidence of monitoring and improvement (Reg 17) |
| Quarterly | Safeguarding, supervision, complaints, DoLS and MCA, recruitment file and health and safety audits; review policies due | Covers lower-frequency risks |
| Every six months | Business continuity and equality and diversity audits; mock inspection | Tests the whole service against what CQC looks at |
| Annually | Appraisals; policy review; training refreshers; Provider Information Return if requested | Keeps the foundations current |
See also the daily, weekly and monthly compliance checklist and required policies list.
Records you should be able to produce quickly
- Care plans, risk assessments and reviews for a sample of people.
- Medicines records, errors and audits.
- Staff files, DBS records, training matrix, supervision and appraisal records (see the mandatory training guide).
- Rotas and evidence of how staffing levels are decided.
- Safeguarding, incident, accident and complaints logs with outcomes.
- Audit schedule, audit results and an action list with owners, dates and evidence of completion.
- Governance meeting minutes and how findings reach the provider.
- Statutory notifications sent to CQC. See the list of notifiable events.
- Maintenance, fire and water safety certificates.
- Your displayed rating and latest report.
What happens if you are not compliant?
CQC decides what to do case by case, using its enforcement policy. Possible responses include:
- A requirement to produce an action plan, and a published rating of Requires Improvement or Inadequate (see Requires Improvement and Inadequate).
- Warning notices and other formal notices. See responding to a warning notice.
- Conditions on registration, suspension or cancellation, and in serious cases prosecution. See CQC enforcement action explained.
CQC says it uses its power to close a service only as a last resort. Beyond enforcement, a poor rating is public and affects commissioners, families and recruitment. To recover, see how to improve your CQC rating.
CQC compliance checklist
Use this to check where you stand. It is our summary, not an official CQC checklist.
- You are registered for every regulated activity you carry out, and your registration details are current.
- A registered manager is in post where one is required, and manager changes and absences are notified.
- Your rating and report are displayed in the service and on your website.
- Each person has a current, personalised care plan and risk assessments that are reviewed.
- Consent, capacity and best interests decisions are recorded where needed.
- Medicines are stored, given and recorded safely, and errors are reported and learned from.
- Safeguarding concerns are logged, referred and notified; staff know how to raise concerns.
- Staff levels and skills match people’s needs; training, supervision and appraisal are up to date.
- Recruitment checks are complete before staff start.
- Premises, equipment, fire and water safety are checked and certificates are in date.
- Complaints are logged, answered and used to improve.
- You have a schedule of audits, a governance meeting and an action list showing owners, dates and evidence.
- The duty of candour is followed when something goes wrong.
- Required policies exist, are current and staff can find them.
- You have tested yourself recently with a mock inspection.
Tools and support that help
You can do all of this with templates, but many services move to software when actions are missed or evidence is scattered. Our guides compare the options with published prices: CQC compliance software compared, audit tools and the free audit pack, CQC consultants and what they cost and mock inspection costs.
Sources and how this was checked
- CQC: The fundamental standards of care (page last updated 3 March 2026).
- CQC: Assessment framework.
- CQC: Regulations for service providers and managers.
- CQC: What to expect during an inspection (26 June 2026).
Read on 25 October 2026. The evidence column, routine and checklist are our suggestions, not CQC requirements.
Turn compliance into a routine you can show
CQCLogic keeps audits, actions, evidence and notifications in one place, with owners and deadlines, so you can show inspectors how you check quality. It tracks your work; it does not submit anything to CQC. See a sample improvement plan, view pricing or get started free.
Frequently Asked Questions
What is CQC compliance?
Meeting the legal standards for registered health and social care providers in England, the fundamental standards in the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014, and being able to show it with evidence. CQC checks it through assessments and publishes ratings.
What are the 5 standards of CQC?
CQC has five key questions, not five standards: is the service safe, effective, caring, responsive and well-led. They are separate from the fundamental standards, which CQC lists as 14.
What are the 13 CQC standards?
Older guides list 13 fundamental standards. CQC’s current list has 14 because visiting and accompanying (Regulation 9A) is now included alongside person-centred care, dignity and respect, consent, safety, safeguarding, food and drink, premises and equipment, complaints, good governance, staffing, fit and proper staff, duty of candour and display of ratings.
What does CQC compliant mean?
A service that meets the fundamental standards and registration requirements and can evidence it. No product or service is “CQC approved”: CQC does not endorse suppliers.
Who has to comply with CQC requirements?
Every provider registered with CQC for regulated activities in England, including care homes, nursing homes, home care agencies and supported living services that provide personal care. The registered provider and, where one is required, the registered manager are responsible.
How do I become CQC compliant?
Learn the fundamental standards, check your service against them with audits and a mock inspection, fix the gaps with an owned and dated action list, keep records that evidence practice and repeat on a schedule. The checklist above is a starting point.
Is a CQC rating the same as compliance?
No. Compliance means meeting the legal standards. The rating is CQC’s judgement of quality across five key questions at the time of assessment. A service can have breaches of regulations at any rating, and CQC can act on them.
What are the most important regulations to get right?
All 14 count, but Regulation 17 (good governance) underpins the rest because it requires the systems that find and fix problems. Safety (12), safeguarding (13), staffing (18) and person-centred care (9) draw close attention in inspection reports.
Do I need compliance software?
No. Templates and spreadsheets work for small services. Software helps with follow-through and evidence when you run several services or actions are being missed.
How often does CQC check compliance?
There is no fixed cycle. CQC says assessments are planned (ordered by risk) or responsive (triggered by concerns). See how often CQC inspects.
What are the 9 principles of CQC?
We could not find a list of nine principles published by CQC. People searching for this usually mean either the five key questions CQC uses to assess services (safe, effective, caring, responsive and well-led) or the fundamental standards (14 on CQC’s current list). If a document you have lists nine, check who published it and when.
What are CQC regulatory requirements?
They are the regulations registered providers must follow. The Health and Social Care Act 2008 (Regulated Activities) Regulations 2014 contain the fundamental standards (Regulations 9 to 20A), and the Care Quality Commission (Registration) Regulations 2009 cover matters such as statutory notifications and the statement of purpose. CQC lists them on its regulations for service providers and managers page.