CQC Policies and Procedures: Which Ones You Need, How Often to Review Them and a Free Policy Register (2026)
What CQC asks providers to have, the policies new providers must send at registration, a list by key question for care homes and home care, how often to review, and a free register to track them.
CQC does not publish one list of mandatory policies for ongoing operation, but providers must have the policies and procedures needed to meet the fundamental standards and to run effective governance under Regulation 17. New providers must send specific policies with their registration application, including complaints, consent, safeguarding, equality and human rights, governance and quality assurance, infection prevention and control, medicines and recruitment. Beyond that, the policies you need depend on what your service does. Inspectors check that policies are current, fit your service and are followed in practice.
This guide is for registered managers, nominated individuals and new providers of care homes and home care agencies in England. It sets out what CQC says about policies and procedures, the documents CQC asks for at registration, a practical list by key question, how often to review them and what inspectors check. Where we suggest something that is not a CQC requirement, we say so.
Download the free policy register
CQC policy register and review tracker (.xlsx): 45 policies and documents pre-listed with the regulation, key question and source (CQC registration or our suggestion), space for owner, version, approval and review dates, automatic next-review date and status (not in place, overdue, due soon, in date), and a summary by key question. It tracks policies, not whether they are followed. It is our layout, not a CQC form.
Key takeaways
- CQC has no single required policy list for ongoing operation, but it does list the documents new providers must send and others to keep ready.
- Regulation 17 requires systems to assess, monitor and improve quality, and to keep the records and policies that support them.
- A policy is a statement of what you do and why; a procedure is the steps staff follow. Inspectors look for both, and for evidence they are used.
- CQC sets no fixed review period. Annual review is common, and you should review sooner after a change in law, guidance or your service.
- Inspectors can tell a template with the name changed from a policy adapted to your service.
In this guide
- What are policies and procedures in health and social care?
- Does CQC require policies and procedures?
- Policies and documents CQC asks for at registration
- Core operational policies by key question
- Care homes and home care: policy differences
- How often should CQC policies be reviewed?
- Generic template or policy written for your service?
- Free and paid policy options compared
- Keeping the policy library current
- Sources and how this was checked
- Frequently asked questions
What are policies and procedures in health and social care?
| Term | What it is | Example |
|---|---|---|
| Policy | A written statement of your position, standards and responsibilities on a topic | Safeguarding policy: our commitment, definitions, who is responsible, how we work with the local authority |
| Procedure | The step-by-step instructions staff follow to put the policy into practice | Safeguarding procedure: who to tell, in what order, what to record, how to refer and notify |
| Process or record | What actually happens and the evidence it leaves | Safeguarding log, referral, notification to CQC, learning recorded |
Providers use policies and procedures to make sure everyone works the same safe way, to train staff and to show inspectors how they meet the regulations. For the wider explanation see policies and procedures in health and social care.
Does CQC require policies and procedures?
CQC does not publish one definitive policy checklist for ongoing operation. What it does require:
- Regulation 17 (good governance) requires effective systems and processes to assess, monitor and improve the quality and safety of the service and to mitigate risks. CQC’s guidance expects these to be assessed against Regulations 4 to 20A (CQC: Regulation 17).
- Registration requires new providers to send specific policies and documents with their application, and to keep further documents ready if asked (below).
- The fundamental standards require care that policies must support, for example safeguarding (Regulation 13), consent (Regulation 11), complaints (Regulation 16) and recruitment checks (Regulation 19).
In practice, inspectors rarely fail a service for a missing document alone. They look at whether the practice the policy describes is happening, but a missing core policy such as safeguarding or medicines can contribute to a governance finding.
Policies and documents CQC asks for at registration
CQC’s supporting documents guidance says it will reject an application if required documents are missing, incorrect or not relevant. Everyone applying as a provider sends:
- Statement of purpose (see what to put in a statement of purpose)
- Complaints policy
- Consent policy and procedure
- Equality, diversity and human rights policy
- Governance and quality assurance policies
- Infection prevention and control policy
- Medicines management and prescribing policy
- Recruitment policy
- Safeguarding policy and procedure
- Public and employer liability insurance quote or certificate
- Building control final certificate, if your locations need building regulations approval
Care homes also send a business continuity plan and a staff training plan, and home care agencies send a staff training plan and a business plan and forecast. Services for autistic people and people with a learning disability also send positive behaviour support and restraint policies. Keep these ready if CQC asks: a duty of candour policy, a freedom to speak up or whistleblowing policy, a list of risk assessments, a person centred care planning policy, a reportable incidents policy, a risk management policy, a sample care plan, and staffing structure and rotas. Care homes should also have an initial assessment and admission policy and a safety and security of premises policy ready; home care agencies a sample care contract. See how to register with CQC.
Core operational policies by key question
This list is our suggestion for a typical service, grouped by the five key questions. Delete what does not apply and add what your service needs.
| Key question | Policies and procedures to consider | Main regulations |
|---|---|---|
| Safe | Safeguarding adults; medicines management; infection prevention and control; health and safety; incident, accident and RIDDOR reporting; fire safety; moving and handling; falls prevention; risk management; lone working (home care); restrictive practice | Regs 12, 13, 15 |
| Effective | Care planning and needs assessment; staff induction, training and supervision; Mental Capacity Act and DoLS or LPS; nutrition and hydration; consent | Regs 9, 11, 14, 18 |
| Caring | Dignity and respect; equality, diversity and inclusion; end of life care; visiting (care homes) | Regs 9A, 10 |
| Responsive | Complaints; person-centred care; admissions and discharge or initial assessment | Regs 9, 16 |
| Well-led | Governance and quality assurance; whistleblowing; recruitment and DBS; fit and proper persons; data protection and confidentiality; duty of candour; business continuity; notifications to CQC; staffing levels; surveillance if cameras are used | Regs 5, 17, 19, 20 |
Care homes and home care: policy differences
Both services are assessed against the same fundamental standards and need most of the same policies, but emphasis differs:
| Care homes | Home care agencies |
|---|---|
| Premises, fire safety, safety and security of premises, visiting, admissions and initial assessment, environment and equipment | Lone working and personal safety, travel and adverse weather, missed and late visit procedures, key safe and access to people’s homes, service user guide and care contract |
| Night care, activities, catering and food safety, laundry and waste | Handling people’s money and property, working with other agencies in the person’s home, infection control in private homes |
Use the “Applies to” filter in the free register to hide rows that do not apply. For home care policy detail see our guide to domiciliary care governance.
How often should CQC policies be reviewed?
CQC sets no fixed period. Reviewing every policy at least annually is a common baseline, and you should review one immediately after a relevant change: new CQC guidance, a change in law, an incident or a change to your service that makes the wording inaccurate. Write your review period in your governance policy, track the dates and keep a record of what changed. A policy reviewed over a year ago with no record is an easily avoidable finding. See how often to review care home policies.
What happens if a policy is out of date at inspection? It is rarely a finding on its own. Inspectors are more concerned whether practice is safe and consistent, but outdated policies can show weak governance under Regulation 17, especially if staff follow different practices or refer to guidance that has changed.
Generic template or policy written for your service?
Templates are a reasonable starting point, but inspectors can tell when a policy was copied with only the provider’s name changed. Make each policy specific: named roles and real contact numbers, how your service is organised, how staff travel or work shifts, and the people you support.
| Generic template | Adapted to your service |
|---|---|
| “Staff must report concerns to management.” | “Concerns should be raised with [named registered manager] or, if involving the manager, with [named provider contact] on [number]. Anonymous reporting is available via [specific route].” |
| “Staff will follow the lone working procedure.” | “Care workers text the office on arrival and departure for evening visits. If no message within 15 minutes of the expected time, the on-call coordinator phones the worker, then the person.” |
Free and paid policy options compared
What each source offers, as shown on their sites on 25 October 2026:
| Source | What you get | Cost |
|---|---|---|
| CQC | Regulations, guidance and the registration document lists; no policy templates | Free |
| CQCLogic (this page) | A free register and tracker of 45 policies and documents with review dates and status | Free |
| Herodocs | About 50 free templates including safeguarding, complaints and governance, by service type | Free (login for PDF versions) |
| QCS | Over 340 policies and procedures and around 1,800 pages of guidance and templates, regularly updated | Subscription |
| Birdie, Access Group and others | Guides to which policies to have; policy software or content | Guides free; software and content paid |
You do not need hundreds of policies. You need the ones that describe what your service does, adapted and followed. A subscription can save time if you lack capacity to write and update them.
Keeping the policy library current
CQCLogic’s policy library is a register with version, review date, owner and file upload, so you can see which policies are due. The free register above does the same in Excel. Add policy review dates to your audit schedule and review the register at each governance meeting.
Sources and how this was checked
- CQC: Regulation 17, Good governance.
- CQC: Supporting documents for new provider applications (registration lists as read and summarised on our registration guide, updated 25 October 2026).
- Competitor and supplier pages read 25 October 2026: QCS, Birdie, Access Group, Herodocs.
The key question list, service differences, review suggestions and register layout are ours, not CQC requirements.
Keep policy reviews on schedule
CQCLogic tracks policy versions, owners and review dates alongside audits, actions and training, so you can show inspectors your documents are current. See a sample improvement plan, view pricing or get started free.
Frequently Asked Questions
What are policies and procedures?
A policy states your position, standards and responsibilities on a topic. A procedure sets out the steps staff follow to put it into practice. Inspectors look for both, and for evidence they are used.
Does CQC publish a list of required policies?
Not for ongoing operation. CQC does list the policies and documents new providers must send with a registration application and others to keep ready, and Regulation 17 requires systems to assess and monitor quality and safety.
What policies are needed to register with CQC?
A statement of purpose, complaints, consent, equality and human rights, governance and quality assurance, infection prevention and control, medicines management and recruitment policies, a safeguarding policy and procedure, insurance evidence and, where relevant, a building control certificate. Care homes and home care agencies send extra documents.
How often should policies be reviewed?
CQC sets no fixed period. Annual review is a common baseline. Review sooner after a change in law, CQC guidance, an incident or your service, and record what changed.
Can I use generic policy templates?
Yes as a starting point, but adapt each one to your service. Inspectors can tell a template with the name changed from a policy that reflects how you actually work.
What happens if a policy is missing or out of date at inspection?
It is rarely a finding alone, but a missing core policy such as safeguarding or medicines, or policies that do not match practice, can contribute to a governance finding under Regulation 17.
Do home care agencies need the same policies as care homes?
Largely yes, because both are assessed against the same fundamental standards. Home care puts more emphasis on lone working, travel and missed visits, and care homes on premises, fire and admissions.
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 or 14 fundamental standards?
Older guides list 13. CQC’s current list has 14 because visiting and accompanying (Regulation 9A) is now included. See our CQC compliance guide for the full table.
What are the 6 principles of safeguarding?
The Care Act 2014 statutory guidance sets out six: empowerment, prevention, proportionality, protection, partnership and accountability. Your safeguarding policy should reflect them.
Is there a free CQC policy register?
Yes. The register on this page lists 45 policies and documents with the regulation, key question and source, and tracks owner, version, approval and review dates with an automatic status.