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CQC compliance management

Stay CQC compliant every day, not just on inspection day

CQC compliance means meeting the fundamental standards in Regulations 9 to 20A of the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014, judged through CQC's five key questions: is your service safe, effective, caring, responsive and well-led? Compliance management is the routine that proves it: audits, current policies, statutory notifications on time and evidence ready for CQC.

We run that routine with home care, supported living and care home providers, from £1,500 + VAT.

Book a compliance reviewTake the 2-minute self-check0333 577 0877

Compliance board

This week
  • SafeMedicines audit done
  • EffectiveCare plans reviewed
  • CaringFeedback calls logged
  • Responsive1 complaint open, day 12
  • Well-ledGovernance meeting Tuesday

Notifications sent

All on time

Policies in date

38 of 38

Illustration of the weekly board we set up with clients

CQC compliance in numbers

key questions CQC rates you on
5
quality statements in the current framework
34
fundamental standards, Regulations 9 to 20A
14
to display a new rating on your premises and website
21 days
registered manager absence that must be notified
28 days
working days to send factual accuracy corrections
10 days

The 5 key questions CQC asks, and what proves each one

Every CQC rating is built on five key questions: safe, effective, caring, responsive and well-led. Choose one to see what inspectors look for, the evidence to keep ready and the regulations behind it.

Key question 1 of 5: Safe

Are people protected from abuse and avoidable harm?

What inspectors look for

  • Risks to each person are assessed, recorded and reviewed
  • Medicines are managed safely, with audits that find and fix errors
  • Enough suitably skilled staff, recruited safely
  • Safeguarding concerns are raised, reported and learned from
  • Infection prevention and control is followed in practice

Evidence to keep ready

Medicines audits, risk assessments, incident and safeguarding logs, staff files and rotas

Regulations behind it

  • Reg 12 Safe care and treatment
  • Reg 13 Safeguarding
  • Reg 18 Staffing
  • Reg 19 Fit and proper persons

The fundamental standards, Regulations 9 to 20A

These are the legal standards below which care must never fall. Every registered provider must meet them, and CQC can take action when you do not. Some breaches can go straight to prosecution.

  • Can be prosecuted directly, without a warning notice
  • Parts can be prosecuted directly
  • Prosecution possible where a breach causes avoidable harm
  • Civil enforcement, such as warning notices and conditions
  1. 9Civil enforcement, such as warning notices and conditions

    Regulation 9: Person-centred care

    Care is planned with each person and meets their needs and preferences.

  2. 9ACivil enforcement, such as warning notices and conditions

    Regulation 9A: Visiting and accompanying

    Care homes, hospitals and hospices support visits and someone to accompany people. In force 6 April 2024.

  3. 10Civil enforcement, such as warning notices and conditions

    Regulation 10: Dignity and respect

    Privacy, independence and equal treatment for everyone you support.

  4. 11Can be prosecuted directly, without a warning notice

    Regulation 11: Need for consent

    Consent before care, and the Mental Capacity Act applied when someone lacks capacity.

  5. 12Prosecution possible where a breach causes avoidable harm

    Regulation 12: Safe care and treatment

    Risks assessed and reduced, medicines managed safely, staff competent.

  6. 13Prosecution possible where a breach causes avoidable harm

    Regulation 13: Safeguarding from abuse

    Systems to prevent abuse and improper treatment, and to act on concerns.

  7. 14Prosecution possible where a breach causes avoidable harm

    Regulation 14: Nutrition and hydration

    People get enough to eat and drink to meet their needs.

  8. 15Civil enforcement, such as warning notices and conditions

    Regulation 15: Premises and equipment

    Premises and equipment are clean, suitable, secure and maintained.

  9. 16Parts can be prosecuted directly

    Regulation 16: Complaints

    Complaints are investigated and acted on, and records sent to CQC within 28 days if asked.

  10. 17Parts can be prosecuted directly

    Regulation 17: Good governance

    Audits, records and checks that keep quality and safety under control.

  11. 18Civil enforcement, such as warning notices and conditions

    Regulation 18: Staffing

    Enough qualified, competent staff, with training, supervision and appraisal.

  12. 19Civil enforcement, such as warning notices and conditions

    Regulation 19: Fit and proper persons employed

    Safe recruitment: checks, references, DBS and right to work.

  13. 20Parts can be prosecuted directly

    Regulation 20: Duty of candour

    Be open when things go wrong: tell the person, apologise and put it in writing.

  14. 20ACan be prosecuted directly, without a warning notice

    Regulation 20A: Display of ratings

    Show your latest CQC rating on your premises and every website you run.

  15. Also in the law

    Regulation 5 makes directors meet the fit and proper person test, Regulation 6 requires a nominated individual and Regulation 7 sets out what a registered manager needs.

Source: Health and Social Care Act 2008 (Regulated Activities) Regulations 2014, regulations 5 to 22, and CQC's guidance on offences. Checked 16 October 2026.

2-minute self-check

CQC compliance checklist: how ready are you today?

Tick what you could prove to an inspector this afternoon, with the evidence to hand. Your answers stay on this page and are not saved or sent anywhere.

Registration and display
Governance
Staff
Care and safety
Safeguarding and reporting

What must be reported to CQC

Statutory notifications tell CQC about important events. You send them through the provider portal, and inspectors check your incident log against what CQC received.

A missed notification is an offence

CQC can issue a £1,250 fixed penalty to the provider, or £625 to a registered manager, without a warning notice first.

  • Death of a person using your service

    Law: Regulation 16

    Deadline: Without delay

  • Serious injury to a person using your service

    Law: Regulation 18

    Deadline: Without delay

  • Abuse, or an allegation of abuse

    Law: Regulation 18

    Deadline: Without delay

  • An incident reported to or investigated by the police

    Law: Regulation 18

    Deadline: Without delay

  • Anything that stops, or may stop, you running the service safely

    Law: Regulation 18

    Deadline: Without delay

  • The outcome of a Deprivation of Liberty Safeguards application

    Law: Regulation 18

    Deadline: Without delay

  • Registered manager absent for 28 days or more

    Law: Regulation 14

    Deadline: 28 days before, or within 5 working days in an emergency

  • Changes to your name, address, nominated individual or legal entity

    Law: Regulation 15

    Deadline: Before the change where you can

  • A revised Statement of Purpose

    Law: Regulation 12

    Deadline: Within 28 days of the change

Care Quality Commission (Registration) Regulations 2009. CQC notifications guidance, updated 25 March 2026.

The compliance calendar

Compliance is a routine, not a project

Providers who stay Good do the same checks on the same rhythm, so evidence builds up by itself. This is the calendar we set up and run with our clients.

A care manager and care staff reviewing a compliance checklist on a tablet in their monthly meeting
Monthly governance meeting

  1. Every day and week

    • Check MAR charts and daily care notes
    • Log incidents and send notifications without delay
    • Make sure the rota covers every call or shift
    • Follow up safeguarding concerns the same day

  2. Every month

    • Medicines, care plan and infection control audits
    • Review complaints, incidents and safeguarding for patterns
    • Update the action plan with owners and dates
    • Spot check two or three staff files

  3. Every quarter

    • Staff supervisions and unannounced spot checks
    • Ask people, families and staff for feedback
    • Governance meeting with directors, minuted
    • Test your evidence against the 5 key questions

  4. Every year

    • Staff appraisals, and check training is in date
    • Review every policy and your Statement of Purpose
    • Test your business continuity plan
    • Renew insurance and check registrations are current

What happens if you are not CQC compliant

CQC escalates. Most providers fix things at the first step, but a breach left open climbs the ladder, and some offences skip straight to a fine or prosecution.

  1. Step 1

    Requirement notice

    Names the regulation you breached. You send CQC an action plan saying how and when you will fix it.

  2. Step 2

    Warning notice

    A formal deadline to put things right. CQC issued 494 in 2024/25, and it shows on your public report.

  3. Step 3

    Conditions

    Limits on your registration, such as no new admissions or monthly reports to CQC.

  4. Step 4

    Suspension

    You must stop providing the regulated activity for a set period.

  5. Step 5

    Cancellation

    Your registration is removed and you can no longer legally provide care.

Fixed penalties CQC can issue

Fines for offences, offered instead of prosecution. Amounts are for the registered provider unless stated.

  • £100Not displaying your rating, Regulation 20A
  • £300Not sending complaint or governance records when asked, Regulations 16(3) and 17(3)
  • £1,250Missed statutory notification (£625 for a registered manager)
  • £1,250Duty of candour failures, Regulation 20
  • £4,000Avoidable harm offences under Regulations 12, 13 and 14 (£2,000 for a manager)

Where providers lose marks, in 3 short videos

From the Care Sync Experts YouTube channel. Watch these before your next inspection.

New for 2026

The 2026 CQC warning: why your evidence is wrong

Why evidence that passed before now falls short, the 6 kinds of evidence CQC looks at, and why feedback from people you support carries so much weight.

In this video

  • What the Dash review found about how CQC used evidence
  • The 6 evidence categories inspectors draw on
  • Gathering feedback that stands up at inspection
Watch on YouTube

  • The one mistake care providers make with staff files

    What every staff file needs under Regulations 18 and 19, and the gap that most often triggers CQC enforcement.

  • Missing policies? Here's what CQC will flag

    The policies CQC expects to see, how inspectors test whether staff know them, and what gets flagged.

  • More on our YouTube channelShort answers to the questions providers ask us

Our CQC compliance management service

Our consultants find the gaps before an inspector does, fix them with you and leave a routine that keeps you compliant. We work with home care, supported living and care home providers across England.

Compliance review and action plan

from£1,500+ VAT

Fixed fee agreed before we start, based on your service type and size.

Book a compliance review
first-time CQC registration approval
98%
providers supported
1,200+
years of team experience
10+

What is included

  1. Full compliance review

    Your service checked against the 5 key questions and Regulations 9 to 20A, with a red, amber and green action plan.

  2. Policies brought up to date

    Every policy reviewed against current law and guidance, and tailored to the care you deliver.

  3. Staff files and recruitment

    A check of each file for the Regulation 19 and Schedule 3 records CQC expects.

  4. Care records sampled

    Care plans, risk assessments, consent and MAR charts audited, with gaps explained.

  5. Notifications and incidents

    Your incident, safeguarding and complaints logs cross-checked against what CQC should have received.

  6. Audit tools and calendar

    The audits and compliance calendar set up for your service, so the routine keeps running after we leave.

  7. Evidence ready for CQC

    Your evidence organised by key question, so you can answer an inspector in minutes, not days.

Mock inspectionA realistic inspection run the CQC way, with a written report.From £1,000 + VATNot registered yet?Our CQC registration support gets you compliant from day one.From £4,000 + VAT

How CQC is changing in 2026, and what to do now

CQC is reworking how it assesses services, but nothing has changed in the law you must meet. Providers who keep evidence current against today's framework will be ready for whatever comes next.

  1. Today

    Single assessment framework

    CQC still assesses against the 5 key questions and 34 quality statements. Keep using the current guidance.

  2. 25 March 2026

    CQC sets out its changes

    A separate adult social care framework, rating characteristics back, key lines of enquiry instead of quality statements, and no more scoring.

  3. June to October 2026

    Pilots with providers

    The draft frameworks were tested with a sample of services, including adult social care.

  4. From November 2026

    Evaluation

    CQC reviews the pilots before deciding what changes and when. No go-live date has been set.

67%

of adult social care services rated Good

CQC State of Care 2024/25

2%

of adult social care services rated Outstanding

CQC State of Care 2024/25

83.5%

of community social care services have no current rating

Homecare Association

Client reviews

What care providers say about working with us

Care providers describe working with us, in their own words, on Trustpilot and Google.

Trustpilot

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  • First of all i want to give Millicent…

    First of all i want to give Millicent her flowers. I recently became a registered manager ( OLIVE BRANCH CARE & SUPPORT LTD) because of her. She knows her stuff, she takes you through the whole process, the Q&A with encouragement and guidance. I am usually a nerve wreck, but I made it. I couldn't not have wished for a better person than her. THANK YOU MILLICENT. YOU ARE THE BEST.

    Audrey Eastwood

    3 October 2026

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  • Excellent Support Throughout Our CQC Registration Journey

    Care Sync Experts provided excellent support throughout our CQC registration journey for Tailored Healthcare 4 You Limited. The team was professional, knowledgeable and very supportive throughout the process. They provided valuable guidance with our application, policies, supporting documents and preparation for the CQC registration process. What I particularly appreciated was their willingness to answer questions, explain requirements clearly and provide support whenever we needed clarification. Their guidance helped us navigate what can be a detailed and demanding registration process with greater confidence. We are very grateful for their contribution towards the successful CQC registration of our company and would happily recommend Care Sync Experts to other care providers looking for professional CQC registration support. Thank you to the entire team for your continued support.

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    3 September 2026

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  • Thanks to Care Sync Experts

    Care Sync Experts supported with well tailored documentations for the CQC application, good prep/training for the CQC interview and prompt communication throughout the CQC registration stages which led to the success of Novaedge application I had an excellent experience working with Care Sync Experts on my CQC registration application. From the very beginning, their team demonstrated exceptional professionalism, knowledge, and commitment to ensuring my application met the required CQC standards. They provided clear guidance throughout the entire process, helped me prepare all the necessary documentation, and ensured I was fully ready for every stage of the application. Their attention to detail, prompt communication, and willingness to answer every question gave me confidence and made what could have been a stressful process much smoother. I truly appreciated their personalised support and expertise. Thanks to their dedication, I felt well-prepared throughout my CQC registration journey. I would confidently recommend Care Sync Experts to anyone seeking reliable and professional support with CQC registration and healthcare compliance.

    Novaedge Services Limited

    25 July 2026

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  • The Experience that I have had with…care sync was a 5 star experience

    The Experience that I have had with Care Sync experts is so excellent and effortless. Care sync experts assisted me with the CQC registration of my company. It was a 5 star experience. Coming from a healthcare background myself, I worked with a group of dedicated experts who knows what there are doing. I will like to thank Colin who handled my registration process with the Care sync expert team in such a way that the process looked so simple.

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    21 July 2026

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  • Care Sync Experts are reliable

    Care Sync Experts are reliable, honest and operate with integrity. All the staff are knowledgeable and supportive whenever you need guidance. I recommend them for all those loking for CQC support services.

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    12 June 2026

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  • I am genuinely grateful that I chose Care Sync

    I am genuinely grateful that I chose Care Sync Experts to support me in establishing my domiciliary care company, Precious Care. From my very first conversation with them, it was clear that they truly understood my needs. Their knowledge, expertise, and professionalism were evident from the start—they really do live up to their name. The support provided to me and my wider team was exceptional and truly limitless. No matter how small the question, they were always available, approachable, and ready to help. From day one, Millicent and Collins made us feel valued and important. Speaking with them felt like talking to people I had known for years—warm, reassuring, and always willing to go the extra mile. Every phone call ended with clarity and confidence. Millicent’s guidance, training, and ongoing support were outstanding and made the entire process smooth and stress‑free. Without hesitation, I would recommend Care Sync Experts as the go‑to professionals for anyone seeking EXPERT support in this field.

    PN

    27 March 2026

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  • CQC interview confidence building

    I found the material I was given very informative. This helped build my confidence during my CQC interview preparation. The staff responded to my inquiries timeously

    Lilian Muzorewa

    23 February 2026

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  • 100% Support: How Care Sync Experts Made Our CQC Certification A Reality

    I couldn’t be more grateful for Care Sync experts exceptional support during our CQC interview presentations. From the very beginning, Millicent and Collins were not only professional but also incredibly approachable and dedicated. Every time we needed assistance, they were right there ready to help with guidance, expert advice, and all the information required to ensure our success. When our interview dates kept changing, Care Sync flexibility truly set them apart. They rescheduled sessions without hesitation and even provided extra sessions, going far beyond what we had paid for. Their unwavering commitment was a crucial factor in us achieving our CQC certification. Thanks to their 100% support, Victory Growth Care Services is now proudly registered with CQC. I wholeheartedly recommend Care Sync expats for anyone looking for top-notch, dependable support in navigating the complexities of CQC interviews. Their team truly makes a difference!

    Shaz K

    12 February 2025

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  • Outstanding Tender Writing Services

    I recently used Care Sync Experts for the first time to complete a tender, and I am thrilled to say that they won it for me! Their team is absolutely brilliant. They took care of everything with professionalism and expertise, making the whole process smooth and successful. I would 100% recommend Care Sync Experts to any provider looking for someone to write their tender. Their work is of a high standard, and I couldn’t be happier with the results.

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CQC compliance FAQs

Last reviewed

CQC compliance means your service meets the fundamental standards in Regulations 9 to 20A of the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014, and the registration rules that go with them, such as statutory notifications and displaying your rating. CQC checks this by asking whether your service is safe, effective, caring, responsive and well-led, and it can take enforcement action when you fall short.
CQC compliance management is the routine work that keeps a care service meeting CQC's standards between inspections: auditing care records, medicines and staff files, keeping policies current, making statutory notifications on time, acting on complaints, incidents and feedback, and keeping evidence ready for CQC's five key questions. Most services run it through a governance calendar owned by the registered manager.
What people call the 5 CQC standards are CQC's five key questions: is the service safe, effective, caring, responsive and well-led? Every rating is built on them. The legal standards are separate: the fundamental standards, Regulations 9 to 20A, cover person-centred care, dignity, consent, safe care, safeguarding, nutrition, premises, complaints, governance, staffing, fit and proper staff, duty of candour and displaying ratings.
You must register for every regulated activity you carry on, meet the fundamental standards, have a registered manager where your registration requires one, make sure directors and staff are fit and proper, keep your Statement of Purpose up to date, send statutory notifications, display your rating on your premises and website, and pay your annual fee. Providing a regulated activity without registration is an offence.
You must notify CQC without delay of the death of a person using your service, serious injuries, abuse or allegations of abuse, incidents reported to or investigated by the police, events that stop you running the service safely, and the outcome of Deprivation of Liberty Safeguards applications. You must also tell CQC about a registered manager's absence of 28 days or more, and changes such as a new nominated individual or director.
CQC does not regulate services that only provide housing, social support, companionship or domestic help without personal care, introductory agencies that only match workers with clients, or personal assistants employed directly by the person they support. Fostering and children's homes are regulated by Ofsted, and care in Wales, Scotland and Northern Ireland has its own regulators.
A useful checklist covers your Statement of Purpose, current policies with review dates, care plans and risk assessments, medicines records and audits, staff files with DBS checks, references and right to work, training and supervision records, complaints and incident logs, statutory notifications sent, feedback from people and staff, a governance calendar with actions, and your rating displayed on your premises and website.
CQC can issue a requirement notice or a warning notice, impose conditions, suspend or cancel your registration, or prosecute. Some breaches, such as failing to send notifications or display your rating, can be dealt with by fixed penalty notices: £100 for not displaying your rating and £1,250 for a provider that breaks the notification rules. Breaches that cause avoidable harm can lead to unlimited fines.
CQC says you must display your rating no later than 21 calendar days after it is published on CQC's website, even if you have asked for a review. Show it on a sign at each premises and your main place of business, and on every website you run, with a link to your CQC report. Not displaying it can mean a £100 fixed penalty.
CQC still uses its single assessment framework of five key questions and 34 quality statements. After its 2025 consultation it said it will remove scoring, rate directly at key question level and bring back sector-specific key lines of enquiry. Voluntary pilots ran from June to October 2026, and CQC has asked providers to keep using the current guidance until the new approach starts.
A CQC compliance consultant audits your service against the regulations and CQC's five key questions, tells you plainly where you would fall short, writes or updates your policies, sets up a governance calendar, checks staff files and records, runs mock inspections and supports you through factual accuracy checks and action plans after an inspection.
Our CQC compliance management starts from £1,500 plus VAT, depending on your service size and how much support you need, from a one-off compliance audit to ongoing support. Mock CQC inspections start from £1,000 plus VAT. We agree a fixed price after a consultation.
You can send corrections through CQC's factual accuracy check within 10 working days of receiving the draft report. After publication you can ask for a rating review within 15 working days, but only on the grounds that CQC did not follow its own process; disagreeing with the judgement is not enough.
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