Governance

CQC Regulation 17 & 18 Readiness Checklist

A practical self-check for good governance and staffing evidence

A Regulation 17 and 18 readiness checklist is a line-by-line self-check that asks, for each governance and staffing requirement, whether you could produce the evidence today if an inspector asked. It covers records and audit cycles under Regulation 17 (good governance) and safe staffing, vetting, training and supervision under Regulation 18 (staffing).

A two-page, evidence-led checklist for registered managers and nominated individuals. Work through Regulation 17 (Good governance) and Regulation 18 (Staffing) line by line and mark what you could evidence today, on demand — the way an inspector would ask for it. Grounded in the Care Quality Commission’s published guidance on Regulation 17 and Regulation 18.

PDF checklist
Aligned to
CQC Regulation 17 (Good governance) & Regulation 18 (Staffing)
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What is inside

Built for care providers, not generic HR teams. Every section is grounded in CQC inspection patterns.

Regulation 17 self-check: records, audit cycle, feedback acted on, risks and actions
Regulation 18 self-check: safe staffing, DBS, right to work, training, supervision, registrations
A "what an inspector may ask to see" reference table
Written for care providers, not generic HR teams
Grounded in CQC’s published Reg 17 and Reg 18 guidance

Who this is for

  • Registered managers preparing for a CQC assessment
  • Nominated individuals reviewing governance across one or more locations
  • Quality and compliance leads running an internal assurance cycle

How to use it

  1. 1Work through the Regulation 17 section and mark each line as evidenced, partly evidenced, or not evidenced.
  2. 2Repeat for Regulation 18, checking staffing levels, DBS, right to work, training and supervision.
  3. 3For every line that is not fully evidenced, record an owner and a date in your action plan.
  4. 4Re-run the checklist quarterly so the position stays current rather than being rebuilt before an assessment.
Why this matters

Governance and staffing findings rarely come from poor care — they come from evidence that exists but cannot be produced on the day. Any line you cannot evidence now is a finding waiting to happen, and a place to focus before an inspection.

Common questions

Regulation 17 requires systems and processes that assess, monitor and improve the quality and safety of the service, assess and mitigate risk, maintain accurate and complete records for each person using the service and each member of staff, and seek and act on feedback. In practice it is judged on whether those systems are running and produce a traceable record, not on whether a policy document exists.
Regulation 18 covers staffing: sufficient numbers of suitably qualified, competent, skilled and experienced staff to meet the needs of the people using the service, together with the support, training, professional development, supervision and appraisal those staff need to carry out their duties.
Quarterly is a reasonable rhythm for most services, with a lighter monthly review of the staffing lines that change most often, such as DBS and mandatory training expiry. CQC assessment is continuous and risk-based, so a position that is only assembled before an assessment tends to fall out of date between reviews.

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