You must include all these documents with your application.
We will return your application if you do not do so.
Save each document as a separate file. Name each file so we know what it is. For example 'list of policies and procedures' or 'financial viability statement'.
- Booking procedures
We need to see a sample of your booking process and the forms you will use. The forms should record information such as point of contact, details of patient need, and risks.
- Complaints policy and procedure
As part of your application you must include your complaints procedure. This document shows us that you have a clear process in place to handle complaints and concerns.
It should be specific to your service and include information, for example, how to:
- make a complaint or raise a concern
- effectively investigate, address and respond to concerns and complaints
- protect people who raise concerns or complaints from discrimination, harassment or disadvantage
- improve the service from feedback received
- signpost people to next steps if they are not satisfied with the outcome
You should also consider how easy it is for people to use your complaints process and include an easy read version.
- Consent policy and procedure
The policy and procedure should set out how you will get consent to care and treatment. It must reflect current legislation and guidance. For example, the Mental Capacity and Liberty Protection Safeguards.
- Financial viability statement (unless you're an NHS provider)
You must include a financial viability statement with your application.
This confirms you have the finances to provide your service and keep it running, as set out in your statement of purpose.
We recommend you use the CQC financial viability template.
- Governance policy
You must include a governance policy.
Governance is the system of rules, practices and processes you use to manage your business effectively.
This document shows us that you have effective governance to run a well-led service and provide a high standard of care. It should be specific to your service and should at least include how you will:
- manage and govern your organisation
- continually assess and improve your governance practice
- seek and act on feedback from people using the service
- assess, monitor and improve the quality and safety of the services you provide
- securely maintain accurate, complete and detailed records of each person using the service and records relating the employment of staff
- meet statutory requirements such as the General Data Protection Regulation (GDPR). See the Information Commissioners Office (ICO) guide to data protection (opens in new tab).
- Infection control policy and procedure
Show how you will:
- prevent and control healthcare associated infections
- meet 'Health and Social Care Act 2008: Code of Practice for health and adult social care on the prevention and control of infections and related guidance'.
Include how you will:
- protect staff from infection and from spreading infections
- clean vehicles and equipment
- prevent the spread of infections when administering medicines.
- Information Commissioner’s Office (ICO) registration certificate
Your systems and processes must support the confidentiality of the people who use your service. They must comply with the Data Protection Act 1998. Every organisation that processes personal information must pay a fee to the ICO, unless exempt. Failure to do so will result in a fixed penalty.
- List of risk assessments
You must assess the risk to the health, safety and welfare of people who use your services. The risk assessments should include plans for managing risks. They must be completed and regularly reviewed by people with the qualifications, skills, competence and experience to do so.
Provide a list of the risk assessments you will carry out to meet& Regulation 12.
- Medical emergency policy
You must have arrangements to take appropriate action if there is a clinical or medical emergency.
Your policy must describe:
- what medicines and equipment are in place to deal with a medical emergency
- how members of staff have been trained to deal with that emergency.
It should include the risks and safety of any emergency medicines you do not hold in stock.
This helps to show how you will meet Regulation 12(2)(b).
- Medicines management policy and procedures
The policy should set out how you will:
- keep enough supplies of medicines
- manage medicines safely
- administer medicines appropriately to make sure people are safe.
It should include the safe storage and administration of:
- medical gases
- controlled drugs
- emergency medicines and equipment.
This helps to show how you will meet Regulation 12(2)(g).
- Public and employer liability insurance quote or certificate
You must have insurance and suitable indemnity arrangements to cover potential liabilities arising from death, injury, or other causes, loss or damage to property, and other financial risks.
Complete the insurance supporting information request form to explain these arrangements and send it with your application.
- Records management policy
The policy should set out how you will maintain secure accurate records about:
- each service user, including:
- the care and treatment provided
- a record of any emergency treatment, unplanned emergency work - such as 999 or transfer off event sites.
- people employed to carry on the activity we regulate
- how you manage that activity.
- each service user, including:
- Recruitment policy
The policy must set out how:
your recruitment procedures will protect the people who use your service you will show that a person is of good character - this should include any directors or managers
you will decide whether staff have the necessary skills, qualifications and experience
- you will monitor staff to make sure they remain able to meet the requirements
- you will deal with staff who are no longer fit to carry out the duties required of them.
There is a voluntary register for non-paramedic staff - such as ambulance technicians. They can register with the Health Practice Associates Council. CQC supports this register. So your policy should show how you will encourage staff to register.
- Regulation 18: Staffing
- Regulation 12: Safe care and treatment
- Key lines of enquiry: Staff skills and knowledge
- Key lines of enquiry: Suitable staff and staff cover
- Safeguarding policy and procedures document
You must provide information about your policy and procedures on safeguarding, and provide guidance about how people can raise concerns about abuse. Your policy must set out the specific procedures for the different types of services and age groups.
This information must be accessible to people who use your service, their advocates, those lawfully acting on their behalf and those close to them, as well as to your staff.
You need this to comply with Regulation 13: safeguarding service users from abuse and improper treatment.
- Safe handling of bariatric patients policy
The policy should set out your considerations when treating or transporting bariatric patients. It should include:
- weight distribution
- patient's condition
- dynamic risk assessment
- vehicle design
- training: moving and handling.
This will help you meet Regulation 12(2)(e) and (f).
- Staffing structure
Your staffing structure should detail:
- the different roles
- numbers of staff in each role
- qualifications for each role
- responsibilities for each role.
This will show us how you will make sure the service is supported by a suitably qualified, competent, skilled and experienced workforce - Regulation 18.
- Staff training matrix or plan
Your training matrix should identify all training you will provide for all roles within your service. The matrix should include mandatory training. It should show the frequency of the training and how you will deliver it.
It should show how you will meet Regulation 18(2)(a).
- Statement of purpose
The statement of purpose is a legally required document that must include a range of information about you and the care services you will provide.
We may return, reject or refuse your application if your statement of purpose does not include all the required information and match your application.
Your statement of purpose must include at least all the information listed under Schedule 3 of the Care Quality Commission (Registration) Regulations 2009 (as amended 2012).
- Vehicle details
We need to see a copy of the following documents for the vehicles you'll use to provide the service:
- vehicle checklists for maintenance
- daily vehicle inspection log for both before and after use
- checks of for example the emergency equipment, drugs or medication kit and supplies
- vehicle insurance quote or policy