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'.
- Business plan
Your application must include a business plan that describes your core business activities and objectives, and how your business plans to achieve its goals.
Your plan should include at least:
- an executive summary
- a description of the company
- details of the services
- information on market research you’ve done
- the company’s management structure
- 2 years' financial forecast
- Financial viability statement
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.
The financial viability statement must include:
- name of business
- main business address including contact details
- name, position and signature of applicant
Financial specialist (such as your accountant) details
- name of organisation
- professional accreditation body and registration number
- main business address including contact details
- their name, position and signature
We recommend you use the CQC financial viability template.
It must be signed by:
- a professionally qualified accountancy company (registered with a recognised supervisory or qualifying body),
- or a bank or financial services firm regulated by the Financial Conduct Authority (FCA).
It must not be signed by a friend or relative.
Your financial specialist may need to see your statement of purpose and your business plan to help them confirm your business is financially viable.
They must state whether, in their opinion, you are or are not financially viable and any concerns.
We may contact them if we need further information.
Health and Social Care Act 2008 (Regulated Activities) Regulations 2014
Care Quality Commission (Registration) Regulations 2009
- Lone working policy
As part of your application you must include a lone working policy. This document shows us that you have appropriate procedures in place for lone workers.
This should be specific to your service and include information on, for example, how you train and support your staff to:
- keep safe while travelling
- work safely when alone in someone else’s home
- deal with an emergency
- report concerns about their safety
- consider their own wellbeing.
CQCRegulation 18: Staffing Key line of enquiry: Suitable staff and staff cover
External sourcesSupporting lone workers
- Medications policy
As part of your application you must include a medications policy. This document shows us that you have the appropriate procedures in place for the safe and effective management of medicines and associated equipment.
A medications policy includes prescribing, handling and administering medicines. It should be specific to your service and include information on, for example:
- staff medication training and competency assessment
- supply and ordering
- secure storage, dispensing and preparation
Failing to have these processes in place poses real risks to people.
- Regulation 12: Safe care and treatment
- Regulation 17: Good governance
- Key lines of enquiry: Medicines management
- Medicines information for adult social care services
- Learning from safety incidents - Issue 5: Safe management of medicines
- 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.
- Quality assurance policy
You must include a quality assurance policy. Quality assurance is how you monitor and evaluate your service to make sure it is delivering high quality care.
This document shows us that you have the appropriate procedures in place. It should be specific to your service and at least include how you:
- deliver person-centred care
- encourage feedback from users, carers and their families
- encourage feedback from external stakeholders
- monitor and act on all feedback assess the quality of your service (what measures you look at)
- consider, implement and evaluate improvements
- make sure staff are properly trained and supported
- 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.
- 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.
- 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).