Supporting documents (dentists)

Page last updated: 16 May 2022
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Organisations we regulate

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'.

Building completion certificate (if applicable and available)

Depending on the type of application you're making, the form may ask you whether you've had to apply for building regulations approval for any building works you have carried out at the location, and whether your application was successful. If you have any documentation to show that you have any necessary approval, you should send it to us.

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.

Supporting information

CQC

External sources

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).
Health and Safety Executive (HSE) registration (if using x-ray equipment)

You should show that you have contacted the Health and Safety Executive. This could be that you have notified HSE, registered with them, or received consent from them. This might be an email response.

This shows us how you are meeting the Ionising Radiation Regulations 2017.

Infection control policy

Show how you will:

  • prevent and control healthcare associated infections
  • comply with the essential requirements of both:
    • HTM 01-05 (Infection Prevention Control)
    • HTM 01-07 (Management of Healthcare Waste, company contracted to collect clinical waste, needle stick injury protocol).

Your policy should include how you will:

  • protect staff from infection and from spreading infections
  • prevent the spread of infections when administering medicines.

This helps to show us how you will meet Regulation 12(2)(h).

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.

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).

    Organisational structure

    This is the management structure of your business. It outlines who is responsible for each area of the business - who they report to and who reports to them.

    It should show how your business will meet its goals. Each employee will know exactly what their role is and how they fit into the organisation.

    Planning permission (if applicable)

    When planning the location of premises, you must take into account the anticipated needs of the people who will use the service. And you should make sure people can easily access other relevant facilities and the local community.

    You must meet the requirements of planning legislation and building regulations. You must have planning permission in place when you register with CQC.

    Send us the planning permission agreement from the planning authority. If you do not need planning consent, you must explain why.

    This helps to show us how you will meet Regulation 15(1)(f).

    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

    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 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

    Supporting information

    CQC

    Recruitment policy

    This document shows us that you have the appropriate procedures in place. It should be specific to your service and include:

    • how you make sure recruitment is fair and complies with legislation
    • stages of recruitment
    • conditions of employment
    • what references you need for a new employee
    • how you check previous employment
    • policy for recruiting volunteers and apprentices
    • recruitment complaints policy

    Supporting information

    CQC:

    External sources:

    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.

    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).

    Find out what your statement of purpose must include.

     

    Register as a new provider | 5. Statement of purpose