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.
- 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.
- Equality, diversity and human rights (EDHR) accessibility policy
Your policy must set out how you will meet the Accessible Information Standard.
It should describe how:
- you will make reasonable adjustments so that people with a disability can access and use services on an equal basis to others
- your technology (including telephone systems and online/digital services) will be easy to use
- staff will understand and respect the personal, cultural, social and religious needs of people:
- how these needs may relate to care needs
- how staff will take these needs into account in the way they deliver services
- how they should record this information
- how and when they should share the information with other services or providers.
- Financial viability statement (unless you're a corporate 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.
- Fit and proper persons (directors) policy
Your policy must explain:
- how you have assured yourself that directors meet the fit and proper persons (directors) regulation
- how you will continue to assure yourself of this
- 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, safety and risk policy
Your policy must set out how you will report patient, staff or visitor safety incidents or events. In line with the Health and Safety at Work Act, the policy should include:
- how patients, staff and visitors can raise or report a concern
- how you will monitor concerns
- how you will record and report safety incidents and near misses
- how you will analyse serious incidents, clinical errors, and wound infections
- what action you will take and how you will deal with these incidents, events or concerns.
- 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'.
Your policy should include:
- your cleaning policy, procedure and rota
- how your building complies with infection control measures
- clinical waste management
- specific requirements for infectious diseases, for example, COVID-19
- decontamination of equipment.
This helps to show us how you will meet Regulation 12(2)(h).
- Information governance policy
The policy must outline the arrangements (including appropriate internal and external validation) to ensure the availability, integrity and confidentiality of identifiable data, records and data management systems, in line with data security standards.
It should detail how you will:
- learn lessons when there are data security breaches
- make sure you submit data or notifications to external bodies as required
- use and analyse data. For example, if a certain drug is being over prescribed, how you would identify this (audit), learning, recording well and making available
- use data to improve services
- work with and share data about people with other services - including contingency or emergency plans. For example, GP out of hours, referral and discharge
- assure people that you treat their information confidentially in a way that complies with the Data Protection Act
- support people to make and review choices about sharing their information.
You need this to comply with Regulation 17: good governance.
- 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 and prescribing policy
The policy must set out how you will:
- appropriately prescribe, administer and supply medicines to people
- do this in line with relevant legislation, national guidance or best available evidence.
It should include:
- arrangements for monitoring patients who have been prescribed ‘high risk’ medicines
- safe storage and administration of medical gases, controlled drugs, emergency medicines, and equipment
- cold chain arrangements for vaccines
- how you deal with repeat prescriptions
- antibiotic prescribing, opioid scrutiny, and audits of these
- how you assure yourself that independent prescribers are competent
- your audit trail and security of prescriptions.
Your policy must set out the safety and security procedures of medicines and prescriptions during home visits. You should link this to your lone working policy.
This helps to show how you will meet Regulation 12(2)(g).
- Medicines & Healthcare products Regulatory Agency (MHRA) policy
Your policy should describe how you will record and respond to any alerts from:
- the Medicines and Healthcare Products Regulatory Agency (MHRA)
- other regulatory bodies.
This helps to show us how you will meet Regulation 12(2)(b).
- 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.
- 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
- 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.
- 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).
- Training and development policy
Your policy must set out how you will:
- identify the learning needs of all staff
- staff will have appropriate training to meet their learning needs that covers the scope of their work
- li>protect time for your staff to have this training
- encourage your staff and give them opportunities to develop
- provide all staff at every level with the development they need
- make sure your staff have high-quality appraisal and career development conversations.
You need this to comply with Regulation 18.