Supporting documents: registering a new legal entity (adult social care)

Page last updated: 19 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'.

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.

The financial viability statement must include:

Your details:

  • 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
  • name 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
  • abank 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.

 

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).
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.

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
  • 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).

Find out what your statement of purpose must include.

 

Register as a new provider | 5. Statement of purpose

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Right support, right care, right culture

 

Templates and forms

Financial viability template (doc, 100.50kB, English)