Supporting documents (supported living)

Page last updated: 24 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'.

Business plan

A business plan is a written document describing a company's core business activities, objectives, and how it plans to achieve its goals.

Your plan should include:

  • an executive summary
  • products and services
  • marketing strategy and analysis
  • financial planning
  • a budget.

A business plan helps you to:

  • clarify your business idea and structure of the business
  • spot potential problems
  • set out your goals
  • measure your progress.

Ideally, you should review and update your plan periodically to see if goals have been met or have changed and evolved.

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

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.

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).
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
  • auditing
  • administration
  • disposal
  • recording

Failing to have these processes in place poses real risks to people.

Supporting information

CQC

External sources

Mental capacity and deprivation of liberty safeguards (DoLs) policies

Deprivation of liberty safeguards protect people who cannot consent to their care or treatment arrangements. Your policy should set out how you will treat all the people who use your service. You must base this on the principle that all people are able to make their own decisions.

The safeguards apply if those care or treatment arrangements deprive a person of their liberty. Your policy must be consistent with the legislation. It must explain how and when the service can make a decision for a person in their best interests. You should also set out how you will protect a person where they may be deprived of their liberty.

In your policy, outline how your service will work to the 5 principles of the Mental Capacity Act:

  • presumption of capacity
  • support to make a decision
  • ability to make unwise decisions
  • best interest
  • least restrictive.

This helps to show us how you will meet Regulation 13(4)(b).

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.

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
Recruitment policy

You must provide information on your recruitment procedures. It should be specific to your service and it should at least include how:

  • 'fit and proper' staff are employed, including the checks you will make before you appoint someone you assess company directors are fit for their role
  • you assess company directors are fit for their role
  • you will gather and hold information as required under Schedule 3 and 4 of the Health & Social Care Act 2008 (Regulated Activities) Regulations 2014
  • you will take the Equality Act 2010 into account during recruitment process
  • you will make reasonable adjustments for employees where necessary
  • you make sure recruitment is fair and complies with legislation

It should also include:

  • stages of recruitment
  • conditions of employment
  • your policy for recruiting volunteers and apprentices
  • your recruitment complaints policy
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.

Sample care contract

This should be a blank example contract between the you and a person who uses your care services.

It should show how you would create an individualised care plan for someone. It should include how you would find out:

  • what support they would need to live independently and maintain their tenancy
  • how you could work with them to jointly produce and maintain their care plan
  • how to obtain their consent.

The care contract must be a separate legal agreement from a tenancy agreement.

Supporting information

CQC

Sample care plan

You must provide a sample care plan blank template with your application.

The care plan should demonstrate:

  • how information is captured and recorded for each person
  • the person's care needs
  • how care needs will be met and reviewed
  • obtaining consent.

A sample care plan should be in a format that makes sense to the person receiving care.

Supporting information

CQC

External resources

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.

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.

Tenancy agreement

This should be a blank example tenancy agreement for the accommodation you provide to people who use your service.

As a supported living service you must meet the requirements for services for autistic people and people with a learning disability. You must show your model of care, policies and procedures are in line with current best practice. This means that your:

The tenancy agreement must be a separate legal agreement from a care contract.

External sources

Supporting information

CQC

The following links open in a new tab.

 

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)