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 an NHS provider)
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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
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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).
- Medicines management policy and procedures
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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
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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
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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
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As part of your application you must include your 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
- Staffing structure
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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.