Supporting documents: provider registration application

This should set out how you will get consent to care and treatment.

You document should include:

• information which reflects current legislation and guidance. For example, the Mental Capacity Act and it’s 5 principles and relevant Deprivation of Liberty Safeguards (DoLs)
• references to informed consent, seeking consent, best interests, and advocacy
• the name of your organisation
• the name of your policy lead
• the date your consent policy and procedure document was created, and the date when it will be reviewed.

Your policy must set out how you will meet the Accessible Information Standard and how you recognise your legal duties under the Equality Act 2010 and the Human Rights Act (EDHR).

Your document 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
• the Accessible Information Standard will be met
• information will be recorded and when information would be shared with other providers or organisations
• 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.

You must also make sure your document contains:

• the name of your organisation
• the name of the policy lead
• the date your equality, diversity, and human rights policy was created, and the date when it will be reviewed.

This confirms you have the finances to provide your service and keep it running, as set out in your statement of purpose.

Use the financial viability statement template we've attached to this page. It uses the 2018 version of the Data Protection Act. Do not use an older version of the form that mentions the Data Protection Act from 1998. Those forms are out-of-date and should not be used anymore.

Your financial viability statement must include:

• name of your business
• your main business address, including contact details
• name, position and signature of applicant.

You must also include details about your financial specialist (such as your accountant). We need to know:

• name of organisation
• professional accreditation body and registration number
• main business address including contact details
• their name, position and signature.

Your statement must be signed by a:

• professionally qualified accountancy company (registered with a recognised supervisory or qualifying body), or
• bank 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 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 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 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 to staff employment
• meet statutory requirements such as the General Data Protection Regulation (GDPR). See the Information Commissioners Office (ICO) guide to data protection.

You must also make sure your document contains :

• the name of your organisation
• the name of your policy lead
• the date your governance policy was created, and the date when it will be reviewed
• a structure chart that shows the hierarchy of your organisation.

How you will assess the risk of infection and prevent, detect and control its spread.

The document should include:

• your systems to manage and monitor the prevention and control of infection
• how you will assess the risk of infection and how infection control will be monitored –consider how susceptible the users of your service are and any risks their environment and other people may pose to them
• reference to the Code of Practice on the prevention and control of infections, issued under The Health and Social Care Act 2008
• the protocols relating to staff vaccination status
• detail the protocols in relation to COVID-19 and how staff will have access to Personal Protective Equipment (PPE) and what will be available.

You must also make sure your document contains:

• the name of your organisation
• the name of your policy lead
• the date your infection control policy was created, and the date when it will be reviewed.

Your systems and processes must support the confidentiality of the people who use your service. They must comply with the Data Protection Act 2018. 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.

You must also make sure:

• you provide a copy of your issued certificate
• the name on the certificate matches the name on your application
• your certificate is currently valid, with a ‘start date’ and ‘end date’.

Your medicines policy needs to demonstrate that there are appropriate procedures for the safe and effective management of medicines and associated equipment. It must also relate to the type of service you provide.

If it applies to your service, the policy should explain how you will:

• keep enough supplies of medicines
• manage medicines safely including medication administration, storage, medication errors and omissions
• administer medicines appropriately to make sure people are safe
• administer medicines in a service users own home - Domiciliary Care Agency only
• set out governance arrangements for medicines administration records to make sure they are accurate and up to date
• train staff responsible for administering medications and explain how their competence is assess and monitored
• monitor the safe storage and administration of medical gases, controlled drugs and emergency medicines and equipment
• reflect relevant guidance from the National Institute for Health and Care Excellence (NICE)

You must also make sure your document contains:

• the name of your organisation
• the name of your policy lead
• the date your medicines management policy was created, and the date when it will be reviewed.

All providers must have insurance and suitable indemnity arrangements. These must cover potential liabilities arising from death, injury, or other causes, loss or damage to property, and other financial risks.

You can only submit one document. If the service you are applying for requires both Public and Employee liability insurance, complete the CQC Liability Insurance Supporting Information form with your insurance details and we will ask for evidence of your certificate or quote at your assessment. Your quote must be within its expiry date when you submit your application.

You must submit one of the following which should be specific to the service applying for registration:

• Public Liability Insurance Certificate of insurance, or Quote, where your service has no employees.
• Public and Employer Liability Insurance Certificate of insurance, or Quote when both are covered by one document.
• CQC liability insurance supporting information form (complete all sections of this form when you have separate documents for Public and Employer Liability insurance or to explain why you currently have no insurance arrangements place)

This shows us that you have the appropriate procedures in place and should set out your organisations approach and process to recruitment, ensuring that recruitment processes are fair, inclusive and in line with legal obligations.

It should be specific to your service and include:

• how you make sure recruitment is fair and complies with legislation
• the stages of recruitment (for example, advert, application, shortlisting, interview, checking identity, taking up references, DBS check, offering post). What you need to tell us will depend on the nature of your business
• what references you need for a new employee. We would expect the policy to state if an applicant has previously worked in health or social care or with children or vulnerable adults, evidence of conduct when employed is sought and why the persons employment ended
• how you check previous employment
• your policy for recruiting volunteers and apprentices
• your recruitment complaints policy

You must also make sure your document includes:

• the name of your organisation
• the name of your policy lead
• the date your policy was created, and the date when it will be reviewed.

A safeguarding policy must provide guidance about how people can raise concerns about abuse. The policy must set out the specific procedures for the different types of services and age groups you want to provide services for.

Your document must include:

• specific procedures for the types of services and age groups you propose to care for
• guidance about how people can raise concerns about abuse
• the process for reporting and raising safeguarding concerns. Who the safeguarding lead is and what will happen once it has been reported
• the different types of abuse, preventative measures and what constitutes abuse
• information about your Local Authority Safeguarding Team and how they can be contacted. The LA Safeguarding Team must be in the same geographic region you are providing services in

Evidence how this information will be accessible to:

• people who use your service
• their advocates, those lawfully acting on their behalf and those close to them
• your staff

You must also make sure:

• contains the name of your organisation
• contains the name of your policy lead
• contains the date your document was created, and the date when it will be reviewed
• refers only to current legislation, it should not contain any references to out-of-date legislation.

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.

• Business continuity plan
• Emergency plan
• Floor plan
• Freedom to speak up policy
• Initial assessment/admission policy
• List of risk assessments
• Mental capacity and Deprivation of Liberty Safeguards (DoLS) policies
• Organisational structure
• Person centred care planning policy (PCCPP)
• Quality assurance policy
• Reportable incidents policy
• Safety and security of premises policy
• Sample care plan
• Service user guide
• Staff training matrix
• Staffing structure

• Booking policy
• GDPR/data protection arrangements
• List of risk assessments
• Medical emergency policy
• Process for self audit and/or for submission to national audits, accredited software system
• Procurement policy
• Records management policy
• Restraint policy
• Safe handling of bariatric patients’ policy
• Staff training matrix
• Staffing structure
• Vehicle details
• Waste management policy

• Business plan
• Duty of candour policy
• Person centred care planning policy (PCCPP)
• Quality assurance policy
• Risk management policy
• Staff training matrix

• Business continuity plan
• Freedom to speak up policy
• Health and safety risk assessment
• List of risk assessments
• Medical emergency policy
• Significant events policy (SAE: serious adverse event)
• Staff training matrix
• Staffing structure

• Business continuity plan
• Complaints policy and procedure
• Health and safety risk assessment
• Medical emergency policy
• Medical indemnity insurance covering online services
• Freedom to speak up policy
• Patient pathway
• Records management policy
• Significant events policy (SAE: serious adverse event)
• Staff training matrix
• Staffing structure
• Training and development policy
• Whistleblowing policy

• Business continuity plan
• Freedom to speak up policy
• Health and Safety Executive (HSE) registration (if using X-ray equipment)
• Health and safety risk assessment
• List of risk assessments
• Medical emergency policy
• Quality assurance policy
• Significant events policy (SAE: serious adverse event)
• Staff training matrix
• Staffing structure

• Business plan
• Learning disability form
• Mental capacity and Deprivation of Liberty Safeguards (DoLS) policies
• Organisational structure
• Quality assurance policy
• Sample care contract
• Sample care plan
• Staff training matrix
• Staffing structure