| 2009 Regs, reg. 12 and Sch. 3 | Statement of purpose Your aims, services, service user bands, contact details, legal status and locations. CQC returns applications without one. "The registered person must give the Commission a statement of purpose containing the information listed in Schedule 3." | 1.1 Statement of purpose |
| Reg 16; CQC guidance | Complaints policy Who complaints go to (named), each stage and how long it takes, and how complaints about the registered manager are handled fairly. "who complaints should be sent to (we need to know their name and contact details)" | 2.2 Complaints policy |
| Regs 9, 11, 13; MCA 2005 | Consent policy and procedure How you apply the Mental Capacity Act, assess capacity, and involve attorneys and deputies. "how you'll meet your responsibilities under the Mental Capacity Act 2005 how you'll apply the five principles of the Mental Capacity Act" | 2.3 Consent policy and procedure |
| Equality Act 2010; HRA 1998 | Equality, diversity and human rights policy Reasonable adjustments, accessible technology, and how you address bullying and harassment. "how you will make reasonable adjustments so that people with a disability can access and use services on an equal basis to others" | 2.4 Equality, diversity and human rights policy |
| Reg 17 | Governance and quality assurance policies Audits, how you monitor and improve quality and safety, and an accurate organisational structure chart. "We also want to see an organisational structure chart that accurately reflects your business and roles." | 1.5 Governance and quality assurance policies |
| Reg 12; IPC code of practice | Infection prevention and control policy Including how you assess infection risks in people’s homes, and cleaning and waste in home settings. "how you assess infection risks in domestic environments" | 3.3 Infection prevention and control policy |
| Regs 12, 13; NICE NG67 | Medicines management policy The levels of medication support you offer, covert and PRN medication, and storage in people’s homes. "The different levels of medication assistance you offer" | 3.2 Medicines management policy |
| Reg 19 | Recruitment policy and procedures Every recruitment stage, employment history checks, and your approach to overseas workers. "how you check previous employment history, particularly if the applicant has worked in health or social care or with children or vulnerable adults" | 4.1 Recruitment policy and procedures |
| Reg 13; Care Act 2014 | Safeguarding policy and procedure A named safeguarding lead with out-of-hours contacts, a reporting flowchart, and your local authority safeguarding team. "The name and role of your safeguarding lead, including their contact details including emergency and out of hours contacts" | 3.1 Safeguarding policy and procedure |
| CQC guidance | Liability insurance Evidence of public liability insurance, and employer’s liability if you are legally required to hold it. Quotes must be valid. "You must always submit evidence of public liability insurance." | 1.4 Public and employer liability insurance |
| Regs 9, 10, 11, 17 | Service user guide What you do and do not offer, how you decide if you can meet needs, charges, call monitoring and complaints. "Your guide must clearly explain: what services you provide what services you do not or cannot offer how you decide if you can meet someone's needs." | 2.1 Service user guide |
| Reg 18; Care Certificate | Staff training plan Induction, mandatory and specialist training per role, named providers and refresher frequency. "what your induction process includes and what training new staff will receive." | 4.2 Staff training plan |
| CQC guidance | Business plan and financial forecast Local market research, pricing and staff pay, and a month-by-month 12-month forecast with itemised costs. "You must provide a 12-month financial forecast for your first year of business." | 1.2 Business plan and 12-month financial forecast |
| CQC guidance | Evidence of legal occupancy Title register, tenancy or licence agreement, plus written permission from your landlord or lender if you do not fully own the premises. "If you do not provide this evidence, we will not be able to approve your application." | 1.3 Evidence of legal occupancy |
| CQC guidance | Documents to keep readykeep ready; CQC may ask Do not send these, but CQC may ask for them: duty of candour, whistleblowing, risk management, reportable incidents, care planning, sample contract and care plan, staffing structure and rotas. "Do not send these documents with your application. Keep them ready in case we request them. If you cannot provide them when asked, your application may be delayed." | 5.1 Duty of candour policy5.2 Freedom to speak up and whistleblowing policy5.3 Risk management policy and list of risk assessments5.4 Reportable incidents policy5.5 Person-centred care planning policy5.6 Sample care contract and care plan5.7 Staffing structure and rotas |
| CQC guidance | Learning disability and autism servicesif you support autistic people or people with a learning disability A positive behaviour support policy, a restraint policy and an extra form. "You must also send us your: Positive behaviour support policy Restraint policy" | 6.1 Positive behaviour support policy6.2 Restraint policy |