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Policies and procedures for CQC registration
In brief
Every new provider registering with the Care Quality Commission must send eight policies with its application: complaints, consent, equality and human rights, governance and quality assurance, infection prevention and control, medicines management, recruitment, and safeguarding. It must also send a statement of purpose and an insurance quote or certificate. Home care agencies and supported living services send four more documents and an extra form.
The CQC says every document must name your business and the person responsible for it, show when it was written and when it will be reviewed, and suit your type of service. A template written for a different kind of service will not do.
OpenDoc gives new services a starter set of policies chosen for their region and care setting, on a free plan. Each policy is written by a named expert, signed off by at least three, and fills in your service's details.
Which documents must every new provider send?
The CQC lists these for all new provider applicants. Its list was last updated on 10 August 2026. The policies are the ones OpenDoc can give you. The rest are documents about your own business that only you can prepare.
| Document | Type | Where it comes from |
|---|---|---|
| Complaints policy | Policy | In OpenDoc |
| Consent policy and procedure | Policy | In OpenDoc |
| Equality, diversity and human rights policy | Policy | In OpenDoc |
| Governance and quality assurance policies | Policy | In OpenDoc |
| Infection prevention and control policy | Policy | In OpenDoc |
| Medicines management and prescribing policy, including transporting medication | Policy | In OpenDoc |
| Recruitment policy | Policy | In OpenDoc |
| Safeguarding policy and procedure | Policy | In OpenDoc |
| Statement of purpose | Legal document about your service | You prepare thisIt must contain the information set out in Schedule 3 of the CQC registration regulations |
| Public and employer liability insurance quote or certificate | Insurance | You prepare this |
| Building control final certificate | Certificate | You prepare thisOnly if a location needs building regulations approval |
| Financial viability statement | Financial | You prepare thisNot needed from care homes, home care agencies, supported living services, corporate providers or NHS trusts |
What extra documents do home care and supported living services send?
On top of the core documents, home care agencies and supported living services must send the following. Care homes have their own list, set out in the CQC's guidance for care homes.
| Document | Home care | Supported living |
|---|---|---|
| Business plan and financial forecast | Yes | Yes |
| Evidence of legal occupancy | Yes | Yes |
| Service user guides | Yes | Yes |
| Staff training plan | Yes | Yes |
| Additional form for personal care providers | Yes | Yes |
Services for autistic people and people with a learning disability must send further documents and an additional form. The CQC's guidance on what documents must contain includes a positive behaviour support policy and a restraint policy.
What else might the CQC ask for?
The CQC says not to send these with your application, but to have them ready. If you cannot provide them when asked, your application may be delayed.
- Duty of candour policy
- Freedom to speak up, whistleblowing or confidential reporting policy
- List of risk assessments
- Person-centred care planning policy
- Reportable incidents policy
- Risk management policy
- Sample care contract
- Sample care plan
- Staffing structure and rotas
This list is the same for home care and supported living services.
What must every policy include?
The CQC sets the same standard for every document you send. The table shows each requirement and how OpenDoc helps you meet it.
| The CQC asks that every document | How OpenDoc helps |
|---|---|
| Your business name | Policies fill in your service's name, contacts and terms. |
| The name of the person responsible for the policy | Every policy has a named owner, set when the policy is adopted. |
| The date it was created and the date it will be reviewed | Every policy has a next-review date, with up-to-date or overdue status and weekly reminders. The version history records when each version was made. |
| Complete and relevant to your service | Each policy is chosen for your region and care setting, and you adapt it to how your service works. |
| No personal information about the people you support | Library policies are written without personal information. |
| Up-to-date references to legislation and guidance, with working links | OpenDoc alerts you when CQC, NICE or Care Act guidance changes, and experts check each change. |
| Consistent with your other policies | Every policy follows the same template, which the community considers best practice. |
| Accessible to staff, the people you support and their representatives | Staff ask by voice or text in 51 languages on their phones. |
Can I use template policies?
Yes, if they suit your service. The CQC says a third-party template must fit your service type, and gives a plain example: “a template for residential care will not work for home care applicants.” Applications with documents that do not match the service can be returned or delayed.
That is why OpenDoc starts from your region and care setting, fills in your service's details, and lets you adapt each policy, with every change recorded. Named experts write and sign off the policies, so you can see who stands behind each one. Meet the experts.
Policies by type of service
How much does it cost?
New services can start on the free plan, with a starter set of policies chosen for their region and care setting. The Organisation plan is £70 + VAT a month per service, or £840 + VAT a year, with unlimited users and unlimited AI use. Setup is free and fully managed, and there is no long-term contract.
What about Scotland, Wales and Northern Ireland?
The CQC registers services in England only. Services in Scotland register with the Care Inspectorate, in Wales with Care Inspectorate Wales, and in Northern Ireland with the Regulation and Quality Improvement Authority. Each has its own requirements. OpenDoc covers all four nations.
Frequently asked questions
What policies do I need to register with the CQC?
Every new provider in England must send the CQC a complaints policy, a consent policy and procedure, an equality, diversity and human rights policy, governance and quality assurance policies, an infection prevention and control policy, a medicines management and prescribing policy, a recruitment policy, and a safeguarding policy and procedure. They must also send a statement of purpose and an insurance quote or certificate.
What must every policy I send to the CQC include?
The CQC says every document must include your business name, the name of the person responsible for the policy, the date it was created and the date it will be reviewed. It must be complete and relevant, contain no personal information about people who use the service, have up-to-date references to legislation and guidance with working links, be consistent with your other policies, and be accessible to staff and the people you support.
Can I use template policies for CQC registration?
Yes, but the CQC says a third-party template must suit your service type, and gives the example that a residential care template will not work for a home care applicant. Each template must be adapted to your business before you send it.
Do home care agencies and supported living services need extra documents?
Yes. As well as the core documents, both must send a business plan and financial forecast, evidence of legal occupancy, service user guides, a staff training plan and the additional form for personal care providers.
What else might the CQC ask for during registration?
The CQC may ask for a duty of candour policy, a freedom to speak up or whistleblowing policy, a list of risk assessments, a person-centred care planning policy, a reportable incidents policy, a risk management policy, a sample care contract, a sample care plan, and staffing structure and rotas. It says not to send these with the application, but to have them ready.
Do care homes need a financial viability statement?
No. The CQC does not ask for a financial viability statement from care homes, home care agencies, supported living services, corporate providers or NHS trusts.
Does CQC registration cover Scotland, Wales and Northern Ireland?
No. The CQC registers services in England. Services in Scotland register with the Care Inspectorate, in Wales with Care Inspectorate Wales, and in Northern Ireland with the Regulation and Quality Improvement Authority.
How much does OpenDoc cost for a new provider?
New services can start on the free plan, with a starter set of policies chosen for their region and care setting. The Organisation plan is £70 + VAT a month per service, with no long-term contract.
Related pages
Sources
- CQC, Documents everyone must send, last updated 10 August 2026
- CQC, What each document must include, last updated 2 February 2026
- CQC, Home care (domiciliary care) agencies, last updated 25 March 2026
- CQC, Supported living services
