Care Upkeep
Home › Checklist

Documents CQC asks new home care and supported living providers for

CQC's own list, reorganised with the regulation each document answers and a link to the source. Last checked by us on 16 October 2026. Free, no sign-up.

Make it a tick list for my agency
8documents from every provider
6extra for home care and supported living2 of them you supply
7to keep ready in case CQC asks
2more for specialist servicesautism and learning disability
Read this first. CQC does not approve policy packs. This page is a plain-English map of CQC's published guidance, not legal advice, and it is not run by or endorsed by CQC. Where we added a regulation reference that CQC's page does not name, we say "our mapping". Always check the linked CQC page, which can change.
1 Everyone2 Home care and supported living3 Keep ready4 Specialist5 What each must include

1. Documents every provider sends with the application

DocumentRegulations and law it answersSourceWhen
Complaints policyPolicy
CQC says it must explain how people complain, how you process complaints, and how you learn from them.		Regulation 16 (complaints) and Regulation 20 (duty of candour), plus the Accessible Information Standard, Equality Act 2010, UK GDPR and Data Protection Act 2018CQC guidance (page updated 3 February 2026)With the application
Consent policy and proceduresPolicyRegulation 11 (need for consent), with Regulations 9 and 13 and the Mental Capacity Act 2005CQC guidance (page updated 2 February 2026)With the application
Equality, diversity and human rights policyPolicyEquality Act 2010, Human Rights Act 1998, Accessible Information StandardCQC guidance (page updated 2 February 2026)With the application
Governance and quality assurance policiesPolicyRegulation 17 (good governance)CQC guidance (page updated 2 February 2026)With the application
Infection prevention and control policyPolicyRegulation 12 (safe care and treatment)CQC guidance (page updated 2 February 2026)With the application
Medicines management policyPolicyRegulation 12 (safe care and treatment) and Regulation 13 (safeguarding)CQC guidance (page updated 2 February 2026)With the application
Recruitment policy and proceduresPolicy
The Regulation 19 link is our mapping; the CQC page names data protection and equality law.		Regulation 19 (fit and proper persons employed, our mapping), UK GDPR, Equality Act 2010CQC guidance (page updated 2 February 2026)With the application
Safeguarding policy and proceduresPolicyRegulation 13 (safeguarding service users from abuse and improper treatment)CQC guidance (page updated 9 February 2026)With the application

Source: CQC: documents everyone must send (page updated 10 August 2026). That page also lists the statement of purpose and insurance (section 2 below), and a building control final certificate if your premises need building regulations approval. Home care and supported living agencies do not need to send a financial viability statement.

2. Extra documents for home care and supported living agencies

DocumentRegulations and law it answersSourceWhen
Statement of purposeTemplate
Legal requirement for every registered provider.		CQC (Registration) Regulations 2009, Regulation 12CQC guidance (page updated 2 February 2026)With the application
Service user guideTemplateRegulations 9, 10, 11 and 17CQC guidance (page updated 2 February 2026)With the application
Staff training planTemplateRegulation 18 (staffing) and the Care Certificate standardsCQC guidance (page updated 16 October 2026)With the application
Business plan and financial forecastTemplate (outline)
We give you the outline. You supply the numbers.		Required for home care and supported living applications; no single regulationCQC guidance (page updated 30 September 2026)With the application
Evidence of legal occupancyYou supply
A lease or ownership document for your office. We cannot write this for you.		Required for home care and supported living applicationsCQC guidance (page updated 16 October 2026)With the application
Public and employers liability insuranceYou supply
A quote or certificate from an insurer.		Required for all providersCQC guidance (page updated 30 September 2026)With the application

Source: CQC: home care agencies and supported living services (both updated 15 June 2026). The two lists are identical. You must also complete CQC's additional form for personal care providers.

3. Documents CQC may ask for during your application

Do not send these with the application, but have them ready. CQC's words: "If you cannot provide them when asked, your application may be delayed."

DocumentRegulations and law it answersSourceWhen
Duty of candour policyPolicyRegulation 20 (duty of candour)CQC: home care documentsKeep ready; CQC may ask
Whistleblowing / freedom to speak up policyPolicyGood governance and safeguarding duties (our mapping)CQC: home care documentsKeep ready; CQC may ask
Person-centred care planning policyPolicyRegulation 9 (person-centred care)CQC: home care documentsKeep ready; CQC may ask
Reportable incidents policyPolicyCQC (Registration) Regulations 2009, notifications, Regulation 18CQC: home care documentsKeep ready; CQC may ask
Risk management policy and list of risk assessmentsPolicy + templateRegulation 12 (safe care and treatment), Regulation 17CQC: home care documentsKeep ready; CQC may ask
Sample care contract and sample care planTemplateRegulations 9 and 11CQC: home care documentsKeep ready; CQC may ask
Staffing structure and rotasTemplateRegulation 18 (staffing)CQC: home care documentsKeep ready; CQC may ask

4. Extra for services for autistic people and people with a learning disability

DocumentRegulations and law it answersSourceWhen
Positive behaviour support policyPolicyRegulations 9, 10, 11, 12, 17, 18; Mental Capacity Act 2005CQC guidance (page updated 2 February 2026)With the application, specialist services only
Restraint policyPolicyRegulations 9 to 13, 17, 18; Human Rights Act 1998; Mental Capacity Act 2005CQC guidance (page updated 7 August 2026)With the application, specialist services only

5. What every document must include, according to CQC

1Your business name

On every document, not just the cover.

2The person responsible

Named, so CQC can ask them about it at interview.

3Created date and review date

Both. A policy with no review date reads as a policy nobody owns.

4Up-to-date references with working links

CQC renames and moves pages. Our monthly check exists for this line.

5Consistent and accessible

Consistent with your other policies; readable by staff and the people you support.

6No personal information

Nothing about people who use the service or members of the public.

Source: CQC: what each document must include (page updated 15 June 2026). CQC also says: if you use a third-party template, make sure it suits your service type; "a template for residential care will not work for home care applicants".

Who this is not for. Residential care homes, nurses agencies, clinics and services outside England. Their document lists are different; use CQC's extra documents by service page.

Sources
  1. CQC: documents everyone must send (page updated 10 August 2026)
  2. CQC: home care agencies (page updated 15 June 2026)
  3. CQC: supported living services (page updated 15 June 2026)
  4. CQC: what each document must include (page updated 15 June 2026)
  5. Health and Social Care Act 2008 (Regulated Activities) Regulations 2014
  6. CQC: regulations for service providers and managers (page updated 7 July 2025)
Want the 13 policies and 8 templates written to this list?Each one built to the CQC guidance above, dated, with a review date field. The upkeep plan adds a monthly change log.
See prices