How to register with the CQC – a complete guide

Starting a domiciliary care agency or supported living service can be an exciting step, but registering with the Care Quality Commission (CQC) is not simply a matter of completing an application form and waiting for approval.

There is quite a lot of preparation involved.

Over the years, we have helped many people prepare their care businesses for CQC registration. One of the most common mistakes we see is people starting the application before the business itself is properly ready.

These are a few of the clients we have helped and their registration was successful:

In this guide, we explain the main requirements, the documents you should prepare and what you can realistically expect from the registration process.

Main CQC registration requirements

One of the most important parts of your application will be the suitability of the people responsible for running the service, particularly the proposed Registered Manager.

There is sometimes a misconception that you must be a Registered Nurse, Social Worker or already hold a Level 5 qualification before you can apply to become a Registered Manager.

This is not quite the case.

CQC will look at the overall suitability of the applicant. This includes their qualifications, training, knowledge, skills and, very importantly, their experience.

Relevant qualifications can certainly strengthen an application. For example, a Level 5 Diploma in Leadership and Management for Adult Care is highly relevant to someone applying to manage a domiciliary care or supported living service.

However, qualifications alone are not enough.

CQC will want to understand your actual experience and whether you are capable of managing the regulated activity you are applying for.

Managerial and supervisory experience is particularly important.

For a home care service, for example, you should be able to demonstrate knowledge and practical experience in areas such as:

Safeguarding
Medication management and medication errors
Mental capacity
Complaints
Recruitment
Staff supervision
Care planning
Risk assessments
Governance
Quality assurance
Staff training and competency
Managing incidents and concerns

Recent experience within a regulated care service can considerably strengthen an application.

CQC may also ask you to provide evidence of your qualifications and training before your assessment or interview.

Our advice is therefore not to look at one qualification in isolation. Think about the complete picture: your qualifications, your training, your care experience and your management experience.

Other CQC registration requirements

Another important consideration is your business location.

Before applying, you should have a suitable location from which the service can be managed.

CQC can accept a business operating from a residential address, providing the premises are appropriate for the service and confidential information can be stored securely.

If you are working from home, we recommend having a dedicated office space rather than working from a bedroom, dining room or shared family area.

The office should be professional, organised and secure. Confidential care records and staff information must be protected from unauthorised access.

You will also need to demonstrate that you have the legal right to operate the business from the premises.

If the property is mortgaged, you may be asked to provide evidence relating to the mortgage and permission to operate the business from the property.

If you rent your home, you should obtain written permission from your landlord confirming that the business can operate from the premises.

In our experience, one of the safest options is often to rent a small office. It does not have to be an expensive city-centre office. A small office on the outskirts of a town or city can often be more affordable and gives the business a clear professional base.

If you rent an office, be prepared to provide evidence of legal occupancy, such as your tenancy agreement, together with confirmation that the landlord permits the premises to be used for your business.

Whatever option you choose, make sure everything is agreed and documented before submitting your application.

Set up the business before applying

We are regularly contacted by people who want to register with CQC before they have actually set up the business.

We strongly recommend doing this the other way around.

Your CQC application should come towards the end of the business setup process, not at the beginning.

CQC expects applicants to be ready to provide the service they are applying to register.

Ideally, before submitting your application, you should already have the foundations of the business in place. This may include:

Your limited company
An appropriate business name
Your business location
Professional email addresses
Your website
Your branding
Policies and procedures
Business plan
Service User Guide
Staff Training Plan
Recruitment systems
Care documentation
Governance systems

Having these things prepared demonstrates that you have properly planned the service and understand what is involved in operating a regulated care business.

If you need help setting up a domiciliary care or supported living business, Agency Care Staff can assist with the preparation process.

Documents needed for CQC Registration

Based on our experience helping people prepare domiciliary care and supported living businesses, there are several documents that you should have ready.

The exact documents required will depend on the service and regulated activities you are applying for.

1. Registered Manager CV and employment history

The proposed Registered Manager should have a detailed and accurate CV.

The employment history should go back to the age of 16 and account for any significant gaps.

For example:

Employment
Education
Career breaks
Maternity leave
Unemployment
Travelling
Caring responsibilities

Do not simply leave gaps unexplained.

CQC specifically expects employment history gaps longer than four weeks to be explained.

Make sure the dates throughout the application, CV and supporting documentation are consistent.

We recommend using the format DD/MM/YYYY wherever possible.

2. Enhanced DBS

The appropriate Enhanced DBS must be obtained before submitting the application.

The type of DBS process can depend on your professional registration and circumstances.

For example, CQC has specific arrangements for applicants registered with professional bodies such as the Nursing and Midwifery Council or Social Work England.

Make sure you check the current CQC DBS requirements before applying.

CQC currently requires the DBS used for an application to be no more than 12 months old.
DBS checks for CQC registration – Care Quality Commission

3. Policies and procedures

This is an area where the requirements have changed considerably.

It is no longer simply a case of uploading four or five policies.

For new provider applications, the core policies currently include:

Complaints Policy
Consent Policy and Procedure
Equality, Diversity and Human Rights Policy
Governance and Quality Assurance Policies
Infection Prevention and Control Policy
Medicines Management and Prescribing Policy
Recruitment Policy
Safeguarding Policy and Procedure

These policies should not simply be generic templates with your company name added.

They should reflect your service, your management structure, your procedures and the people you intend to support.

CQC may also request additional policies and evidence during the assessment process.

CQC Registration Policies and Procedures – Domiciliary Care | CareBound

CQC Registration Policies and Procedures – Supported Living | CareBound

4. Evidence of legal occupancy

For domiciliary care and supported living services, you should be prepared to provide evidence that you have the legal right to use your proposed location.

Depending on your circumstances, this could include your tenancy agreement, lease, mortgage documentation or other evidence of occupancy.

You should also have any necessary permission to operate the business from the premises.

5. Public and Employer’s Liability Insurance

You will need appropriate insurance arrangements.

Depending on your application, CQC may accept an insurance quotation rather than requiring the policy to already be active.

This normally includes:

Public Liability Insurance
Employer’s Liability Insurance

Make sure the insurance is appropriate for the type of care service you intend to provide.

6. Financial Viability Statement

This requirement has changed.

A financial viability statement is not currently required for certain types of providers, including:

Corporate providers
NHS trusts
Care homes
Home care or domiciliary care agencies
Supported living services

For most people reading this guide who are setting up a domiciliary care agency or supported living service, this means you will not normally need to submit the Financial Viability Statement.

However, you will still need to demonstrate through your business planning that the service is financially viable.

7. Business Plan and Financial Forecast

For domiciliary care and supported living services, the business plan is an extremely important document.

Do not underestimate it.

Your business plan should demonstrate that you understand both the care sector and the local market you intend to operate within.

It should normally include areas such as:

Executive summary
Company background
Director and management experience
Description of the service
Regulated activities
Service user groups
Local market research
Competitor analysis
Marketing strategy
Operational plan
Recruitment strategy
Management structure
Governance arrangements
SWOT analysis
Business objectives
Financial projections
Cashflow forecast

Your financial forecasts should be realistic and should connect properly with the information elsewhere in your business plan.

CQC can question figures that do not appear realistic or cannot be explained.

We have seen applications returned because the business plan was too basic or did not demonstrate sufficient preparation.

8. Statement of Purpose

Your Statement of Purpose is one of the core documents within your CQC application.

It tells CQC:

Who the provider is
Who the Nominated Individual is
Who the Registered Manager is
Where the service is located
Which regulated activities you are applying for
Which service user groups you intend to support
The aims and objectives of the service

You need to make sure the information within the Statement of Purpose matches the information contained throughout your application.

Small inconsistencies between documents can create questions during the assessment.

9. Service User Guide

Home care and supported living applicants should also prepare a Service User Guide.

Be careful with this document.

It should contain meaningful information for the people who may use your service rather than simply being a marketing brochure.

It should explain how the service works, what people can expect from you, their rights, how care is arranged, how concerns and complaints can be raised and other important information about receiving care from your organisation.

10. Staff Training Plan

You will also need a Staff Training Plan.

This should demonstrate how staff will be trained and supported to remain competent in their roles.

It should identify the training relevant to your particular service and explain areas such as:

Mandatory training
Refresher training
Role-specific training
Training frequency
Competency assessments
Training monitoring
How expired or overdue training will be managed

Do not simply provide a list of course names.

The plan should demonstrate that you have thought about how training will actually be managed within the organisation.

11. Training Matrix

We recommend having your training matrix prepared as well.

CQC may request this as part of the assessment process.

The matrix should allow you to monitor which staff have completed each course, when training expires and when refresher training is required.

12. Registered Manager training certificates and qualifications

Have all of the Registered Manager’s relevant training certificates and qualifications organised and readily available.

CQC may request these before an interview or during the assessment.

Make sure mandatory and relevant training is current.

Your Registered Manager should also understand the content of their training rather than simply being able to produce certificates.

13. Sample Care Contract and Care Plan

CQC may request additional documentation during the assessment.

This can include:

Sample Care Contract
Sample Care Plan
Staffing structure
Staff rotas
Risk assessments

Whether these documents are requested can depend on the application and the information the assessor needs to see.

It is better to prepare them in advance rather than trying to produce them quickly after CQC requests them.

Specialist services for autistic people and people with a learning disability

If you intend to provide specialist services for autistic people or people with a learning disability, additional requirements apply.

You may need to submit:

Positive Behaviour Support Policy
Restraint Policy

You must also complete the additional CQC form relevant to services for autistic people and people with a learning disability.

Your application needs to demonstrate that you understand how the service will meet the specific needs of these service user groups.

Simply adding “Learning Disabilities” or “Autism” to an application without the appropriate experience, training, systems and supporting documentation can create significant problems during the assessment.

How do you submit a CQC application?

This process has changed.

The old CQC Provider Portal is no longer the normal route for submitting a new provider application.

For applications made using CQC’s application forms, you download the relevant forms, complete them and submit the application together with the required supporting documentation by email to CQC’s Health and Social Care Act applications team.

For a new domiciliary care provider, this will normally include:

New Provider Application
Registered Manager Application
Additional Information for Providers of Personal Care form
Any other additional form relevant to the service
All required supporting documents

It is extremely important that the application forms are completed accurately.

Check names, addresses, dates, regulated activities, service user groups and locations carefully.

Information should also be consistent across all documents.

Do not say one thing in the application and something different in the business plan or Statement of Purpose.

CQC’s current guidance also makes it clear that applicants are responsible for completing their own application. Professional support can help you understand the requirements, prepare documentation, review your application and prepare for assessment, but you need to understand and take responsibility for everything submitted in your name.

The three practical stages of a CQC application

For simplicity, we normally explain the registration journey to our clients in three practical stages.

These are not necessarily CQC’s formal names for every part of its internal process, but they make the registration journey easier to understand.

Stage 1 – Preparing and submitting the application

This is where you prepare and complete all the required documentation.

For a typical domiciliary care application, this may include:

Provider Application
Registered Manager Application
Additional Personal Care form
Supporting policies
Business Plan
Statement of Purpose
Service User Guide
Staff Training Plan
Evidence of Legal Occupancy
Insurance evidence
DBS documentation
Any additional documents relevant to your service

Before sending anything, check the application thoroughly.

Make sure:

Every relevant question has been answered.
The information is accurate.
The documents are signed where required.
Dates are consistent.
Names and addresses match.
Regulated activities match.
Service user groups match.
All required attachments are included.

The application is then submitted to the designated CQC email address.

The email itself should also be professional and clearly identify the provider and application.

After submitting the application, you should receive confirmation or acknowledgement.

If you do not receive confirmation, do not simply assume everything has been received correctly. Check the position with CQC.

What if the Nominated Individual and Registered Manager are the same person?

This is something we see quite frequently in smaller care businesses.

One person may be:

Company Director
Nominated Individual
Registered Manager

There is nothing automatically wrong with having one person carrying several responsibilities.

However, you should think carefully about governance and accountability.

For example, what happens if a staff member has a serious complaint about the Registered Manager?

Who can they escalate that complaint to?

Who reviews the Registered Manager’s performance?

Who provides independent oversight?

Depending on the structure of the business, it can be helpful to have another suitable person involved in governance.

This could be:

A second Company Director
Another senior manager
An independent external reviewer

The purpose is to demonstrate appropriate oversight and ensure there is a suitable escalation route where concerns involve the Registered Manager themselves.

Stage 2 – Initial checks and assessment

After CQC receives your application, it will carry out initial checks.

CQC will look at whether:

The forms have been completed correctly.
The required documents have been submitted.
Information is consistent.
The application is suitable to move forward for assessment.

If documents are missing, incorrect or do not meet the required standard, CQC may reject the application and explain what needs to be corrected.

You will then have to make the required amendments and submit a new application.

This is important because you do not simply retain your original place in the queue when an application is rejected and resubmitted.

In our experience, applicants should be prepared for several weeks between communications, although processing times vary considerably depending on CQC workload, the complexity of the application and whether further evidence is required.

CQC itself advises that the complete registration process can take several months.

Once the initial checks are passed, the application moves into a more detailed assessment.

CQC may:

Ask further questions.
Request additional documents.
Review your policies in more detail.
Arrange a discussion with the Nominated Individual.
Arrange an assessment of your premises.
Arrange a Fit Person Interview with the proposed Registered Manager.

This is why we always advise people to remain prepared after pressing “send”.

Submitting the application is not the end of the process.

Stage 3 – The interview and final assessment

If your application progresses successfully, CQC may invite the Registered Manager and, where relevant, other key people to an interview or assessment discussion.

Interviews may take place online, by telephone or, depending on the circumstances, face-to-face.

If your interview is online, CQC will confirm the platform and arrangements with you.

This is the stage where your preparation really matters.

You need to know your business.
You need to know your policies.
You need to understand the regulations.
And most importantly, you need to be able to explain how you would actually deal with situations in real life.

The CQC interview

The interview is generally conducted professionally and can feel conversational, but do not mistake this for an informal chat.

The assessor is trying to establish whether you genuinely have the knowledge, experience and competency required to manage a regulated care service.

We do not believe it is appropriate simply to publish lists of supposed CQC interview questions and encourage people to memorise answers.

Running a care service involves responsibility for potentially vulnerable people.

Someone should not pass a Registered Manager assessment because they memorised 100 answers the night before.

You need to understand what you are talking about.

Expect questions around practical scenarios such as:

“What would you do if…?”

Topics can include:

Safeguarding
Medication
Mental capacity
Complaints
Recruitment
Staff training
Supervision
Care planning
Risk management
Business continuity
Governance
Quality assurance
Staffing
Finance
Business growth
Management structure
Support available to the Registered Manager
Responding to incidents
Duty of Candour

The assessor may quickly identify which areas you understand well and which areas need further exploration.

For that reason, the length and depth of an interview can vary considerably from one applicant to another.

You should also know your own documents.

If your Safeguarding Policy says one thing but you tell the assessor something completely different, that creates a problem.

If your business plan predicts a certain number of service users in year one, you should understand how you arrived at that figure.

If your Staff Training Plan contains a particular training programme, you should be able to explain why you chose it.

Your application needs to represent your actual business, not simply a collection of professionally written documents that you have never read.

What matters most when applying for CQC registration?

From our experience, there are two major parts of a successful application.

1. The quality of the application

Your forms and supporting documentation need to demonstrate that the business has been properly planned.

Poorly prepared documentation, inconsistencies and generic answers can significantly weaken an otherwise good application.

2. The people behind the service

CQC is not registering a folder full of policies.

It is registering people to operate and manage a regulated service.

Your qualifications, experience, knowledge, leadership ability and understanding of care are therefore extremely important.

A strong set of documents cannot compensate for someone who does not understand how to manage the service.

Equally, an experienced care professional can make their application unnecessarily difficult by submitting poor or incomplete documentation.

The strongest applications have both.

Prepare properly before you apply

Our main advice is simple:

Do not rush your CQC application.
Set up the business properly first.
Make sure the Registered Manager has the appropriate experience, knowledge, training and qualifications.
Prepare the required documentation.
Read your policies.
Understand your business plan.
Understand the regulations.
Make sure your location is ready.
And only submit the application when you genuinely believe you are ready to start providing the service.

CQC’s current guidance is very clear that new providers should only submit an application when everything is in place to start providing the service.

If you are planning to start a domiciliary care agency or supported living service and need assistance preparing for CQC registration, Agency Care Staff can help you through the preparation process, including business documentation, policies and procedures, business planning, Statement of Purpose, Service User Guide, Staff Training Plan and preparation for your Registered Manager and Nominated Individual assessments.

If we have not answered your question, contact us and we will be happy to discuss your plans.