CQC Policies and Procedures for a New Care Service

Policies and procedures translate legal duties and service commitments into everyday practice. For registration, they should help demonstrate that the proposed provider has thought through how care will be delivered, monitored and improved.

A large policy library is not automatically a strong one. Relevance, consistency and staff understanding matter more than volume. Your set should fit the service you are applying to operate.

Build the policy set around the service

Start with the regulated activities, service-user needs, care setting and risks. A domiciliary care agency, supported-living service and care home will not have identical operational requirements.

• Safeguarding adults and, where relevant, children.
• Recruitment, DBS checks, induction, training, supervision and competency.
• Complaints, concerns, whistleblowing and duty of candour.
• Risk assessment, incident reporting, emergency response and business continuity.
• Medicines management where medicines support is within scope.
• Infection prevention and control.
• Consent, capacity, equality, dignity, privacy and human rights.
• Governance, auditing, record keeping, data protection and quality improvement.

Turn a template into an operational policy

1. 1Replace all placeholders with verified provider and service details.
2. 2Assign responsibilities to the correct roles in your organisation.
3. 3Adapt steps, timescales, contacts and escalation routes to your real operating model.
4. 4Check current legislation, CQC guidance and relevant professional guidance.
5. 5Connect the policy to the forms, logs, training and audits staff will use.
6. 6Approve the document, set a proportionate review date and record changes.

Test whether the policy works in practice

A policy should give a manager or member of staff enough direction to respond safely. Test important policies using realistic scenarios before you submit or implement them.

• Can staff identify the immediate action and who must be contacted?
• Do managers know what must be recorded, reported, investigated and learned from?
• Are responsibilities consistent with job descriptions and the organisation chart?
• Does required training appear in the training plan and competency framework?
• Can leaders describe how compliance will be audited and improved?

Keep policies controlled after registration

• Maintain one approved master and prevent outdated versions remaining in circulation.
• Record version, owner, approval date, changes and next review date.
• Review after incidents, complaints, audit findings or material guidance changes.
• Communicate changes and record staff reading, training or competency checks.
• Use audits to confirm that practice matches the written procedure.