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Paperwork to prepare for your CQC inspection - a checklist

Below is a list of the documentation that CQC may ask to see during your inspection, it will save stress on the day if you have a folder of copies of these documents ready.

This list has been divided into the information that the practice manager should prepare and the documnetation that CQC may request to see in patient records, which the lead clinician on the day needs to be aware of how to evidence.

Practice manager

General

  • Copy of statement of purpose
  • Employer’s indemnity certificate
  • Registration with information commissioner
  • Business plan

Infection control

  • Infection control report
  • Legionella testing records
  • Clinical waste collection receipts

Health and safety

  • Latest health and safety risk assessment - including COSHH risk assessment and disability access assement and evidence that reasonable action has been taken as a result of the assessments
  • Fire risk assessment and fire log evidence.
  • Accident book
  • Record of equipment and PAT testing

Staff/HR

  • Absence records
  • Number of staff by role and whole time equivalent
  • Locum Pack: make sure it contains up to date referral information and safeguarding guidance and contact numbers
  • Recruitment and induction processes (evidence of checks on new staff and locums)
  • Evidence that GP and nurse registration is checked annually
  • Training matrix and training certificates (insert link to spreadsheet)

Patient information

Read through everything and make sure all is up to date

  • Practice leaflet
  • Practice website
  • NHS Choices
  • Patient survey and action plan that addresses the findings
  • Friends and Family Test feedback, plus evidence that you have taken action on any points raised
  • Private fees and charges

Governance

  • Appropriately signed PGDs
  • Evidence that practice has regular external meetings with health visitors and palliative care and adult safeguarding nurses
  • CQC may ask to see minutes of practice meetings and how information from practice meetings is disseminated to people, one suggestion for this is to save all minutes either typed or scanned into a central location on practice server and then send a link via email to the minutes so that you can evidence communicating key messages from the meetings to all staff.
  • A summary of complaints received in the last twelve months, any action taken and how learning was implemented minutes of meeting
  • A summary of significant events received in last twelve months, actions taken, how learning was implemented and minutes
  • Safety alerts - evidence of how you disseminate them

Lead clinican

The CQC may want to see evidence of the following:

  • Palliative care register
  • Repeat prescribing system
  • Evidence to show that the quality of treatment and services has been monitored this includes evidence of two completed audit clinical audit cycles carried out in the last 12 months and evidence of any other audits with evidence of actions or outcomes taken as a result
  • All clinical staff are given the opportunity to be involved in practice meetings and to receive relevant practice information including clinical updates and contribute to the improvement of patient care
  • Evidence of working with a multidisciplinary team for the case management of vulnerable patients and good liaison with partner agencies such as social services

Fionnuala O'Donnell is a practice manager in Ealing, West London, and a CCG board member

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Picture: iStock

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