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Ensuring your HR records are ready for a CQC inspection

CQC inspectors are likely to want to look at your HR folders and records to check that you can evidence your HR and recruitment policies.

The CQC will want to see evidence that you have a fair recruitment policy and that you carry out checks on potential employees to make sure that they are fit to work and that you offer them training to ensure that they are appropriately trained for their role.

Below is a suggested checklist that you could print out and put at the front of each HR record/folder to check that you have all the relevant paperwork for each member of staff.

What HR checks and evidence do you need?

  • References: For all new employees you should seek two references. 
  • Contract: Do you have a signed contract for each member of staff?
  • Professional indemnity: Are all your GPs, nurses and HCSWs on your group indemnity policy? Even though state-backed indemnity has been introduced in England and Wales this will not cover any work for which the practice receives a fee. So make sure your group indemnity policy covers all staff for the roles that they are undertaking (in particular pay special attention to any vaccinations or private services you provide). If not, do they have adequate indemnity in their own right?
  • Evidence that GPs are on the performers list
  • Appraisals: Do all staff have an annual appraisal and a review of their personal development plan, can you evidence this?
  • Staff training records: certificates of relevant training in HR folders.

Staff training tracker spreadsheet

Practices can make use of the following spreadsheet to track mandatory training for staff. You can download this and adapt it for your own practice, adding your staff details, plus any additional training you feel is relevant.

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

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