Ensuring your HR records are ready for a CQC inspection

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.

• Download staff checklist

What HR checks and evidence do you need?

• DBS checks:
  
  • CQC guidance on DBS checks is here.
  • NHS Employers' guidance on DBS checks can be found here.

• References: For all new employees you should seek two references. 

• Evidence the person person is eligible to work in UK. Click here for more information on this.

• Professional membership registration
  
  • For GPs: Check the GMC register
  • For nurses: Check the NMC register
  • For pharmacists: Check the GPHC register

• 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.

• Download staff training tracker spreadsheet (Excel spreadsheet)

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

Other useful articles:

• Preparing for a CQC inspection – what happens during inspection day
• Preparing your staff for a CQC inspection
• Policies to check ahead of a CQC inspection (a checklist)
• Paperwork to prepare for your CQC inspection (a checklist)
• Evidence to demonstrate how the practice meets the CQC's key lines of enquiry
• Practice walkthrough (a checklist)