Compliance Management for Dental Practices
Meet CQC and HTM 01-05 requirements with digital compliance tools designed specifically for dentistry.
The Challenge
Dental practices face rigorous CQC inspection and HTM 01-05 decontamination requirements alongside treating 20-30 patients daily in tight appointment schedules. Between autoclave validation cycles, instrument traceability records, X-ray quality assurance, infection control audits, and staff competency documentation, practice managers and dental nurses struggle to maintain complete compliance evidence whilst ensuring clinical time is protected and surgeries stay on schedule.
How Assistant Manager Solves Dental Practices Compliance
Each module is designed to address the specific challenges dental practices businesses face every day.
Checklist Management
Dental practices need per-surgery and per-cycle checks completed reliably between patients - digital checklists that take seconds prevent compliance gaps without disrupting clinical schedules
The Problems
Why This Matters for Dental Practices
- Autoclave cycle testing with biological indicators, Bowie-Dick tests, and daily monitoring must be documented for every cycle, but paper logs get wet, smudged, or left incomplete during busy clinic sessions
CQC inspection asks for complete autoclave validation records and discovers gaps in your cycle documentation, suggesting inadequate decontamination processes
- Daily X-ray quality assurance checks should happen before the first patient, but when running late or short-staffed, X-rays are taken without completing the quality checks
Diagnostic X-rays may be suboptimal quality or IRR17 compliance is breached by using X-ray equipment that has not been verified safe for patient use
The Solution
How Checklist Management Helps
Digital checklists with scheduled tasks, photo evidence for cycle test results, mandatory completion before surgery can proceed, and automatic escalation when critical checks are missed
Autoclave cycles are fully documented with photo proof of test strips, X-ray quality checks happen every morning with automatic reminders, and practice managers can see compliance status across all surgeries instantly
Use Cases:
- • Daily autoclave warm-up cycle and testing
- • Per-cycle autoclave documentation with biological indicator photos
- • Daily X-ray quality assurance before first patient
- • Surgery decontamination and turnover verification
- • Amalgam separator maintenance and replacement
- • Suction equipment daily testing and cleaning
- • Ultrasonic bath solution changes and testing
- • Emergency drugs and oxygen cylinder checks
Feature Screenshot
Checklist Management
Real-World Examples
Example 1: Autoclave cycle testing with biological indicators, Bowie-Dick tests, and daily monitoring must be documented for every cycle, but paper logs get wet, smudged, or left incomplete during busy clinic sessions
Real Scenario
"A patient develops infection after surgical extraction. Investigation requests your instrument decontamination records and reveals the autoclave log for that day is illegible due to water damage in the decontamination room."
Example 2: Daily X-ray quality assurance checks should happen before the first patient, but when running late or short-staffed, X-rays are taken without completing the quality checks
Real Scenario
"During CQC inspection, auditors review your X-ray quality assurance log and find multiple days with no entries when patient records show X-rays were taken. Your radiation protection procedures are questioned."
Equipment Tracking & Maintenance
Dental practices must maintain meticulous HTM 01-05 decontamination equipment records plus clinical equipment servicing with complete traceability for every autoclave cycle and instrument use
The Problems
Why This Matters for Dental Practices
- HTM 01-05 requires quarterly and annual autoclave validation tests, compressor servicing, handpiece maintenance, and X-ray equipment testing tracked across multiple pieces of equipment with different schedules
Validation tests are missed, equipment fails retrospectively, or CQC discovers overdue servicing suggesting inadequate maintenance systems and patient safety risks
- Handpieces, scalers, and surgical instruments are used across multiple surgeries with no systematic tracking of which instruments need servicing or have been removed from use due to defects
Defective handpieces remain in circulation, instruments due for servicing continue to be used, and you cannot demonstrate systematic equipment management
The Solution
How Equipment Tracking & Maintenance Helps
Complete asset register with HTM 01-05 validation scheduling, automatic maintenance reminders, equipment-level service history, and defect tracking with removal from service verification
Every autoclave has quarterly and annual validation scheduled with 30-day advance warnings, handpiece servicing is tracked per device, and defective equipment is instantly removed from circulation with full audit trail
Use Cases:
- • Autoclave quarterly validation (automatic control test, small load, full load)
- • Autoclave annual validation (full HTM 01-05 validation)
- • Washer disinfector testing and validation
- • Compressor maintenance and servicing
- • Handpiece servicing schedules per device
- • X-ray equipment maintenance and quality assurance
- • Ultrasonic cleaner validation
- • Suction system maintenance
Feature Screenshot
Equipment Tracking & Maintenance
Real-World Examples
Example 1: HTM 01-05 requires quarterly and annual autoclave validation tests, compressor servicing, handpiece maintenance, and X-ray equipment testing tracked across multiple pieces of equipment with different schedules
Real Scenario
"CQC inspection asks for autoclave validation certificates. Your quarterly validation test is two months overdue. Thousands of instruments processed since the due date may not have been adequately decontaminated."
Example 2: Handpieces, scalers, and surgical instruments are used across multiple surgeries with no systematic tracking of which instruments need servicing or have been removed from use due to defects
Real Scenario
"A dental nurse reports a handpiece overheating during use. Investigation reveals it was reported as faulty six months ago but was never removed from circulation because there was no system to track defective equipment."
Employee Scheduling
Dental practices must match dental nurse competencies to procedure types, verify GDC registration for all clinical staff, and ensure surgeries have current equipment validation before clinical sessions
The Problems
Why This Matters for Dental Practices
- Surgery schedules are created without checking which dental nurses have current decontamination training, radiography certificates, or sedation competencies required for specific procedures
Clinical sessions are booked with nurses who lack required qualifications, appointments must be cancelled, and CQC questions your systems for ensuring staff competency matches clinical activity
- Associate dentist and hygienist sessions are allocated to surgeries without checking which surgeries have current HTM 01-05 decontamination validation or working autoclaves
Clinical sessions proceed in surgeries where autoclave validation is overdue or equipment is not functioning properly, compromising infection control
The Solution
How Employee Scheduling Helps
Clinical scheduling with automatic dental nurse competency verification, GDC registration checking, sedation certificate validation, and surgery equipment compliance verification before sessions are confirmed
Sedation lists are only scheduled with qualified nurses, associate sessions are allocated to compliant surgeries, and practice managers see competency gaps before they impact clinical delivery
Use Cases:
- • Dental nurse scheduling with competency verification (sedation, radiography, impression taking)
- • Associate dentist GDC registration and indemnity checking
- • Hygienist and therapist session allocation
- • Sedation clinic staffing with certified nurses
- • Surgery allocation based on equipment compliance status
- • Locum dental nurse qualification verification
- • Specialist practitioner scheduling (endodontics, periodontics, oral surgery)
Feature Screenshot
Employee Scheduling
Real-World Examples
Example 1: Surgery schedules are created without checking which dental nurses have current decontamination training, radiography certificates, or sedation competencies required for specific procedures
Real Scenario
"An IV sedation list is scheduled with a dental nurse who has never completed sedation training. The appointments are discovered on the morning and must be cancelled, causing significant patient disruption."
Example 2: Associate dentist and hygienist sessions are allocated to surgeries without checking which surgeries have current HTM 01-05 decontamination validation or working autoclaves
Real Scenario
"An associate dentist arrives for morning clinic to find the autoclave has failed overnight. All appointments must be cancelled because no other surgery is available - costing hundreds of pounds in lost revenue."
Training & Development
Dental practices must maintain detailed competency records for dental nurses and CPD tracking for all GDC registrants, with evidence readily available for CQC inspection and GDC audit
The Problems
Why This Matters for Dental Practices
- Dental nurse competencies in decontamination, radiography, impression taking, and chairside assistance are assessed informally with no structured recording of who has been signed off as competent
Nurses perform clinical duties they have not been formally assessed as competent to deliver, creating professional practice concerns and patient safety risks
- CPD requirements for GDC registrants are tracked individually by each clinician, with no practice oversight of whether all staff are meeting their verifiable CPD hours
GDC audit discovers practice staff have CPD compliance gaps, damaging the practice reputation and suggesting poor professional development support
The Solution
How Training & Development Helps
Learning management system with dental nurse competency assessment recording, GDC CPD tracking with verifiable vs non-verifiable categorization, automatic expiry alerts, and practice-wide training matrix
Every dental nurse has formal competency assessments digitally recorded, GDC registrants can track CPD with practice oversight, and practice managers see training compliance across all staff
Use Cases:
- • Dental nurse competency assessment (decontamination, radiography, sedation, chairside)
- • GDC CPD tracking (verifiable and non-verifiable hours)
- • Radiography certificate and core of knowledge tracking
- • Sedation training and competency (IVS, INS, RA)
- • Medical emergencies and BLS training
- • Safeguarding Level 2 for all dental staff
- • Infection control and decontamination training
- • Implant nurse competency assessment
Feature Screenshot
Training & Development
Real-World Examples
Example 1: Dental nurse competencies in decontamination, radiography, impression taking, and chairside assistance are assessed informally with no structured recording of who has been signed off as competent
Real Scenario
"A patient complaint alleges rough impression taking. Investigation reveals the dental nurse had never been formally assessed as competent in impression technique despite taking impressions for two years."
Example 2: CPD requirements for GDC registrants are tracked individually by each clinician, with no practice oversight of whether all staff are meeting their verifiable CPD hours
Real Scenario
"A dentist selected for GDC CPD audit discovers she is 20 hours short of verifiable CPD. She thought she was compliant but was not tracking properly. The practice principal had no visibility of the gap."
HR Management
Dental practices must verify GDC registration and indemnity continuously for all clinical staff, plus Hepatitis B immunity for infection control compliance under HTM 01-05
The Problems
Why This Matters for Dental Practices
- GDC registration status and indemnity insurance for dentists, hygienists, and therapists is checked on appointment but not monitored, with no alerts when registration or indemnity lapses
Clinical staff work without current GDC registration or indemnity insurance, creating catastrophic professional practice risks and immediate suspension of clinical activity
- Hepatitis B immunity status and occupational health clearances for clinical staff are documented on paper with no systematic verification that all patient-facing staff are immune
Exposure incidents reveal staff lack Hepatitis B immunity, creating significant patient and staff risk management issues requiring immediate action
The Solution
How HR Management Helps
Centralized employee records with GDC registration monitoring, professional indemnity tracking, Hepatitis B immunity verification, and automatic 90-day expiry alerts for all credentials
Every GDC registrant's registration and indemnity status is monitored with automatic renewal alerts, Hepatitis B immunity is verified before clinical work, and practice managers can prove compliance instantly
Use Cases:
- • GDC registration monitoring with automatic annual renewal alerts
- • Professional indemnity insurance tracking for all clinicians
- • Hepatitis B vaccination and immunity verification
- • DBS check tracking for all staff
- • Occupational health clearance for clinical staff
- • Right-to-work documentation and share code verification
- • Emergency contact details for staff incidents
- • Radiography certificates and IRR17 compliance
Feature Screenshot
HR Management
Real-World Examples
Example 1: GDC registration status and indemnity insurance for dentists, hygienists, and therapists is checked on appointment but not monitored, with no alerts when registration or indemnity lapses
Real Scenario
"A hygienist works for two months after her GDC registration lapsed because annual fee payment failed. A patient complaint triggers verification check revealing she was practicing without registration."
Example 2: Hepatitis B immunity status and occupational health clearances for clinical staff are documented on paper with no systematic verification that all patient-facing staff are immune
Real Scenario
"A dental nurse has a needlestick injury. OH review discovers she never completed Hepatitis B vaccination course despite working clinically for 18 months. Her immune status was never checked."
Risk Assessment
Dental practices need procedure-specific risk assessments for sedation, surgery, radiography, and decontamination that reflect actual equipment and processes, reviewed when practice changes
The Problems
Why This Matters for Dental Practices
- Clinical risk assessments for sedation, surgical procedures, and radiography are created once for CQC registration but never reviewed even when incidents suggest protocols need updating
Outdated risk assessments do not reflect current practice, leaving the practice exposed when serious incidents reveal inadequate risk controls
- Decontamination risk assessments are generic rather than specific to your actual equipment and processes, making them useless for demonstrating HTM 01-05 compliance
CQC inspection finds your decontamination risk assessment does not match your actual processes, suggesting you have not properly assessed risks in your specific environment
The Solution
How Risk Assessment Helps
Comprehensive risk assessment system with procedure-specific risk identification, HTM 01-05 aligned decontamination assessments, automatic review scheduling, and version history tracking
Every clinical procedure has a specific risk assessment reflecting actual practice, decontamination risks are assessed per HTM 01-05 requirements, and reviews are triggered when incidents occur
Use Cases:
- • Sedation risk assessment (IVS, INS, RA) per surgery
- • Decontamination risk assessment per HTM 01-05
- • Surgical procedure risk assessments
- • Radiography and radiation protection risk assessment
- • Sharps injury risk assessment
- • Manual handling risk assessment (patient transfers, equipment)
- • Violence and aggression risk assessment
- • Lone working risk assessment for late clinics
Feature Screenshot
Risk Assessment
Real-World Examples
Example 1: Clinical risk assessments for sedation, surgical procedures, and radiography are created once for CQC registration but never reviewed even when incidents suggest protocols need updating
Real Scenario
"A sedation emergency occurs when monitoring equipment alarms are not heard due to surgery door being closed. Your sedation risk assessment does not mention door positioning or alarm audibility."
Example 2: Decontamination risk assessments are generic rather than specific to your actual equipment and processes, making them useless for demonstrating HTM 01-05 compliance
Real Scenario
"Your decontamination risk assessment mentions a separate decontamination room, but you actually perform decontamination within surgeries. CQC questions whether your risk assessment is genuine."
Accident & Incident Records
Dental practices need incident reporting that captures exposure risks, supports clinical governance, enables learning from near-misses, and provides CQC evidence of safety culture
The Problems
Why This Matters for Dental Practices
- Needlestick injuries and sharps incidents are recorded in the accident book but with insufficient detail about instrument contamination status, Hepatitis B immunity, or follow-up actions
OH referrals are delayed because incident details are incomplete, staff anxiety about exposure risks is not properly managed, and you cannot demonstrate systematic sharps incident management
- Clinical incidents like broken instruments in root canals, failed sedations, or medication errors are discussed verbally but not formally recorded, with no structured investigation process
Patterns are not identified, learning does not occur systematically, and CQC cannot see evidence of clinical governance and quality improvement
The Solution
How Accident & Incident Records Helps
Digital incident reporting with structured forms for sharps injuries, clinical incidents, and complaints, automatic OH referral for exposures, investigation tracking, and pattern analysis
Every sharps injury is documented immediately with complete exposure details triggering automatic OH referral, clinical incidents are investigated systematically, and patterns are identified before serious harm
Use Cases:
- • Needlestick and sharps injury reporting with OH referral
- • Clinical incident reporting (broken instruments, failed anaesthesia, medication errors)
- • Sedation complications and emergency documentation
- • Patient falls and injuries in practice
- • Decontamination equipment failures
- • Radiation incidents and near-misses
- • Violence and aggression incidents
- • Patient complaint investigation documentation
Feature Screenshot
Accident & Incident Records
Real-World Examples
Example 1: Needlestick injuries and sharps incidents are recorded in the accident book but with insufficient detail about instrument contamination status, Hepatitis B immunity, or follow-up actions
Real Scenario
"A dental nurse has a needlestick injury on Friday afternoon. The accident book entry lacks patient details and instrument contamination status. OH cannot assess risk until Monday when practice reopens."
Example 2: Clinical incidents like broken instruments in root canals, failed sedations, or medication errors are discussed verbally but not formally recorded, with no structured investigation process
Real Scenario
"Three patients experience failed local anaesthetic in six months with the same dentist. Because incidents were never formally recorded, the pattern was not identified until a complaint prompted investigation."
Results Dental Practices Businesses Achieve
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