Compliance Management for GP Surgeries
Meet CQC standards and manage practice compliance efficiently with digital tools designed for primary care.
The Challenge
GP practices face CQC scrutiny across clinical governance, medicines management, and infection control while managing 30+ patients per day per clinician. Between vaccine cold chain monitoring, significant event analysis, clinical audits, safeguarding responsibilities, and maintaining QOF targets, practice managers and GPs struggle to keep comprehensive evidence of compliance whilst delivering quality patient care in 10-minute appointment slots.
How Assistant Manager Solves GP Surgeries Compliance
Each module is designed to address the specific challenges gp surgeries businesses face every day.
Checklist Management
GP practices need daily and weekly checks completed reliably despite clinical pressures - digital checklists that take seconds to complete on a mobile device ensure compliance without disrupting patient care
The Problems
Why This Matters for GP Surgeries
- Vaccine fridge temperatures must be checked and recorded twice daily, but during busy morning surgeries the afternoon check gets forgotten, leaving gaps in your cold chain documentation
When vaccines are wasted due to temperature excursion, NHS England investigates and discovers gaps in your monitoring records, suggesting inadequate cold chain management
- Emergency equipment like oxygen, AED, and emergency drugs should be checked monthly, but with staff holidays and busy periods, checks are done retrospectively or missed entirely
A patient needs emergency oxygen and the cylinder is empty because the monthly check did not happen - creating a serious patient safety incident and potential CQC enforcement
The Solution
How Checklist Management Helps
Digital checklists with scheduled tasks, photo evidence requirements, temperature logging with automatic alerts, and real-time completion visibility for practice managers
Vaccine fridge temperatures are recorded twice daily with automatic alerts if missed, emergency equipment checks happen on schedule with photo proof, and practice managers see compliance status across all requirements instantly
Use Cases:
- • Twice-daily vaccine fridge temperature recording with alerts
- • Monthly emergency equipment and drugs expiry checks
- • Weekly clinical room cleaning and infection control verification
- • Daily controlled drugs register balance checks
- • Monthly fire alarm and emergency lighting testing
- • Clinical waste disposal documentation
- • Oxygen cylinder pressure checks
- • Defibrillator and AED functionality testing
Feature Screenshot
Checklist Management
Real-World Examples
Example 1: Vaccine fridge temperatures must be checked and recorded twice daily, but during busy morning surgeries the afternoon check gets forgotten, leaving gaps in your cold chain documentation
Real Scenario
"Your vaccine fridge fails over a weekend. When you discover it Monday morning, you realize Friday afternoon temperature check was never recorded, making it impossible to determine when failure occurred or which vaccines are safe."
Example 2: Emergency equipment like oxygen, AED, and emergency drugs should be checked monthly, but with staff holidays and busy periods, checks are done retrospectively or missed entirely
Real Scenario
"During a medical emergency, you discover your emergency adrenaline expired three months ago. CQC investigation reveals your emergency equipment checks have not been completed since before summer holidays."
Equipment Tracking & Maintenance
GP practices manage dozens of medical devices from ECG machines to spirometers, each with different calibration and maintenance requirements that must be tracked to meet MHRA and CQC compliance
The Problems
Why This Matters for GP Surgeries
- Autoclave validation, calibration certificates for medical devices, and servicing for diagnostic equipment are tracked on spreadsheets with no reminders when testing is due
Equipment fails validation retrospectively, or CQC inspection discovers servicing was overdue, suggesting poor clinical governance and equipment safety management
- Medical devices safety alerts from MHRA arrive by email and are printed for clinical staff, but there is no systematic way to verify which specific devices were checked and the alert actioned
When auditors ask for evidence that safety alerts were actioned, you have the original alert but no proof which ECG machine, blood pressure monitors, or diagnostic equipment you checked
The Solution
How Equipment Tracking & Maintenance Helps
Complete asset register with service scheduling, automatic maintenance reminders, device-level service history, calibration certificate storage, and safety alert tracking with device-specific verification
Every piece of equipment has scheduled maintenance with 90-day advance alerts, autoclave validation is never missed, and safety alerts are logged against specific devices with proof of action
Use Cases:
- • Autoclave validation and service scheduling
- • ECG machine calibration certificate management
- • Blood pressure monitor calibration tracking
- • Spirometer and peak flow meter validation
- • Nebulizer equipment servicing schedules
- • Vaccine fridge maintenance and calibration
- • Clinical thermometer calibration
- • MHRA safety alert device-specific verification
Feature Screenshot
Equipment Tracking & Maintenance
Real-World Examples
Example 1: Autoclave validation, calibration certificates for medical devices, and servicing for diagnostic equipment are tracked on spreadsheets with no reminders when testing is due
Real Scenario
"CQC inspection asks for your autoclave validation records. The last validation test was 15 months ago - 3 months overdue. Minor surgery instruments sterilized in that period may not have been adequately decontaminated."
Example 2: Medical devices safety alerts from MHRA arrive by email and are printed for clinical staff, but there is no systematic way to verify which specific devices were checked and the alert actioned
Real Scenario
"An MHRA alert for blood pressure monitors requires checking serial numbers. Six months later during inspection, you cannot prove which of your three BP monitors you checked or whether the affected unit is still in use."
Employee Scheduling
GP practices employ clinical staff with specific competencies for minor surgery, travel health, contraception, and chronic disease management - rotas must match staff qualifications to clinic requirements
The Problems
Why This Matters for GP Surgeries
- Practice nurse rotas are created without checking who has current immunization and travel health certification, leading to appointment booking for services nurses are not qualified to deliver
Patients book travel vaccination appointments with nurses who lack current certificates, appointments must be cancelled, and CQC questions your systems for ensuring staff competency
- Locum GP sessions are booked without checking their performer list registration, NHS Smart Card access, or indemnity insurance, relying on agency assurances
Locums work clinically without current indemnity or performer list entry, creating serious professional indemnity risks and potential NHS contract breaches
The Solution
How Employee Scheduling Helps
Clinical rota management with automatic competency verification, mandatory training checking, performer list registration validation, and indemnity insurance tracking before shifts are confirmed
Practice nurse clinics are only scheduled when qualified staff are available, locum GPs cannot be booked without current performer list and indemnity, and practice managers see competency gaps before they impact appointments
Use Cases:
- • Practice nurse clinic scheduling with competency verification
- • Locum GP performer list and indemnity checking before booking
- • Healthcare assistant role allocation based on training
- • Minor surgery session scheduling with qualified practitioners
- • Travel health clinic staffing with certificate verification
- • Contraception clinic competency-based scheduling
- • Phlebotomy rota with trained staff only
Feature Screenshot
Employee Scheduling
Real-World Examples
Example 1: Practice nurse rotas are created without checking who has current immunization and travel health certification, leading to appointment booking for services nurses are not qualified to deliver
Real Scenario
"A patient books yellow fever vaccination appointment. On the day, you discover the scheduled nurse's certificate expired last month. The patient misses their travel date and complains to CQC about unsafe practice."
Example 2: Locum GP sessions are booked without checking their performer list registration, NHS Smart Card access, or indemnity insurance, relying on agency assurances
Real Scenario
"A locum GP works for three months before the PCN clinical director discovers they were removed from the performer list in another area. All their clinical decisions now need review and patients must be contacted."
Time Clock & Attendance
GP practices need attendance tracking for clinical governance and incident investigation, with session verification for locums preventing payment disputes and ensuring clinical cover is delivered
The Problems
Why This Matters for GP Surgeries
- Practice staff timesheets are completed weekly from memory, with reception staff approximating their hours rather than recording actual time worked
You pay for hours not worked, have no record of who was present when patient data breaches occurred, and cannot verify staffing levels during complaints investigation
- Locum GPs and nurses submit session claims that are difficult to verify, with disputes over whether they worked the full session or left early
The practice pays for sessions that were not completed fully, damaging relationships with locums over disputed hours and overpaying for clinical cover
The Solution
How Time Clock & Attendance Helps
Digital clock in/out with location verification, real-time visibility of on-duty staff, accurate timesheet generation, and session completion verification for locums
You know exactly which staff are present at any moment for incident investigation, locum session hours are verified digitally preventing disputes, and payroll is accurate based on actual time worked
Use Cases:
- • Reception and admin staff clock in/out verification
- • Locum GP session attendance and completion tracking
- • Practice nurse clinical session verification
- • Pharmacist clinic attendance for PCN services
- • Healthcare assistant hours for payroll accuracy
- • On-call staff availability verification
- • Attendance records for patient complaint investigation
Feature Screenshot
Time Clock & Attendance
Real-World Examples
Example 1: Practice staff timesheets are completed weekly from memory, with reception staff approximating their hours rather than recording actual time worked
Real Scenario
"A patient complaint alleges rude treatment by reception staff at 5pm. Your timesheet shows three reception staff were scheduled but you cannot prove who was actually present at that time."
Example 2: Locum GPs and nurses submit session claims that are difficult to verify, with disputes over whether they worked the full session or left early
Real Scenario
"A locum GP claims payment for a full morning session but reception staff recall she finished at 11:30am. Without digital clock-out records, you pay the full claim to avoid damaging the locum relationship."
Training & Development
GP practices must maintain detailed training records for GPs, nurses, pharmacists, and admin staff with evidence readily available for CQC inspection, revalidation, and serious incident investigation
The Problems
Why This Matters for GP Surgeries
- Safeguarding training for all staff, BLS certification for clinical staff, and information governance for everyone expires at different times with no central tracking system
Staff work without current mandatory training, serious case reviews discover training gaps, and CQC inspection reveals inadequate systems for ensuring competency
- Clinical competency assessments for practice nurses performing cervical screening, immunizations, or chronic disease management are signed off on paper and filed, with no visibility of who holds current competencies
Nurses deliver clinical services they have not been assessed as competent to perform, leading to patient safety incidents and professional practice concerns
The Solution
How Training & Development Helps
Learning management system with mandatory training tracking, clinical competency assessment recording, automatic expiry alerts, revalidation portfolio support, and training matrix reporting
Every staff member has current mandatory training tracked centrally, clinical competencies are digitally recorded with assessor details, and practice managers receive 90-day alerts before training expires
Use Cases:
- • GP appraisal and revalidation portfolio documentation
- • Practice nurse competency assessment (immunization, travel health, cervical screening)
- • Mandatory training tracking (safeguarding, BLS, information governance, fire safety)
- • Chaperone training for all patient-facing staff
- • Minor surgery competency verification
- • Healthcare assistant training matrix (phlebotomy, ECGs, wound care)
- • Reception staff training (summarization, data entry, safeguarding)
- • Pharmacist and pharmacy technician clinical competencies
Feature Screenshot
Training & Development
Real-World Examples
Example 1: Safeguarding training for all staff, BLS certification for clinical staff, and information governance for everyone expires at different times with no central tracking system
Real Scenario
"A safeguarding serious case review requests your practice records. Investigation reveals three reception staff who regularly deal with vulnerable patients have not completed safeguarding training in three years."
Example 2: Clinical competency assessments for practice nurses performing cervical screening, immunizations, or chronic disease management are signed off on paper and filed, with no visibility of who holds current competencies
Real Scenario
"A cervical screening sample is inadequate for the third time. Investigation reveals the practice nurse performing them was never assessed as competent - her portfolio shows competency was "in progress" but never signed off."
HR Management
GP practices must verify clinical staff credentials continuously - professional registration, indemnity, DBS checks - with instant access during CQC inspection and for serious incident investigation
The Problems
Why This Matters for GP Surgeries
- GMC, NMC, and HCPC registration status for clinical staff is checked on appointment but not monitored, with no alerts when registration issues arise or indemnity lapses
Clinical staff work without current professional registration or indemnity insurance, creating serious professional practice risks and potential NHS contract breaches
- DBS checks and occupational health clearances are stored in paper personnel files that are rarely reviewed, with no system to alert when renewals are due
Staff work beyond their DBS validity or OH restrictions are not known to practice managers allocating duties, creating safeguarding and employment risks
The Solution
How HR Management Helps
Centralized employee records with GMC/NMC/HCPC registration monitoring, professional indemnity tracking, DBS renewal alerts, OH clearance documentation, and automatic 90-day credential expiry notifications
Every clinical staff member's registration, indemnity, DBS, and OH status is visible to practice managers with automatic alerts before expiry, preventing staff working without current credentials
Use Cases:
- • GMC/NMC/HCPC professional registration monitoring with automatic checks
- • Medical indemnity insurance tracking for GPs and nurses
- • DBS check renewal reminders at 3-yearly intervals
- • Occupational health clearance and restrictions documentation
- • Hepatitis B immunity verification for clinical staff
- • Right-to-work documentation and share code checking
- • Performer list registration verification for GPs
- • Emergency contact details for staff incidents
Feature Screenshot
HR Management
Real-World Examples
Example 1: GMC, NMC, and HCPC registration status for clinical staff is checked on appointment but not monitored, with no alerts when registration issues arise or indemnity lapses
Real Scenario
"A practice nurse works for six months after her NMC registration lapsed due to failure to complete revalidation. A patient incident triggers investigation revealing she was practicing without registration."
Example 2: DBS checks and occupational health clearances are stored in paper personnel files that are rarely reviewed, with no system to alert when renewals are due
Real Scenario
"CQC inspection asks to verify DBS checks for reception staff with access to vulnerable patients. Two staff have DBS checks from 2018 and have never been renewed despite the practice policy stating 3-yearly renewals."
Risk Assessment
GP practices need risk assessments covering clinical procedures, premises hazards, medicines management, and infection control, with regular reviews when practice circumstances or services change
The Problems
Why This Matters for GP Surgeries
- Clinical risk assessments for new procedures like minor surgery or prescribing protocols are completed once and filed, never reviewed even when near-misses suggest controls are inadequate
Outdated risk assessments fail to reflect current practice, leaving the practice exposed when significant events reveal hazards were not adequately controlled
- Premises risk assessments for the practice building do not account for changing use like new PCN services or temporary changes during building works, with no systematic review when circumstances change
Patients or staff are injured in practice areas where risks were not assessed for the new use or temporary hazards
The Solution
How Risk Assessment Helps
Comprehensive risk assessment system with clinical and premises hazard identification, evidence-based control measures, automatic review scheduling, and version history tracking
Every clinical procedure and practice area has an up-to-date risk assessment, automatic reminders trigger reviews when significant events occur, and complete audit trail shows how risks are managed
Use Cases:
- • Clinical procedure risk assessments (minor surgery, joint injections, cryotherapy)
- • Medicines management risk assessment (prescribing, dispensing, repeat prescriptions)
- • Premises and environment risk assessment
- • Infection outbreak risk assessment and control
- • Lone working risk assessment for home visits
- • Violence and aggression risk assessment
- • Manual handling risk assessment (home visits, practice-based care)
- • Information governance and data security risk assessment
Feature Screenshot
Risk Assessment
Real-World Examples
Example 1: Clinical risk assessments for new procedures like minor surgery or prescribing protocols are completed once and filed, never reviewed even when near-misses suggest controls are inadequate
Real Scenario
"A prescription error occurs with the new electronic prescribing system. Your risk assessment is two years old and does not cover the new system workflow that was causing confusion among prescribers."
Example 2: Premises risk assessments for the practice building do not account for changing use like new PCN services or temporary changes during building works, with no systematic review when circumstances change
Real Scenario
"A patient trips over cables during building works to create a PCN treatment room. Your premises risk assessment does not cover the building works or the new clinical use of that space."
Accident & Incident Records
GP practices need significant event analysis that captures clinical detail, supports duty of candour, enables root cause analysis, and provides evidence of learning culture for CQC and clinical governance
The Problems
Why This Matters for GP Surgeries
- Significant events like diagnostic delays, prescription errors, or missed safeguarding are recorded in various places - practice meetings, email, informal notes - with no structured significant event analysis process
Learning from incidents does not happen systematically, patterns are not identified, and CQC cannot see evidence of learning culture and improvement
- Patient safety incidents reportable to NRLS are not consistently identified, with staff unsure what should be reported and how to determine severity grading
Serious incidents are not reported to NRLS or the CCG/ICB appropriately, leading to NHS contract breaches and failure to contribute to national patient safety learning
The Solution
How Accident & Incident Records Helps
Digital significant event recording with structured forms, automatic severity assessment, NRLS reporting prompts, investigation tracking, and action plan monitoring with completion verification
Every significant event is documented immediately with automatic severity grading, NRLS-reportable incidents are identified, and investigation actions are tracked to completion with full audit trail
Use Cases:
- • Significant event analysis documentation and investigation
- • Prescription error and near-miss recording
- • Diagnostic delay significant event recording
- • NRLS reporting determination and submission
- • Patient complaint investigation documentation
- • Safeguarding concern recording and referral
- • Premises accident and injury reporting
- • Violence and aggression incidents
- • Information governance breaches and investigation
Feature Screenshot
Accident & Incident Records
Real-World Examples
Example 1: Significant events like diagnostic delays, prescription errors, or missed safeguarding are recorded in various places - practice meetings, email, informal notes - with no structured significant event analysis process
Real Scenario
"Three patients experienced diagnostic delays for cancer in 18 months. Each was discussed informally but never formally recorded as significant events, so the pattern was never identified or investigated."
Example 2: Patient safety incidents reportable to NRLS are not consistently identified, with staff unsure what should be reported and how to determine severity grading
Real Scenario
"A patient received ten times the intended dose of medication due to a prescription error. It was discussed as a significant event but was never reported to NRLS because nobody determined it met reporting criteria."
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