Care Quality Commission - CQC Made Easy (Questions for Registered Managers)

CQC Made Easy: Index

CQC Made Easy - Questions for Registered Managers

Managers who have applied for registration will receive a phone call from the CQC prior to them registering you. In this document is a selection of questions that the interviewer may ask you. The interview usually lasts for about 30 minutes. It is advisable to have a copy of your CQC application form in front of you and also a copy of the essential standards. It may also be useful to have a copy of the practices statement of purpose to hand. You will also find it helpful to read the specific guidance for registered managers which can be found on the CQC Website. Also familiarise yourself with the Health and Social Care Act 2008.

The questions below are set out in sections and are divided into questions about you, those related to the outcomes in the essential standards and finally your understanding of the regulatory framework. Please note that these questions are for guidance only. The questions may not necessarily be in this order at interview.

Questions about you.

Q. Define your job role within the practice?
Q. How long have you worked at the practice and how many days a week do you work there?
Q. What do you understand your main responsibilities to be as a registered manager?

When thinking about your response think about how you as a manager will continue to ensure compliance with the 16 of the 28 CQC Essential Standards. The Essential Standards are set out below:

Outcome 1:  Respecting and Involving people who use the service.
Outcome 2:  Consent to care and treatment.
Outcome 4:  Care and welfare of people who use the service.
Outcome 5:  Meeting nutritional needs.
Outcome 6:  Cooperating with other service providers.
Outcome 7:  Safeguarding people who use the service from abuse.
Outcome 8:  Cleanliness and infection control.
Outcome 9:  Management of medicines.
Outcome 10: Safety and Suitability of Premises.
Outcome 11: Safety, availability and suitability of equipment.
Outcome 12: Requirements relating to workers.
Outcome 13: Staffing.
Outcome 14: Supporting workers.
Outcome 16: Assessing and monitoring the quality of the service provision.
Outcome 17: Complaints.
Outcome 21: Records.

Try to give at least one example of how the practice does this in at least one area. Also try to include how you as a manager keep in touch with the operational matters within the practice. An example of this would be being present at the practice at least 3 days a week.

Also think about the special skills and qualities that you have to fulfil your role as a registered manager. This could be being a qualified dental nurse or you may have a management qualification.

Q. What do you understand to be your legal responsibility as a registered manager?

You will need to demonstrate that you understand your legal obligations to comply with the regulations as set out in the essential standards. Be clear about what was said in your application about your current compliance status and be ready to discuss any action plans with the interviewer

One of your main responsibilities as a registered manager is to notify the CQC of any serious events that happen within the practice such as death or serious injury to a patient or staff member within the practice; allegations of, or actual abuse of a patient; planned or unplanned prolonged absence of the registered manager and key changes at the practice such as an owner, partner or director leaving the practice.

Essential standards of Quality and Safety Outcomes.

Information and involvement.

Q. How do you involve service users in changes to your practice?

Examples of this maybe suggestion boxes, patients comment books, practice satisfaction surveys.

Q. How does your practice show that it takes into account of equality, diversity and human rights issues?

You may want to include disability access, hearing loops, large print or braille leaflets, and leaflets in other languages or interpreters.

How does your practice achieve formal and informal feedback from patients?

You may want to include your patient satisfaction surveys, suggestion boxes, patient’s comments books and significant event reporting.

Personalised Care, Treatment and Support.

Q. How do you ensure that you achieve valid consent for each patient?

Think about what policies and procedures you have in place within the practice to ensure that treatment options are explained fully and recorded accurately, at what stage are written costed treatment plans provided and signed by the patient. If you use a treatment plan co-ordinator than discuss this with your interviewer.

Q. What arrangements have you in place if a service user wishes to speak in confidence about an issue?

Examples may include availability of a private room. Or, if this wasn’t available, the service user would be made another appointment.

Q. What facilities do you have for patients with special needs?

Refer to the previous questions on equality and diversity. You may want to focus on practical issues such as disabled ramps and toilets, hearing loops and large print or braille leaflets etc.

Safeguarding and Safety.

Q. How would you investigate an allegation of abuse within the practice?

Think of the policies and procedures that you have in place and what steps you would take to investigate an incident this may include interviewing staff. Explain at what point you would notify the correct including the CQC.

Q. How does the practice provide safe services for children and vulnerable adults?

Discuss the practice policies on safeguarding include staff CRB checks in this. If all your staff hasn’t got CRB checks then be prepared to justify why they haven’t. Try to make sure that your staff has been trained in this area and if they haven’t, be prepared to explain to your interviewer how you as a practice are going to achieve this.

Q. Explain your Whistleblowing policy.

See our whistleblowing policy in our protocols section for guidance on this. Also, you could mention holding regular meetings where complaint or critical incidents are discussed.

Q. Explain your decontamination processes.

Explain your decontamination processes. Include usage of autoclaves and washer disinfectors. Mention that your practice follows HTM01-05 guidelines.

Suitability of Staffing.

Q. What input would you have when recruiting another Dentist?

This may include approving advertisements, short listing and interviewing candidates, taking references and offering final appointments.

Q. How does the practice ensure that it recruits suitable and qualified staff for the job?

Think about proof of experience and qualifications you would require and how you would they would be verified. Mention CRB checks (enhanced if necessary) and how they are obtained.

Q. How do you ensure that your staff remains competent for their role?

Talk about regular appraisals and making sure that staff are maintaining their CPD record and that you monitor and encourage staff training.

Q. Do you use agency staff?

If you do, how do you ensure they are suitable. What assurances have you received from the agency? What documentation do you require/retain from them?

Quality and Management.

Q. How do you know that patient’s notes and records are properly maintained and stored?

Examples of this are record card audits. Mention how records are stored i.e. fireproof lockable cupboards. Talk about your computer backup procedures.

Q. Are regular meetings being held at the practice and are notes taken and action points acted upon?

Mention the frequency of your meetings and what sort they are i.e. clinical, full staff meetings, nurse or reception/admin meetings. Do you circulate minutes prior to the meeting being held so that staff members can make additions to them? Are action points allocated to named individuals?

Q. How often does he practice perform clinical audit?

Think about how often clinical audit takes place at your practice. And give examples of recent audits that have taken place together with any actions taken as a result of them.


Q. Have you seen the practice’s statement of purpose?

Make sure you know the content of your practices statement of purpose. Mention the regulated activities undertaken by the practice. These will be:

Treatment of disease, disorder and injury.
Surgical procedures
Diagnostic and screening procedures.

Q. What notifications do you have to send to the CQC and when?

This may include notifications relating to serious events such as a death or serious injury of a service user or member of staff within the practice, allegations of, or actual abuse of a service user, planned or unplanned prolonged absence of the registered manager. Or a change of owner, partner, or director of the practice that may affect the running of the practice.

Q. Explain your knowledge of the essential standards of quality and safety with which you have to comply?

Make sure you have a clear understanding of the essential standards. Try to emphasise on the more important ones such as staff and service user safety.

Q. How do you ensure that these standards are met at all times?

Examples of this may be being present at the practice on a regular basis. Holding regular staff meetings, doing clinical audit, staff training, good record keeping etc.

Q. Where would you look up the CQC requirements?

Firstly, you would look on the care quality commission website. Make sure you look at the section for primary dental care. Explain what hard copy documentation you have at the practice i.e. CQC’s Essential Standards.

Who would be responsible for any breaches in the regulated activities?

The registered manager together with the registered provider would be responsible.

How have you assessed that you are compliant with the outcomes?

Explain the processes you underwent when completing the registration form to assess compliance. If you used an external consultants in this process then refer to this and the results of their work.

There is a full index of all 28 CQC outcomes with relevant policies, protocols and procedures attached in the members section - Protocols Library - GO. There is a spreadsheet for monitoring compliance and organising evidence in the members section - Toolkits - GO. If you are not a Member, have a look at the information about the benefits of membership and how to subscribe - GO.