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Preparing for CQC Registered Manager Interview

Tuesday 2 August 2016

You can expect to provide assurance that the registered manager is:

  • of good character
  • able to properly perform tasks that are intrinsic to their role
  • has the necessary qualification, competence, skills and experience to manage the regulated activity
  • has supplied documents that confirm their suitability


Our website links to a very helpful document developed by our colleagues at Wessex LMC to help registered managers prepare for the interview, including some potential questions you may be asked. This should be read in conjunction with CQC Mythbuster No 35 - Fundamental Standards of Care.


The Wessex document still references the ‘old regulations’ i.e. the Essential Standards of Quality and Safety that were replaced by the Fundamental Standards – but it is still a really simple, practical guide to preparing for the interview and the kinds of questions the registered manager will be asked.


The Fundamental Standards ensure compliance with the following two pieces of legislation:


  • The Health and Social Care Act 2008 (HSCA 2008) (Regulated Activities) Regulations 2014 (as amended)
  • Care Quality Commission (Registration) (Regulations 2009 (Part 4))


Regulation 7 focuses on the requirements of a registered manager – this is what the CQC are trying to access throughout the registration process. The interview is not a formal inspection, but the interviewer may well ask to see:


  • Individual policies, e.g. recruitment, training, medicines management, controlled drugs, cold chain, infection control, disposal of clinical waste, single use of instruments – have all policies at hand, either in paper or online format (they are happy to read from a screen)
  • Samples of meeting minutes (staff meeting, clinical meeting, PPG meeting)
  • A personnel file
  • Your training matrix
  • Your own patient satisfaction survey
  • Copies of certificates of staff training
  • Evidence GPs and Nurses are up to date with their appraisal/revalidation, and that you have verified their registration status on the GMC and NMC registers (including the GP partners) 
  • Evidence staff who requires DBS checks have had them, and risk assessments for those staff you have opted not to do a DBS check on.  (You should NOT keep photocopies of staff DBS checks in staff HR/Personnel files. The CQC requires you to note the following details: date of disclosure, disclosure type (standard/enhanced) and disclosure number. A matrix or spreadsheet is acceptable)
  • Cleaning schedule
  • Infection control audit
  • Risk assessments
  • A clinical record - the interviewer may ask the registered manager to evidence how correspondence from other providers is managed, for example
  • The interviewer may well ask for a tour of the practice, so make sure all rooms are in good order.
  • They may look in cupboards and fridges, so make sure thermometers and temperature logs are in situ and working.  
  • Make sure review dates on policies are recorded and are fairly recent. It is advisable to ensure all policies reference the practice as named on their CQC registration, e.g. if the practice is known as Dr XXXX and Partners and also The XXXX Health Centre – make sure your policies reflect the practice as it is named on the CQC registration.
  • Make sure all doors that should be locked are locked, sharps bins are stored and labelled appropriately and not over-filled
  • Make sure disposable curtains are labelled with the date and are within date


Remember you can always call me at the LMC to ask for help and guidance in this and all matters CQC on 0116 296 2950 or email us on enquiries@llrlmc.co.uk.


We are of the view the CQC’s requirements on general practice are onerous and disproportionate, however, their powers are enshrined in the Health and Social Care Act and getting it wrong can be hugely stressful and time-consuming for an individual practice. We can be present to observe inspections or registered manager interviews, subject to the availability of an LMC officer.

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