Executive Overview
Safety audits from NHS England, ICBs, or other regulators review how practices manage digital and clinical risks. With organised documentation, rehearsed processes, and confident staff, audits become opportunities to showcase good practice rather than stressful surprises. This guide outlines how to get ready.
Understand the Audit Scope
- Review the audit brief or previous reports to understand focus areas (clinical safety management, incident handling, data security, change control).
- Map audit requirements to your documentation: DCB0160 safety file, hazard logs, risk register, incident reports, training records, change logs, supplier assurances, DSPT evidence.
- Allocate leads for each area (CSO, practice manager, digital lead) and set up a central index of documents.
Organise Your Safety File and Evidence
- Ensure the safety file is up to date with current policies, hazard logs, safety cases, and change records.
- Cross-reference evidence with clear filenames and version control.
- Prepare summary sheets for each digital system showing risk status, recent incidents, and mitigations.
- File supplier documentation (DCB0129, DTAC, contracts, SLAs) and ensure renewal dates are logged.
Rehearse the Audit Narrative
- Hold a mock audit or tabletop exercise covering typical questions:
- How do you manage clinical safety risks for digital systems?
- How are incidents reported, investigated, and closed?
- How do you ensure staff are trained on new tools?
- How do you work with suppliers to manage risks?
- Test your ability to retrieve evidence quickly.
- Make sure staff can explain processes in plain language.
Brief and Support Staff
- Share a clear summary of audit purpose, schedule, and expected questions.
- Provide refresher training on safety procedures, incident reporting, and escalation.
- Encourage honest answers—if something is in progress, explain the plan and timeline.
- Ensure staff know who to contact on the day for supporting documents or clarification.
Manage the Audit Day Smoothly
- Set up a dedicated space (virtual or physical) for auditors with access to requested documents.
- Assign a single point of contact to coordinate requests and responses.
- Keep a log of questions asked and evidence provided for future reference.
- Offer demonstrations (for example, safety log, change control tracker) if auditors request live walkthroughs.
Follow Up Professionally
- Review findings immediately; thank auditors and clarify timelines for any actions.
- Update the safety file, risk register, and action tracker with agreed improvements.
- Communicate outcomes to staff, highlighting strengths and any changes required.
- Share lessons learned with PCN partners to support wider improvement.
Scenario: Northgate Practice
Northgate scheduled a half-day mock audit before an Integrated Care Board visit. They rehearsed responses, refreshed the risk register, and collated supplier certificates. On audit day they provided evidence promptly, and the review team commended their preparation. Recommendations were implemented within two weeks and shared across the PCN.
Pitfalls to Avoid
- Disorganised evidence: scattered files slow responses and increase stress.
- Unprepared staff: without briefing, staff may provide inconsistent answers.
- Ignoring minor gaps: address small issues before the audit—they may become bigger findings.
- No follow-up: failing to action recommendations damages credibility.
Action Checklist
- Map audit requirements to your safety documentation and assign leads.
- Update the safety file, hazard logs, risk register, and incident records.
- Rehearse with a mock audit and ensure staff can explain processes.
- Organise audit-day logistics and maintain a request log.
- Implement recommendations promptly and record improvements.
Resources to Bookmark
- NHS England – Clinical Safety Standards (DCB0160/DCB0129)
- NHS England – Audit and Assurance Guidance
- Data Security and Protection Toolkit
Key Takeaways
Preparation turns safety audits into structured conversations about how you protect patients. With organised evidence, confident staff, and proactive follow-up, practices demonstrate assurance and drive continuous improvement.