Compliance Policy & Procedures
1. Purpose
This policy outlines how Treeline Dental complies with UK legislation, regulatory standards, and professional guidance to provide safe, ethical, and effective dental care.
We are committed to meeting the requirements of:
Care Quality Commission (CQC) Fundamental Standards
General Dental Council (GDC) Standards for the Dental Team
NHS Dental Regulations (where applicable)
Ionising Radiation (Medical Exposure) Regulations 2017 (IR(ME)R)
Data Protection Act 2018 and UK GDPR
2. Policy Statement
Our practice:
Provides high-quality, patient-centred dental care.
Ensures staff understand and comply with legal and professional obligations.
Promotes a culture of safety, openness, and continuous improvement.
Maintains accurate and secure clinical and administrative records.
Monitors compliance through regular audits and staff training.
3. Responsibilities
Practice Owner / Principal Dentist – overall accountability for compliance.
Practice Manager – day-to-day implementation, monitoring, and reporting.
Clinical Team – responsible for following policies, maintaining CPD, and working within their competence.
All Staff – must comply with policies and report concerns or incidents.
4. Key Compliance Areas
4.1 Patient Safety & Care
Follow HTM 01-05 guidance for infection prevention and control.
Complete medical history at every new patient appointment and update regularly.
Provide treatment options, risks, and alternatives before consent is taken.
Ensure safeguarding policies for children and vulnerable adults are followed.
4.2 Radiography & Imaging
All radiographs taken under IR(ME)R 2017.
Only trained and entitled operators to take radiographs.
Justification, optimisation, and reporting documented for every exposure.
Quality assurance audits carried out every 6 months.
4.3 Record Keeping
Clinical notes recorded contemporaneously, legible, signed, and dated.
Records kept securely for at least 11 years (adults) or until age 25 (children).
Data protection principles applied in line with UK GDPR.
4.4 Complaints Handling
Follow NHS and GDC complaints procedures.
Acknowledge complaints within 3 working days.
Provide a full response within 20 working days or keep patient updated.
Complaints log maintained for CQC inspection.
4.5 Staff Training & CPD
All staff complete mandatory training:
Basic Life Support (annually)
Safeguarding (children & adults)
Infection control & decontamination
Radiography/IRMER (as applicable)
GDPR & information governance
Maintain CPD records in line with GDC requirements.
4.6 Health & Safety
Annual risk assessments (fire, COSHH, sharps, RIDDOR).
Regular checks on equipment (autoclaves, x-ray machines, suction units).
PPE available and used appropriately.
4.7 Confidentiality & Data Protection
Patient information shared only with consent or legal requirement.
All staff sign confidentiality agreements.
Breaches reported in line with ICO guidelines.
5. Procedures
Appointments – Booked via reception or online, with reminders sent. Missed appointment policy in place.
Consent – Always informed, voluntary, and documented.
Referrals – Clear pathway for internal/external referrals, with written communication and feedback.
Incidents – All clinical and non-clinical incidents recorded, reviewed, and acted upon.
Audits – Regular audits (infection control, radiography, record keeping, prescribing). Results discussed in staff meetings.
Emergency Preparedness – Emergency drugs and oxygen checked weekly. Staff trained in CPR and medical emergencies.
6. Monitoring & Review
Compliance reviewed quarterly by the Practice Manager.
Annual review of policies and procedures, updated as required.
Staff feedback encouraged to support continuous improvement.
7. References
Care Quality Commission (CQC) – Fundamental Standards
General Dental Council (GDC) – Standards for the Dental Team
NHS England – Dental Regulations & Patient Charges
Department of Health – HTM 01-05: Decontamination in Primary Care Dental Practices
IR(ME)R 2017 Guidance for Dental Practices
Data Protection Act 2018 & UK GDPR
Questions?
If you have any questions about our cookie use or how your data is handled, feel free to contact us at:
📧 Admin@treelinedental.co.uk
📞 0333 3584500