Through Clause 7 of the Pharmacy Contract (hereafter referred to as ‘the Contract’), the pharmacy contractor agrees to allow PCRS inspections. Clause 14 requires the contractor to co-operate with the PCRS in establishing the accuracy of claims.

Unlike PSI authorised officers, PCRS inspectors are not exercising statutory functions and so their powers are much more limited.

• Contract requires pharmacy to allow inspections at reasonable times and to co-operate in establishing validity of claims; and
• Having a plan in place to deal with PCRS inspections

Inspections under the Contract

A PCRS inspection can take place “at any reasonable time” in two circumstances:

1. A PCRS nominated pharmacist arrives at the pharmacy to inspect the “accommodation, the dispensing equipment, prescription forms and records used for the purpose of this agreement including the medicines kept on the premises . . .” Where an examination of records is involved, the inspecting pharmacist may be accompanied by others from the PCRS. Many of the provisions of the Contract are outdated, including this clause, which seems to envisage the PCRS carrying out inspections in relation to matters that are clearly within the remit of the PSI; and
2. The PCRS can make a specific or general request of the PSI to inspect a community pharmacy and the pharmacy services provided.

PSI inspections are of course different and can be much more wide-ranging. The PCRS and PSI have been known to conduct joint inspections. However, given the difference in the respective powers of PSI authorised officers and PCRS inspectors, there are a range of potential legal and data protection issues with information obtained by the PSI potentially being given to the PCRS, and to a certain extent vice-versa.

Duty to facilitate inspections

The Contract requires the contractor to allow such inspections to take place. Accordingly, contractors should pay close attention to Clause 15 which deals with a suspected failure to comply with any term of the Contract followed by investigations by a complaints committee under Clause 16. Complaints that are upheld can result in a number of sanctions ranging from admonishment, to deduction of monies due to the contractor under the scheme, and, ultimately, the termination of the Contract.

Points to note

The provisions relating to inspections under the Contract lack detail, but there are some points to consider:

• It refers to inspections being conducted “at any reasonable time” – this allows for inspections to be pre-arranged or unannounced and would suggest that they are most likely to take place during normal opening hours but could conceivably be conducted immediately before/after the pharmacy opens for business –e. any time when staff would be on the premises;
• Where the inspectors are from the PCRS, the wording in the Contract suggests that their inspection is limited to only PCRS-related documentation, medication and systems/equipment; and
• Where the inspector is from the PSI at the request of the HSE, then the inspection will relate to all pharmacy operations, depending on the nature and any specifics of the request made by the HSE.

As any member of staff may be the first point of contact in the event of an inspection, it is important that they all have access to a document providing key information and that they receive relevant training. ”  

Preparing for an inspection

There are steps you can take in anticipation of an inspection, or if you receive notice of an inspection, beyond of course being compliant with your clinical and contractual obligations, and ensuring that your PCRS-related documentation, systems and records are up-to-date. Here are some additional steps you can take which might include:

Put a response plan in place: Pharmacies are run on the basis of SOPs so having an operating policy in place to deal with inspections is advised. This will help ensure a calm and consistent response on behalf of your business to an inspection. As any member of staff may be the first point of contact in the event of an inspection, it is important that they all have access to a document providing key information and that they receive relevant training. This policy might include such matters as:

• The types of inspection that can take place;
• Ensuring inspectors should be greeted calmly and professionally;
• Requesting sight of the inspector’s authorisation documents, which should be copied for future reference;
• Identifying key members of staff/management to be contacted in the event of an inspection (see response team, below);
• The contact details for relevant representatives in the IPU, should queries arise in the course of the inspection. In exceptional cases, you may wish to have regard to your external legal advisors so it’s a good idea to also have their contact details to hand; and
• How they should deal with being asked any questions.

Appoint your response team: A response team would ideally be made up of those individuals with sufficient seniority to make key decisions and command the assistance of their relevant teams:

• The size and composition of your response team will clearly depend on the size of your business, but it should clearly include a director/Supervising Pharmacist;
• Consider appointing both a primary and secondary contact for each response team member in case of holidays/absences/difficulties in reaching individuals on the day; and
• Depending on the size of your business, it may be helpful to appoint a team leader with overall control and responsibility for liaising with the inspection team who can deal with them on the day, and any follow up points after the inspection is completed.

When an inspection happens

Once the inspectors have been greeted, allocated to a designated room/area, and have presented their credentials, there are a number of steps to be considered.

Immediate steps:

• Establish which of the inspectors is in charge and to whom queries should be directed; and
• Engage with the lead inspector where possible to understand the scope of the inspection – this may well be clearly set out in the notice that they should provide upon arrival.

Cooperation: As set out above, the terms of the contract require a contracting pharmacist to allow an inspection to take place, so inspectors should be treated in an open and co-operative manner, which includes facilitating reasonable requests for access, documents and information.

Shadowing inspectors: If an inspector seeks to undertake a physical search of the premises, it is prudent to arrange for him/her to be accompanied at all times by someone who is sufficiently senior and familiar with the rules in this area, and the scope of the PCRS’s powers. A carefully written, factual record should be made of where they go, what they look at and who they speak to.

Questioning:

• The inspectors may ask questions of any employee – while the inspector is not exercising statutory powers and is not entitled to compel an employee to answer questions, failing to answer straightforward questions may be viewed as non-co-operation;
• If a member of staff is being questioned, they should be accompanied by a work colleague to take a record of the questions asked and the answers provided; and
• If in doubt of the nature of the question being asked, you should contact the IPU or your legal representative.

Documents:

• Inspectors are permitted to take copies of documentation that is within the scope of their investigation, so it is important to know which documents you are obliged to share and those documents that you should not share. Relevant considerations include the scope of the search and relevance; and
• The best approach for a pharmacist is to take copies of any documentation being taken by the inspectors – this will enable you to later seek legal advice if you have any queries as to whether any document taken by the PCRS is relevant or within scope.

Before the inspectors leave

• This is your opportunity to double check that you are aware of exactly what the inspectors have noted and the documents they have taken during their visit. You should use the opportunity to have a short debrief with the inspectors if they are willing and ask for a copy of the inspectors’ record of the visit (this may be provided to you anyway at a later stage); and
• You should also seek to establish what will happen next, when the inspectors will be in touch and if there are any positive actions that the organisation should take in the interim.

Conclusion

An inspection is a delicate balancing act between the duty of a contracting pharmacist under the PCRS Contract to facilitate the HSE inspectors, while respecting the right to enjoy fair procedures in the conduct of that inspection. Preparing for an inspection is key to ensure everyone involved is aware of the extent, and limits, of their obligations. In the event of an inspection, you should contact the Contract Unit within the IPU or your own legal advisors.

About the authors: Aidan Healy is Legal Director in DAC Beachcroft Dublin Regulatory, Professional & Public Law team, which is lead by Gary Rice, Partner. DAC Beachcroft has advised the IPU and its members for many years and specialises in the legal aspects of pharmacy practice. For more information, please contact Aidan Healy. For more information on any legal aspect of pharmacy practice, please contact Gary Rice.