I always think it is beneficial to utilise the data and tools available to us, to help drive positive change into our services. One tool that many of us use to benchmark our services against is the CQC reports, but I find this is usually providers looking at the elements to Outstanding and Requires Improvement.
Now AI is readily available, we can now begin to look at how we use this tool with CQC data to further enhance our services, and I thought I would get the ball rolling with a summary of the top 10 audit pitfalls, supported by live evidence from recent CQC findings. These are not “one‑off mistakes” but recurring governance and practice gaps that audits frequently fail to pick up, leaving services exposed when inspectors arrive.
Staffing and weak leadership visibility : CQC findings show that struggling services typically have weak day‑to‑day oversight, unclear responsibilities and leadership teams with reduced visibility. Reports repeatedly cite gaps in managerial presence and role clarity as a driver of poor outcomes.
Training competence : Many providers achieve high training compliance but cannot demonstrate competence, which is becoming more emphasised in reports by the CQC as something they are now expecting. This issue was highlighted strongly in January 2026 inspection analyses, where inspectors found services relying on assumed competence rather than observed practice.
Inadequate recruitment processes : Recent CQC examples show failures in safe recruitment, including missing vetting, incomplete induction and inadequate supervision. It is not just adult social care, but across GP practices and the NHS which show similar patterns, such as poor recruitment records and inadequate safeguarding training for staff.
Risk management and policies : Between 2023 and 2025, CQC repeatedly identified outdated, templated or missing risk assessments, especially for high‑risk clinical needs like epilepsy, choking, diabetes and mobility. This remains one of the top reasons for inadequate ratings across all settings. January 2026 analyses highlight a continued issue with many organisations having policies, audits and action plans in place, yet they do not identify key risks, are not followed through and fail to produce meaningful improvement.
Lack of person-centred care and MCA practices : So far in 2026 CQC have found that many services were not delivering care aligned to current best practice, nor updating care plans or documenting assessments appropriately. Alongside lack of person-centred care, many inadequate reports cite weak practice around the Mental Capacity Act, best‑interest decision and missing DoLS authorisations. These governance gaps directly impact care receivers’ legal rights and safety, representing one of the most commonly cited breaches (Regulation 13 and 17) across 2023–2025.
Medication : This element remains one of the highest‑risk areas. Reports highlight PRN protocols without clear criteria, inaccurate MAR charts and inconsistent administration practices. These failures were widely cited as reasons for inadequate ratings in the 196 providers assessed between 2023 and 2025.
Continuous improvement : CQC’s newer assessment framework highlighted in 2025 regulatory updates requires ongoing evidence of quality, not just preparation for inspection. Providers lacking consistent monitoring, assurance reporting or internal audits are at high risk under the continuous assessment model. additionally, government-commissioned reviews in 2024–2025 highlight that CQC itself is increasing expectations around regular oversight, updated evidence and consistent internal governance, making strong QA cycles essential for providers going forward.
What do these pitfalls tell us : Across hundreds of inspection reports, one central theme stands out – CQC failures are not the result of single incidents but are the result of weak, inconsistent or poorly embedded governance and oversight. To avoid these pitfalls, providers must shift from reactive compliance to proactive, evidence‑based assurance, ensuring:
- Competence, not just training completion
- Person‑centred, regularly updated care plans
- Strong governance processes
- Continuous evidence gathering
- Risk management that reflects real practice, not templates
Audit software like InvictIQ’s Audit on Cloud automates the collection and analysis of compliance data, making it easier for providers to monitor standards, understand trends, spot recurring patterns and respond to issues. With real-time dashboards, automated alerts and historical logs, managers and providers can track everything and ensure nothing slips through the cracks.
