⚠️ 1. Outdated or Non-Compliant HR Policies

Many care providers still rely on generic or outdated HR policies that don’t reflect current employment laws or the realities of the care sector. This is a major red flag during CQC inspections.

Fix: Regularly review and update your HR handbook with sector-specific guidance. Policies on safeguarding, absence, and disciplinary action must align with CQC requirements and employment law.

⚠️ 2. Inadequate Recruitment Documentation

Recruitment processes must be thorough and auditable. Missing documents like DBS checks, Right to Work (RTW) evidence, or incomplete application forms can trigger compliance issues.

Fix: Implement a standard recruitment checklist and ensure each new hire file is complete, well-organised, and CQC-ready.

⚠️ 3. Poor Record-Keeping on Supervisions & Appraisals

Regular supervision and appraisal meetings are a legal and CQC requirement — but many care homes fail to document them properly or follow through consistently.

Fix: Use a system to schedule and log all supervisions and appraisals. Digital or paper-based records should include dates, signatures, and performance feedback.

⚠️ 4. Failing to Manage Mandatory Training Effectively

One of the most common HR compliance failures is outdated or missing training records. CQC expects all mandatory training (e.g., safeguarding, moving and handling) to be current, tracked, and linked to job roles.

Fix: Create a training matrix and set alerts for when courses are due. Assign responsibility and monitor completion proactively.

⚠️ 5. No Pre-ProbatIonary Reviews or Exit Procedures

Skipping probation reviews or neglecting proper exit procedures (like final appraisals or return of equipment) leaves gaps in your compliance and exposes your service to disputes.

Fix: Introduce structured pre-probation reviews and use exit checklists that cover everything from feedback to safeguarding disclosures.