Advocacy & Complaints Access Audit - Care Homes

Q1 | Unanswered

Is there a current Complaints policy that is accessible, up to date, and aligned with regulatory expectations (including response times, investigation, and learning)?

Q2 | Unanswered

Is there an Advocacy policy/statement explaining residents’ rights to independent advocacy and how to access it?

Q3 | Unanswered

Is there a named lead responsible for complaints and advocacy oversight (e.g., Registered Manager/Deputy) with clear accountability?

Q4 | Unanswered

Are complaints, concerns, compliments, and advocacy referrals reviewed in governance meetings with trend analysis and service improvements recorded?

Q5 | Unanswered

Are complaint outcomes and learning shared appropriately with staff to prevent repeat issues (while maintaining confidentiality)?

Q6 | Unanswered

Is there a clear escalation pathway for unresolved complaints (provider level, ombudsman/commissioner, regulator where applicable)?

Q7 | Unanswered

Are safeguarding and duty of candour triggers clearly built into the complaints process (including when to notify CQC where required)?

Q8 | Unanswered

Is information about how to complain clearly displayed in communal areas (reception, lounges) and provided in welcome packs?

Q9 | Unanswered

Is information available in accessible formats (easy read, large print, translated versions, audio/digital options) as needed?

Q10 | Unanswered

Is advocacy information displayed and provided proactively (not only when problems arise)?

Q11 | Unanswered

Are residents told they can complain without fear of negative impact on their care, and is this message repeated regularly?

Q12 | Unanswered

Are residents supported to complain privately and confidentially (quiet space, support to write/call/email, interpreter if needed)?

Q13 | Unanswered

Are external complaint routes clearly signposted (local authority/ICB commissioner, ombudsman where applicable, CQC feedback routes)?

Q14 | Unanswered

Is there a simple route for families to raise concerns (email/phone/contact form) with clear response expectations?

Q15 | Unanswered

Are posters/leaflets up to date and include correct contact details for local advocacy providers and commissioners?

Q16 | Unanswered

Do staff understand what advocacy is and when an independent advocate should be offered or referred?

Q17 | Unanswered

Can staff explain how to access local advocacy services (contact details, referral process, expected timescales)?

Q18 | Unanswered

Do staff know the difference between informal concerns and formal complaints, and how each should be handled and recorded?

Q19 | Unanswered

Do staff know how to support residents with communication needs to express concerns (communication aids, family support, interpreters)?

Q20 | Unanswered

Are staff trained on the complaints process, duty of candour, and how to respond respectfully and professionally to dissatisfaction?

Q21 | Unanswered

Do staff understand whistleblowing routes if a complaint indicates unsafe practice or poor care culture?

Q22 | Unanswered

Are staff confident to raise early concerns internally to prevent escalation into formal complaints?

Q23 | Unanswered

Do residents (including those with dementia/communication difficulties) receive information about advocacy and complaints in a way they can understand?

Q24 | Unanswered

Are residents offered support to access advocacy during care planning reviews, safeguarding processes, or best-interests decisions when appropriate?

Q25 | Unanswered

Do residents know who to talk to if unhappy (named staff, manager, key worker), and is this consistent across shifts?

Q26 | Unanswered

Are residents supported to use complaints/advocacy without relying solely on family involvement?

Q27 | Unanswered

Are there systems for residents who lack family support to access independent representation when needed?

Q28 | Unanswered

Are residents regularly asked about satisfaction and concerns (surveys, meetings, key worker sessions) and is this documented?

Q29 | Unanswered

Where residents have substantial difficulty being involved in decisions and no appropriate representative, is independent advocacy considered/referral made as required?

Q30 | Unanswered

Are DoLS/LPS processes linked to advocacy access (e.g., support for challenges, understanding rights, representation)?

Q31 | Unanswered

Are best-interests decisions documented with evidence that advocacy was considered when appropriate?

Q32 | Unanswered

Are residents supported to understand and exercise rights of review/appeal linked to restrictions or care decisions?

Q33 | Unanswered

Are IMCA/independent advocacy referrals recorded with outcomes and follow-up actions?

Q34 | Unanswered

Are all complaints acknowledged promptly and handled within published timescales, with reasons documented where delays occur?

Q35 | Unanswered

Are complaints investigated objectively with evidence gathered (statements, records review, timelines) and documented clearly?

Q36 | Unanswered

Are complainants kept updated during investigations, with communication records retained?

Q37 | Unanswered

Are outcomes written in plain language, addressing each concern raised, and including apology where appropriate?

Q38 | Unanswered

Are duty of candour processes followed when required (openness, apology, explanation, actions to prevent recurrence)?

Q39 | Unanswered

Are complaints classified by theme and severity (e.g., dignity, medication, staffing, safeguarding) to support trend analysis?

Q40 | Unanswered

Are actions from complaints SMART, assigned, and tracked to completion with evidence of effectiveness?

Q41 | Unanswered

Are complainants informed how to escalate if dissatisfied, including external bodies and time limits where relevant?

Q42 | Unanswered

Are anonymous concerns accepted and handled appropriately (recorded, investigated proportionately)?

Q43 | Unanswered

Are complaints used as a learning tool rather than a defensive process, with evidence of improvement cycles?

Q44 | Unanswered

Are barriers to raising complaints identified and addressed (fear, language, disability, cognitive impairment, digital exclusion)?

Q45 | Unanswered

Are residents who are non-verbal or have advanced dementia supported to express dissatisfaction via observation and proxy indicators?

Q46 | Unanswered

Are there mechanisms to capture concerns from people who may not complain formally (family forums, resident meetings, suggestion boxes)?

Q47 | Unanswered

Are complaints processes culturally sensitive and inclusive, with interpreters available where needed?

Q48 | Unanswered

Are residents protected from victimisation after raising concerns, and is this monitored by leadership?

Q49 | Unanswered

Is there a complaints log/register that captures dates, themes, investigation actions, outcomes, and learning?

Q50 | Unanswered

Are advocacy referrals logged (date, reason, provider, outcome) and reviewed for patterns and effectiveness?

Q51 | Unanswered

Are complaint files complete (acknowledgement, investigation, evidence, outcome letter, action plan, follow-up confirmation)?

Q52 | Unanswered

Are records stored securely and retained in line with policy and legal requirements?

Q53 | Unanswered

Is there evidence of follow-up checks to confirm improvements were embedded after complaint resolution?

Q54 | Unanswered

Can the home show current, visible advocacy and complaints information in communal areas and in welcome packs?

Q55 | Unanswered

Can staff describe the advocacy referral process and provide the local advocacy contact details without searching extensively?

Q56 | Unanswered

Can the home provide a sample of recent complaints showing timely handling, clear outcomes, and evidenced learning/actions?

Q57 | Unanswered

Can residents/families describe how they would raise a concern and whether they feel listened to and supported?