Complaints, Concerns and Compliments Audit - Care Homes

Evidence to check

• • Current complaints policy with review date and version control
• • Policy explains how residents, relatives, visitors and advocates can raise complaints or compliments
• • Policy includes timescales, investigation process, escalation routes and learning expectations
• • Staff can explain how the complaints process works in practice

Evidence to check

• • Complaints information displayed in the home and included in welcome packs
• • Residents and relatives are reminded during reviews, meetings or newsletters
• • Staff can explain how they would support someone to raise a concern
• • Residents and relatives confirm they know who to speak to if unhappy

Evidence to check

• • Easy-read, large print, translated, pictorial or audio information available where needed
• • Communication needs are recorded in care plans
• • Advocacy or family support offered where appropriate
• • Residents with dementia, cognitive impairment or sensory needs are not excluded from raising concerns

Evidence to check

• • Complaints process allows verbal, written, digital and representative routes
• • Suggestion boxes, meetings or feedback forms are available where used
• • Staff record verbal concerns rather than relying on people to put things in writing
• • Residents can raise issues privately and without fear

Evidence to check

• • Informal concerns log or communication records
• • Repeated minor concerns are reviewed for patterns
• • Concerns are escalated to formal complaint or safeguarding where needed
• • Managers act before low-level concerns become repeated poor experience

Evidence to check

• • Complaint acknowledgement records
• • Acknowledgement dates match policy timescales
• • Complainant is told who is investigating and expected response timescale
• • Any delay is explained and recorded

Evidence to check

• • Complaint investigation records
• • Investigation includes relevant care notes, staff accounts, rotas, MARs, incident records or observations where applicable
• • Resident's voice and experience are considered
• • Investigation findings are evidence-based and not defensive

Evidence to check

• • Complaint responses are respectful, clear and personalised
• • Apology, explanation or action is provided where appropriate
• • Complainant is told what was upheld, partly upheld or not upheld
• • Resident impact is acknowledged, not only procedural findings

Evidence to check

• • Central complaints, concerns and compliments log
• • Records include date, person affected, theme, investigation, outcome and actions
• • Information is stored securely and accessed only by authorised staff
• • Records are complete and available for audit or inspection

Evidence to check

• • Complaints tracker includes categories and themes
• • Trend analysis is completed regularly
• • Themes such as call bells, food, laundry, medication, staff attitude or personal care are reviewed
• • Actions are taken where patterns emerge

Evidence to check

• • Governance or quality meeting minutes
• • Complaint themes and high-risk complaints are reviewed by leaders
• • Actions are assigned with owners and timescales
• • Senior leaders check whether actions have improved practice

Evidence to check

• • Team meeting minutes, supervision records or staff briefings
• • Learning is shared while protecting confidentiality
• • Training, care plans or procedures are updated where needed
• • Staff can describe recent learning from complaints

Evidence to check

• • Complaint records show safeguarding screening
• • Safeguarding referrals made where threshold is met
• • Immediate protective action taken where residents may be at risk
• • Rationale recorded where safeguarding is considered but not referred

Evidence to check

• • Action plans linked to complaints
• • Follow-up checks with resident, relative or staff
• • Audits or observations confirm changes are embedded
• • Repeated complaints reduce or further action is taken

Evidence to check

• • Consent or best-interest considerations recorded where relevant
• • Advocacy information is available
• • Family or representative concerns are taken seriously
• • Resident's own views are sought wherever possible

Evidence to check

• • Anonymous complaint records
• • Manager assessment of risk and available evidence
• • Reasonable enquiries completed where possible
• • Anonymous themes are reviewed alongside other feedback

Evidence to check

• • Complaint outcome letters include external escalation options
• • Complaints policy explains external routes
• • Residents and relatives are not discouraged from escalating
• • Staff know CQC does not resolve individual complaints but can receive information about services

Evidence to check

• • Compliments log or feedback records
• • Positive feedback shared with staff where appropriate
• • Resident consent considered before sharing personal stories
• • Good practice themes are used in supervision, training or team meetings

Evidence to check

• • Supervision or performance records linked to feedback
• • Positive practice is recognised
• • Concerns are addressed through support, training, supervision or formal process where needed
• • Patterns involving individual staff are reviewed fairly and promptly

Evidence to check

• • Resident meetings, surveys or one-to-one feedback records
• • Feedback includes whether residents feel safe to complain
• • Residents with dementia or communication needs are included using appropriate methods
• • Concerns about fear of speaking up are acted on

Evidence to check

• • Whistleblowing policy and external reporting routes
• • Staff can explain how to raise concerns outside line management
• • Whistleblowing concerns are recorded and investigated
• • Staff are protected from retaliation or negative treatment

Evidence to check

• • Family survey, meeting or feedback records
• • Themes are analysed and discussed by management
• • Actions are taken in response to family feedback
• • Families are told what changed where appropriate

Evidence to check

• • Supervision and team meeting records
• • Complaint themes are discussed without breaching confidentiality
• • Staff are clear about expected practice changes
• • Follow-up checks confirm staff understand and apply learning

Evidence to check

• • Induction and refresher training records
• • Staff know how to receive and record verbal complaints
• • Training includes empathy, duty of candour, safeguarding escalation and confidentiality
• • Staff understand they must not dismiss or discourage complaints

Evidence to check

• • Complaints audit records
• • Audit checks timeliness, investigation quality, responses, actions and learning
• • Audit includes resident or relative experience where possible
• • Actions from complaint audits are tracked through governance

Evidence to check

• • Follow-up with resident or representative after complaint closure
• • Resident feedback confirms they still feel safe and respected
• • Staff conduct is monitored where complaint involved attitude or behaviour
• • Any concern about retaliation is escalated immediately

Evidence to check

• • Records of complaints involving external agencies or contractors
• • The home supports the resident or relative to escalate appropriately
• • Actions are tracked where external organisations need to respond
• • Resident safety and wellbeing are monitored while the issue is unresolved

Evidence to check

• • Audit reviews resident voice and complainant experience
• • Audit samples investigation quality and evidence used
• • Responses are checked for empathy, clarity and openness
• • Learning and improvement are checked for real impact