Audit template
Complaints Audit
Checks acknowledgement and response times, outcomes and the improvements that followed. This template runs monthly in MyCareCompliance and carries 8 mapped checks across 5 CQC quality statements.
Last reviewed: September 2026. This guidance reflects CQC information available at the date above — always refer to cqc.org.uk for current regulatory requirements.
What the audit covers
Every question in the Complaints Audit is mapped to a CQC quality statement and the underlying regulation, so a failed check tells you exactly which part of the single assessment framework is at risk. This is one of the core templates we recommend for every provider.
- Runs monthly — core template
- Part of the Safety & governance audit category
- Maps to 4 regulations: Regulation 17 — Good governance, Regulation 13 — Safeguarding service users from abuse and improper treatment, Regulation 16 — Receiving and acting on complaints, Regulation 20 — Duty of candour
- Failed checks become tracked improvement actions with an owner, due date and evidence
The 8 checks
Learning culture
Safe — 1 check- Regulation 17 — Good governanceComplaints Audit
Is there clear evidence that learning from complaints is implemented and shared with the wider staff team to prevent recurrence?
What we look for: Look for the 'so what?' following a complaint. Sample 2 upheld complaints and trace the resulting action plan. Good practice involves discussing anonymised lessons at team meetings. Fail if complaints are closed with no tangible service improvement.
Evidence: Team meeting minutes, memos, updated risk assessments, revised policies, action plans
Safeguarding
Safe — 1 check- Regulation 13 — Safeguarding service users from abuse and improper treatmentComplaints Audit
Are complaints appropriately triaged to ensure safeguarding concerns or disciplinary matters are not improperly managed solely as complaints?
What we look for: Scan the complaints log for allegations of abuse, neglect, or missed medication. Ensure these were escalated to the local safeguarding authority rather than just handled internally as a complaint. Fail if safeguarding thresholds were met but not acted upon.
Evidence: Triage records, Safeguarding referrals, HR files, Complaints log cross-reference
Listening to and involving people
Responsive — 3 checks- Regulation 16 — Receiving and acting on complaintsComplaints Audit
Are all complaints (both formal and verbal) logged centrally and acknowledged within the timeframe specified in the provider's policy?
What we look for: Review the central complaints log for the last month. Check that every entry has a recorded date of receipt and an acknowledgement sent within the policy timeframe (usually 2-3 days). Fail if verbal grumbles are not being captured as informal complaints.
Evidence: Central complaints log, Acknowledgement letters/emails, Policy document
- Regulation 16 — Receiving and acting on complaintsComplaints Audit
Are complaints investigated thoroughly, objectively, and do investigations include interviews/statements from all relevant parties?
What we look for: Deep dive into 2 closed complaints. Verify that the investigator gathered robust evidence (e.g., timesheets, care notes) rather than just taking one person's word. Fail if investigations are superficial or conducted by someone directly involved in the complaint.
Evidence: Investigation reports, staff statements, call logs, interview notes
- Regulation 16 — Receiving and acting on complaintsComplaints Audit
Can frontline staff confidently explain how they would support a person to make a complaint and handle a verbal grievance raised during a visit?
What we look for: Interview 3 care workers. Ask them what they would do if a client expressed dissatisfaction with their care. Staff must know to log it, report it to the office, and not take it personally. Fail if staff say they would just tell the client to ring the office themselves.
Evidence: Staff interviews, spot check records, supervision notes, induction workbooks
Providing information
Responsive — 1 check- Regulation 16 — Receiving and acting on complaintsComplaints Audit
Is the complaints procedure accessible, provided in suitable formats, and given to all clients at the start of their service?
What we look for: Sample 3 recent client admission files to check they received the complaints procedure. Good practice includes accessible formats (e.g., large print, easy read) tailored to client communication needs. Fail if the policy is outdated or only available by request.
Evidence: Service User Guide, Complaints Policy, Easy Read versions, Care plan introductory pack receipts
Governance, management and sustainability
Well-led — 2 checks- Regulation 20 — Duty of candourComplaints Audit
Are complainants provided with a clear written outcome, an apology where appropriate, and information on how to escalate if dissatisfied?
What we look for: Check outcome letters for clarity, empathy, and a clear explanation of findings. Ensure an apology is given when things go wrong (meeting Duty of Candour thresholds if applicable). Fail if escalation details (e.g., LGSCO, funding authority) are missing from the final response.
Evidence: Outcome letters, Duty of Candour records, Local Government and Social Care Ombudsman (LGSCO) leaflets
- Regulation 17 — Good governanceComplaints Audit
Does management conduct monthly trend analysis on complaints to identify systemic issues or recurring themes (e.g., late calls, a specific staff member)?
What we look for: Review the manager's monthly governance report. They should be categorising complaints by type and location/staff to spot trends. Fail if the complaints log is just a list with no overarching analysis or if obvious trends are ignored.
Evidence: Monthly quality reports, governance dashboards, audit matrices
See it running for your service
Book a free demonstration and we will run the Complaints Audit against scenarios from a service like yours, or start your 7-day trial and try it yourself.
See it with your own service
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