Complaints handling procedure checklist

Source anchors

How to use this checklist

Use this checklist to audit whether the service can show an accessible, fair and learning-focused complaints process. It can be used quarterly, after a serious complaint, before a governance review, or before an inspection-readiness review.

Where the NHS and adult social care complaints regulations apply, complaints should normally be acknowledged within 3 working days. Response periods should be discussed or confirmed with the complainant. If the response is not sent within 6 months or an agreed longer period, the service must explain the delay and respond as soon as reasonably practicable after that period. Private complaints under Regulation 16 still need accessible handling, proper investigation, proportionate action and response without unreasonable delay.

For each row, record:

Met: evidence is current and complete.
Part met: evidence exists but has a gap or needs follow-up.
Not met: evidence is absent or the control is not working.
Not applicable: the service does not carry out this activity.

Every Part met or Not met item should create an action with an owner and due date.

The PDF is designed for printing, or for completing on screen with a PDF viewer's Fill & Sign, Markup or comment tools. Use those tools to tick boxes and type into the lines.

Service details

Field	Local entry
Service name
Location
Date completed
Completed by
Registered Manager
Complaints Lead
Period reviewed
Number of complaints sampled

1. Access and openness

Check	Evidence to review	Status	Action owner	Due date
People are told how to complain in ways they can understand.	Complaints leaflet, website, welcome pack, notice, easy-read or accessible version.
Complaints can be made verbally, in writing, electronically or through a representative where local procedure allows.	Procedure, staff guidance, complaint records.
Staff know how to record an oral complaint.	Staff interview, induction record, procedure.
People are reassured that complaining will not affect their care.	Complaint information, response templates, staff interview.
Advocacy, interpreter or communication support is offered where needed.	Complaint record, accessible-information record, support referral.
There is a route for complaints about senior leaders.	Procedure, governance record, independent route.

2. Logging and acknowledgement

Check	Evidence to review	Status	Action owner	Due date
Complaints are logged promptly with date received and source.	Complaint register, source record.
Representative complaints include consent or authority where needed.	Consent record, representative note.
Complaint records show funding or framework where this affects process.	Complaint record, contract or funding marker.
Acknowledgement is sent within the local policy timescale.	Acknowledgement copy, date sent, policy.
3 working day acknowledgement is tracked where the 2009 complaints regulations apply.	Timeliness report, complaint sample.
The expected response period is discussed or confirmed where required.	Acknowledgement letter, call note, complaint plan.

3. Risk triage and linked records

Check	Evidence to review	Status	Action owner	Due date
Immediate safety risk is checked before the routine investigation starts.	Triage note, risk decision.
Safeguarding concerns are opened or ruled out with reasoning.	Safeguarding record, decision note.
Incident records are linked where the complaint describes harm, near miss or unsafe process.	Linked incident, complaint record.
Duty of candour is considered where harm may meet the threshold.	Duty of candour decision, apology or explanation record.
Statutory notification need is considered where the facts may trigger CQC reporting.	Notification decision, source record.
Records, call logs, rota data or clinical notes are preserved where relevant.	Evidence list, export, file note.

4. Investigation and response quality

Check	Evidence to review	Status	Action owner	Due date
The investigation plan is proportionate to the complaint.	Investigation plan, complaint category.
The investigator is appropriate and not conflicted.	Assignment record, reviewer note.
Evidence is gathered from records, staff and relevant systems.	Investigation file, interview notes.
The complainant is updated if the response will take longer than expected.	Update record, correspondence.
The response answers each complaint point.	Response letter, complaint summary.
The response explains findings, conclusions and action taken or proposed.	Response letter, action log.
External escalation route is correct for the complaint type.	Response letter, escalation guidance.

5. Records and CQC readiness

Check	Evidence to review	Status	Action owner	Due date
Complaint records include acknowledgement, investigation, response and closure evidence.	Complaint file sample.
Reasons are recorded where no action is taken.	Closure note, investigation finding.
Personal information is shared only where lawful and necessary.	Redaction record, consent note, response letter.
The service can provide CQC with complaint summaries, responses and related correspondence within 28 days if requested.	Export test, complaints summary, records location.
Complaint records are retained in line with the local retention schedule.	Retention schedule, archive sample.

6. Learning and governance

Check	Evidence to review	Status	Action owner	Due date
Complaints are reviewed for themes, not only closed one by one.	Governance minutes, theme report.
Informal concerns and compliments are reviewed alongside formal complaints.	Feedback log, governance report.
Actions have owners, due dates and completion evidence.	Improvement actions, evidence.
Repeat themes are escalated to risk, audit, training, supervision or policy review.	Risk register, audit plan, training record.
The Registered Manager can describe what changed because of complaints.	Interview, change log, governance minute.
Staff involved in complaint handling receive role-appropriate training.	Training matrix, induction record.

7. Summary judgement

Question	Answer
Is the complaints system accessible to the people using this service?
Which complaint theme repeated in the last 12 months?
Which complaint led to a service change?
Which complaint is at risk of delay today?
What would a CQC inspector see if they asked for the complaint log today?

8. Action log

Action	Source check	Owner	Due date	Completion evidence

9. Completion

Sign-off	Name	Date
Completed by
Reviewed by Registered Manager

This checklist is a working tool. It does not replace live regulator guidance, the service's own complaints policy, commissioner requirements, legal advice or professional judgement.