Investigation Tracker
A thorough, well-documented investigation is essential for resolving complaints fairly and meeting CQC Regulation 16. This page outlines the investigation process, timelines, and CQC requirements, with a tracking template for your care home.
CQC Regulation 16: Receiving and Acting on Complaints
Regulation 16 of the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014 requires care providers to:
- Establish and operate an effective system for receiving, recording, and responding to complaints
- Ensure complaints are investigated and responded to within a reasonable time
- Provide a written response to the complainant that includes an explanation of how the complaint has been dealt with and any action taken
- Take action to put right what went wrong and prevent similar complaints in future
- Inform complainants of their right to escalate to the Local Government and Social Care Ombudsman if they are not satisfied
Investigation Process
The following phases outline how a complaint should be investigated. Each phase has clear steps and an indicative timeline. Following this process ensures a fair, thorough investigation that meets CQC requirements.
Acknowledgment
Within 3 working days of receipt- Acknowledge receipt of complaint within 3 working days (CQC Regulation 16 requirement)
- Provide the complainant with a reference number and named contact
- Explain the complaints process and expected timeline
- Confirm how the complainant wishes to be communicated with
Investigation
Within 10–20 working days- Assign an appropriate investigator (not directly involved in the complaint)
- Gather evidence — interview staff, review records, view CCTV if relevant
- Interview the complainant and any witnesses
- Review relevant policies, care plans, and documentation
- Consider whether other residents may be affected
- Assess whether a safeguarding referral is needed
- Keep the complainant updated on progress at agreed intervals
Response
Within 20 working days of receipt (or agreed extension)- Prepare a written response detailing findings and actions taken
- Address each point raised by the complainant
- Apologise where the complaint is upheld (duty of candour — Reg 20)
- Outline specific actions to prevent recurrence
- Provide details of the Local Government and Social Care Ombudsman if the complainant remains dissatisfied
- Arrange a meeting with the complainant if they wish
Follow-Up and Learning
Ongoing — actions within agreed timescales- Implement the actions committed to in the response
- Share learning with all staff — team meeting, supervision
- Update policies or procedures if needed
- Record the complaint and outcome in the complaints log
- Reflect in the next quality audit or compliance review
- Check in with the complainant to ensure satisfaction with the resolution
- Report to CQC if the complaint relates to a notifiable event
Response Timeline Guidance
CQC Regulation 16 requires complaints to be investigated and responded to within a “reasonable time”. While the regulation does not define this precisely, best practice and guidance suggest the following timelines:
| Stage | Recommended Timescale | Notes |
|---|---|---|
| Acknowledgment | Within 3 working days of receipt | CQC Regulation 16 requirement. Provide reference number and named contact. |
| Investigation | Within 10–20 working days | Complex complaints may take longer. Keep the complainant informed of progress. |
| Written Response | Within 20 working days of receipt | Or within an agreed extended timescale. Address every point raised. |
| Action Plan & Learning | Ongoing — actions within agreed timescales | Implement actions committed to. Share learning with all staff. |
| Escalation to Ombudsman | After internal process exhausted | The complainant has the right to refer to the LGSCO if dissatisfied. |
Tip: If the investigation will take longer than 20 working days, contact the complainant to explain the delay and agree a new timescale. Document this communication in the complaint file. Failure to keep complainants informed is one of the most common findings at CQC inspection.
Investigation Tracker
Use this template to track the progress of each complaint through the investigation process. One form per complaint.
Complaint Reference
Investigation Progress
| Phase | Key Actions Completed | Date Completed | Completed By | Notes / Issues |
|---|---|---|---|---|
| Acknowledgment | ||||
| Investigation | ||||
| Response | ||||
| Follow-Up |
Outcome & Learning
Duty of Candour (Regulation 20)
When a complaint involves a notifiable safety incident, the Duty of Candour (CQC Regulation 20) requires the provider to tell the relevant person (or their representative) that a notifiable safety incident has occurred, provide reasonable support, and give an apology. This applies in addition to the complaints process and should be considered as part of the investigation.
When Duty of Candour Applies
- An incident has occurred that resulted in or could result in death, severe harm, moderate harm, or prolonged psychological suffering
- The provider must notify the person as soon as reasonably practicable
- The notification must include an apology, details of the incident, and what actions will be taken
Official Resources
⚠️ Important Notice
The investigation guidance on Care Handbook is for informational purposes only and does not constitute legal advice. Your care home must comply with CQC Regulation 16 and have its own complaints procedure. If a complaint identifies a safeguarding concern or a notifiable incident, you must follow safeguarding procedures and notify CQC as required. Seek legal advice if you are unsure about your regulatory obligations.