Introduction
Assessment UK, a remote consultation clinic providing diagnostic assessments and treatments for ADHD, Autism, and psychological conditions, is committed to delivering high-quality, person-centred care. This Complaints Policy and Procedure ensures compliance with Regulation 16 of the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014, providing an effective and accessible system for identifying, receiving, handling, and responding to complaints from service users, their representatives, or other stakeholders. To meet Regulation 16, Assessment UK maintains a transparent, accessible, and effective complaints system, ensuring all concerns are addressed promptly and fairly, with necessary actions taken to improve services. We aim to investigate all complaints thoroughly, take proportionate action, and report to the Care Quality Commission (CQC) when required, fostering transparency and continuous improvement.
Purpose:
To provide a clear, accessible process for service users, families, carers, or stakeholders to raise concerns about our services, including assessments, treatments, or staff conduct.
To ensure complaints are investigated thoroughly, with proportionate actions taken to address failures and improve care quality.
To comply with CQC requirements for reporting complaint summaries within 28 days when requested.
Scope:
Applies to complaints from service users (children aged 6-17, adults, or their representatives), families, carers, or stakeholders regarding any aspect of our regulated activities (e.g., ADHD/Autism assessments, psychological treatments). Covers complaints about care quality, patient safety, staff behaviour, accessibility, or data handling.
Equalities Statement
Assessment UK aims to handle all complaints fairly and honestly regardless of who makes a complaint. We will treat all complainants equally and will not show bias to any individual or group irrespective of their age, disability, gender reassignment, marriage or civil partnership, pregnancy or maternity, race, religion or belief, sex, sexual orientation or socio-economic status.
Process for Identifying, Receiving, and Recording Complaints
How to Make a Complaint:
Complaints can be submitted verbally, in writing, or via secure telehealth platforms to ensure accessibility for all service users, including those with neurodevelopmental conditions.
Contact Details:
Registered Manager (Complaints Lead): Tracy Spires
Email: Registered.manager@assessmentuk.com
Phone: 01277 286008
Address: 2nd Floor Kingsgate House, 1 King Edward Road, Brentwood, Essex CM14 4HG
Complaints can also be submitted anonymously via an online form on our website www.assessmentuk.com or through accessible formats (e.g., easy-read, translated materials).
Accessibility:
Information about the complaints process is provided in accessible formats, complying with the Accessible Information Standard (e.g., large print, audio, or simplified language for neurodivergent clients).
Support is offered for those requiring assistance (e.g., advocates, interpreters) to ensure equitable access, in line with the Equality Act 2010.
Recording Complaints:
All complaints are logged in a secure, encrypted complaints register on our platform, detailing the complainant’s details (if not anonymous), nature of the complaint, date received, and actions taken.
Records comply with UK GDPR and the Data Protection Act 2018, with access restricted to authorised staff.
Handling and Investigating Complaints
Initial Acknowledgment:
Complaints are acknowledged within 3 working days, confirming receipt and outlining the investigation process.
Complainants are informed of expected timelines (typically 28 days for resolution) and available support (e.g., advocacy services).
Investigation Process:
The Registered Manager (Tracy Spires) oversees investigations, ensuring impartiality. If the complaint involves the Registered Manager, it is escalated to Athona Limited’s senior management for independent review.
Investigations involve:
Reviewing relevant records (e.g., care plans, assessment reports).
Consulting staff involved (e.g., Psychiatrists, Psychologists, Therapists).
Engaging with the complainant to clarify details, with consent where required.
Involving external agencies e.g. the relevant regional safeguarding team can be found using the NHS Safeguarding Guide website and searching the local region where the incident occurred or is occurring https://safeguarding-guide.nhs.uk/contacts/ or for immediate danger, call the police (999) for safeguarding concerns, as per our Safeguarding Policy.
For complaints involving children or vulnerable adults, investigations align with local safeguarding protocols and CQC notification requirements.
Resolution and Action:
Findings are documented, and proportionate actions are taken to address failures (e.g., staff retraining, process improvements, or apologies).
Complainants receive a written response within 28 days, detailing the investigation outcome, actions taken, and further steps (e.g., escalation options).
If resolution is not possible within 28 days, complainants are updated on progress and given a revised timeline.
Continuous Improvement:
Lessons learned from complaints are shared via staff training and clinical governance meetings to prevent recurrence.
Quarterly audits review complaint trends and outcomes, informing service enhancements.
Reporting to CQC
CQC Notification:
When requested by the CQC, a summary of complaints, responses, and related correspondence is provided within 28 days, as per Regulation 16(3).
Summaries include:
- Details of complaints received.
- Responses provided to complainants.
- Any further correspondence or actions taken.
- Reports are submitted via the CQC Provider Portal, with records maintained for audits.
Safeguarding-Related Complaints:
Complaints involving serious harm, abuse, or significant service failures are reported to the CQC within 14 days, as per Regulation 18, in alignment with our Safeguarding Policy.
Complaints Involving Consent
Consent Considerations:
For complaints involving service users, consent is sought before proceeding with investigations, unless doing so risks harm (e.g., safeguarding issues).
For those lacking capacity, best interest decisions are made per the Mental Capacity Act 2005, involving Lasting Powers of Attorney (LPAs), deputies, or Independent Mental Capacity Advocates (IMCAs).
Consent processes are documented, with service users informed of their rights in accessible formats.
Escalation and External Support
Internal Escalation:
If complainants are dissatisfied with the resolution, they can request a review by Athona Limited’s senior management, who will conduct an independent reassessment within 28 days.
External Escalation:
Complainants can contact the CQC for regulatory concerns:
Address: Citygate, Gallowgate, Newcastle upon Tyne, NE1 4PA
Phone: 03000 616161
Website: www.cqc.org.uk
For safeguarding-related complaints:
The relevant regional safeguarding team can be found using the NHS Safeguarding Guide website and searching the local region where the incident occurred or is occurring https://safeguarding-guide.nhs.uk/contacts/ or for immediate danger, the police (999).
Independent Support:
Complainants are informed of their right to access advocacy services or independent complaints handling bodies (e.g., Healthwatch) for support.
Legal Requirements
Regulation 16: Receiving and Acting on Complaints:
Our complaints system ensures accessibility, thorough investigation, and proportionate action, with CQC reporting compliance within 28 days when requested.
Accessible Information Standard:
Complaints processes and materials are provided in accessible formats (e.g., easy-read, audio) to meet the needs of service users, particularly those with ADHD or Autism.
Equality Act 2010:
The complaints process is non-discriminatory, with reasonable adjustments (e.g., flexible communication methods) for individuals with protected characteristics.
UK GDPR and Data Protection Act 2018:
Complaint-related data is processed with explicit consent (where applicable), stored securely on encrypted systems, and shared only with authorised parties (e.g., CQC, safeguarding agencies).
Complainants are informed of their data rights (e.g., access, rectification), with processes outlined in accessible formats.
Compensation Act 2006
By offering a solution Assessment UK does not necessarily accept that it has acted inappropriately. Section two of the Compensation Act 2006 makes it clear that an apology in itself does not amount to an admission of negligence or breach of statutory duty. For further information on the Deterrent effect of potential liability and or Mesothelioma damages please refer to the Compensation Act 2006.
Implementation and Monitoring
Staff Training: All staff (Administration Staff, Psychiatrists, Psychologists, Occupational Therapists, Speech and Language Therapists, Behavioural Therapists) receive annual training on the complaints process, including handling, documentation, and CQC reporting.
Audits: Quarterly audits review complaint handling, resolution times, and outcomes, with findings reported to the Registered Manager to drive improvements.
Feedback: Complainants are invited to provide feedback on the complaints process via surveys, used to enhance accessibility and effectiveness.
Review: This policy is reviewed annually or when legislative changes occur.
Contact Information
For complaints or general questions please contact:
Complaints Lead: Tracy Spires, Registered Manager
Email: Registered.manager@assessmentuk.com
Phone: 01277 286008
Address: 2nd Floor Kingsgate House, 1 King Edward Road, Brentwood, Essex CM14 4HG
For regulatory matters, contact the Care Quality Commission:
Address: Citygate, Gallowgate, Newcastle upon Tyne, NE1 4PA
Phone: 03000 616161
Website: www.cqc.org.uk
For safeguarding-related complaints, contact:
The relevant regional safeguarding team can be found using the NHS Safeguarding Guide website and searching the local region where the incident occurred or is occurring https://safeguarding-guide.nhs.uk/contacts/ or for immediate danger, the police (999).
Complaints Policy and Procedures – Public External Use – AUK-BP-06 v1.2 14-08-2026