Housing Ombudsman Complaint Handling Code - self assessment

Mandatory ‘must’ requirements

Code section 4.1

Code requirement

Any decision to try and resolve a concern must be taken in agreement with the resident and a landlord’s audit trail/records should be able to demonstrate this. Landlords must ensure that efforts to resolve a resident’s concerns do not obstruct access to the complaints procedure or result in any unreasonable delay. It is not appropriate to have extra named stages (such as ‘stage 0’ or ‘pre-complaint stage’) as this causes unnecessary confusion for residents. When a complaint is made, it must be acknowledged and logged at stage one of the complaints procedure within five days of receipt.

Comply

Yes

Evidence, commentary and any explanations

We do not have a 0 stage in our process.

All complaints are aimed to be acknowledged within 2 days of receipt of the complaint following corporate guidelines.

Code section 4.2

Code requirement

Within the complaint acknowledgement, landlords must set out their understanding of the complaint and the outcomes the resident is seeking. If any aspect of the complaint is unclear, the resident must be asked for clarification and the full definition agreed between both parties.

Comply

Yes.

Evidence, commentary and any explanations

The complaint handler investigates and then sets out their understanding of the complaint and the outcome of their investigation/outcome the resident is seeking.

This approach is taken in both Stage 1 and Stage 2.

Code section 4.6

Code requirement

A complaint investigation must be conducted in an impartial manner.

Comply

Yes.

Evidence, commentary and any explanations

This is standard complaint handler practice.

Code section 4.7

Code requirement

The complaint handler must:

• deal with complaints on their merits
• act independently and have an open mind
• take measures to address any actual or perceived conflict of interest
• consider all information and evidence carefully
• keep the complaint confidential as far as possible, with information only disclosed if necessary to properly investigate the matter.

Comply

Yes.

Evidence, commentary and any explanations

This is standard complaint handler practice.

Code section 4.11

Code requirement

Landlords must adhere to any reasonable arrangements agreed with residents in terms of frequency and method of communication.

Comply

Yes.

Evidence, commentary and any explanations

Where it is not possible to meet timescales due to complexity or where information is not being available - an extension of time is agreed with the complainant as well as a date that they can expect a full response.

Code section 4.12

Code requirement

The resident, and if applicable any staff member who is the subject of the complaint, must also be given a fair chance to:

• set out their position
• comment on any adverse findings before a final decision is made.

Comply

Yes.

Evidence, commentary and any explanations

As part of the complaint investigation, the complaint handler is expected to communicate with the resident or/and staff member allowing their position to be set out and for any adverse findings to be communicated.

Code section 4.13

Code requirement

A landlord must include in its complaints policy its timescales for a resident to request escalation of a complaint.

Comply

Yes.

Evidence, commentary and any explanations

The Housing service complaints policy sets out the timescales.

Code section 4.14

Code requirement

A landlord must not unreasonably refuse to escalate a complaint through all stages of the complaints procedure and must have clear and valid reasons for taking that course of action. Reasons for declining to escalate a complaint must be clearly set out in a landlord’s complaints policy and must be the same as the reasons for not accepting a complaint.

Comply

Yes.

Evidence, commentary and any explanations

Section 6.1 of the Housing service complaints policy sets out details of the circumstances where a complaint will not be escalated through all the complaint stages.

To determine whether to escalate the complaint to Stage 2 the group manager will review the response sent at Stage 1 alongside the details of the request to escalate.

An escalation request may be refused, and a complaint closed at Stage 1 if the response at Stage 1 cannot be changed because it reflects statute, legislator obligations or it complies with the council’s published policies and procedures. Under these circumstances the group manager will write to the complainant to advise them that the:

• complaint is being closed at Stage 1
• reason/s why the complaint is not being escalated.

Code section 4.15

Code requirement

A full record must be kept of the complaint, any review and the outcomes at each stage. This must include the original complaint and the date received, all correspondence with the resident, correspondence with other parties and any reports or surveys prepared.

Comply

Yes.

Evidence, commentary and any explanations

Records are kept centrally on the customer complaints management system (Intelex).

Code section 4.18

Code requirement

Landlords must have policies and procedures in place for managing unacceptable behaviour from residents and/or their representatives when pursuing a complaint.

Comply

Yes.

Evidence, commentary and any explanations

There is a Management of unreasonable customer behaviour policy.

Best practice ‘should’ requirements

Code section 4.3

Code requirement

Landlords should manage residents’ expectations from the outset, being clear where a desired outcome is unreasonable or unrealistic.

Comply

Yes.

Evidence, commentary and any explanations

This is communicated during investigation of the complaint.

Code section 4.4

Code requirement

A complaint should be resolved at the earliest possible opportunity, having assessed what evidence is needed to fully consider the issues, what outcome would resolve the matter for the resident and whether there are any urgent actions required.

Comply

Yes.

Evidence, commentary and any explanations

This is standard procedure during the investigation process

Code section 4.5

Code requirement

Landlords should give residents the opportunity to have a representative deal with their complaint on their behalf, and to be represented or accompanied at any meeting with the landlord where this is reasonable.

Comply

No.

Evidence, commentary and any explanations

There is no explicit clause other than in section 3.6 of the Housing service complaints policy, referring to a complainant who has died and next of kin.

Code section 4.8

Code requirement

Where a key issue of a complaint relates to the parties’ legal obligations landlords should clearly set out their understanding of the obligations of both parties.

Comply

Yes.

Evidence, commentary and any explanations

In the event of such an issue arising the complaint handler would set out to the complainant their understanding of the obligations to both parties.

Code section 4.9

Code requirement

Communication with the resident should not generally identify individual members of staff or contractors.

Comply

Yes.

Evidence, commentary and any explanations

Individual members of staff are not identified. Likewise, we do not identity contractors, however, in general, residents can easily identify them.

Code section 4.10

Code requirement

Landlords should keep residents regularly updated about the progress of the investigation.

Comply

Yes.

Evidence, commentary and any explanations

Every effort is made to keep residents updated throughout the process.

Code section 4.16

Code requirement

Landlords should seek feedback from residents in relation to the landlord’s complaint handling as part of the drive to encourage a positive complaint and learning culture.

Comply

Yes.

Evidence, commentary and any explanations

The Housing service complaints policy states it will work closely with the resident board complaints panel to ensure that learning from complaints is achieved particularly where stage 2 complaints are regularly being recorded on a specific topic.

Code section 4.17

Code requirement

Landlords should recognise the impact that being complained about can have on future service delivery. Landlords should ensure that staff are supported and engaged in the complaints process, including the learning that can be gained.

Comply

Yes.

Evidence, commentary and any explanations

There is an expectation that managers will review complaints annually to look into improvements where dissatisfaction is recorded regularly.

Code section 4.19

Code requirement

Any restrictions placed on a resident’s contact due to unacceptable behaviour should be appropriate to their needs and should demonstrate regard for the provisions of the Equality Act 2010.

Comply

Yes.

Evidence, commentary and any explanations

Our Management of unreasonable customer behaviour page gives further details on valid reasons for not accepting a complaint involving unreasonable behaviour.