Housing Ombudsman Complaint Handling Code - self assessment

Mandatory ‘must’ requirements

Code section 5.9

Code requirement

If all or part of the complaint is not resolved to the resident’s satisfaction at stage one it must be progressed to stage two of the landlord’s procedure, unless an exclusion ground now applies. In instances where a landlord declines to escalate a complaint it must clearly communicate in writing its reasons for not escalating as well as the resident’s right to approach the Ombudsman about its decision.

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.

Code section 5.10

Code requirement

On receipt of the escalation request, landlords must set out their understanding of issues outstanding 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 response to an escalation request and subsequent review will take into account all aspects of the complaint which may require further investigation and dialogue with the complainant. 

Code section 5.11

Code requirement

Landlords must only escalate a complaint to stage two once it has completed stage one and at the request of the resident.

Comply

Yes.

Evidence, commentary and any explanations

This is made clear in the letter addressing the complaint at Stage 1.

Code section 5.12

Code requirement

The person considering the complaint at stage two, must not be the same person that considered the complaint at stage one.

Comply

Yes.

Evidence, commentary and any explanations

The Housing service complaints policy is clear that different roles have difference responsibilities.

Code section 5.13

Code requirement

Landlords must respond to the stage two complaint within 20 working days of the complaint being escalated. Exceptionally, landlords may provide an explanation to the resident containing a clear timeframe for when the response will be received. This should not exceed a further 10 days without good reason.

Comply

Yes.

Evidence, commentary and any explanations

The Housing service complaints policy allows 20 working days.

Code section 5.16

Code requirement

Landlords must confirm the following in writing to the resident at the completion of stage two in clear, plain language:

• the complaint stage
• the complaint definition
• the decision on the complaint
• the reasons for any decisions made
• the details of any remedy offered to put things right
• details of any outstanding actions

and:

• if the landlord has a third stage, details of how to escalate
• the matter to stage three
• if this was the final stage, details of how to escalate the matter to the Housing Ombudsman Service if the resident remains dissatisfied.

Comply

Yes.

Evidence, commentary and any explanations

This is standard practice in dealing with Stage 1 and Stage 2 responses.

There is no stage 3 process, this is done as standard practice at the conclusion of stage 2.

Best practice ‘should’ requirements

Code section 5.14

Code requirement

If an extension beyond 10 working days is required to enable the landlord to respond to the complaint fully, this should be agreed by both parties.

Comply

Yes.

Evidence, commentary and any explanations

We seek to agree extensions beyond 10 working days.

Code section 5.15

Code requirement

Where agreement over an extension period cannot be reached, landlords should provide the Housing Ombudsman’s contact details so the resident can challenge the landlord’s plan for responding and/or the proposed timeliness of a landlord’s response.

Comply

Yes.

Evidence, commentary and any explanations

If there is no agreement the complaint handler provides the housing ombudsman details.