Housing Ombudsman Complaint Handling Code: self assessment

The Housing Ombudsman's Complaint Handling Code sets out good practice that will allow landlords, such as Uttlesford District Council, to respond to complaints effectively and fairly.

We must carry out an annual assessment against the code and make any changes required ensure our complaint handling remains in line with its requirements. We must then publish the result.
 

Compliance with the Complaint Handling Code assessment 2023

1 Definition of a complaint

Mandatory 'must' requirements

Code section 1.2

A complaint must be defined as: "an expression of dissatisfaction, however made, about the standard of service, actions or lack of action by the organisation, its own staff, or those acting on its behalf, affecting an individual resident or group of residents".

Compliance: Yes

Evidence, commentary and any explanations:  The Complaints, compliments and feedback on housing services process and reporting form are available on the council's website.

Code section 1.3

The resident does not have to use the word 'complaint' for it to be treated as such. A complaint that is submitted via a third party or representative must still be handled in line with the landlord's complaints policy.

Compliance: Yes

Evidence, commentary and any explanations: All third-party complaints are accepted

Code section 1.6

If further enquiries are needed to resolve the matter, or if the resident requests it, the issue must be logged as a complaint.

Compliance: Yes

Evidence, commentary and any explanations: All complaints are logged onto the system and allocated a reference number at acknowledgement stage.

Code section 1.7

A landlord must accept a complaint unless there is a valid reason not to do so.

Compliance: Yes

Evidence, commentary and any explanations: We will treat any matter as a complaint if it falls within the definition of 1.2. unless the complaint is considered to be:

• a request for service
• request for information
• a report of ASB and attempt to reopen a complaint that has previously been concluded
• or, abusive, persistent or vexatious

Code section 1.8

A complaints policy must clearly set out the circumstances in which a matter will not be considered, and these circumstances should be fair and reasonable to residents.

Compliance: Yes

Evidence, commentary and any explanations: The Complaints, compliments and feedback on housing services process and reporting form are available on the council's website.

Code section 1.9

If a landlord decides not to accept a complaint, a detailed explanation must be provided to the resident setting out the reasons why the matter is not suitable for the complaints process and the right to take that decision to the Ombudsman.

Compliance: Yes

Evidence, commentary and any explanations: Template letter - non complaint letter.

Best practice 'should' requirements

Code section 1.4

Landlords should recognise the difference between a service request, where a resident may be unhappy with a situation that they wish to have rectified, and a complaint about the service they have/have not received.

Compliance: Yes

Evidence, commentary and any explanations: When it is obviously a request for service and not a complaint it is forwarded to the correct department for action.

Code section 1.5

Survey feedback may not necessarily need to be treated as a complaint, though, where possible, the person completing the survey should be made aware of how they can pursue their dissatisfaction as a complaint if they wish to.

Compliance: Partial

Evidence, commentary and any explanations: TSM's will include reference to escalate to a complaint. Uttlesford Norse Services Limited (UNSL) are investigating the possibility of adding the question to their survey to allow escalation to a formal complaint.

2 Accessibility and awareness

Mandatory 'must' requirements

Code section 2.1

Landlords must make it easy for residents to complain by providing different channels through which residents
can make a complaint such as in person, over the telephone, in writing, by email and digitally. While the Ombudsman recognises that it may not be feasible for a landlord to use all of the potential channels, there must be more than one route of access into the complaints system.

Compliance: Yes

Evidence, commentary and any explanations:  More information on how to complain has been added to Housing News, the complaints now feature on the front page of the website. Complaints are taken and actively encouraged at regular sheltered housing residents' meetings. There is a dedicated email box for complaints.

Code section 2.3

Landlords must make their complaint policy available in a clear and accessible format for all residents. This will detail the number of stages involved, what will happen at each stage and the timeframes for responding.

Compliance: Yes

Evidence, commentary and any explanations: Website, Housing News, leaflet in sign up packs.

Code section 2.4

Landlord websites, if they exist, must include information on how to raise a complaint. The complaints policy and process must be easy to find on the website.

Compliance: Yes

Evidence, commentary and any explanations: The corporate complaints policy and complaints, compliments and feedback on housing services process are available on the website.

Code section 2.5

Landlords must comply with the Equality Act 2010 and may need to adapt normal policies, procedures, or processes to accommodate an individual's needs. Landlords must satisfy themselves that their policy sets out how they will respond to reasonable adjustments requests in line with the Equality Act and that complaints handlers have had appropriate training to deal with such requests.

Compliance: Yes

Evidence, commentary and any explanations: Uttlesford District Council believes that no person should be treated unfairly and is committed to eliminate all forms of discrimination. We do this by complying with our Equality Policy (PDF) [1MB] which sets out the council's aims and objectives for treating everyone equally.

Code section 2.6

Landlords must publicise the complaints policy and process, the Complaint Handling Code and the Housing Ombudsman Scheme in leaflets, posters, newsletters, online and as part of regular correspondence with
residents.

Compliance: Yes

Evidence, commentary and any explanations: Housing News, website and leaflet in sign up packs.

Code section 2.7

Landlords must provide residents with contact information for the Ombudsman as part of its regular correspondence with residents.

Compliance: Yes

Evidence, commentary and any explanations: Housing News, website and leaflet in sign up packs.

Code section 2.8

Landlords must provide early advice to residents regarding their right to access the Housing Ombudsman Service throughout their complaint, not only when the landlord's complaints process is exhausted.

Compliance: Yes

Evidence, commentary and any explanations: In acknowledgement, stage 1 & stage 2 letter.

Best practice 'should' requirements

Code section 2.2

Where a landlord has set up channels to communicate with its residents via social media, then it should expect to receive complaints via those channels. Policies should contain details of the steps that will be taken when a complaint is received via social media and how confidentiality and privacy will be maintained

Compliance: -

Evidence, commentary and any explanations: Residents are signposted via social media to information on how to complain, compliment or feedback on housing services on the website where they can see the various ways in which a complaint can be submitted.

3 Complaint handling personnel

Mandatory 'must' requirements

Code section 3.1

Landlords must have a person or team assigned to take responsibility for complaint handling to ensure complaints receive the necessary attention, and that these are reported to the governing body. This Code will refer to that person or team as the "complaints officer".

Compliance: Yes

Evidence, commentary and any explanations: 

Specific officers as part of their role oversee complaints. We are a small authority who cannot justify the need for having a dedicated complaints officer/team.

Code section 3.2

...the complaint handler appointed must have appropriate complaint handling skills and no conflicts of interest.

Compliance: Yes

Evidence, commentary and any explanations: Officers who know the complaint or persons being complained about should make known any conflict of interest.

Best practice 'should' requirements

Code section 3.3

Complaint handlers should:

• be able to act sensitively and fairly
• be trained to handle complaints and deal with distressed and upset residents
• have access to staff at all levels to facilitate quick resolution of complaints
• have the authority and autonomy to act to resolve disputes quickly and fairly

Compliance: Yes

Evidence, commentary and any explanations: All staff are trained and have carried out the online ombudsman training.

4 Complaint handling principles

Mandatory 'must' requirements

Code section 4.1

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.

Compliance: Yes

Evidence, commentary and any explanations: See complaints log where we identify which stage the complaint is at and whether it has been escalated to stage 2 and the date that the acknowledgement has been sent.

Code section 4.2

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.

Compliance: Yes

Evidence, commentary and any explanations: We have a template acknowledgement letter setting out our agreement with the complainant

Code section 4.6

A complaint investigation must be conducted in an impartial manner.

Compliance: Yes

Evidence, commentary and any explanations: We will respond to all complaints in an impartial manner. Where a complaint is about another member of staff or their conduct it will be investigated by a different officer to ensure impartiality. We will train our staff how to respond and will carry out an audit of our responses periodically.

Code section 4.7

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

Compliance: Yes

Evidence, commentary and any explanations: We ensure all staff who respond to complaints will complete ombudsman's online training.

Code section 4.11

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

Compliance: Yes

Evidence, commentary and any explanations: In responding to complaints if the complaint cannot be resolved prior to the response we will agree timeframe for actions and any follow up or review.

Code section 4.12

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

Compliance: Yes

Evidence, commentary and any explanations: This forms part of the investigation.

Code section 4.13

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

Compliance: Yes

Evidence, commentary and any explanations: Included in the policy.and template letters.

Code section 4.14

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.

Compliance: Yes

Evidence, commentary and any explanations: See the Abusive, persistent or vexatious complaints policy.

Code section 4.15

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.

Compliance: Yes

Evidence, commentary and any explanations: Recorded on the house file.

Code section 4.18

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

Compliance: Yes

Evidence, commentary and any explanations: See the Abusive, persistent or vexatious complaints policy.

Best practice 'should' requirements

Code section 4.3

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

Compliance: Yes

Evidence, commentary and any explanations: Complaints handlers are comfortable feeding back to residents when the request is unreasonable or unrealistic.

Code section 4.4

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.

Compliance: Yes

Evidence, commentary and any explanations: It is the responsibility of the officer dealing with the complaint to assess if it can be resolved quickly or urgent actions are required.

Code section 4.5

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.

Compliance: Yes

Evidence, commentary and any explanations: We will accept a complaint on someone else's behalf however we may not be able to provide a full response if it means divulging sensitive or personal information.

Code section 4.8

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.

Compliance: -

Evidence, commentary and any explanations: The obligations contained within the tenancy agreement will be referred to as necessary with advice from the Legal team where appropriate.

Code section 4.9

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

Compliance: Yes

Evidence, commentary and any explanations: Only as appropriate.

Code section 4.10

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

Compliance: Yes

Evidence, commentary and any explanations: Formal request for extension of time agreed where necessary.

Code section 4.16

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.

Compliance: Yes

Evidence, commentary and any explanations: Complaints workshops, surveys and online consultation carried out with complainants from previous year and processes adjusted where beneficial suggestions have been received.

Code section 4.17

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.

Compliance: Yes

Evidence, commentary and any explanations: Complaints received and learning outcomes discussed in team meetings.

Code section 4.19

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.

Compliance: Yes

Evidence, commentary and any explanations: 

5 Complaint stages

Mandatory 'must' requirements

Stage 1

Code section 5.1

Landlords must respond to the complaint within 10 working days of the complaint being logged. 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.

Compliance: Yes

Evidence, commentary and any explanations: As set out in the Compliments, suggestions and complaints policy and recorded on the complaints log.

Code section 5.5

A complaint response must be sent to the resident when the answer to the complaint is known, not when the outstanding actions required to address the issue, are completed.

Outstanding actions must still be tracked and actioned expeditiously with regular updates provided to the resident.

Compliance: Yes

Evidence, commentary and any explanations: Outstanding actions are recorded on the complaints log and are monitored.

Code section 5.6

Landlords must address all points raised in the complaint and provide clear reasons for any decisions, referencing the relevant policy, law and good practice where appropriate.

Compliance: Yes

Evidence, commentary and any explanations: This is covered in training and the lead officer on complaints will ensure this happens in practice.

Code section 5.8

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

• the complaint stage
• 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
• details of how to escalate the matter to stage two if the resident is not satisfied with the answer

Compliance: Yes

Evidence, commentary and any explanations: Template letters are used and cover all the bullet points.

Stage 2

Code section 5.9

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.

Compliance: Yes

Evidence, commentary and any explanations: Not refused to date - would follow if necessary.

Code section 5.10

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.

Compliance: Yes

Evidence, commentary and any explanations: As set out in the Compliments, suggestions and complaints policy and in the template letter.

Code section 5.11

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

Compliance: Yes

Evidence, commentary and any explanations: As set out in the Compliments, suggestions and complaints policy.

Code section 5.12

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

Compliance: Yes

Evidence, commentary and any explanations: As set out in the Compliments, suggestions and complaints policy.

Code section 5.13

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.

Compliance: Yes

Evidence, commentary and any explanations: As set out in the Compliments, suggestions and complaints policy - 10 working days, recorded on the complaints log.

Code section 5.16

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

Compliance: Yes

Evidence, commentary and any explanations: Template letters are used and cover all the bullet points. No stage 3

Stage 3

Code section 5.17

Two stage landlord complaint procedures are ideal. This ensures that the complaint process is not unduly long. If landlords strongly believe a third stage is necessary, they must set out their reasons for this as part of their self-assessment. A process with more than three stages is not acceptable under any circumstances.

Compliance: Yes

Evidence, commentary and any explanations: Two stage process as set out in the Compliments, suggestions and complaints policy

Code section 5.20

Landlords must confirm the following in writing to the resident at the completion of stage three 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
• details of how to escalate the matter to the Housing Ombudsman Service if the resident remains dissatisfied

Compliance: N/A

Evidence, commentary and any explanations: -

Best practice 'should' requirements

Stage 1

Code section 5.2

If an extension beyond 20 working days is required to enable the landlord to respond to the complaint fully, this should be agreed by both parties.

Compliance: Yes

Evidence, commentary and any explanations: -

Code section 5.3

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.

Compliance: Yes

Evidence, commentary and any explanations: -

Code section 5.4

Where the problem is a recurring issue, the landlord should consider any older reports as part of the background to the complaint if this will help to resolve the issue for the resident.

Compliance: Yes

Evidence, commentary and any explanations: -

Code section 5.7

Where residents raise additional complaints during the investigation, these should be incorporated into the stage one response if they are relevant and the stage one response has not been issued. Where the stage one response has been issued, or it would unreasonably delay the response, the complaint should be logged as a new complaint.

Compliance: Yes

Evidence, commentary and any explanations: -

Code section 5.14

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

Compliance: Yes

Evidence, commentary and any explanations: -

Code section 5.15

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.

Compliance: Yes

Evidence, commentary and any explanations: -

Stage 3

Code section 5.18

Complaints should only go to a third stage if the resident has actively requested a third stage review of their complaint. Where a third stage is in place and has been requested, landlords must respond to the stage three complaint within 20 working daysof the complaint being escalated. Additional time will only be justified if related to convening a panel. An explanation and a date for when the stage three response will be received should be provided to the resident.

Compliance: N/A

Evidence, commentary and any explanations: -

Code section 5.19

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.

Compliance: N/A

Evidence, commentary and any explanations: -

6 Putting things right

Mandatory 'must' requirements

Code section 6.1

Effective dispute resolution requires a process designed to resolve complaints. Where something has gone wrong a landlord must acknowledge this and set out the actions it has already taken, or intends to take, to put things right.

Compliance: Yes

Evidence, commentary and any explanations: -

Code section 6.2

Any remedy offered must reflect the extent of any service failures and the level of detriment caused to the resident as a result. A landlord must carefully manage the expectations of residents and not promise anything that cannot be delivered or would cause unfairness to other residents.

Compliance: Yes

Evidence, commentary and any explanations: -

Code section 6.5

The remedy offer must clearly set out what will happen and by when, in agreement with the resident where appropriate. Any remedy proposed must be followed through to completion.

Compliance: Yes

Evidence, commentary and any explanations: -

Code section 6.6

In awarding compensation, a landlord must consider whether any statutory payments are due, if any quantifiable losses have been incurred, the time and trouble a resident has been put to as well as any distress and inconvenience caused.

Compliance: Yes

Evidence, commentary and any explanations: In line with the Housing Ombudsman Compensation Policy.

Best practice 'should' requirements

Code section 6.3

Landlords should look beyond the circumstances of the individual complaint and consider whether anything needs to be 'put right' in terms of process or systems to the benefit of all residents.

Compliance: Yes

Evidence, commentary and any explanations: Learning outcomes discussed at team meetings.

Code section 6.7

In some cases, a resident may have a legal entitlement to redress. The landlord should still offer a resolution where possible, obtaining legal advice as to how any offer of resolution should be worded.

Compliance: Yes

Evidence, commentary and any explanations: Discuss with the legal service.

7 Continuous learning and improvement

Mandatory 'must' requirements

Code section 7.2

Accountability and transparency are integral to a positive complaint handling culture. Landlords must report back on wider learning and improvements from complaints in their annual report and more frequently to their residents, staff and scrutiny panels.

Compliance: Yes

Evidence, commentary and any explanations:  Learning outcomes put in annual report and all complaints go to council members.

Best practice 'should' requirements

Code section 7.3

A member of the governing body should be appointed to have lead responsibility for complaints to support a positive complaint handling culture. This role will be responsible for ensuring the governing body receives regular information on complaints that provides insight to the governing body on the landlord's complaint handling performance.

Compliance: Partial

Evidence, commentary and any explanations: Governance Audit Performance Committee - oversee all complaints to the council including housing. Now to come under the Audit and Standards Committee.

Code section 7.4

As a minimum, governing bodies should receive:

• regular updates on the volume, categories and outcome of complaints, alongside complaint handling performance including compliance with the Ombudsman's orders
• regular reviews of issues and trends arising from complaint handling,
• the annual performance report produced by the Ombudsman, where applicable
• individual complaint outcomes where necessary, including where the Ombudsman made findings of severe maladministration or referrals to regulatory bodies. The implementation of management responses should be tracked to ensure they are delivered to agreed timescales. The annual self-assessment against the Housing Ombudsman's Complaint Handling Code for scrutiny and challenge.

Compliance: Partial

Evidence, commentary and any explanations: Under review - to which member committees/working groups this will be reported to.

Code section 7.5

Any themes or trends should be assessed by senior management to identify potential systemic issues, serious risks or policies and procedures that require revision. They should also be used to inform staff and contractor training.

Compliance: Yes

Evidence, commentary and any explanations: Discussed at Corporate Management Team (CMT).

Code section 7.6

Landlords should have a standard objective in relation to complaint handling for all employees that reflects the need to:

• have a collaborative and co-operative approach towards resolving complaints, working with colleagues across teams and departments
• take collective responsibility for any shortfalls identified through complaints rather than blaming others
• act within the Professional Standards for engaging with complaints as set by the Chartered Institute of Housing

Compliance: Yes

Evidence, commentary and any explanations: See the Compliments, suggestions and complaints policy.

8 Self-assessment and compliance

Mandatory 'must' requirements

Code section 8.1

Landlords must carry out an annual self-assessment against the Code to ensure their complaint handling remains in line with its requirements.

Compliance: Yes

Evidence, commentary and any explanations: -

Code section 8.2

Landlords must also carry out a self-assessment following a significant restructure and/or change in procedures.

Compliance: Yes

Evidence, commentary and any explanations: When necessary.

Code section 8.3

Following each self-assessment, a landlord must:

• report the outcome of their self-assessment to their governing body. In the case of local authorities, self- assessment outcomes should be reported to elected members
• publish the outcome of their assessment on their website if they have one, or otherwise make accessible to residents
• include the self-assessment in their annual report section on complaints handling performance

Compliance: Yes

Evidence, commentary and any explanations: Website, reported to Housing Board and in the annual report to tenants.

Published on website: 20 October 2023