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 landlord, its own staff, or those acting on its behalf, affecting a resident or group of residents.’

Yes

Complaints Policy and Procedure

1.3

A resident does not have to use the word ‘complaint’ for it to be treated as such. Whenever a resident expresses dissatisfaction landlords must give them the choice to make complaint. A complaint that is submitted via a third party or representative must be handled in line with the landlord’s complaints policy.

Yes

Complaints Policy and Procedure

The Council will work to the requirements of the code.  The policy also makes reference to the difference in a service request and a complaint.

1.4

Landlords must recognise the difference between a service request and a complaint. This must be set out in their complaints policy. A service request is a request from a resident to the landlord requiring action to be taken to put something right. Service requests are not complaints, but must be recorded, monitored and reviewed regularly.

Yes

Complaints Policy and Procedure

Service requests are handled by the service, and recorded on the system for monitoring and review. 

The Council will work to the requirements of the code.  The policy also makes reference to the difference in a service request and a complaint.

The Council has a process in place whereby service requests are logged and allocated to the relevant officer.  Cases remain open on the system until information is received that the relative actions are complete. The housing team runs reports for service requests and the Customer Experience Team keep these under review for any follow-ups to take place as necessary.

1.5

A complaint must be raised when the resident expresses dissatisfaction with the response to their service request, even if the handling of the service request remains ongoing. Landlords must not stop their efforts to address the service request if the resident complains.

Yes

Complaints Policy and Procedure

The Council will work to the requirements of the code.  The policy also makes reference to the difference in a service request and a complaint.

1.6

An expression of dissatisfaction with services made through a survey is not defined as a complaint, though wherever possible, the person completing the survey should be made aware of how they can pursue a complaint if they wish to. Where landlords ask for wider feedback about their services, they also must provide details of how residents can complain.

Yes

The Council’s communications team along with the tenant engagement services team now include an appropriate paragraph on all their customer surveys.

This is pointed out in the Council’s Consultation Policy.  Appropriate sign-posting is included at the foot of every survey.

2.1

Landlords must accept a complaint unless there is a valid reason not to do so. If landlords decide not to accept a complaint they must be able to evidence their reasoning. Each complaint must be considered on its own merits

Yes

This is the Council’s approach in line with the Complaints Policy

2.2

A complaints policy must set out the circumstances in which a matter will not be considered as a complaint or escalated, and these circumstances must be fair and reasonable to residents. Acceptable exclusions include:

· The issue giving rise to the complaint occurred over twelve months ago.

· Legal proceedings have started. This is defined as details of the claim, such as the Claim Form and Particulars of Claim, having been filed at court.

· Matters that have previously been considered under the complaints policy.

Yes

Complaints Policy and Procedure

2.3

Landlords must accept complaints referred to them within 12 months of the issue occurring or the resident becoming aware of the issue, unless they are excluded on other grounds. Landlords must consider whether to apply discretion to accept complaints made outside this time limit where there are good reasons to do so.

Yes

Complaints Policy and Procedure

2.4

If a landlord decides not to accept a complaint, an 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. If the Ombudsman does not agree that the exclusion has been fairly applied, the Ombudsman may tell the landlord to take on the complaint.

Yes

The Council operates fairly and reasonably, in line with the Complaints Policy and Procedure, and makes allowances where appropriate to do so

2.5

Landlords must not take a blanket approach to excluding complaints; they must consider the individual circumstances of each complaint.

Yes

The Council operates fairly and reasonably, in line with the Complaints Policy and Procedure, and makes allowances where appropriate to do so

3.1

Landlords must make it easy for residents to complain by providing different channels through which they can make a complaint. Landlords must consider their duties under the Equality Act 2010 and anticipate the needs and reasonable adjustments of residents who may need to access the complaints process.

Yes

The Council operates fairly and reasonably, in line with the Complaints Policy and Procedure, and makes allowances where appropriate to do so

3.2

Residents must be able to raise their complaints in any way and with any member of staff. All staff must be aware of the complaints process and be able to pass details of the complaint to the appropriate person within the landlord.

Yes

All staff have been made aware of this through staff communications and briefings, newsletters and staff intranet, plus the Chief Executive VLOG. 

3.3

High volumes of complaints must not be seen as a negative, as they can be indicative of a well-publicised and accessible complaints process.  Low complaint volumes are potentially a sign that residents are unable to complain.

Yes

All staff have been made aware of this through staff communications and briefings, newsletters and staff intranet, plus the Chief Executive VLOG.

3.4

Landlords must make their complaint policy available in a clear and accessible format for all residents. This will detail the two stage process, what will happen at each stage, and the timeframes for responding. The policy must also be published on the landlord’s website.

Yes

Complaints Policy and Procedure has been produced in an accessible format, and checked by the Council’s Equality lead and policy officer, and added to the web-site

https://www.bassetlaw.gov.uk/about-us/customer-services/make-a-complaint/

3.5

The policy must explain how the landlord will publicise details of the complaints policy, including information about the Ombudsman and this Code.

Yes

This is included in the Complaints Policy.  Publicity will be via Website, Tenant newsletters, social media, posters, surveys, and presented in tenant meetings.

3.6

Landlords must 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.

Yes

Complaints Policy and Procedure

3.7

Landlords must provide residents with information on their right to access the Ombudsman service and how the individual can engage with the Ombudsman about their complaint.

Yes

Complaints Policy and Procedure, and within the various stages of response throughout the complaint.

4.1

Landlords must have a person or team assigned to take responsibility for complaint handling, including liaison with the Ombudsman and ensuring complaints are reported to the governing body (or equivalent). This Code will refer to that person or team as the ‘complaints officer’. This role may be in addition to other duties.

Yes

The Council has Housing Service ‘Customer Experience’ Officers as well as Customer Service Advisors that handle complaints and service requests/ issues. 

Stage 2 complaints are led by the Chief Executive’s Office as well as Ombudsman liaison.

4.2

The complaints officer must have access to staff at all levels to facilitate the prompt resolution of complaints. They must also have the authority and autonomy to act to resolve disputes promptly and fairly.

Yes

4.3

Landlords are expected to prioritise complaint handling and a culture of learning from complaints. All relevant staff must be suitably trained in the importance of complaint handling. It is important that complaints are seen as a core service and must be resourced to handle complaints effectively

Yes

Training has and continues to take place and will remain an ongoing discussion as part of staff training and appraisals where appropriate. 

5.1

Landlords must have a single policy in place for dealing with complaints covered by this Code. Residents must not be treated differently if they complain. 

Yes

Complaints Policy and Procedure

5.2

The early and local resolution of issues between landlords and residents is key to effective complaint handling. It is not appropriate to have extra named stages (such as ‘stage 0’ or ‘informal complaint’) as this causes unnecessary confusion. 

Yes

Complaints Policy and Procedure

5.3

A process with more than two stages is not acceptable under any circumstances as this will make the complaint process unduly long and delay access to the Ombudsman.

Yes

Complaints Policy and Procedure

5.4

Where a landlord’s complaint response is handled by a third party (e.g. a contractor or independent adjudicator) at any stage, it must form part of the two stage complaints process set out in this Code. Residents must not be expected to go through two complaints processes.

Yes

Complaints Policy and Procedure

5.5

Landlords are responsible for ensuring that any third parties handle complaints in line with the Code.

Yes

Housing officers responsible for contracts have been asked to include the importance of the mandatory compliance with the code of the Council and anyone working on their behalf.

5.6

When a complaint is logged at Stage 1 or escalated to Stage 2, landlords must set out their understanding of the complaint and the outcomes the resident is seeking. The Code will refer to this as “the complaint definition”. If any aspect of the complaint is unclear, the resident must be asked for clarification. 

Yes

Templates are used to ensure the responses contain all the necessary requirements.

5.7

When a complaint is acknowledged at either stage, landlords must be clear which aspects of the complaint they are, and are not, responsible for and clarify any areas where this is not clear.

Yes

The Council does sign post tenants correctly and appropriately, for example any utilities companies, whereby the council has no jurisdiction.

5.8

At each stage of the complaints process, complaint handlers must:

a.   deal with complaints on their merits, act independently, and have an open mind;

b.   give the resident a fair chance to set out their position;

c.   take measures to address any actual or perceived conflict of interest; and

d.   consider all relevant information and evidence carefully.

Yes

The Council operates fairly and reasonably, in  line with the  Complaints Policy and Procedure, and makes allowances where appropriate to do so

5.9

Where a response to a complaint will fall outside the timescales set out in this Code, the landlord must agree with the resident suitable intervals for keeping them informed about their complaint.

Yes

Complaints Policy and Procedure

Templates have also been created where this may occur together with system generated reminders

5.10

Landlords must make reasonable adjustments for residents where appropriate under the Equality Act 2010. Landlords must keep a record of any reasonable adjustments agreed, as well as a record of any disabilities a resident has disclosed. Any agreed reasonable adjustments must be kept under active review.

Yes

Complaints Policy and Procedure

Housing Service to create, retain and monitor this data going forward

5.11

Landlords must not refuse to escalate a complaint through all stages of the complaints procedure unless it has valid reasons to do so. Landlords must clearly set out these reasons, and they must comply with the provisions set out in section 2 of this Code. 

Yes

The Council operates fairly and reasonably, in line with the Complaints Policy and Procedure, and makes allowances where appropriate to do so.

5.12

A full record must be kept of the complaint, 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 relevant supporting documentation such as reports or surveys.

Yes

The Council operates an ‘ESB’ on-line complaint system which has capacity to hold documents and notes to follow the history of the complaint as appropriate.

5.13

Landlords must have processes in place to ensure a complaint can be remedied at any stage of its complaints process. Landlords must ensure appropriate remedies can be provided at any stage of the complaints process without the need for escalation.

Yes

The Council aims to resolve matters swiftly where possible and appropriate to do so and act proportionally and fairly.

5.14

Landlords must have policies and procedures in place for managing unacceptable behaviour from residents and/or their representatives. Landlords must be able to evidence reasons for putting any restrictions in place and must keep restrictions under regular review.

Yes

Complaints Policy and Procedure

5.15

Any restrictions placed on contact due to unacceptable behaviour must be proportionate and demonstrate regard for the provisions of the Equality Act 2010. 

Yes

Complaints Policy and Procedure.

The Council operates fairly and reasonably, in line with the Complaints Policy and Procedure, and makes allowances where appropriate to do so.

6.1

Landlords must have processes in place to consider which complaints can be responded to as early as possible, and which require further investigation. Landlords must consider factors such as the complexity of the complaint and whether the resident is vulnerable or at risk. Most stage 1 complaints can be resolved promptly, and an explanation, apology or resolution provided to the resident. 

Yes

Going forward the housing service will seek information about any vulnerabilities within the household when acknowledging the complaint within the household and act accordingly. 

When Housing Customer Experience Officers contact the tenants on receipt of a complaint they ask if there are any vulnerabilities in relation to the complaint, it is also included in the acknowledgement letter

Recent

Examples include Advance warning of repairs that will be noisy for a tenant with ADHD. Providing a response in a native language and identified that a responded would need to be read and explained to the complainant

6.2

Complaints must be acknowledged, defined and logged at stage 1 of the complaints procedure within five working days of the complaint being received. 

Yes

Complaints Policy and Procedure

6.3

Landlords must issue a full response to stage 1 complaints within 10 working days of the complaint being acknowledged.

Yes

Complaints Policy and Procedure

6.4

Landlords must decide whether an extension to this timescale is needed when considering the complexity of the complaint and then inform the resident of the expected timescale for response. Any extension must be no more than 10 working days without good reason, and the reason(s) must be clearly explained to the resident.

Yes

Complaints Policy and Procedure

Templates have also been created where this may occur and system generated reminders

6.5

When an organisation informs a resident about an extension to these timescales, they must be provided with the contact details of the Ombudsman. 

Yes

Templates have been created where this may occur.

6.6

A complaint response must be provided 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 promptly with appropriate updates provided to the resident.  

Yes

Formal complaints at stage 1 and 2 are not closed until such time that the actions required to resolve and remedy the complaint have been completed to the tenants satisfaction

6.7

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

Yes

Template responses are routinely kept under review and checked they remain fit for purpose with the tenant complaint improvement and monitoring panel

6.8

Where residents raise additional complaints during the investigation, these must be incorporated into the stage 1 response if they are related and the stage 1 response has not been issued. Where the stage 1 response has been issued, the new issues are unrelated to the issues already being investigated or it would unreasonably delay the response, the new issues must be logged as a new complaint. 

Yes

We include any additional matters as ‘supplementary information’ where appropriate for completeness in the stage 1 responses.  Any new matters raised after the complaint is closed will be given a new complaint reference number.

6.9

Landlords must confirm the following in writing to the resident at the completion of stage 1 in clear, plain language:

a. the complaint stage; 

b. the complaint definition;

c. the decision on the complaint;

d. the reasons for any decisions made; 

e. the details of any remedy offered to put things right; 

f. details of any outstanding actions; and 

g. details of how to escalate the matter to stage 2 if the individual is not satisfied with the response. 

Yes

These items are included in the templates that we use that have been created to ensure we comply, and are as a result of  appropriate training.

6.10

If all or part of the complaint is not resolved to the resident’s satisfaction at stage 1, it must be progressed to stage 2 of the landlord’s procedure. Stage 2 is the landlord’s final response.

Yes

Complaints Policy and Procedure

6.11

Requests for stage 2 must be acknowledged, defined and logged at stage 2 of the complaints procedure within five working days of the escalation request being received. 

Yes

Complaints Policy and Procedure

6.12

Residents must not be required to explain their reasons for requesting a stage 2 consideration. Landlords are expected to make reasonable efforts to understand why a resident remains unhappy as part of its stage 2 response.

Yes

The ‘state reasons’ paragraph has been removed from the stage 1 responses template to comply with this.

6.13

The person considering the complaint at stage 2 must not be the same person that considered the complaint at stage 1.

Yes

Ordinarily depending on the nature of the complaint, the service (unit) manager will respond at stage 1. The stage 2 review of the complaint is led by the Chief Executive’s Office in conjunction with senior officers, ie the Head of Service or Service Director (as appropriate).

6.14

Landlords must issue a final response to the stage 2 within 20 working days of the complaint being acknowledged.

Yes

Complaints Policy and Procedure

6.15

Landlords must decide whether an extension to this timescale is needed when considering the complexity of the complaint and then inform the resident of the expected timescale for response. Any extension must be no more than 20 working days without good reason, and the reason(s) must be clearly explained to the resident.

Yes

Complaints Policy and Procedure

6.16

When an organisation informs a resident about an extension to these timescales, they must be provided with the contact details of the Ombudsman.

Yes

Complaints Policy and Procedure and within appropriate correspondence.

6.17

A complaint response must be provided 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 promptly with appropriate updates provided to the resident.

Yes

Officers will remain in contact with the resident as appropriate as part of the resolution/remedy to the complaint.

The complaint is not satisfactorily concluded or closed until such time any associated actions are satisfactorily carried out.

6.18

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

Yes

Template

6.19

Landlords must confirm the following in writing to the resident at the completion of stage 2 in clear, plain language:

a. the complaint stage;

b. the complaint definition;

c. the decision on the complaint;

d. the reasons for any decisions made;

e. the details of any remedy offered to put things right;

f. details of any outstanding actions; and

g. details of how to escalate the matter to the Ombudsman Service if the individual remains dissatisfied.

Yes

Stage 2 complaint letters.

6.20

Stage 2 is the landlord’s final response and must involve all suitable staff members needed to issue such a response.

Yes

The Council’s Chief Executive approves and signs off all stage 2 complaints and the review is caried out with appropriate senior officers.

7.1

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. These can include: 

Apologising; 

Acknowledging where things have gone wrong;

Providing an explanation, assistance or reasons;

· Taking action if there has been delay;

· Reconsidering or changing a decision;

· Amending a record or adding a correction or addendum;

· Providing a financial remedy;

· Changing policies, procedures or practices.

Yes

Response templates.  Consideration of service improvements and learning.

7.2

Any remedy offered must reflect the impact on the resident as a result of any fault identified. 

Yes

We are fair and reasonable in our analysis and assessment of impact on the resident and seek to remedy the complaint accordingly.

7.3

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.

Yes

Complaints are not closed until such time all actions and remedy are completed satisfactorily.

7.4

Landlords must take account of the guidance issued by the Ombudsman when deciding on appropriate remedies. 

Yes

The Council has always followed good practice and guidance of the Ombudsman.

8.1

Landlords must produce an annual complaints performance and service improvement report for scrutiny and challenge, which must include:

a. the annual self-assessment against this Code to ensure their complaint handling policy remains in line with its requirements.

b. a qualitative and quantitative analysis of the landlord’s complaint handling performance. This must also include a summary of the types of complaints the landlord has refused to accept; 

c. any findings of non-compliance with this Code by the Ombudsman;

d. the service improvements made as a result of the learning from complaints;

e. any annual report about the landlord’s performance from the Ombudsman; and

f. any other relevant reports or publications produced by the Ombudsman in relation to the work of the landlord.

Yes

The Chief Executive’s office produces a Formal Complaint Annual Report with the previous year statistics and complaint data (including Ombudsman) which is considered at the Council’s Overview & Scrutiny Committee each September, and if approved, is published on the Council’s web-site. The report is also included in the Committee papers on the open data web-site.

The Council will strengthen the report to comply with all the additional elements as required in this section.

The Housing Service also provides a separate Annual Report of the details of the tenants (wider) customer experience.

8.2

The annual complaints performance and service improvement report must be reported to the landlord’s governing body (or equivalent) and published on the section of its website relating to complaints. The governing body’s response to the report must be published alongside this.

Yes

See above

8.3

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

Yes

8.4

Landlords may be asked to review and update the self-assessment following an Ombudsman investigation.

Yes

The Council will ensure the self-assessment is up-to-date to take account of progress with compliance with the code and in conjunction with Ombudsman guidance.

8.5

If a landlord is unable to comply with the Code due to exceptional circumstances, such as a cyber incident, they must inform the Ombudsman, provide information to residents who may be affected, and publish this on their website Landlords must provide a timescale for returning to compliance with the Code.

Yes

9.1

Landlords must look beyond the circumstances of the individual complaint and consider whether service improvements can be made as a result of any learning from the complaint. 

Yes

Service improvements are included in the system complaint data collated for each complaint.   In addition, these are reported at year end as a further prompt. Officers have been reminded of the importance of identifying learning and improvements as a result of complaints made.

9.2

A positive complaint handling culture is integral to the effectiveness with which landlords resolve disputes. Landlords must use complaints as a source of intelligence to identify issues and introduce positive changes in service delivery. 

Yes

Service improvements are included in the system complaint data. Officers have been reminded of the importance of identifying leaning and improvements as a result of complaints made.

The positive complaints culture is included in the complaints policy objective for staff and was cited in a recent Chief Executive VLOG and staff newsletter.

The message will be re-enforced through continued training and development that complaint numbers should not be feared but viewed positively to aid learning and improvement.

9.3

Accountability and transparency are also integral to a positive complaint handling culture. Landlords must report back on wider learning and improvements from complaints to stakeholders, such as residents’ panels, staff and relevant committees. 

Yes

Learning and service improvements will be reported through these mechanisms going forward.

9.4

Landlords must appoint a suitably senior lead person as accountable for their complaint handling. This person must assess any themes or trends to identify potential systemic issues, serious risks, or policies and procedures that require revision. 

Yes

The Head of Housing

9.5

In addition to this a member of the governing body (or equivalent) must be appointed to have lead responsibility for complaints to support a positive complaint handling culture. This person is referred to as the Member Responsible for Complaints (‘the MRC’).

Yes

Cllr responsible for the Housing portfolio  (Cabinet Member for Housing)

9.6

The MRC will be responsible for ensuring the governing body receives regular information on complaints that provides insight on the landlord’s complaint handling performance. This person must have access to suitable information and staff to perform this role and report on their findings.

Yes

The Member will receive quarterly reports as a minimum and have access to information as and when required/necessary including routine meetings with the Head of Housing and as Chair of the complaint-monitoring panel.

9.7

As a minimum, the MRC and the governing body (or equivalent) must receive:

a. regular updates on the volume, categories and outcomes of complaints, alongside complaint handling performance;

b. regular reviews of issues and trends arising from complaint handling;

c. regular updates on the outcomes of the Ombudsman’s investigations and progress made in complying with orders related to severe maladministration findings; and

d. annual complaints performance and service improvement report.

Yes

See above.

9.8

Landlords must have a standard objective in relation to complaint handling for all relevant employees or third parties that reflects the need to:

a. have a collaborative and co-operative approach towards resolving complaints, working with colleagues across teams and departments;

b. take collective responsibility for any shortfalls identified through complaints, rather than blaming others; and

c. act within the professional standards for engaging with complaints as set by any relevant professional body.

Yes

The standard objective is included in the complaints policy which has been rolled out across the Council in staff newsletters, briefings, intranet and Chief Executive VLOG