Complaints handling code, self-assessment 2022-23

  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.

Yes

Section 3.2 of the Customer Feedback policy

  1.7

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

Yes

Section 2 of the Customer Feedback policy

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.

Yes

Section 2 of the Customer Feedback policy

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.

Yes

Section 2 of the Customer Feedback policy

Code section

Code requirement

Comply: Yes/No

Evidence, commentary and any explanations

1.4

Landlords should recognise the difference between a

Yes

Section 2 of the Customer Feedback policy

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.

1.5

Survey feedback may not necessarily need to be

Yes

IFF include a note about how to make a complaint in the interviewer script if a customer asks about this at all.

The new suggested TSM questions (from next year onwards) will ask whether customers are aware of how to make a complaint. 

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.

Code section

Code requirement

Comply: Yes/No

Evidence, commentary and any explanations

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.

Yes

Section 2 of the Customer Feedback policy

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.

Yes

Section 3.2 of the Customer Feedback policy

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.

Yes

Complaints (b3living.org.uk)

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.

Yes

EIA completed on 19.08.22, processes in place for reasonable adjustments.

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.

Yes

Comply

2.7

Landlords must provide residents with contact

information for the Ombudsman as part of its regular correspondence with residents.

Yes

Housing Ombudsman contact information is included in newsletters and customer magazines aswell as on all complaint letters.

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.

Yes

Section 3.2.11 & 3.3.5 of the Customer Feedback policy

Code section

Code requirement

Comply:

Yes/No

Evidence, commentary and any explanations

2.2

Where a landlord has set up channels to communicate

Yes

Section 2 of the Customer Feedback policy.

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.

Code section

Code requirement

Comply: Yes/No

Evidence, commentary and any explanations

3.3

Complaint handlers should:

Yes

Training offered to all complaint handlers (September 2022 and this will be delivered ongoing). 

·                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.

Code section

Code requirement

Comply: Yes/No

Evidence, commentary and any explanations

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.

Yes

Concerns are logged as contacts as per our housing system (QLx)

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.

Yes

Section 3.2.6 of the Customer Feedback policy

4.6

A complaint investigation must be conducted in an impartial manner.

Yes

Section 3.2.8 of the Customer Feedback policy

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.

Yes

Section 3 of the Customer Feedback policy

4.11

Landlords must adhere to any reasonable

arrangements agreed with residents in terms of frequency and method of communication

Yes

Section 3.2.9 of the Customer Feedback policy

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.

Yes

Section 3 & Section 3.2.8 of the Customer Feedback policy

4.13

A landlord must include in its complaints policy its

timescales for a resident to request escalation of a complaint

Yes

Section 3.3.1 of the Customer Feedback policy

4.14

A landlord must not unreasonably refuse to escalate a complaint through all stages of the complaints

Yes

Section 3.2.8 of the Customer Feedback policy

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.

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.

Yes

Under the revised QLx (housing management system) procedures and workflows this will be documented.

4.18

Landlords must have policies and procedures in place for managing unacceptable behaviour from residents

and/or their representatives when pursuing a complaint.

Yes

We state that in circumstances of unreasonable behaviour the Manager will decide on how best to manage contact with customers. We also refer to tenancy management policy(policies)

Code section

Code requirement

Comply: Yes/No

Evidence, commentary and any explanations

4.3

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

Section 3.3.2 of the Customer Feedback policy

4.4

A complaint should be resolved at the earliest possible

Yes

Section 2 of the Customer Feedback policy

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.

4.5

Landlords should give residents the opportunity to have

Yes

Section 2 of the Customer Feedback policy

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.

4.8

Where a key issue of a complaint relates to the parties’

Yes

Section 3.2.3 of the Customer Feedback policy

legal obligations landlords should clearly set out their

understanding of the obligations of both parties.

4.9

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

Yes

This is generally not done unless there is a complaint about a particular member of staff

4.10

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

Yes

Under the revised QLx (housing management system) procedures and workflows this will be documented.

4.16

Landlords should seek feedback from residents in

Yes

We carry out a complaints survey and publish the results and use the results for service improvements.

relation to the landlord’s complaint handling as part of

the drive to encourage a positive complaint and

learning culture.

4.17

Landlords should recognise the impact that being

Yes

Support through Manager briefing, staff briefing, complaint handlers training

Complaints are also reported to the Executive and Leadership teams.

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

4.19

Any restrictions placed on a resident’s contact due to

Yes

This has been added to the persistent complainant’s policy which will receive a fuller review in January 2023.

unacceptable behaviour should be appropriate to their

needs and should demonstrate regard for the

provisions of the Equality Act 2010.

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.

Yes

Section 3.2.8 of the Customer Feedback policy

Under the revised QLx (housing management system) procedures and workflows this will be documented.

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

Yes

Section 3.2.11 of the Customer Feedback policy

Code section

Code requirement

Comply:

Yes/No

Evidence, commentary and any explanations

5.9

If all or part of the complaint is not resolved to the resident’s

Yes

Section 3.2.8 of the Customer Feedback policy

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.

5.10

On receipt of the escalation request, landlords must set out their

Yes

Section 3.3.2 of the Customer Feedback policy

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.

5.11

Landlords must only escalate a complaint to stage two once it

Yes

Section 3.3.1 of the Customer Feedback policy

has completed stage one and at the request of the resident.

5.12

The person considering the complaint at stage two, must not be

Yes

Section 3.2.8 of the Customer Feedback policy

the same person that considered the complaint at stage one.

5.13

Landlords must respond to the stage two complaint within 20

Yes

Section 3.2.8 of the Customer Feedback policy

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.

5.16

Landlords must confirm the following in writing to the resident at

Yes

Section 3.2.11 of the Customer Feedback policy

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.

Code section

Code requirement

Comply: Yes/No

Evidence, commentary and any explanations

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.

Yes

B3Living have a two stage complaints process

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

N/A

N/A

Code section

Code requirement

Comply: Yes/No

Evidence, commentary and any explanations

5.14

If an extension beyond 10 working days is required to enable the

Yes

Section 3.2.8 of the Customer Feedback policy

landlord to respond to the complaint fully, this should be agreed

by both parties.

5.15

Where agreement over an extension period cannot be reached,

Yes

Section 3.2.8 of the Customer Feedback policy

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

Code section

Code requirement

Comply: Yes/No

Evidence, commentary and any explanations

5.18

Complaints should only go to a third stage if the resident has

N/A

A third stage is not in place.

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 days of

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.

5.19

Where agreement over an extension period cannot be reached,

N/A

A third stage is not in place.

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.

Code section

Code requirement

Comply:

Yes/No

Evidence, commentary and any explanations

6.3

Landlords should look beyond the circumstances of the

Yes

Incorporated into the revised QLx (housing management system) procedures and workflows this will be documented.

Covered in LT & Customer Experience meetings

individual complaint and consider whether anything needs to be

‘put right’ in terms of process or systems to the benefit of all

residents.

6.7

In some cases, a resident may have a legal entitlement to

Yes

Section 3.1.6 of the Customer Feedback policy.

redress. The landlord should still offer a resolution where

possible, obtaining legal advice as to how any offer of resolution

should be worded.

Code section

Code requirement

Comply:

Yes/No

Evidence, commentary and any explanations

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.

Yes

Included in Annual Report, newsletters, and customer correspondence.

Regular Customer Experience meetings

Annual review with LT

Code section

Code requirement

Comply:

Yes/No

Evidence, commentary and any explanations

7.3

A member of the governing body should be appointed to have

Yes

Jaine Cresser a B3Living board member is our Complaints Champion

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.

7.4

As a minimum, governing bodies should receive:

Yes

Went to board July 2022

·         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 Complaint Handling

Code for scrutiny and challenge.

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.

Yes

Themes and trends are covered in LT & Exec meetings & Customer Experience meetings

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.

Yes

Objective included.

Code section

Code requirement

Comply: Yes/No

Evidence, commentary and any explanations

8.1

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

requirements.

Yes

This is our 4^th self-assessment

8.2

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

Yes

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

Yes