Housing Ombudsman Complaint Handling Code: Self-assessment form

Compliance with the Complaint Handling Code

1	Definition of a complaint
	Does the complaints process use the following definition of a complaint? An expression of dissatisfaction, however, is 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.	Yes
	Does the policy have exclusions where a complaint will not be considered?	Yes
	Are these exclusions reasonable and fair to residents? The evidence relied upon – although some contacts will not be dealt with as a complaint they will be addressed via alternative channels. For E.g. reports of ongoing ASB will be passed to the relevant NO and they will work with the Police if necessary.	Yes
2	Accessibility
	Are multiple accessibility routes available for residents to make a complaint?	Yes
	Is the complaints policy and procedure available online? An updated version will be made accessible and available to all residents online by the end Dec 2020.	No
	Do we have a reasonable adjustment policy? Although we comply with the Equality Act 2010 and adapt policy and process to accommodate individual needs, we are also introducing a Reasonable Adjustments Policy – to be completed by the end Dec 2020	No
	Do we regularly advise residents about our complaints process? Going forward we will include details of our policy and process within our quarterly customer newsletters. We will also provide all new tenants with a copy of the policy upon sign-up.	No
3	Complaints team and process
	Is there a complaint officer or equivalent in the post?	Yes
	Does the complaint officer have the autonomy to resolve complaints?	Yes
	Does the complaint officer have the authority to compel engagement from other departments to resolve disputes?	Yes
	If there is a third stage to the complaints procedure are residents involved in the decision-making? Our current process has a 3rd stage, but this doesn’t involve residents. We are looking to remove the 3rd stage as per the new guidelines and 2nd stage will involve a panel of residents.	Yes/No
	Is any third stage optional for residents? As above	Yes
	Does the final stage response set out residents’ right to refer the matter to the Housing Ombudsman Service?	Yes
	Do we keep a record of complaint correspondence including correspondence from the resident?	Yes
	At what stage are most complaints resolved?	Initial – 1st Stage
4	Communication
	Are residents kept informed and updated during the complaints process? All initial, Stage 1 complaints are acknowledged within 48 hours and a full response is then sent within 10 working days	Yes
	Are residents informed of the landlord’s position and given a chance to respond and challenge any area of the dispute before the final decision?	Yes
	Are all complaints acknowledged and logged within five days?	Yes
	Are residents advised on how to escalate at the end of each stage?	Yes
	What proportion of complaints are resolved at stage one?	87%
	What proportion of complaints are resolved at stage two?	100%
	What proportion of complaint responses are sent within Code timescales? • Stage one Stage one (with extension) • Stage two Stage two (with extension)	100% N/A 100% N/A
	Where timescales have been extended did we have a good reason? We have not had any extensions for this year to date but where necessary we will send a holding letter advising the customer of reasons for more time needed to provide a full response	Yes
	Where timescales have been extended did we keep the resident informed? As above	Yes
	What proportion of complaints do we resolve to residents’ satisfaction? We are working on improving satisfaction in this area by increasing colleague training in the Complaints process and adjustments to our Policy	35%
5	Cooperation with Housing Ombudsman Service
	Were all requests for evidence responded to within 15 days? We have not received any requests for this year to date	N/A
	Where the timescale was extended did we keep the Ombudsman informed?	N/A
6	Fairness in complaint handling
	Are residents able to complain via a representative throughout?	Yes
	If advice was given, was this accurate and easy to understand?	Yes
	How many cases did we refuse to escalate? Even where a complaint has not been upheld, we will always consider a further review What was the reason for the refusal?	0 N/A
	Did we explain our decision to the resident?	Yes
7	Outcomes and remedies
	Where something has gone wrong are we taking appropriate steps to put things right?	Yes
8	Continuous learning and improvement
	What improvements have we made as a result of learning from complaints? Planned works contractors now working with HiS as one team and dealing with issues at the first point Communications via CFM & Comms Lead to ensure the consistent and customer-friendly approach Amendment to Policy so that Service Leads now respond to complaints and take ownership of issues Customer feedback now included as a weekly LT agenda item
	How do we share these lessons with: a) residents? To be part of Involved Customer groups; via quarterly newsletters as case studies; annual reports b) the board/governing body? Quarterly report c) In the Annual Report? Full review completed on an annual basis
	Has the Code made a difference in how we respond to complaints?	Yes
	What changes have we made? Removal of Stage 3 and re-introduction of a panel including residents at Stage 2 Introduction of Reasonable Adjustments policy 4 Updates to Customer Complaint & Feedback policy to include the Ombudsman’s definition of a complaint, and ensure we are compliant with all other recommendations