Complaint handling code self-assessment

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'.

The policy was updated on 1 March 2024 to be compliant with the Housing Ombudsman's Complaint Handling Code 2024.

Corporate Complaints and Compliments Policy (page 9 Complaints Policy for Housing Assets Service):

A complaint is defined as the concern or dissatisfaction of a customer regarding the service, action or lack of action taken by the Council. 

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.

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.

We will ensure that surveys make it clear that tenants can make a complaint separately. Insight surveys where carried out are reviewed monthly and respondents contacted where feedback is negative or where dissatisfaction/comments made.

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.

Page 3 of the complaints policy provides information on how complaints are made.

Page 10 of the complaints policy confirms that third party complaints can be accepted.

The Council's website contains an explanation of the policy and provides the option to request the policy in an alternative accessible format:

Corporate complaints and compliments policy - Great Yarmouth Borough Council documentation (great-yarmouth.gov.uk)

Additional information is also provided on how tenants can make a complaint on the Your Tenancy section of the website

How you can make a complaint - Great Yarmouth Borough Council (great-yarmouth.gov.uk)

Complaints to the Council can be made in the following ways:

• email
• online
• in person
• letter
• phone
• through the tenant's MP and councillor using an agreed third party
• advocate
• solicitor
• Citizens Advice Bureau
• any other reasonable request

Information on how to make a complaint is available on the Council's website along with a complaints form (which is one available option of how to make a complaint):

How do I give my comments, compliments and complaints? - Great Yarmouth Borough Council (great-yarmouth.gov.uk)

All Housing Assets Service staff were notified of the updated Corporate Complaints and Compliments Policy, how a resident can make a complaint, including in person via staff. In addition and what to do when a complaint is made.

The Council recognises this point.

Our website includes information on how make comments, complaints and compliments. An annual article in the tenant newsletter promoting complaints with information on the Housing Ombudsman is published.

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

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.

See page 10 of the complaints policy: different ways to make a complaint as example third party

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.

The Council's website provides information on the right to access the Housing Ombudsman's Service and how to contact the Ombudsman. In complaint acknowledgements and responses, the Council states it is compliant with the Housing Ombudsman's Complaint Handling Code and provides contact details for the Housing Ombudsman's Service.

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.

The Corporate Services Team log all complaints and act as the main liaison with the Housing Ombudsman Service.

There is no dedicated complaints team or complaints officer within the Housing Assets Service. However, there are a number of staff within the Housing Assets Service and GYN who are responsible for complaint handling.

The Head of Housing Assets is responsible for reporting complaints to the Council's Cabinet.

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.

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.

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. 

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. 

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.

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

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. 

See page 10 of the complaints policy: section on 'Complaints' and page 11 section on 'Complaint Investigation'.

This requirement was included in the training and template for acknowledging complaints.

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.

See page 10 of the complaints policy: section on 'Complaints' and page 11 section on 'Complaint Investigation'.

This requirement was included in the training and template for acknowledging complaints. 

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.

See page 11 of the complaints policy: section on 'Complaint Investigation'

Requirements included in training.

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.

See page 11 of the complaints policy: section on 'Complaint Responses'. 

Requirement included in training.

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.

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.  

Internal case management process includes this. Relevant supporting documentation, reports or surveys will be held on property files not as part of complaint management.

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.

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. 

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

See page 10 of the complaints policy: section on 'Complaint Stages'

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.  

See page 11 of the complaints policy: section on 'Complaint Responses'.

Included in complaint handling training.

See page 11 of the complaints policy: section on 'Complaint Responses'. 

Included in complaint handling training and in template wording to advise of the need for an extension.

Landlords must confirm the following in writing to the resident at the completion of stage one 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 stage two if the resident is not satisfied with the answer

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. Stage 2 is the landlord's final response.

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.

See page 10 of the complaints policy: section on 'Complaint Stages'.

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.

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

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

See page 10 of the complaints policy: section on 'Complaint Stages'.

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.  

See page 11 of the complaints policy: section on 'Complaint Responses'. 

Included in complaint handling training.

See page 11 of the complaints policy: section on 'Complaint Responses'.

Included in complaint handling training and in template wording to advise of the need for an extension.

See page 11 of the complaints policy: section on 'Complaint Responses'.

Included in complaint handling training.

See page 11 of the complaints policy: section on 'Complaint Investigation'.

Included in complaint handling training.

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
• details of how to escalate the matter to the Ombudsman Service if the resident remains dissatisfied

See page 10 of the complaints policy: section on 'Complaint Stages'.

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.

Details of appropriate remedies are included within the complaint handling training.

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

Included within complaint handling training.

All remedies offered are based on each individual case and the impact of any resolution is considered from a wider perspective and included within any learning from complaints.

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

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.

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. 

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. 

To be implemented from 1 April 2024 with feedback on complaints provided to the Tenant Engagement Panel which is being established in 2024/25. The formal report (see 8.1 above) will be considered by Cabinet and shared to staff via team meetings.

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.

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').

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

• regular updates on the volume, categories and outcomes of complaints, alongside complaint handling performance; 
• regular reviews of issues and trends arising from complaint handling;   
• regular updates on the outcomes of the Ombudsman's investigations and progress made in complying with orders related to severe maladministration findings; and   
• annual complaints performance and service improvement report.

Landlords must have a standard objective in relation to complaint handling for all relevant employees or third parties 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; and 
• act within the professional standards for engaging with complaints as set by any relevant professional body. 

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

• the annual self-assessment against this Code to ensure their complaint handling policy remains in line with its requirements. 
• 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; 
• any findings of non-compliance with this Code by the Ombudsman; 
• the service improvements made as a result of the learning from complaints; 
• any annual report about the landlord's performance from the Ombudsman; and 
• any other relevant reports or publications produced by the Ombudsman in relation to the work of the landlord. 

See page 12 of the complaints policy: section on 'Implementation and Compliance'.

This is a new requirement, however, a copy of this self-assessment has been published on the Council's website.

The remaining requirements of 8.1 will be met.

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