Complaint handling code self-assessment
Complaint stages
| Code section | Code requirement | Comply (Yes/No) | Evidence, commentary and any explanations |
|---|---|---|---|
| 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 | Policy states that responses to Stage 1 complaints will be issued within 10 working days of the complaint being received for social housing residents. Complaints are dealt with in a timely way with further investigation taken when required to ensure responses can be provided at the earliest opportunity. |
| 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 | See page 10 of the complaints policy: section on 'Complaint Stages' |
| 6.3 | Landlords must issue a full response to stage 1 complaints within 10 working days of the complaint being acknowledged. | Yes | See page 10 of the complaints policy: section on 'Complaint Stages' |
| 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 | See page 11 of the complaints policy: section on 'Complaint Responses'. Included in complaint handling training. |
| 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 | 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. |
| 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 | Included in complaint handling training. |
| 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. | Complaint investigations and responses will address all elements of a complaint where this is possible, where there are a significant number of elements to a complaint, the themes of these will be considered and the complaint investigation will ensure all themes of the complaint are addressed. | |
| 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. | See page 11 of the complaints policy: section on 'Complaint Responses'. | |
| 6.9 | Landlords must confirm the following in writing to the resident at the completion of stage one in clear, plain language:
| Requirements included in complaint handling training and template for complaint response. |
| Code section | Code requirement | Comply (Yes/No) | Evidence, commentary and any explanations |
|---|---|---|---|
| 6.10 | 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. | Yes | Complaint response clearly states how to escalate the complaint to Stage two if the complaint has not been resolved to the resident's satisfaction. |
| 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 | See page 10 of the complaints policy: section on 'Complaint Stages'. |
| 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 | Residents are not required to explain the reason for their escalation. |
| 6.13 | The person considering the complaint at stage two, must not be the same person that considered the complaint at stage one. | Yes | Policy states that complaints will be considered at service level and answered by the Head of Service providing they have not been actively or directly involved in the initial complaint or response. Where this is the case, the compliant will be passed to another Head of Service to answer. The Head of Service must review the response provided at Stage 1 and conduct any further investigation required into the customers case. |
| 6.14 | Landlords must issue a final response to the stage 2 within 20 working days of the complaint being acknowledged. | Yes | See page 10 of the complaints policy: section on 'Complaint Stages'. |
| 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 | See page 11 of the complaints policy: section on 'Complaint Responses'. Included in complaint handling training. |
| 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 | 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. |
| 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 | See page 11 of the complaints policy: section on 'Complaint Responses'. Included in complaint handling training. |
| 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 | See page 11 of the complaints policy: section on 'Complaint Investigation'. Included in complaint handling training. |
| 6.19 | Landlords must confirm the following in writing to the resident at the completion of stage two in clear, plain language:
| Yes | Requirements are included within template for response. |
| 6.20 | Stage two is the landlord's final response and must involve all suitable staff members needed to issue such a response. | Yes | See page 10 of the complaints policy: section on 'Complaint Stages'. |
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