Complaint handling code self-assessment
Complaint handling process
| Code section | Code requirement | Comply (Yes/No) | Evidence, commentary and any explanations |
|---|---|---|---|
| 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 | The Council has an approved policy. Appendix 1 relates to the Housing Assets Service. |
| 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 | The policy has two complaint stages. |
| 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 | The policy has two complaint stages. |
| 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 | The Councils Joint Venture, Great Yarmouth Norse will undertake complaint handling at stage 1 and where escalated, the stage 2 complaint will be considered by the Council. |
| 5.5 | Landlords are responsible for ensuring that any third parties handle complaints in line with the Code. | Yes | The policy has been shared with Great Yarmouth Norse, training of the complaints lead has been completed with training of all managers due to be completed in April 2024. This will ensure complaints handling and investigations comply with the Council's policy and the Complaint Handling Code. |
| 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 | 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. |
| 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 | 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. |
| 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 | See page 11 of the complaints policy: section on 'Complaint Investigation' Requirements included in training. |
| 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 | See page 11 of the complaints policy: section on 'Complaint Responses'. Requirement included in training. |
| 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 | Requirement included in training. Case management process captures these requirements (disability and agreed reasonable adjustments). |
| 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 | Complaint process outlined in policy. The policy states that escalation to Stage 2 will not be accepted more than six months after the Stage 1 complaint response. |
| 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 | Internal case management process includes this. Relevant supporting documentation, reports or surveys will be held on property files not as part of complaint management. |
| 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 | Part of complaint handling training. |
| 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 | The Council has a specific policy for dealing with abusive, persistent or vexatious complaints and complainants policy. |
| 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 | See above. |
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