Section 5: The Complaint Handling Process
Code provision 5.1
Requirement
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.
Do we comply?
Yes
Evidence
Our online Comments, Compliments and Complaints procedure.
Commentary / explanation
We have a single complaints procedure that is compliant with the Code.
Those within the complaints hub ensure that customers are not treated differently by others if they complain, and there is a process in place to ensure fair investigation should someone wish to complain about their treatment by someone handling their complaint.
Code provision 5.2
Requirement
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.
Do we comply?
Yes
Evidence
Our online Comments, Compliments and Complaints procedure.
Commentary / explanation
We make every effort to ensure actions are completed prior to the complaint outcome letter being sent, and monitor outstanding actions when this is not possible.
When a complaint is made via our Contact Centre, the officers have been trained to make any necessary arrangements for repairs etc prior to the investigation beginning.
We have two complaint stages and treat anything that meets the definition of a complaint as such, providing the resident agrees to this.
Code provision 5.3
Requirement
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.
Do we comply?
Yes
Evidence
Our online Comments, Compliments and Complaints procedure.
Commentary / explanation
Our procedure has only 2 stages.
Code provision 5.4
Requirement
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.
Do we comply?
Yes
Evidence
n/a
Commentary / explanation
ODS (Oxford Direct Services) is a wholly owned company of Oxford City Council. They follow our two stage process.
Code provision 5.5
Requirement
Landlords are responsible for ensuring that any third parties handle complaints in line with the Code.
Do we comply?
Yes
Evidence
n/a
Commentary / explanation
ODS (Oxford Direct Services) is a wholly-owned company of Oxford City Council. They follow our two stage process.
They share reports with us, seek advice, and we work collaboratively to ensure we are consistent and compliant.
Code provision 5.6
Requirement
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.
Do we comply?
Yes
Evidence
n/a
Commentary / explanation
We seek clarification where necessary, and all complaints include the complaint definition in the acknowledgement letter with a prompt for the customer to let us know if anything is incorrect or missing.
When the customer has further comments that alter the definition, we issue an amended acknowledgement letter.
Code provision 5.7
Requirement
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.
Do we comply?
Yes
Evidence
n/a
Commentary / explanation
The acknowledgement letter contains this as part of the complaint definition. Any issues that cannot be considered within the complaint are identified as such.
Code provision 5.8
Requirement
At each stage of the complaints process, complaint handlers must:
- deal with complaints on their merits, act independently, and have an open mind;
- give the resident a fair chance to set out their position;
- take measures to address any actual or perceived conflict of interest; and
- consider all relevant information and evidence carefully.
Do we comply?
Yes
Evidence
n/a
Commentary / explanation
Those working within the complaint hub are empowered to act independently, seek to fully understand the resident’s situation and the impact on them, and carries out a thorough investigation, taking expert advice from colleagues where necessary, resulting in an evidence-based conclusion. If staff have previously been involved, the case handler will request an additional and/or more senior review of the situation.
Staff handling complaints are able to challenge colleagues and contractors if they feel it is necessary and can escalate concerns to their manager.
Letters written by the Customer Care & Complaints Officers are reviewed by the Customer Care & Complaints Manager.
Code provision 5.9
Requirement
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.
Do we comply?
Yes
Evidence
n/a
Commentary / explanation
Any extensions to timescales are confirmed in writing and a new target date given. Complainants are provided with the direct contact details of the person handling their complaint.
Code provision 5.10
Requirement
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.
Do we comply?
Yes
Evidence
Our online Comments, Compliments and Complaints procedure.
Commentary / explanation
This is covered by the ‘Reasonable Adjustments’ section of our Comments, Compliments and Complaints procedure.
Code provision 5.11
Requirement
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.
Do we comply?
Yes
Evidence
Our online Comments, Compliments and Complaints procedure.
Commentary / explanation
Our Comments, Compliments and Complaints procedure sets out the reasons we may not accept a complaint. Any refusal to escalate would be confirmed in writing with the reasons given.
Our complaint outcome letters all provide information on how to escalate to the next stage of the process.
Code provision 5.12
Requirement
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.
Do we comply?
Yes
Evidence
n/a
Commentary / explanation
Complaints are recorded on our CRM system, and all outgoing letters are saved to this. Other documents are saved centrally to a folder accessible by the complaints hubs.
Code provision 5.13
Requirement
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.
Do we comply?
Yes
Evidence
Our online Comments, Compliments and Complaints procedure.
Commentary / explanation
This is detailed in our ‘How will complaints be dealt with?’ section of our Comments, Compliments and Complaints procedure.
Code provision 5.14
Requirement
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.
Do we comply?
Yes
Evidence
Our online Comments, Compliments and Complaints procedure. See our Procedure for managing vexatious customers.
Commentary / explanation
This is included in our Comments, Compliments and Complaints procedure, in the sections titled ‘Reasonable and Unreasonable Behaviour’ and ‘Managing unreasonable behaviour and vexatious complaints’.
It is also covered by our Procedure for Managing Vexatious Customers.
Code provision 5.15
Requirement
Any restrictions placed on contact due to unacceptable behaviour must be proportionate and demonstrate regard for the provisions of the Equality Act 2010.
Do we comply?
Yes
Evidence
See our Procedure for managing vexatious customers.
Commentary / explanation
See point 4.2 of our Procedure for Managing Vexatious Customers.
