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 Council Housing Complaints Policy.
Commentary / explanation
Section 1 of our Policy.
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 Council Housing Complaints Policy.
Commentary / explanation
Section 7 of our Policy.
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 Council Housing Complaints Policy.
Commentary / explanation
Section 7 of our Policy.
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
Our Council Housing Complaints Policy.
Commentary / explanation
Section 7.7 of our Policy.
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
Our Council Housing Complaints Policy.
Commentary / explanation
Points 7.7 and 9.4 of our Policy.
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
Our Council Housing Complaints Policy.
Commentary / explanation
Points 7.2 and 7.9 of our Policy.
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
Our Council Housing Complaints Policy.
Commentary / explanation
Points 7.2 and 7.9 of our Policy.
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
Our Council Housing Complaints Policy.
Commentary / explanation
Section 1 of our Policy.
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
Our Council Housing Complaints Policy.
Commentary / explanation
Points 7.3 and 7.12 of our Policy.
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 Council Housing Complaints Policy.
Commentary / explanation
Points 6.2 and 10.1 of our Policy.
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 Council Housing Complaints Policy.
Commentary / explanation
Points 3.1, 5.4, 7.8 and 7.10 of our Policy.
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. Copies of letter as well as all other documents are saved centrally to a Sharepoint 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 Council Housing Complaints Policy.
Commentary / explanation
Points 7.4, 7.13, 7.18, 7.19, and 7.20 of our Policy.
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 Procedure for managing vexatious customers.
Commentary / explanation
Any action taken under our Procedure for Managing Vexatious Customers is done in consultation with the Governance team and requires Director-level sign-off.
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
Our Procedure for managing vexatious customers.
Commentary / explanation
Point 4.2 of our Procedure for Managing Vexatious Customers.
