Housing Ombudsman Complaint Handling Code

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Housing Ombudsman Complaint Handling Code: LHP Self-Assessment

Compliance with the Complaint Handling Code

Code Section	Definition of a complaint	Yes	Evidence, commentary & any explanations
1.2	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.'	✓	This is evidenced in the LHP Complaints Policy as the definition of a complaint.
1.3	The resident does not have to use the word ‘complaint’ for it to be treated as such. A complaint that is submitted via a third party or representative must still be handled in line with the landlord’s complaints policy.	✓	This is evidenced within the LHP Complaints Policy and Process. This is also included in all training offered to employees.
1.6	… if further enquiries are needed to resolve the matter, or if the resident requests it, the issue must be logged as a complaint.	✓	This is evidenced with the LHP Complaints Policy. A reminder news piece will be live in December regarding the difference between complaint vs request for service.
1.7	A landlord must accept a complaint unless there is a valid reason not to do so.	✓	This is evidenced within the LHP Complaints Policy with explanation of criteria for not accepting a complaint and the process of explaining this to the customer and the next steps available to them.
1.8	A complaints policy must clearly set out the circumstances in which a matter will not be considered, and these circumstances should be fair and reasonable to residents.	✓	Please see above
1.9	If a landlord decides not to accept a complaint, a detailed explanation must be provided to the resident setting out the reasons why the matter is not suitable for the complaints process and the right to take that decision to the Ombudsman.	✓	Please see above
	Best practice 'should' requirements
1.4	Landlords should recognise the difference between a service request, where a resident may be unhappy with a situation that they wish to have rectified, and a complaint about the service they have/have not received.	✓	This is defined within the LHP Complaints Policy and further guidance will be circulated to all employees in December 2022.
1.5	Survey feedback may not necessarily need to be treated as a complaint, though, where possible, the person completing the survey should be made aware of how they can pursue their dissatisfaction as a complaint if they wish to.	✓	All surveys conducted by Acuity have a flagging system should customers raised things that may be considered a complaint or need further action.
2	Accessibility and awareness
2.1	Landlords must make it easy for residents to complain by providing different channels through which residents can make a complaint such as in person, over the telephone, in writing, by email and digitally. While the Ombudsman recognises that it may not be feasible for a landlord to use all of the potential channels, there must be more than one route of access into the complaints system.	✓	Complainants can contact LHP via email, phone, webform, app, social media messaging, in person through a member of LHP staff and in writing. These are defined within the LHP Complaints Handbook and also our website.
2.3	Landlords must make their complaint policy available in a clear and accessible format for all residents. This will detail the number of stages involved, what will happen at each stage and the timeframes for responding.	✓	This is available as a PDF document on our dedicated web page, with further information provided to all customer in the LHP Complaints Handbook.
2.4	Landlord websites, if they exist, must include information on how to raise a complaint. The complaints policy and process must be easy to find on the website.	✓	LHP has a dedicated page to complaints and compliments with the ability to raise a complaint via web form.
2.5	Landlords must comply with the Equality Act 2010 and may need to adapt normal policies, procedures, or processes to accommodate an individual’s needs. Landlords must satisfy themselves that their policy sets out how they will respond to reasonable adjustments requests in line with the Equality Act and that complaints handlers have had appropriate training to deal with such requests.	✓	The LHP Reasonable Adjustment Policy underpins our complaints process and is available on our website and is recognised in all training to employees.
2.6	Landlords must publicise the complaints policy and process, the Complaint Handling Code and the Housing Ombudsman Scheme in leaflets, posters, newsletters, online and as part of regular correspondence with residents.	✓	Complaints are featured on a dedicated web page with information on the handling code (including our self-assessment form), how to contact the Housing Ombudsman or designated persons and what our policies are.
2,7	Landlords must provide residents with contact information for the Ombudsman as part of its regular correspondence with residents.	✓	The ombudsman contact details are included in our complaint letters to customers as well as on our website and our Complaints Handbook.
2.8	Landlords must provide early advice to residents regarding their right to access the Housing Ombudsman Service throughout their complaint, not only when the landlord’s complaints process is exhausted.	✓	Customers are notified of this in the first written acknowledgement letter.
	Best practice 'should' requirements
2.2	Where a landlord has set up channels to communicate with its residents via social media, then it should expect to receive complaints via those channels. Policies should contain details of the steps that will be taken when a complaint is received via social media and how confidentiality and privacy will be maintained.	✓	This is an active complaint route available to our customers and picked up via the CSC. This is then logged as a case within our housing management system.
3	Complaint Handling Personnel
3.1	Landlords must have a person or team assigned to take responsibility for complaint handling to ensure complaints receive the necessary attention, and that these are reported to the governing body. This Code will refer to that person or team as the “complaints officer”.	✓	LHP has a dedicated Customer Experience team , led by the Customer Experience Manager to oversee and manage the complaints handling process.
3.2	…the complaint handler appointed must have appropriate complaint handling skills and no conflicts of interest.	✓	Managers, Heads of Service and Directors are appointed complaints based on individual merit. Where there is a conflict, a member from a separate team or service area will assume the responsibility for investigation and response. All investigating officers have dedicated training on dispute resolution principles and the handling code.
	Best practice 'should' requirements	✓
3.3	Complaint handlers should: • be able to act sensitively and fairly • be trained to handle complaints and deal with distressed and upset residents • have access to staff at all levels to facilitate quick resolution of complaints • have the authority and autonomy to act to resolve disputes quickly and fairly.	✓	All investigation officers undertake dedicated training that encompasses the ‘LHP Way’ principles in customer service and the dispute resolution principles, remedies guide and handling code as published on the Ombudsman website.
4	Complaint handling principles
4.1	Any decision to try and resolve a concern must be taken in agreement with the resident and a landlord’s audit trail/records should be able to demonstrate this. Landlords must ensure that efforts to resolve a resident’s concerns do not obstruct access to the complaints procedure or result in any unreasonable delay. It is not appropriate to have extra named stages (such as ‘stage 0’ or ‘pre-complaint stage’) as this causes unnecessary confusion for residents. When a complaint is made, it must be acknowledged and logged at stage one of the complaints procedure within five days of receipt.	✓	LHP have a 2 stage complaints process that customers can access though any communication channel. LHP staff are trained to record complaints or dissatisfaction when liaising with customers. All complaints are tracked through our housing management system to ensure compliance with the handling code timescales for stage 1 and stage 2 complaints. Complaints are always acknowledged in writing, and the letter sets out the process and expectations for the customer.
4.2	Within the complaint acknowledgement, landlords must set out their understanding of the complaint and the outcomes the resident is seeking. If any aspect of the complaint is unclear, the resident must be asked for clarification and the full definition agreed between both parties.	✓	This is evidenced within our acknowledgement letter detail. All complainants will be asked for details of their complaint and what their desired outcome is so that LHP can investigate all concerns fully.
4.6	A complaint investigation must be conducted in an impartial manner.	✓	This is reflected in our Complaints Policy and instructed to all investigating officers as part of induction and investigating officers complaint training.
4.7	The complaint handler must: • deal with complaints on their merits • act independently and have an open mind • take measures to address any actual or perceived conflict of interest • consider all information and evidence carefully • keep the complaint confidential as far as possible, with information only disclosed if necessary to properly investigate the matter.	✓	This is reflected in our Complaints Policy and instructed to all investigating officers as part of induction and investigating officers complaint training.
4.11	Landlords must adhere to any reasonable arrangements agreed with residents in terms of frequency and method of communication	✓	This is information that is asked of the customer when a complaint is received and is agreed on the first telephone contact by the investigating officer.
4.12	The resident, and if applicable any staff member who is the subject of the complaint, must also be given a fair chance to: • set out their position • comment on any adverse findings before a final decision is made.	✓	Any customer who is part of a complaint against them will be dealt with through our ASB process or by our Housing Team through a tenancy management process. If a staff member is subject of a complaint, they will be interviewed by their line manager and/or investigating officer of the complaint.
4.13	A landlord must include in its complaints policy its timescales for a resident to request escalation of a complaint	✓	This information is included in the LHP Complaints Policy
4.14	A landlord must not unreasonably refuse to escalate a complaint through all stages of the complaints procedure and must have clear and valid reasons for taking that course of action. Reasons for declining to escalate a complaint must be clearly set out in a landlord’s complaints policy and must be the same as the reasons for not accepting a complaint.	✓	This information is included in the LHP Complaints Policy
4.15	A full record must be kept of the complaint, any review 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 reports or surveys prepared.	✓	Information is stored within the housing management system as well a case file being completed by the investigating officer being saved to Sharepoint along with any correspondence, surveys or photographs
4.18	Landlords must have policies and procedures in place for managing unacceptable behaviour from residents and/or their representatives when pursuing a complaint.	✓	This is handled through the LHP Limited Contact Policy
	Best practice 'should' requirements
4.3	Landlords should manage residents’ expectations from the outset, being clear where a desired outcome is unreasonable or unrealistic	✓	All complainants are asked what the desired outcome of their complaint is as standard. This is then discussed by the investigating officer as part of the complaint investigation.
4.4	A complaint should be resolved at the earliest possible opportunity, having assessed what evidence is needed to fully consider the issues, what outcome would resolve the matter for the resident and whether there are any urgent actions required?	✓	All complaints are reviewed by the Customer Experience Team ahead of being assigned to an investigating officer. If any urgent actions are evident, these are actioned as soon as possible alongside the complaint being investigated.
4.5	Landlords should 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 where this is reasonable.	✓	Customers are able to request a third part advocate on their behalf throughout the complaints process. LHP has a data protection form for customers to provide consent for LHP to share information about their account/tenancy if the advocate is not already on the customers records as third-party authority.
4.8	Where a key issue of a complaint relates to the parties’ legal obligations landlords should clearly set out their understanding of the obligations of both parties.	✓	Legal advice will be sought if such matters arrive, and this will be relayed and LHP will set out in writing each parties responsibilities.
4.9	Communication with the resident should not generally identify individual members of staff or contractors.	✓	Complaint communications are reviewed by the Customer Experience Manager to ensure they comply with the expectations of the handling code.
4.10	Landlords should keep residents regularly updated about the progress of the investigation.	✓	All complaints training provided to LHP staff and investigating officers makes clear that communication and updates to customers are a key LHP value. Updates are provided by phone call, visit or email.
4.16	Landlords should seek feedback from residents in relation to the landlord’s complaint handling as part of the drive to encourage a positive complaint and learning culture.	✓	All complainants who have had their investigations completed are contacted by third party supplier, Acuity, to undertake a satisfaction feedback survey. This feedback data is presented to operational managers, heads of service and directors, to drive learning and service improvement.
4.17	Landlords should recognise the impact that being complained about can have on future service delivery. Landlords should ensure that staff are supported and engaged in the complaints process, including the learning that can be gained	✓	Learning and feedback from complaints is discussed through monthly reporting and service area complaint meetings. The Customer Experience Manager also shares good news stories internally to ensure morale and engagement with the complaints service
4.19	Any restrictions placed on a resident’s contact due to unacceptable behaviour should be appropriate to their needs and should demonstrate regard for the provisions of the Equality Act 2010.	✓	Limited contact is considered on a case by case basis, and takes into account any customer needs or vulnerabilities that may be exacerbating their behaviour. Where the limited contact policy cannot be applied due to these needs, a support plan will be put in place, often working in partnership with other agencies.
5	Complaint stages
Stage 1
5.1	Landlords must respond to the complaint within 10 working days of the complaint being logged. Exceptionally, landlords may provide an explanation to the resident containing a clear timeframe for when the response will be received. This should not exceed a further 10 days without good reason.	✓	LHP Complaints Policy and Procedure is clear that all complaints will be investigated and responded to within 10 working days. If additional time is required, this will be discussed with the customer and confirmed in writing with a new response date within a further 10 day timescale.
5.5	A complaint response must be sent 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 expeditiously with regular updates provided to the resident.	✓	Once the investigating officer has identified answers to all the complaint points, a written response will be sent to the customer, outlining any outstanding actions. Updates will be tracked by the Customer Experience Manager and the operational managers and heads of service.
5.6	Landlords must address all points raised in the complaint and provide clear reasons for any decisions, referencing the relevant policy, law and good practice where appropriate.	✓	Complaint responses will itemise complaint points where necessary to ensure all issues are answered and reference the policies, laws or good practice. Copies of policies may also be enclosed as supporting information to the complaint response.
5.8	Landlords must confirm the following in writing to the resident at the completion of stage one in clear, plain language: • the complaint stage • 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	✓	All response letters are derived from a set template that provides prompts for all of these points. These letters were reviewed by HouseMark as part of their accreditation process.
Stage 2
5.9	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, unless an exclusion ground now applies. In instances where a landlord declines to escalate a complaint it must clearly communicate in writing its reasons for not escalating as well as the resident’s right to approach the Ombudsman about its decision.	✓	Any requests for complaint escalation will be reviewed by the Customer Experience Manager, operational Head of Service and director for the service area concerned. If the complaint refusal does not meet the examples provided in the LHP Complaints Process, it will be escalated to Stage 2. If the complaint does meet the criteria for refusal, a letter is sent with an explanation and signposting to the Housing Ombudsman Service.
5.10	On receipt of the escalation request, landlords must set out their understanding of issues outstanding and the outcomes the resident is seeking. If any aspect of the complaint is unclear, the resident must be asked for clarification and the full definition agreed between both parties.	✓	This is completed by the Customer Experience Officer and/or operational Head of Service as part of the escalation request process.
5.11	Landlords must only escalate a complaint to stage two once it has completed stage one and at the request of the resident.	✓	All complaints are dealt with as stage 1 when first received.
5.12	The person considering the complaint at stage two, must not be the same person that considered the complaint at stage one.	✓	Stage 2 complaints are escalated to the next level of management from the investigating officer at stage 1.
5.13	Landlords must respond to the stage two complaint within 20 working days of the complaint being escalated. Exceptionally, landlords may provide an explanation to the resident containing a clear timeframe for when the response will be received. This should not exceed a further 10 days without good reason.	✓	LHP Complaints Policy and Procedure is clear that all stage 2 complaints will be investigated and responded to within 20 working days. If additional time is required, this will be discussed with the customer and confirmed in writing with a new response date within a further 10 day timescale
5.16	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 and • if the landlord has a third stage, details of how to escalate the matter to stage three • if this was the final stage, details of how to escalate the matter to the Housing Ombudsman Service if the resident remains dissatisfied.	✓	All response letters are derived from a set template that provides prompts for all of these points. These letters were reviewed by HouseMark as part of their accreditation process.
Stage 3
5.17	Two stage landlord complaint procedures are ideal. This ensures that the complaint process is not unduly long. If landlords strongly believe a third stage is necessary, they must set out their reasons for this as part of their self-assessment. A process with more than three stages is not acceptable under any circumstances.	✓	LHP currently has a 2 stage complaint process. We are currently looking at options to introduce a customer panel to add a third stage for further scrutiny of complaints as advised through HouseMark as part of achieving the Complaints Accreditation.
5.20	Landlords must confirm the following in writing to the resident at the completion of stage three 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 Housing Ombudsman Service if the resident remains dissatisfied	N/A	We do not currently have a third stage
	Best practice 'should' requirements
Stage 1
5.2	If an extension beyond 20 working days is required to enable the landlord to respond to the complaint fully, this should be agreed by both parties.	✓	This is not a usual occurrence, but if this was required, the customer would be centred in the decision making and confirmation would be provided in writing with an explanation and clear deadline.
5.3	Where agreement over an extension period cannot be reached, landlords should provide the Housing Ombudsman’s contact details so the resident can challenge the landlord’s plan for responding and/or the proposed timeliness of a landlord’s response.	✓	LHP provides details of how to contact the Housing Ombudsman Service in all its complaint information and on our complaint letters.
5.4	Where the problem is a recurring issue, the landlord should consider any older reports as part of the background to the complaint if this will help to resolve the issue for the resident.	✓	When complaints are assessed by the Customer Experience Team, any background information is collated and included in the update to the investigating officer.
5.7	Where residents raise additional complaints during the investigation, these should be incorporated into the stage one response if they are relevant and the stage one response has not been issued. Where the stage one response has been issued, or it would unreasonably delay the response, the complaint should be logged as a new complaint.	✓	This process is clear within the LHP Complaints Policy and process.
Stage 2
5.18	Complaints should only go to a third stage if the resident has actively requested a third stage review of their complaint. Where a third stage is in place and has been requested, landlords must respond to the stage three complaint within 20 working days of the complaint being escalated. Additional time will only be justified if related to convening a panel. An explanation and a date for when the stage three response will be received should be provided to the resident.	N/A
5.19	Where agreement over an extension period cannot be reached, landlords should provide the Housing Ombudsman’s contact details so the resident can challenge the landlord’s plan for responding and/or the proposed timeliness of a landlord’s response.	N/A
6	Putting things right
6.1	Effective dispute resolution requires a process designed to resolve complaints. 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.	✓	The Housing Ombudsman Complaint Dispute Resolution Principles is a key part of all investigating officer’s complaint training and all case file templates and letter templates prompt this thinking.
6.2	Any remedy offered must reflect the extent of any service failures and the level of detriment caused to the resident as a result. A landlord must carefully manage the expectations of residents and not promise anything that cannot be delivered or would cause unfairness to other residents.	✓	Previous complaint outcome examples are often used as a benchmark in similar situations as well as using guidance from the Housing Ombudsman Remedies Guide.
6.5	The remedy offer must clearly set out what will happen and by when, in agreement with the resident where appropriate. Any remedy proposed must be followed through to completion.	✓	All remedies are outlined within the complaint response letter and completion tracked by the Customer Experience Manager and the operational managers and heads of service.
6.6	In awarding compensation, a landlord must consider whether any statutory payments are due, if any quantifiable losses have been incurred, the time and trouble a resident has been put to as well as any distress and inconvenience caused.	✓	The LHP Compensation Policy is clear on statutory payments and payments for quantifiable loss. It also takes into account the compensation award levels set out in the Housing Ombudsman Remedies Guide.
	Best practice 'should requirements
6.3	Landlords should look beyond the circumstances of the individual complaint and consider whether anything needs to be ‘put right’ in terms of process or systems to the benefit of all residents.	✓	All complaints are reviewed for potential learning. This is recorded on internal risk and assurance for reporting and is tracked by the Customer experience Manager and operational teams and directors as part of monthly reporting and meetings. Service improvements are shared to the wider business for implementation.
6.7	In some cases, a resident may have a legal entitlement to redress. The landlord should still offer a resolution where possible, obtaining legal advice as to how any offer of resolution should be worded.	✓	LHP consults its legal teams for advice when legal entitlement may be required and for wording for complaint responses.
7	Continuous Learning and Improvement
7.2	Accountability and transparency are integral to a positive complaint handling culture. Landlords must report back on wider learning and improvements from complaints in their annual report and more frequently to their residents, staff and scrutiny panels.	✓	Complaint feedback is included in the annual report as standard. Complaint themes and trends of learning are shared with customers as part of the quarterly magazine. Learning and improvements are shared with the wider business through email comms, intranet news pieces and in person via team meetings.
	Best practice 'should' requirements
7.3	A member of the governing body should be appointed to have lead responsibility for complaints to support a positive complaint handling culture. This role will be responsible for ensuring the governing body receives regular information on complaints that provides insight to the governing body on the landlord’s complaint handling performance.	✓	An LHP Board Member is the ‘Complaint Champion’ who shadows the Customer Experience Team to understand the role of the team in the wider business and to feed back to other members. This member also has quarterly meetings with the Customer Experience Manager and Director of Customers for feedback and complaint performance handling.
7.4	As a minimum, governing bodies should receive: • Regular updates on the volume, categories and outcome of complaints, alongside complaint handling performance including compliance with the Ombudsman’s orders • Regular reviews of issues and trends arising from complaint handling, • The annual performance report produced by the Ombudsman, where applicable • Individual complaint outcomes where necessary, including where the Ombudsman made findings of severe maladministration or referrals to regulatory bodies. The implementation of management responses should be tracked to ensure they are delivered to agreed timescales. The annual self-assessment against the Complaint Handling Code for scrutiny and challenge.	✓	Complaints performance is reported within the business to operational leads and executive team on a monthly basis, and to the Board and Committees on a quarterly basis. These reports encompass all these points.
7.5	Any themes or trends should be assessed by senior management to identify potential systemic issues, serious risks or policies and procedures that require revision. They should also be used to inform staff and contractor training.	✓	Themes and trends are shared on a monthly basis to the operational managers and heads of service as well as the executive directors alongside any learning or recommendations for change and improvement that is overseen by the Customer Experience Manager for implementation.
7.6	Landlords should have a standard objective in relation to complaint handling for all employees 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 • act within the Professional Standards for engaging with complaints as set by the Chartered Institute of Housing.	✓	LHP has a positive complaints culture, underpinned by its customer first values. This is maintained by the Customer Experience Team who provide training and support to all LHP staff on complaint handling and dispute resolution. The Customer Experience Manager works closely with operational managers and heads of service to adopt a joint approach to implementing change and improvement.
8	Self-assessment and compliance
8.1	Landlords must carry out an annual self-assessment against the Code to ensure their complaint handling remains in line with its	✓	This is completed December of each year
8.2	Landlords must also carry out a self-assessment following a significant restructure and/or change in procedures.	✓
8.3	Following each self-assessment, a landlord must: • report the outcome of their self-assessment to their governing body. In the case of local authorities, self- assessment outcomes should be reported to elected members • publish the outcome of their assessment on their website if they have one, or otherwise make accessible to residents • include the self-assessment in their annual report section on complaints handling performance	✓	This annual report as well as any updated complaints materials will be shared on the LHP website and for LHP staff via internal communications. These will be reported to the LHP Board at the next meeting, but sooner to the Board complaints champion.