Housing policies

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.'

Yes

• North Northamptonshire Council’s Compliments, Comments and Complaint’s Policy

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.

Yes

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.

Yes

The Corporate Complaints Team are working on a complaints guidance document which will be regularly sent to all staff as a reminder of the guidance to follow.

1.7

A landlord must accept a complaint unless there is a valid reason not to do so.

Yes

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.

Yes

Section 3 of North Northamptonshire Council’s complaints policy sets out exclusions. The exclusions are outside of the Housing Ombudsman jurisdiction and are normally where there are Government regulations that set out how we make a decision. The appeals process for such decisions would be separate from the complaints process.

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.

Yes

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.                           

Yes

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.

No

We are currently looking at operational satisfaction surveys and will add a line at the bottom of future surveys:

“If you have indicated you are dissatisfied or very dissatisfied and would like us to investigate this further, please provide more details”

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.

Yes

There are many ways to complain to us:

• Using our website form
• By telephone
• By email
• In writing
• Ask your local councillor to raise it for you

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.

Yes

• Complaints policy

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.

Yes

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.

Yes

Although we do not have a separate Reasonable Adjustments Policy. We do have a section on Equalities within our Complaints Policy which states that:

“Assistance will be given where appropriate to people who have difficulty with written or spoken English and to disabled people. People will also be able to make complaints in their own language if this is preferable. The Council’s intention is that all members of the public should have full access to the Compliments, Comments or Complaints Procedure”.

The council’s Complaints team and Equalities team are working closely on this.

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.

Yes

Details of our Complaints Policy and procedure are available to view on the Council’s website. We also include information on the Council’s complaints process in our Tenants Handbook and plan to expand the information within the handbook. In future we will also include a page on the back of the rent notices which go out annually and within our resident’s newsletter.

2.7

Landlords must provide residents with contact information for the Ombudsman as part of its regular correspondence with residents.

No

Not at present, we are currently reviewing and will ensure that this is included in early stage correspondence. This will also be included in our Tenant Handbook and resident’s newsletter.

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.

No

Details will be provided in our Tenant Handbook and resident’s newsletter.

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.

No

This is not currently included in the council’s Compliments, Comments and Complaints Policy and will be discussed with the communications team.

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”.

Yes

3.2

…the complaint handler appointed must have appropriate complaint handling skills and no conflicts of interest.

Yes

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.

Yes

4.1

Any decision to try and resolve a concern must be taken in agreement with the resident and a landlord’s audit trail or 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.

Yes

Where a resident feels a concern is not resolved at the initial point of contact, North Northamptonshire Council would not obstruct access to the complaint’s procedure. The council’s policy is to acknowledge complaints within 3 working days.

The Corporate Complaints team are working on a complaints guidance document which will be regularly sent to all staff as a reminder of the guidance to follow.

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.

Yes

The Corporate Complaints team are working on a complaints guidance document which will be regularly sent to all staff as a reminder of the guidance to follow, this will include some standard sentences to include in complaint correspondence.

4.6

A complaint investigation must be conducted in an impartial manner.

Yes

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.

Yes

4.11

Landlords must adhere to any reasonable arrangements agreed with residents in terms of frequency and method of communication

Yes

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.

No

We do not routinely give the resident the opportunity to comment on findings before a final decision is made; however we may do so for particularly complex cases.

The Corporate Complaints Team are working on a complaints guidance document which will be regularly sent to all staff as a reminder of the guidance to follow.

4.13

A landlord must include in its complaints policy its timescales for a resident to request escalation of a complaint

Yes

North Northamptonshire’s Compliments, Comments and Complaint’s Policy asks residents to contact us as soon as they can after the matter you wish to complain about. It is always best to sort things out when information and recollection is fresh. The policy also states that we can’t investigate things more than eleven months after they happen.

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.

Yes

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.

Yes

North Northamptonshire Council’s Corporate Complaints Team keep records of all correspondence.

4.18

Landlords must have policies and procedures in place for managing unacceptable behaviour from residents and / or their representatives when pursuing a complaint.

Yes

We have ‘Unreasonably persistent complainant guidance’. This guidance also reflects the “Guidance note on ‘unreasonably persistent’ complainants and ‘unreasonable complainant behaviour’” issued by the Local Government Ombudsman in January 2007. This will be reviewed as part of the Compliments, Comments and Complaints Policy review in 2023.

4.3

Landlords should manage residents’ expectations from the outset, being clear where a desired outcome is unreasonable or unrealistic

Yes

The Council is clear on timescales for responding, however more work needs to be done on being clear on the outcome expectations. This will be looked at as part of the Complaints Guidance for staff.

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.

Yes

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.

Yes

Section 4.1 of the Council’s policy states:

Provided that you have their written consent, we welcome compliments comments and
complaints on someone else’s behalf.

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.

Yes

4.9

Communication with the resident should not generally identify individual members of staff or contractors.

No

In some circumstances it is necessary and appropriate to name individuals.  The Corporate Complaints team will liaise with the FOI team on this.

4.10

Landlords should keep residents regularly updated about the progress of the investigation.

Yes

Complaints are acknowledged and residents are provided with contact details of the investigating officer. In addition to this the complaints team are putting in place measures to ensure residents are kept informed throughout the process.

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.

No

This is something that we are aiming towards.

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.

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.

Yes

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.

No

North Northamptonshire Council is a newly formed Unitary Council and has a timescale of 20 working days for responding to Stage 1 complaints, this timescale covers all complaints received by the Council.

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.

No

Response sent when outcome known, however this is not tracked and the resident not updated regularly after the response letter has been sent. Moving forward an action plan will be completed for every case, to enable monitoring

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.

Yes

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

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.

Yes

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.

Yes

5.11

Landlords must only escalate a complaint to stage two once it has completed stage one and at the request of the resident.

Yes

5.12

The person considering the complaint at stage two, must not be the same person that considered the complaint at stage one.

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 time frame for when the response will be received. This should not exceed a further 10 days without good reason.

Yes

The Corporate Complaints Team are working on a complaints guidance document which will be regularly sent to all staff as a reminder of the guidance to follow.

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

Yes

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.

Not applicable

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

Not applicable

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.

Yes

The Corporate Complaints team are working on a complaints guidance document which will be regularly sent to all staff as a reminder of the guidance to follow.

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.

Yes

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.

Yes

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

Yes

5.14

If an extension beyond 10 working days is required to enable the landlord to respond to the complaint fully, this should be agreed by both parties.

Yes

5.15

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.

Yes

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.

Not applicable

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.

Not applicable

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.

Yes

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.

Yes

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.

Yes

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.

Yes

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.

Yes

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.

Yes

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.

Yes

As a newly formed Unitary Council we are still building our consultative and regulatory structures, as such a sub group of the Tenants Advisory Panel will be formed to look at complaints headlines and trends. This group will meet from April 2023 onwards.

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.

Yes

The Assistant Director of Customer Services has lead responsibility for complaints.

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 were 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.

Yes

Learning from complaints will be taken to the Corporate Leadership Team and the Executive on a regular basis.

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.

Yes

Learning from complaints will be taken to the Corporate Leadership Team on a regular basis.

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.

Yes

8.1

Landlords must carry out an annual self-assessment against the Code to ensure their complaint handling remains in line with its requirements.

Yes

8.2

Landlords must also carry out a self-assessment following a significant restructure and / or change in procedures.

Yes

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

Yes

The Strategic Lead for Landlord and Tenancy Services will share this self-assessment with the Executive Member for Housing.