Housing Ombudsman Complaint Handling Code – Self-assessment 2023

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.

Compliance:   YES

This definition is included in our Complaints policy.

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.

Compliance:   YES

This statement is included in our complaints policy. Complaints that are submitted via a third party or representative are handled in line with our complaints policy.

Compliance:   YES

This code requirement is included in the complaints policy.

This is also further supported by our Early Resolution and Stage 1 complaints procedures and reinforced with staff training.

Compliance:   YES

This is covered in our complaints policy.  

Compliance:   YES

Our complaints policy carries a section that clearly lays out the circumstances under which an issue will not be considered. We will nonetheless always seek to work with the customer to find a satisfactory outcome.     

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.

Compliance:   YES

As outlined in the complaints policy if we do not accept a complaint, a detailed explanation will be provided setting out the reason why the matter is not suitable for the complaints process.

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.

Compliance:   YES

This is included in our procedures.

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.

Compliance:   Partial

We are looking to strengthen this area and are establishing a new team in October 2023 (Customer Engagement and Experience), to ensure that this is embedded in our procedures going forward.

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.

Compliance:   YES

Our complaints policy clearly details the different channels through which our customers can raise a complaint. This is also promted on our website, on a seperate complaints handling leaflet and within our newsletters.

Please see relevant extract from our policy.

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 time frames for responding.

Compliance:   YES

Please follow the link to our ‘How to make a Complaint’ section on our website and our Complaints fact sheet.

We publish our complaints policy on our website.
The complaint policy details the stages involved and what will happen at each stage and the timescales for responding.

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.

Compliance:   YES

There is a dedicated complaint section on our website. Our complaints policy and leaflet are also included on our website.

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.

Compliance:   YES

Our complaints policy has a dedicated section on reasonable adjustments.
Our procedures make clear the need to ascertain whether there are any vulnerabilities or reasonable adjustments to be considered.
We are able to record vulnerabilities on our contact management system when logging the complaint.

All of our customer facing policies have been updated to state ‘the need to make reasonable adjustments to the policy to recognise, accommodate and support customers’ individual needs, where needed’. This was implemented in September 2022.

Our complaint resolution officers must complete Equality Diversity and Inclusion Training as part of their mandatory training requirement.

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.

Compliance:   YES

We have a dedicated Complaints section on our website, we have a factsheet also on our website or that customers can be provided with.

We carry regular articles in our newsletter the Voice to advise on the Housing Ombudsman scheme.

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

Compliance:   YES

The contact details are included in the complaints leaflet, which is available on our website. We issue the complaints leaflet with the stage 1 acknowledgement letter, so the customer is aware of the Housing Ombudsman scheme at the initial stages of their complaint.

We also have regular features in our customer newsletter on how to contact the Ombudsman.

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.

Compliance:   YES

Our revised letter templates to include contact details for the Housing Ombudsman (September 2023). Letters prior to this revision included links to our Complaints section on our website which includes details of how to contact the Ombudsman.

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. 

Compliance:   YES

This is covered in the Complaints Policy and in the Early Resolution procedure.

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”.

Compliance:   YES

We have a dedicated Complaints Team, which includes a quality assurance officer and appropriate management structure in place.

Compliance:   YES

We have a dedicated team who solely focus on complaint handling. There is a comprehensive job description and person specification to ensure the Complaint Resolution Officers appointed possess the appropriate skills and competencies to fulfil the role.
We also have a comprehensive induction programme, which covers all relevant processes and training required to fulfil the role effectively.
Within the complaints policy it states that a complaint investigation will be conducted in an impartial manner. To ensure fairness we will take measures to address any actual or perceived conflict of interest.

All operational colleagues have been requested to read the Housing Ombudsman Code.

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.

Compliance:   YES

These key behaviours are included within the job description and person specification for the Complaint Resolution Officer role.
Internal governance structures and communication pathways have been strengthened so there is regular and structured access and lines of responsibility for key colleagues and teams across Longhurst Group.

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.

Compliance:   YES

Our complaints policy outlines our approach to early resolution/informal complaints.

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.

Compliance:   YES

Our acknowledgement letter template and procedure reflect this code requirement.

Compliance:   YES

This requirement is included within the complaints policy under the fairness in complaint handling section. The job description for the Complaint Resolution Officers reflects this code requirement.

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.
  

Compliance:   YES

Our Complaint Resolution Officers will act independently and fulfil an advocacy role on behalf of the customer with the aim of resolving complaints promptly and to a satisfactory conclusion, where possible. The Complaint Resolution Officers will act independently throughout the investigation and management of the complaint case.

These requirements are included in the job description and person specification for the Complaint Resolution Officer role.

There is a separate section on fairness with complaints handling within the complaints policy, which covers all these key points.

Compliance:   YES

This requirement is included within the complaints policy. We will use different communication methods to keep customers up to date. If a customer has a preferred method of communication, we will use this and be guided by the customer. Our stage 1 and 2 procedures will require the complaint handler to establish the communication requirements at the point of acknowledgement.

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.
  

Compliance:   YES

This code requirement is included in the complaints policy. Complaints of this manner are treated as confidential.

To ensure these complaints are treated sensitively either the Complaint Manager or Complaint Resolution Team Leader will liaise with the appropriate Manager/Head of Service as part of the formal investigation. This process is followed if a complaint is received regarding a partner contractor and/or third party who delivers services on behalf of Longhurst Group. As part of the complaint investigation, we involve our Safeguarding and People Services Teams when appropriate.

Compliance:   YES

Within the complaints policy it states that a customer has one month to escalate their complaint for a stage 2 review. This timescale is communicated to the customer as part of the stage 1 resolution letter.

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.

Compliance:   YES

The complaints policy reflects this code requirement, as does the procedures for Stage 1 and 2.

We would communicate our reasons to customers in writing.

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.

Compliance:   YES

As outlined in our complaints policy, all correspondence and communication details are recorded on our system. Each complaint will be managed via our ICT system using our case management functionality where all colleagues have access to the complaint history, case notes and correspondence.

To ensure continuous improvement we have launched a refresher ICT training programme to all key departments which aligns with this code requirement.

Our new quality assurance checks will also focus on this code requirement with feedback given to the complaints team during individual performance review meetings, as well as to other Managers (where appropriate).

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

Compliance:   YES

We have a procedure for managing unacceptable behaviour from customers in relation to complaint handling. There is reference to this within our complaints policy.

Compliance:   YES

This is covered in our Complaints Policy.

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.

Compliance:   YES

This is covered in our complaints policy, procedures and training on dispute resolution. We have enhanced our ICT capability over the last 12 months, and we are able to identify and categorise high risk/high priority complaints, so these can be flagged on our system and prioritised accordingly.

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.

Compliance:   YES

This is included in our complaints policy. We also aim to keep the representative up to date throughout the management of the complaint case.

Compliance:   YES

This requirement is included in our stage 1 procedure.

Compliance:   YES

In an attempt to provide a more personalised customer service approach some of our communications have named people; however, we recognise a balance should be struck and will continue to review this going forward in line with customer feedback.

Compliance:   YES

This is covered in training and procedures.

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.

Compliance:   YES

We undertake transactional surveys alongside the Tenant Satisfaction Measures (TSMs). se results alongside performance monitoring are reviewed by the Customer Forum quarterly

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.

Compliance:   YES

There has been a keen focus on improving our complaints handling service, and understanding as a wider organisation how we can work more collaboratively to improve customer experience.

This has been supported by a number of internal initiatives led by the Executive Team. These initiatives continue to be monitored by the Exec, the Board and the Customer Forum on a regular basis.

Compliance:   YES

The complaints policy refers to this requirement. The unacceptable customer behaviour procedure states that will reflect the requirements of the Equalities Act 2010 and show regard for a customers’ individual circumstances and our colleagues, before deciding how best to manage the situation.

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.

Compliance:   YES

This timescale is stated in our complaints.
policy and our procedures support this.
The resolution timescale is discussed.
with the customer at the point of the
acknowledgement stage and is confirmed within the stage one acknowledgement letter, so the customer is aware of the resolution timescales.

We would always engage with the
customer to explain our rationale before
extending the resolution timescale for a
stage one complaint.
We are working hard to improve our complaints response time performance.

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.

Compliance:   YES

This is covered in our policy.

We have also established a dedicated resource to ensure that outstanding actions are tracked, and that the customer is kept informed.

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.

Compliance:   YES

The complaints policy reflects this code requirement, and this is also reflected in our procedures and letter templates.

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

Compliance:   YES

The complaints policy reflects this code requirement, and this is also reflected in our procedures and letter templates.

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.

Compliance:   YES

This code requirement is addressed within our policy by our policy, our procedures and within our training on dispute resolution.

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.

Compliance:   YES

This code requirement is addressed within our policy by our policy, our procedures and within our training on dispute resolution.

Compliance:   YES

This code requirement is addressed within our policy by our policy, our procedures and within our training on dispute resolution.   

Compliance:   YES

This requirement is set out in our policy and is built into our team structure in terms of clear roles and responsibilities.

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.

Compliance:   YES

This timescale is stated in our complaints policy and our procedures support this.

The resolution timescale is discussed with the customer at the point of the acknowledgement stage and is confirmed within the stage 2 acknowledgement letter, so the customer is aware of the resolution timescales.

We would always engage with the customer to explain our rationale before extending the resolution timescale for a stage two complaint.

We are working hard to improve our complaints response time performance.

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.

Compliance:   YES

This code requirement is addressed within our policy, our procedures and within our training on dispute resolution.

Longhurst does not have a 3 stage complaints process.

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.

Compliance:   YES

Longhurst have a 2-stage complaint procedure.

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.

Compliance: Not applicable

Longhurst have a 2-stage complaint procedure.  

Compliance:   YES

This requirement is included within the complaints policy.

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.

Compliance:   YES

This code requirement is contained within our Stage 1 procedure.

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.

Compliance:   YES

The Complaints team would review the history of the service failure as part of the stage one complaint. This is included within the complaints handling procedures.

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.

Compliance:   YES

This code requirement is included in the Stage 1 procedure. 

Compliance:   YES

This is covered in our Complaints Policy and in our procedures.

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.

Compliance:   YES

This code requirement is covered in our complaint’s procedures.

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.

Compliance: Not applicable

Longhurst does not have a 3 stage complaints process.

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.

Compliance: Not applicable

Longhurst does not have a 3 stage complaints process.

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.

Compliance:   YES

This approach is cited in our Complaints Policy, our promotional material and our procedures.

All complaint handling staff as part of their induction complete the Housing Ombudsman Dispute resolution course Part 1 and 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.

Compliance:   YES

This approach is cited in our Complaints Policy, our procedures, including our Compensation procedure.

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.

Compliance:   YES

This approach is covered in our Complaints policy and accompanying procedures.

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.

Compliance:   YES

This code requirement is covered in our Compensation Procedure.

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.

Compliance:   YES

We have done a lot of work in this regard over the last 12 months, including a number of deep dive reviews of complaints by the Senior Leadership team. These reviews alongside thematic analysis and Housing Ombudsman determinations have all feed into our intensive recovery plans and informed a series of improvements including additional training and additional resources.

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.

Compliance:   YES

We have established an Alternative Dispute Resolution work stream within the Complaints division which works alongside our legal enforcement team. The complaints team will also liaise with other departments where customers may pursue other options alongside the complaint's procedure.

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.

Compliance:   YES

Longhurst are committed to accountability and transparency and are increasingly looking to engage with our customers in more effective ways to ensure that we are able to receive lessons learnt and harvest new ideas and approaches from a wide audience.

We currently have a You said We did section on our website, we have a performance section on our website, we hold quarterly performance meetings with our Customer Forum.

Articles on performance and complaints management are contained within our newsletter. We also seek to obtain views from our customers on key areas through our engagement hub, such as lettable standards, various policies, damp and mould etc.

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.

Compliance:   NO

The Group Board take collective responsibility for monitoring complaint performance. As a minimum they receive quarterly reports and are notified whenever we receive a Housing Ombudsman determination.

Board members and members of the senior leadership team have visited customers in person where we have significantly failed to meet our service obligations.

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.
  

Compliance:   YES

The Board receives a range of reports detailing complaint performance including:

• Quarterly Complaints performance reports
• Fortnightly performance reports on Complaints and Repairs
• Specific reports on outcomes regarding Housing Ombudsman cases and serious case reviews maladministration findings
• Annual self-assessment against the Complaint Handling code.

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.

Compliance:   YES

Themes and trends are assessed on a regular basis through Board meetings, Executive and, Director’s meetings, divisional operational and contractor meetings; with actions taken to improve policies and procedures.  

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.

Compliance:   NO

This however is now happening in practice and all operational divisions have been requested to read the Housing Ombudsman Complaint Handling code and wider training has been given so that all operational colleagues are able to manage divisional complaints more effectively.

Compliance:   YES

We have completed self-assessments and presented these to the Group Board in:

• December 2020
• December 2021
• September 2022
• September 2023.

Compliance:   YES

The introduction of the revised complaint handling code and the self-assessment process triggered a restructure within the Complaints handling division in October 2022.

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.

Compliance:   YES

This self-assessment was reviewed and approved by the Group Board at their meeting on 18th September 2023.

Commentary regarding our self-assessment is included in our annual report for 2022-23.