Code Self Assessment Sept 2023

Appendix B – Self-Assessment Form

This self-assessment form should be completed by the complaints officer and discussed at the landlord’s governing body annually. Evidence should be included to support all statements with additional commentary as necessary.

Explanations must also be provided where a mandatory ‘must’ requirement is not met to set out the rationale for the alternative approach adopted and why this delivers a better outcome.

Code section Code requirement Comply: Yes/No Evidence, commentary and 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. Yes Included in the 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 Included in the Policy & Procedure 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 Included in the Policy 1.7 A landlord must accept a complaint unless there is a valid reason not to do so. Yes Included in the Policy

Section 1 – Definition of a complaint Mandatory ‘must’ requirements

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	Included in the Policy
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	Included in the Policy

Best practice ‘should’ requirements

Code section	Code requirement	Comply: Yes/No	Evidence, commentary and any explanations
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	Included in the Policy
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.	Yes	Clarification gained from staff that this is being done

Section 2 – Accessibility and awareness Mandatory ‘must’ requirements

Code section	Code requirement	Comply: Yes/No	Evidence, commentary and any explanations
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	Included in Policy
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	The Policy is on our website. Can be provided in a different format on request.
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	On website
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	Included in Policy Training to be strengthened and formal training will be implemented in November ’22.
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	In tenant newsletter, on website and post scheduled on social media channels

2.7	Landlords must provide residents with contact information for the Ombudsman as part of its regular correspondence with residents.	Yes	Included in Stage 1 & Stage 2 letters
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.	Yes	Details included in the Stage 1 letter

Best practice ‘should’ requirements

Code section	Code requirement	Comply: Yes/No	Evidence, commentary and any explanations
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.	Yes	Included in Policy

Code section Code requirement Comply: Yes/No Evidence, commentary and any explanations 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 Customer Relationships Team 3.2 …the complaint handler appointed must have appropriate complaint handling skills and no conflicts of interest. Yes Customer Relationships Team keeps up with standards updates and attends training where necessary

Section 3 – Complaint handling personnel Mandatory ‘must’ requirements

Best practice ‘should’ requirements

Code section	Code requirement	Comply: Yes/No	Evidence, commentary and any explanations
3.3	Complaint handlers should: be able to act sensitively and fairlybe trained to handle complaints and deal with distressed and upset residentshave access to staff at all levels to facilitate quick resolution of complaintshave the authority and autonomy to act to resolve disputes quickly and fairly.	Yes	Complaints handler works with service area managers to resolve complaint quickly and fairly. Customer Relationships Team receives updates from Housing Ombudsman and can access training – we will look to roll out training opportunities to all managers that deal with complaints.

Section 4 – Complaint handling principles Mandatory ‘must’ requirements

Code section	Code requirement	Comply: Yes/No	Evidence, commentary and any explanations
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.	Yes	We have a 2 stage complaint service. Any concern raised that is not deemed as a service request will go through the complaints process. Timescales are met and contained within the procedure.

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	Clarification is sought within the acknowledgement letter.
4.6	A complaint investigation must be conducted in an impartial manner.	Yes	Complaints are handled by the senior officer for the team. If the complaint relates to a specific individual, they will not lead on the investigation.
4.7	The complaint handler must: deal with complaints on their meritsact independently and have an open mindtake measures to address any actual or perceived conflict of interestconsider all information and evidence carefullykeep the complaint confidential as far as possible, with information only disclosed if necessary to properly investigate the matter.	Yes	Included in the Policy
4.11	Landlords must adhere to any reasonable arrangements agreed with residents in terms of frequency and method of communication	Yes	Included in the Policy
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 positioncomment on any adverse findings before a final decision is made.	Yes	Done as part of the investigation.
4.13	A landlord must include in its complaints policy its timescales for a resident to request escalation of a complaint	Yes	Included in the 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.	Yes	Included in Policy & Procedure
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	Information recorded centrally by Customer Relationships Team.
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	Acceptable Behaviour is outlined within the Tenancy Agreement. Also Unreasonably Persistent Vexatious Complainant Policy.

Best practice ‘should’ requirements

Code section	Code requirement	Comply: Yes/No	Evidence, commentary and any explanations
4.3	Landlords should manage residents’ expectations from the outset, being clear where a desired outcome is unreasonable or unrealistic	Yes	Included in procedure
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	Included in Policy & Procedure
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	Included in Policy

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	Clarification of the complaint is sought during acknowledgement process.
4.9	Communication with the resident should not generally identify individual members of staff or contractors.	Yes	Included in Procedure
4.10	Landlords should keep residents regularly updated about the progress of the investigation.	Yes	Included in Procedure
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.	Yes	Satisfaction complaints carried out
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	Yes	Contained within Policy & Procedure. Learning is identified and implemented where possible.
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.	No	Whilst unacceptable behaviour and EDI are both included in the policy, there is no reference to restrictions

Code section Code requirement Comply: Yes/No Evidence, commentary and any explanations 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. Yes Included in Policy and monitored by Customer Relationships Team.

Section 5 – Complaint stages Mandatory ‘must’ requirements Stage 1

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.	Yes	Include in procedure
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	Response letters are checked by Customer Relationship Team to ensure all points are covered before sending out.
5.8	Landlords must confirm the following in writing to the resident at the completion of stage one in clear, plain language: the complaint stagethe decision on the complaintthe reasons for any decisions madethe details of any remedy offered to put things rightdetails of any outstanding actionsdetails of how to escalate the matter to stage two if the resident is not satisfied with the answer	Yes	Response letters are checked by Customer Relationship Team to ensure all points are covered before sending out.

Stage 2

Code section	Code requirement	Comply: Yes/No	Evidence, commentary and any explanations
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	Included in the Policy

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	Clarification is sought from complainant
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	Included in the Policy
5.12	The person considering the complaint at stage two, must not be the same person that considered the complaint at stage one.	Yes	In procedure
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.	Yes	In procedure
5.16	Landlords must confirm the following in writing to the resident at the completion of stage two in clear, plain language: the complaint stagethe complaint definitionthe decision on the complaintthe reasons for any decisions madethe details of any remedy offered to put things rightdetails of any outstanding actions and if the landlord has a third stage, details of how to escalate the matter to stage threeif this was the final stage, details of how to escalate the matter to the Housing Ombudsman Service if the resident remains dissatisfied.	Yes	Letter template used and checks are made before sending to the complainant.

Stage 3

Code section	Code requirement	Comply: Yes/No	Evidence, commentary and any explanations
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.	Yes	Two stage complaints process implemented.
5.20	Landlords must confirm the following in writing to the resident at the completion of stage three in clear, plain language: the complaint stagethe complaint definitionthe decision on the complaintthe reasons for any decisions madethe details of any remedy offered to put things rightdetails of any outstanding actionsdetails of how to escalate the matter to the Housing Ombudsman Service if the resident remains dissatisfied	N/A	No Stage 3

Code section Code requirement Comply: Yes/No Evidence, commentary and any explanations 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 This would be done in consultation with the complainant.

Best practice ‘should’ requirements Stage 1

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	In procedure
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	Collaborative working between teams allows this
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.	Yes	In procedure.

Stage 2

Code section	Code requirement	Comply: Yes/No	Evidence, commentary and any explanations
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	Done in consultation with complainant
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	Housing Ombudsman details made available throughout the process.

Stage 3

Code section

Code requirement

Comply: Yes/No

Evidence, commentary and any explanations

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

Code section Code requirement Comply: Yes/No Evidence, commentary and any explanations 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 Outlined in Policy & Procedure 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 Outlined in Policy & Procedure 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 Outlined in Policy & Procedure

Section 6 – Putting things right Mandatory ‘must’ requirements

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

Outlined in Policies & Procedure   Emma to check compensation policy covers the point , a landlord must consider whether any statutory payments are due”

Best practice ‘should’ requirements

Code section	Code requirement	Comply: Yes/No	Evidence, commentary and any explanations
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	Lessons Learned are taken from each upheld/partially upheld complaint
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	Complaint still investigated and legal advice obtained.

Section 7 – Continuous learning and improvement

Mandatory ‘must’ requirements

Code section	Code requirement	Comply: Yes/No	Evidence, commentary and any explanations
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	Contained within Annual Report and also uploaded to the website. Regular updates will also be taken to the Customer Committee.

Best practice ‘should’ requirements

Code section

Code requirement

Comply: Yes/No

Evidence, commentary and any explanations

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	Chair of the Customer Sub-Committee (Board member)
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 ordersRegular reviews of issues and trends arising from complaint handling,The annual performance report produced by the Ombudsman, where applicableIndividual 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.	Yes	Contained within Operations Update to full Board and more detailed report taken to the Customer Sub-Committee
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	Regular agenda item at SMT meeting
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 departmentstake collective responsibility for any shortfalls identified through complaints rather than blaming othersact within the Professional Standards for engaging with complaints as set by the Chartered Institute of Housing.	No	Not explicitly contained within the Policy

Section 8 – Self-assessment and compliance Mandatory ‘must’ requirements

Code section	Code requirement	Comply: Yes/No	Evidence, commentary and any explanations
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	Last self-assessment carried out November 2022
8.2	Landlords must also carry out a self-assessment following a significant restructure and/or change in procedures.	Yes	Restructure undertaken in Q1/Q2 of 2023
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 memberspublish the outcome of their assessment on their website if they have one, or otherwise make accessible to residentsinclude the self-assessment in their annual report section on complaints handling performance	Yes	Is reported to the STAR Board and Shropshire Council’s Asset Assurance Board. Also published on our website and featured in our annual report.

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