Section 5: The Complaint Handling Process
Code provision 5.1
Requirement
Landlords must have a single policy in place for dealing with complaints covered by this Code. Residents must not be treated differently if they complain.
Do we comply?
Yes
Evidence
Our online Comments, Compliments and Complaints procedure.
Our Landlord Complaints webpage.
Commentary / explanation
Oxford City Council has a single Complaints Procedure that is compliant with the Code.
Code provision 5.2
Requirement
The early and local resolution of issues between landlords and residents is key to effective complaint handling. It is not appropriate to have extra named stages (such as ‘stage 0’ or ‘informal complaint’) as this causes unnecessary confusion.
Do we comply?
Yes
Evidence
Our online Comments, Compliments and Complaints procedure.
Commentary / explanation
Every effort is made to resolve complaints at the earliest opportunity, having due regard to the complexity of the case and any urgent issues are dealt with in a timely manner, where necessary, before the complaint response is sent out.
We only have a two stages process. This is defined within our Comments, Compliments and Complaints procedure. Section titled 'How your complaints will be dealt with'
Code provision 5.3
Requirement
A process with more than two stages is not acceptable under any circumstances as this will make the complaint process unduly long and delay access to the Ombudsman.
Do we comply?
Yes
Evidence
Our online Comments, Compliments and Complaints procedure.
Commentary / explanation
We only have a two-stage process. This is defined within our Comments, Compliments and Complaints procedure. Section titled 'How your complaints will be dealt with'
Code provision 5.4
Requirement
Where a landlord’s complaint response is handled by a third party (e.g. a contractor or independent adjudicator) at any stage, it must form part of the two stage complaints process set out in this Code. Residents must not be expected to go through two complaints processes.
Do we comply?
Yes
Evidence
Commentary / explanation
ODS (Oxford Direct Services) are a subsidiary company of Oxford City Council. They also only have a two-stage process.
Code provision 5.5
Requirement
Landlords are responsible for ensuring that any third parties handle complaints in line with the Code.
Do we comply?
Yes
Evidence
Commentary / explanation
ODS (Oxford Direct Services) are a subsidiary company of Oxford City Council. They also only have a two-stage process and are compliant with the Code.
ODS publish monthly reports of their complaints handling to the landlord.
Code provision 5.6
Requirement
When a complaint is logged at Stage 1 or escalated to Stage 2, landlords must set out their understanding of the complaint and the outcomes the resident is seeking. The Code will refer to this as “the complaint definition”. If any aspect of the complaint is unclear, the resident must be asked for clarification.
Do we comply?
Yes
Evidence
n/a
Commentary / explanation
We first make contact by the complaint’s preferred methods of contact and send an acknowledgement letter containing the clarification of the complainant’s Stage 2 complaint.
Code provision 5.7
Requirement
When a complaint is acknowledged at either stage, landlords must be clear which aspects of the complaint they are, and are not, responsible for and clarify any areas where this is not clear.
Do we comply?
Yes
Evidence
n/a
Commentary / explanation
Written acknowledgements contain a summary of the issues being complained about and the outcomes the resident is seeking. The initial contact between the Complaint Officer and the tenant also confirms the position.
Code provision 5.8
Requirement
At each stage of the complaints process, complaint handlers must:
- deal with complaints on their merits, act independently, and have an open mind;
- give the resident a fair chance to set out their position;
- take measures to address any actual or perceived conflict of interest; and
- consider all relevant information and evidence carefully.
Do we comply?
Yes
Evidence
n/a
Commentary / explanation
Having recruited a Customer Care & Complaints Officer, this ensures that all complainants are treated in an unbiased fashion when contact is made.
The Investigation Officer make contact with the complainant to clarify the complaint. They investigate all information provided by the resident and take and audit of internal services to verify the situation.
We take an impartial view and treat every complaint on its own merits.
The Customer Care & Complaints Officer also carries out a quality check on the majority of letter written by the Investigation Officer to ensure these principles are followed.
Code provision 5.9
Requirement
Where a response to a complaint will fall outside the timescales set out in this Code, the landlord must agree with the resident suitable intervals for keeping them informed about their complaint.
Do we comply?
Yes
Evidence
n/a
Commentary / explanation
The Customer Care & Complaints Officer makes contact with the complainant to discuss an extension. Where this is agreed, this is confirmed in writing.
We also contact the customer and discuss frequency and preferred communication methods.
Code provision 5.10
Requirement
Landlords must make reasonable adjustments for residents where appropriate under the Equality Act 2010. Landlords must keep a record of any reasonable adjustments agreed, as well as a record of any disabilities a resident has disclosed. Any agreed reasonable adjustments must be kept under active review.
Do we comply?
Yes
Evidence
Our online Comments, Compliments and Complaints procedure.
Commentary / explanation
This is defined within our Comments, Compliments and Complaints procedure. Section ‘Reasonable Adjustments’ specifies: ‘Anyone is welcome to make a comment. Compliment or complaint and the Council is committed to treating everyone fairly. If a complainant requires any particular assistance the Council will tailor made this service to the complainants needs. This may include, for example, the provision of information in alternative formats (e.g. large print), the use of a language service, or communication through a representative’.
Code provision 5.11
Requirement
Landlords must not refuse to escalate a complaint through all stages of the complaints procedure unless it has valid reasons to do so. Landlords must clearly set out these reasons, and they must comply with the provisions set out in section 2 of this Code.
Do we comply?
Yes
Evidence
Our online Comments, Compliments and Complaints procedure.
Commentary / explanation
Where a complaint is not upheld, we clearly advise the customer how that outcome has been reached and offer them an opportunity to appeal or discuss further as part of our complaint response letter.
In our Comments, Compliments and Complaints procedure, we have set out the circumstances where we may reasonably refuse to escalate a complaint.
Code provision 5.12
Requirement
A full record must be kept of the complaint, and the outcomes at each stage. This must include the original complaint and the date received, all correspondence with the resident, correspondence with other parties, and any relevant supporting documentation such as reports or surveys.
Do we comply?
Yes
Evidence
n/a
Commentary / explanation
A complaints system/log is in place to manage landlord complaints. The log keeps clear audit trail of correspondents between the complainant and landlord.
The complaints system/log does not include any additional stages outside of the required two stage process.
Code provision 5.13
Requirement
Landlords must have processes in place to ensure a complaint can be remedied at any stage of its complaints process. Landlords must ensure appropriate remedies can be provided at any stage of the complaints process without the need for escalation.
Do we comply?
Yes
Evidence
Our online Comments, Compliments and Complaints procedure.
Commentary / explanation
We recognise where there are failings and manage the expectation of the complainants and what we are then able to deliver. Remedies include apologies, compensation, ex-gratia payments or a gesture e.g., charitable contribution
This is defined within our online Comments, Compliments and Complaints procedure. Section titled Remedy and specified:
If it is identified during the complaints process that a fault by the Council has directly caused personal injustice the Council will seek to offer a remedy that is proportionate andreasonable in view of the circumstances of the situation. This may include, for example, offering an apology, reviewing processes and procedures, or offering to compensate any financial loss resulting directly from the Council’s actions.
We take into account the quantifiable losses to the complaint, which includes the time and trouble it has taken for them to complain when awarding compensation.
We will also consider any statutory payments such as Home Loss, Right to Repair etc.
Code provision 5.14
Requirement
Landlords must have policies and procedures in place for managing unacceptable behaviour from residents and/or their representatives. Landlords must be able to evidence reasons for putting any restrictions in place and must keep restrictions under regular review.
Do we comply?
Yes
Evidence
Our online Comments, Compliments and Complaints procedure.
Commentary / explanation
This is defined within our Comments, Compliments and Complaints procedure. Section titled 'Reasonable and Unreasonable Behaviour'. And section titled 'Manage unreasonable behaviour and vexatious complaints'.
We also have Vexatious Guidance.
Code provision 5.15
Requirement
Any restrictions placed on contact due to unacceptable behaviour must be proportionate and demonstrate regard for the provisions of the Equality Act 2010.
Do we comply?
Yes
Evidence
n/a
Commentary / explanation
If it is necessary to restrict contact with a resident, we will have due regard to the provisions of the Equality Act 2010 our Equality Duty, the protected characteristics of the resident and any reasonable adjustments that may be required.
