The Social Housing (Regulation) Act 2023 empowered the Housing Ombudsman to issue a code of practice about the procedures, members of the Housing Ombudsman Scheme should have in place for considering complaints against them following consultation on the code. It also placed a duty on the Ombudsman to monitor compliance with a code of practice that it has issued. The Ombudsman consulted on the code and out of that the first statutory Complaint Handling Code (‘the Code’) has been introduced and it will take effect from 1 April 2024. 

Thorners is a member of the Scheme.  The code refers to ‘Landlords’ but applies to housing providers, of which Thorners is one.

DEFINITION OF A COMPLAINT

The Complaint Handling Code

1.  Definition of a complaint

1.1  Effective complaint handling enables residents to be heard and understood. The starting point for this is a shared understanding of what constitutes a complaint. 

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 landlord, its own staff, or those acting on its behalf, affecting a resident or group of residents.’

1.3  A resident does not have to use the word ‘complaint’ for it to be treated as such. Whenever a resident expresses dissatisfaction landlords must give them the choice to make complaint. A complaint that is submitted via a third party or representative must be handled in line with the landlord’s complaints policy.

1.4  Landlords must recognise the difference between a service request and a complaint. This must be set out in their complaints policy. A service request is a request from a resident to the landlord requiring action to be taken to put something right. Service requests are not complaints, but must be recorded, monitored and reviewed regularly. 

1.5  A complaint must be raised when the resident expresses dissatisfaction with the response to their service request, even if the handling of the service request remains ongoing. Landlords must not stop their efforts to address the service request if the resident complains. 

1.6  An expression of dissatisfaction with services made through a survey is not defined as a complaint, though wherever possible, the person completing the survey should be made aware of how they can pursue a complaint if they wish to. Where landlords ask for wider feedback about their services, they also must provide details of how residents can complain.

2. Exclusions

2.1        Landlords must accept a complaint unless there is a valid reason not to do so.  If landlords decide not to accept a complaint, they must be able to evidence their reasoning. Each complaint must be considered on its own merits.

2.2        A complaints policy must set out the circumstances in which a matter will not be considered as a complaint or escalated, and these circumstances must be fair and reasonable to residents. Acceptable exclusions include:

• The issue giving rise to the complaint occurred over twelve months ago. 

• Legal proceedings have started. This is defined as details of the claim, such as the Claim Form and Particulars of Claim, having been filed at court.

• Matters that have previously been considered under the complaints policy. 

2.3        Landlords must accept complaints referred to them within 12 months of the issue occurring or the resident becoming aware of the issue, unless they are excluded on other grounds. Landlords must consider whether to apply discretion to accept complaints made outside this time limit where there are good reasons to do so. 

2.4        If a landlord decides not to accept a complaint, an 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. If the Ombudsman does not agree that the exclusion has been fairly applied, the Ombudsman may tell the landlord to take on the complaint. 

2.5        Landlords must not take a blanket approach to excluding complaints; they must consider the individual circumstances of each complaint.

3. Accessibility and awareness 

3.1        Landlords must make it easy for residents to complain by providing different channels through which they can make a complaint. Landlords must consider their duties under the Equality Act 2010 and anticipate the needs and reasonable adjustments of residents who may need to access the complaints process. 

3.2        Residents must be able to raise their complaints in any way and with any member of staff. All staff must be aware of the complaints process and be able to pass details of the complaint to the appropriate person within the landlord.

3.3        High volumes of complaints must not be seen as a negative, as they can be indicative of a well-publicised and accessible complaints process. Low complaint volumes are potentially a sign that residents are unable to complain.

3.4        Landlords must make their complaint policy available in a clear and accessible format for all residents. This will detail the two stage process, what will happen at each stage, and the timeframes for responding. The policy must also be published on the landlord’s website.

3.5        The policy must explain how the landlord will publicise details of the complaints policy, including information about the Ombudsman and this Code.

3.6       Landlords must 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. 

3.7       Landlords must provide residents with information on their right to access the Ombudsman Service and how the individual can engage with the Ombudsman about their complaint.

4. Complaint handling staff

4.1        Landlords must have a person or team assigned to take responsibility for complaint handling, including liaison with the Ombudsman and ensuring complaints are reported to the governing body (or equivalent). This Code will refer to that person or team as the ‘complaints officer’. This role may be in addition to other duties. 

4.2        The complaints officer must have access to staff at all levels to facilitate the prompt resolution of complaints. They must also have the authority and autonomy to act to resolve disputes promptly and fairly.

4.3        Landlords are expected to prioritise complaint handling and a culture of learning from complaints. All relevant staff must be suitably trained in the importance of complaint handling. It is important that complaints are seen as a core service and must be resourced to handle complaints effectively.

 

THORNER’S HOMES POLICY

• It is the policy of Thorner’s Homes (the Charity) to enable any Resident who is a Beneficiary of the Charity to make complaints freely and easily.

• Residents will not be treated differently if they complain.

• The Charity recognises that positive complaints handling is integral to the effectiveness with which the Charity resolves disputes, learns and improves, provides a quality service and maintains a good relationship with Residents. 

• The Charity recognises the need for accountability and transparency when dealing with complaints.

• The Charity values the learning experience of the complaints process in pointing out changes that may be required to the Charity’s processes to provide a better service.

• Complaints may be periodically reviewed by a group of Trustees, to improve the service provided to Residents.

• The Residents’ Complaints Policy & Procedures document is provided to all new Residents and to existing Residents following amendments.  A reminder is sent to Residents each year in a newsletter and posters are displayed on notice boards at all schemes.  The policy is also available on the Charity’s website, Residents Handbook and in each scheme’s communal lounge information folder. 

• Information about the number of complaints, their nature and outcomes including any learning and improvement, is published each year in the annual report.

• The Charity completes a complaints self-assessment each year and publishes the results on its website.

 

The complaint

• All complaints are dealt with as confidential and in accordance with the Charity’s Privacy Notice.

• The Charity accepts complaints from individuals or an authorised advocate for example, a family member, carer or a professional advocate.

• The Charity shall explain to residents where a desired outcome is unreasonable or unrealistic.

• Where a key issue of a complaint relates to legal obligations, the Charity shall clearly set out its understanding of the obligations of both parties and seek clarification if this is not clear.

• The complaint investigation shall be dealt with in an impartial manner, seeking sufficient, reliable information from both parties so that fair and appropriate findings and recommendations can be made.

• The complaint investigator shall

1. deal with complaints on their own merits,

2. act independently with an open mind,

3. address any actual or perceived conflict of interest, and

4. consider all relevant information and evidence carefully.

 

• Residents may be represented and/or accompanied at any meeting with the Charity.

• Residents and any staff member will be given a fair opportunity to set out their position and comment on any adverse findings of the investigation before a final decision is made.

• The Charity reserves the right to exercise discretion in how to respond to a complaint, via the Management Team.  Residents will be given clear explanations of circumstances when this is used e.g. when refusing to escalate a complaint through all stages of the complaints procedure.

When complaints will not be investigated

• Complaints will not be pursued in the following circumstances:

  • If the issue giving rise to the complaint happened over twelve months ago.  If the complaint is part of a recurring issue, the Charity will consider older reports as part of the background of a complaint if this helps resolve it

  • If legal proceedings have been started.  The Charity will ensure Residents are not left without a response for long periods e.g. where a letter before action has been received or issued but proceedings have not started, or settlement agreement reached

  • If the issue is related to a liability issue that is subject to an insurance claim

  • The complaint has been considered already

  • The complaint is being pursued in an unreasonable manner.

• If the Charity does not accept a complaint, a detailed explanation will be provided to the Resident, setting out the reasons why the matter is not suitable for the complaints process.  A Resident has the right to challenge this decision by taking their complaint to the Housing Ombudsman who may instruct the Charity to take on the complaint.  The Charity shall cooperate with requests for evidence from the Ombudsman and provide this within 15 working days or if later, with an explanation for the delay.

Closure of a complaint

• A complaint may be closed if:

  • It is pursued unreasonably or where a Resident’s actions or behaviours are deemed to be unreasonable.  The Charity’s Anti-Social Behaviour Policy may be instigated and a complainant who displays threatening or abusive behaviour or language (whether verbal or written), that causes other Residents, Staff or Trustees to feel threatened, abused and/or continues to contact the Charity with unreasonable demands during/following a complaint investigation, may have their appointment set aside.

  • Trustees consider a complainant is being unreasonable and overly persistent and decide to bring the complaint to an end. They will inform the complainant of their reasons.

• Any restrictions on contact with or by a Resident due to unacceptable behaviour shall be appropriate to their needs in line with the Charity’s Equality and Diversity Policy.

 

Putting things right

• When something has gone wrong, The Charity shall acknowledge this and set out the actions already taken or intended with an apology, an explanation and information about what changes are being made to prevent a similar issue if, for example:

  • There was an unreasonable delay

  • Inaccurate or inadequate advice, explanation or information provided to the Resident

  • The Charity’s policy or procedure was not followed correctly without good reason

  • There was a factual or legal error that impacted on the outcome for the Resident

  • There was unprofessional behaviour by Staff.

• However, the Charity will not make promises to the Resident that cannot be delivered or would cause unfairness to other Residents.

 

The Remedy

• Any remedy shall reflect the extent of any service failures and the level of detriment caused to the Resident as a result, such as:

  • An acknowledgment where things have gone wrong

  • An explanation, assistance or reasons

  • An apology

  • Action if there has been a delay

  • Reconsidering or changing a decision

  • Amending a record

  • Providing a financial remedy

  • A change of policy, procedure or practice.

• Trustees shall consider all relevant factors when considering the appropriate remedy including:

  • The length of time the situation has been ongoing

  • The frequency.

  • Severity of any service failure or omission.

  • The number of failures.

  • Cumulative impact on the Resident.

  • The Resident’s particular circumstances or vulnerabilities.

  • Further information is available on the Housing Ombudsman website.

• Trustees shall set out the remedy offered clearly, what will happen and when, in agreement with the Resident, where appropriate and possible.

• If awarding compensation, the Charity shall consider any due statutory payments if for example, losses have been incurred, in addition to the time, trouble and stress the situation has caused the Resident.

 

MAINTENANCE ISSUES

Issues such as maintenance items are ‘Service Requests’ and should be referred initially to the Wardens and will be recorded as a Maintenance Request on our system.  Repairs will be subject to the timescales listed in the Handbook, and as follows:

• Routine within 28 days

• Urgent within 3 days

• Emergency within 1 day

All subject to availability of required parts.

A complaints form is available from the scheme offices, if required.  Alternatively, we have a form that can be completed with the Wardens on their iPads .

COMPLAINTS PROCEDURE

Stage 1

• Once a complaint has been received, the Complaints Officer takes the following steps:

  • Acknowledges, defines and logs at stage 1 of the complaints procedure within five working days of the complaint being received. 

  • Investigates the problem and discusses the findings with the Resident. We must issue a full response to stage 1 complaints within 10 working days of the complaint being acknowledged. 

  • If the Complaints Officer decides an extension to this timescale is needed when considering the complexity of the complaint, they will inform the resident of the expected timescale for the response. Any extension must be no more than 10 working days without good reason, and the reason(s) must be clearly explained to the resident.

  • When we inform the resident about an extension to these timescales, we must provide the contact details of the Ombudsman.

  • A complaint response must be provided 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 promptly with appropriate updates provided to the resident.  

  • We must address all points raised in the complaint definition and provide clear reasons for any decisions, referencing the relevant policy, law and good practice where appropriate.

  • Where residents raise additional complaints during the investigation, these must be incorporated into the stage 1 response if they are related and the stage 1 response has not been issued. Where the stage 1 response has been issued, the new issues are unrelated to the issues already being investigated or it would unreasonably delay the response, the new issues must be logged as a new complaint.

 

We will confirm the following in writing to the resident at the completion of stage 1 in clear, plain language: 

a) the complaint stage;

b) the complaint definition; 

c) the decision on the complaint;

d) the reasons for any decisions made;

e) the details of any remedy offered to put things right;

f) details of any outstanding actions; and

g) details of how to escalate the matter to stage 2 if the individual is not satisfied with the response.

Stage 2

• If all or part of the complaint is not resolved to the resident’s satisfaction at stage 1, it must be progressed to stage 2 of the Charity’s procedure. Stage 2 is the Charity’s final response.

 

• Requests for stage 2 must be acknowledged, defined and logged at stage 2 of the complaints procedure within five working days of the escalation request being received. 

•  The Chief Executive will consider the complaint at stage 2 with oversight by a Trustee.

• We must issue a final response to the stage 2 within 20 working days of the complaint being escalated. 

 

The Chief Executive must decide whether an extension to this timescale is needed when considering the complexity of the complaint and then inform the resident of the expected timescale for response. Any extension must be no more than 20 working days without good reason, and the reason(s) must be clearly explained to the resident.

When the Charity informs a resident about an extension to these timescales, we must provide the resident with the contact details of the Ombudsman.

A complaint response must be provided 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 promptly with appropriate updates provided to the resident.

The Charity must address all points raised in the complaint definition and provide clear reasons for any decisions, referencing the relevant policy, law and good practice where appropriate.

The Charity must confirm the following in writing to the resident at the completion of stage 2 in clear, plain language:

a) the complaint stage;

b) the complaint definition;

c) the decision on the complaint;

d) the reasons for any decisions made;

e) the details of any remedy offered to put things right;

f) details of any outstanding actions; and

g) details of how to escalate the matter to the Ombudsman Service if the individual remains dissatisfied.

Stage 2 is the Charity’s final response and will involve all suitable staff members and Trustees needed to issue such a response.

PUTTING THINGS RIGHT

Where something has gone wrong the Charity will acknowledge this and set out the actions it has already taken, or intends to take, to put things right. These can include:

• Apologising;

• Acknowledging where things have gone wrong; 

• Providing an explanation, assistance or reasons; 

• Taking action if there has been delay;

• Reconsidering or changing a decision;

• Amending a record or adding a correction or addendum;

• Providing a financial remedy;

• Changing policies, procedures or practices.

• Any remedy offered must reflect the impact on the resident as a result of any fault identified. 

• The remedy offer must clearly set out what will happen and by when, in agreement with the resident where appropriate and possible.

• Any remedy proposed must be followed through to completion.

 

The Charity will take account of the guidance issued by the Ombudsman when deciding on appropriate remedies.

HOUSING OMBUDSMAN

The Charity is a Registered Social Landlord and Residents may take their complaint to the Housing Ombudsman.The Charity is a member of the Housing Ombudsman Scheme and our membership number is 5111.

A resident can bring a complaint to the Housing Ombudsman Service for investigation if they have completed the Charity’s complaint process and the issues have not been resolved.   

They can also help if the Charity is not responding to a complaint a resident made to it. 

The steps above explain how to make an effective complaint to the Charity, what a resident needs to bring the complaint to them, and their process for investigation. 

The Housing Ombudsman Procedure:

You can bring a complaint to the Housing Ombudsman for investigation if the issues have not been resolved after using your landlord's complaint procedure. 

You will need to tell us what you think has gone wrong and what you think the landlord should do to put things right.  

We will only consider a complaint for investigation when we have received evidence that your landlord has supplied a full and final response to your complaint. 

This must be within 12 months of the Charity’s final Stage 2 response.

Website:           www.housing-ombudsman.org.uk

Address:            Housing Ombudsman Service

                          PO Box 152

                          Liverpool L33 7WQ

Telephone:       0300 111 3000

 

 

CHARITY COMMISSION

Thorner’s Homes is a Registered Charity, (no.  1189291).  The Charity Commission, is the independent regulator of charities that provides regulatory guidance. 

The Charity Commission does not act as a complaints service and most complaints should be dealt with by the Charity directly.  However, the Charity Commission will investigate issues such as:

• a charity not following the law, with damaging consequences to its reputation and public trust in charities generally

• serious harm to the people the charity helps or other people who come into contact with the charity through its work

• a person or organisation receiving significant financial benefit from a charity

• criminal, illegal or terrorist activity

• a charity set up for illegal or improper purposes

• a charity losing significant amounts of money

• a charity losing significant assets, for example land or buildings

Residents may contact The Charity Commission with full details and evidence of their concern:

Online form:            https://www.gov.uk/complain-about-charity

Address:                   Charity Commission, PO Box 211, Bootle, L20 7YX

Telephone:                0300 066 9197

 

Please note that the Charity Commission may not take further action if there is no evidence of the concern.