Reference: Scope: Legislation: Related Policies: HS/ Housing Solutions Localism Act 2012 Housing Act 2004 Data Protection Act 1998 Data Protection Policy Inclusion Strategy Approved: 16/02/16 Date of next Review: February 2019 Author: Business Performance Manager Approved by: Executive Team 1 Aims 1.1 Housing Solutions aims to provide a high quality service, but recognize that there may be occasions when we get things wrong or customers are unhappy about aspects of our service. 1.2 In these instances, Housing Solutions aim to resolve complaints as quickly as possible and learn from any mistakes. 1.3 This policy sets out how Housing Solutions will deal with all types of complaints and use complaints to inform service improvements. 2 What is a complaint? 2.1 A complaint is defined as an expression of dissatisfaction, requiring a response, relating to a service provided, or not provided. 2.2 It is important to distinguish between complaints and service requests. Service requests, such as a customer reporting a repair, a noisy neighbour or an abandoned vehicle, are not complaints. Failure to deal appropriately with a service request may become a complaint. 2.3 Housing Solutions categorises complaints in two ways: 2.4 Informal complaint: an expression of dissatisfaction which may be resolved by offering a solution or explaining the reason behind the dissatisfaction. An example would be a customer who telephones to report that a contractor has failed to meet an AM appointment and Housing Solutions are able to arrange an alternative appointment, at a time convenient to the customer. The monitoring of informal complaints will help Housing Solutions to understand issues that could escalate if not dealt with at an early stage. 2.5 Formal complaint: an expression of dissatisfaction that is not able to be resolved informally. Formal complaints require investigation and a full response to be issued.
3 Who can complain? 3.1 A complaint may be made by anyone affected by the services provided by Housing Solutions. 3.2 A complaint may be refused or terminated under the following exceptional circumstances: 3.2.1 If a complaint is about the same matter that has already been considered with only very minor differences and has exhausted the complaints process, Housing Solutions will advise that the matter is closed. The customer may then have the right to seek redress from external parties (designated persons, Housing Ombudsman Service, relevant authorities). 3.2.2 Complaint escalation may be refused at senior management s discretion, if the resolution required by the complainant is out of the remit or responsibility of Housing Solutions. This will be explained to the customer. 3.2.3 Where a complaint is persistent, vexatious or unreasonable (see paragraph 3.3). 3.2.4 Housing Solutions will not meet excessive or unreasonable demands. In such circumstances Housing Solutions might find it reasonable to terminate a complaint. 3.3 Persistent or vexatious complaints 3.4 If a customer has made unreasonable complaints in the past, Housing Solutions will not assume that their next complaint is unreasonable. Each case will be considered on its merits. All relevant correspondence will be evaluated to consider the circumstances including: 3.4.1 Whether a customer has made persistent or unreasonable demands 3.4.2 Whether there is a strong likelihood that complaints are being made to intentionally cause aggravation, divert resources or disrupt the function of Housing Solutions operations. 3.4.3 Whether the customer or their representative has been abusive or threatening to Housing Solutions staff or has produced excessive correspondence. 4 Making a complaint 4.1 Complaints can be made in person, by phone, by email or in writing to any member of staff within Housing Solutions. Complaints should be made no later than 3 months after the complainant is aware of the problem or should reasonably become aware of it. In exceptional circumstances Housing Solutions may be able to accept a complaint after the time limit has passed. 2
5 Formal Complaints Stages 5.1 Housing Solutions operates an internal three stage process: 5.2 Stage one: 5.2.1 The complaint will be logged directly to the relevant Manager who will be responsible for the stage one process (including updating systems). The Manager will attempt to contact the complainant within 2 working days of the complaint being logged to discuss how they will investigate the complaint. The complaint will then be reviewed and investigated by the relevant Manager and a response provided within 10 working days. If the complaint is either complex or involves staff/contractors that are not readily available a response will be provided in 15 working days or within a timeframe agreed between the customer and Manager. The formal response can be provided by phone, email, in writing or face to face. 5.2.2 If the complaint is about a Manager it will be passed on to a more Senior Manager to investigate. If the complainant is not satisfied with the response at this stage, they can progress the complaint to stage two within 21 days of receiving the formal response. 5.3 Stage two: 5.3.1 The complaint and the stage one response will be investigated by a relevant Senior Manager and a response provided within 10 working days. If the complaint is either complex or involves staff/contractors that are not readily available a response will be provided in 15 working days or within a timeframe agreed between the customer and Manager. The formal response can be provided by phone, email, in writing or face to face. 5.3.2 If the complaint at stage one was about a Manager or Senior Manager, it will be passed onto a member of the Executive Team to investigate. If the complainant is not satisfied with the response at this stage, they can progress the complaint to stage three within 21 days of receiving the formal response. 5.4 Stage three: 5.4.1 The complaint and the stage one and two responses will be reviewed by a complaints panel comprising of a minimum of three Board members or 2 Board members and one co-opted independent member, one of which must be a Customer Board member. A minimum of 3 members of the Panel must be present at the Appeals Panel meeting for it to proceed. The meeting will be arranged with the complainant and the complaints panel will report on their final decision within 10 working days. (See Appendix 1). 5.5 Complaint closure: 5.5.1 A complaint is considered closed when the matter has been investigated and responded to and the complainant has not notified Housing Solutions that they wish to escalate the complaint to the next stage within 21 days. 5.5.2 If the complainant is a tenant of Housing Solutions and is still not satisfied about any aspect of their complaint, they may contact a designated person, or if they prefer they can wait eight weeks and then contact the Housing Ombudsman. 3
5.6 Designated person 5.6.1 The Localism Act 2012 states that tenants of housing associations will be able to ask for their complaints to be considered by a designated person when their landlord s internal complaints procedure is finished. 5.6.2 A designated person can be: An MP A local Councillor The Housing Solutions Resident Scrutiny Panel. Housing Solutions has ensured that the Panel is recognised for the purpose of complaints and has registered this with the Housing Ombudsman Service. The complainant may choose a single member, a group of members or the entire Panel. 5.6.3 A designated person will help resolve the complaint in one of two ways; they can try and resolve the complaint themselves or they can refer the complaint straight to the Ombudsman. If they refuse to do either the tenant can contact the Ombudsman directly. 5.6.4 The designated person can try to put things right in whichever way they think may work best. If the problem is still not resolved following the intervention of the designated person either they or the tenant can refer the complaint to the Ombudsman. 5.6.5 Complaints to the Ombudsman do not have to be referred by a designated person, but if they are not there must be at least 8 weeks from the end of the landlord s complaint process before the Housing Ombudsman can consider the case. 5.6.6 The law says that when the designated person refers a complaint to the Ombudsman, it must be in writing. 5.6.7 Designated persons have no direct impact on a landlord s internal complaints procedure. A designated person has no legal authority over a landlord s policy or procedure. 5.7 The Housing Ombudsman 5.7.1 If the complainant is a tenant living in Housing Solutions rented accommodation and is still not satisfied about any aspect of their complaint, they may elect to contact the Housing Ombudsman (or the designated person can refer the complaint to the Housing Ombudsman). The Housing Ombudsman will contact relevant parties to explore how the complaint can be resolved locally. 5.7.2 On condition that the internal complaints procedure has been completed, but the complaint (or part of the complaint) remains unresolved, the Housing Ombudsman will consider how best to intervene to resolve the complaint. 4
5.7.3 The Housing Ombudsman will work with both parties to agree a resolution that is acceptable to all concerned. 5.7.4 Further information relating to the Housing Ombudsman can be found via their website: http://www.housing-ombudsman.org.uk/ 5.8 Homes and Communities Agency (HCA) 5.8.1 The housing industry regulator, The Homes and Communities Agency (HCA), will only handle complaints where it feels that they are of potential serious detriment to customers. This judgement is based on an evaluation of the harm or potential harm to customers. Any other complaint will be referred back to Housing Solutions or the Housing Ombudsman. 5.8.2 If a complainant believes that their complaint is serious enough to meet the serious detriment test, they should contact the HCA. Complaints should be made no later than 3 months after the complainant is aware of the problem or should reasonably become aware of it. 5.9 Leaseholder Valuation Tribunal 5.9.1 If you are a Leasehold customer of Housing Solutions and are not satisfied with the outcome of your stage three complaint, you can refer your complaint to the Leasehold Valuation Tribunal to access their dispute resolutions service. LEASE (Leasehold Advisory Service) can also provide advice on your complaint. 6 Complaints Decision 6.1 Housing Solutions categorise decisions about complaints as: 6.2 Complaint upheld: 6.2.1 This is where Housing Solutions agree that the complaint was justified and that there has been a failure to provide the service promised. 6.3 Complaint not upheld: 6.3.1 This is where Housing Solutions do not agree that the complaint was justified. If the complaint is not upheld Housing Solutions may make the decision not to allow the complaint to be progressed any further through the internal complaints stages. 7 Compensation 7.1 Where Housing Solutions agree that their actions or inactions have resulted in a valid complaint a sincere and honest apology along with an explanation of what is going to be done to improve the service will always be offered as way of resolving a complaint in the first instance. 5
7.2 However, there may be occasions when an apology is not enough. Where Housing Solutions agree that there has been a failure in the service standards promised that has directly resulted in causing the complainant inconvenience and distress, the manager dealing with the complaint at Stage one may offer a small payment by way of apology. 7.3 At Stage two, if the manager dealing with the complaint believes there has been a significant service failure against the promised standards over a prolonged period of time, they may decide to increase the small payment, at their discretion. 7.4 Complaints at Stage three are dealt with by Board and Customer Board Members who retain full discretion to award compensation as they see fit. 7.5 Compensation conditions: 7.5.1 Housing Solutions will not offer compensation where service failure is the result of extreme or unforeseen circumstances, where Housing Solutions have taken all reasonable steps to restore services, or facilities under the prevailing conditions. 7.5.2 Compensation will not be offered where Housing Solutions has acted reasonably and complied with legal and contractual obligations and in line with service standards. 7.5.3 Non monetary benefits will not be offered as a method of compensation, for example a new kitchen or a quicker transfer. 7.5.4 If you are in rent arrears or have sundry debts against your account compensation will be paid directly to the rent account to reduce outstanding arrears and/or sundry debts. 7.5.5 Housing Solutions will not pay compensation for loss of personal items which would otherwise be covered by home contents insurance. It is a tenancy obligation to ensure that customers ensure sufficient home insurance cover at all times. 7.5.6 Personal injury complaints will be dealt with by the insurance company employed by Housing Solutions and any compensation payments will be paid on the Insurer s recommendation. 7.5.7 Any offer of compensation will be made on the basis that it does not constitute admission of legal liability. 8 Withholding Rent 8.1 Before withholding rent for a repair you must follow a specific procedure that is set out in the Housing Act 2004. The housing advice charity SHELTER are able to provide more information about your rights and responsibilities in this area. Any rent withheld by a complainant who has not followed the procedure set out in the Housing Act 2004 will be treated as rent arrears. 6
9 Equal Opportunities 9.1 Housing Solutions is committed to its Inclusion Strategy. Changes were made to this policy following an equality impact assessment from which this policy is considered low impact. 10 Review and Monitoring 10.1 Housing Solutions will monitor: 10.2 Number of complaints at each stage, split by department, response times for dealing with complaints, whether complaints are upheld, satisfaction with complaints handling and outcome and the changes made to service as a result of complaints. Performance reports will be provided to relevant stakeholders at agreed intervals 10.3 Housing Solutions will review this policy on a three year basis or as and when legislation which impacts the content of the policy changes. 7
Appendix 1 Complaints Panel Meetings The Complaints Panel on the day of the meeting shall consist of a minimum of three Board members or 2 Board members and one co-opted independent member, one of which must be a Customer Board member. There will be a minimum of one Housing Solutions representative in attendance at this meeting, other members of Housing Solutions staff may be required to attend the Complaints Panel meeting to present evidence. Housing Solutions will also appoint a secretary (usually a member of staff who would have no direct involvement with the customers case) to take clear, concise minutes of the meeting. These minutes will be made available to the customer. The meeting will take the following format: The Complaints Panel shall decide upon a Chair and confirm who the Chair of the meeting is to all in attendance. 1) Welcome and introductions from the appointed Chair 2) Housing Solutions representative/s invited to present the case to the Panel 3) Complainant invited to ask Housing Solutions representative/s questions 4) Complainant invited to present their case to the Panel 5) Chair invites the complainant to confirm what their desired outcome would be 6) Housing Solutions representative/s invited to respond 7) The Chair concludes the meeting (Housing Solutions representative/s, complainant and the appointed secretary will be asked to leave the meeting room) 8) The Complaints Panel deliberate upon their decision 9) The appointed secretary will re-enter the meeting to make notes regarding the outcome of the meeting 10) The Complaints Panel Chair will write to the complainant within 10 working days from the date of the meeting. 8