Service complaints policy

1. Introduction

1.1. The Housing Ombudsman investigates and resolves disputes involving residents and social landlords, as well as voluntary members of the Scheme. We call these disputes ‘complaints’; they’re made by residents (or their representatives) and responded to by landlords.

1.2. We refer to individuals, or organisations that contact the Ombudsman, as service users. This includes residents, their representatives, member landlords and other stakeholders who have contacted the Ombudsman.  

1.3. When a service user contacts the Ombudsman and requests that action is taken, these will normally be handled as service requests. All service requests are recorded and monitored to completion.

1.4. A service request is - ‘a request that the Ombudsman takes action in order to resolve a dispute between a landlord and a resident’.

1.5. Whilst we aim to provide an excellent service, we recognise that there may be times when our service users are dissatisfied with our service. When we are made aware of any dissatisfaction with the service, we will give the service user the option to complain.  

1.6. We offer many options for service users to raise complaints. This includes both digital (email, webform) and non-digital (telephone, letter) options and the option of raising a service complaint directly with any colleague. We intend to make the process as simple as possible and ensure colleagues are aware that service users do not need to use the word complaint to be offered the opportunity to raise a service complaint.

1.7. We also ensure that service users are aware how to complain to us by:

• publishing the service complaints policy internally, and externally on our website
• providing the information in accessible formats
• providing a factsheet to service users when they complain

1.8. To ensure impartiality, the Housing Ombudsman has a separate internal Customer Insight team that is independent of the casework team. This team investigates complaints about our service, aiming not to impede or delay any outstanding and ongoing casework.

2. What is a service complaint?

2.1. The Housing Ombudsman’s Complaint Handling Code for landlords defines a complaint and we have adopted this definition, replacing landlord with the Housing Ombudsman.

A service complaint is - ‘an expression of dissatisfaction, however made, about the standard of service, actions or lack of action by the Housing Ombudsman, its own staff, or those acting on its behalf, affecting service users.’

2.2. The service complaints we can investigate include:

• our failure to follow our published processes
• the behaviour, conduct or attitude of a member of staff
• our failure to provide a service
• the quality or standard of service

2.3. We recognise that there may be times when a service user expresses dissatisfaction and requests that the Ombudsman takes action in response to an issue reported. For example, requesting a call to discuss an individual case. We will handle these as service requests, which are recorded, monitored and reviewed regularly.

2.4. An expression of dissatisfaction made through a survey is not defined as a service complaint, however, we ensure that service users asked to provide feedback are made aware how to pursue a complaint should they wish to do so.

Exclusions

2.5. We will accept service complaints and escalations unless there is a valid reason not to do so.

2.6. The circumstances in which we do not accept service complaints for investigation are:

• request to re-open a previously concluded service complaint
• service complaints that relate to an issue that occurred more than 12 months ago
• where the Ombudsman has not been commissioned to provide a service
• where the complaint relates to an alternative ombudsman or regulator; in this instance we would sign-post the service user to the relevant service provider

2.7. As the service complaint policy's primary purpose is to investigate complaints and the service delivery relating to the casework process there are circumstances in which this policy cannot investigate complaints. Other complaints will be dealt with under other relevant policies or alternative processes. These include:

• a service user disagreeing with a decision or determination made by the Ombudsman about a complaint made against a landlord, where they are challenging how evidence has been considered by the Ombudsman during the investigation - these will be considered under our reviews policy (PDF)
• issues that are going through a legal process or already have been heard by a court or tribunal
• the processing of data, as defined in the data protection policy
• the information provided as part of a response under the Data Protection Act, for example a Subject Access Request (SAR)
• the outcome of an employee or potential employee complaint or concern, including a complaint about the recruitment process
• corporate services concerns, such as procurement decisions and financial processes

2.8. If a service complaint is not accepted for investigation, we will explain to the service user and, where appropriate, signpost them to any alternative appeals processes. We may do this at any point during a service complaint investigation, if it becomes clear that an investigation cannot be progressed.

2.9. In exceptional circumstances, we may decide to exclude the service complaint due to a service user’s behaviour. Any such decision will be made in line with our unacceptable user actions policy.

3. The service complaint approach

3.1. The Housing Ombudsman has a 2-stage service complaints process.

3.2. In all cases, we will:

• assess if the service complaint is within the definition of what we can investigate
• establish any requests to make any adjustments to our service or any reasonable adjustments under the Equality Act
• record the service complaint definition
• establish the outcomes that are being sought by the service user
• consider the opportunities for an early resolution

3.3. Colleagues are suitably trained in the importance of complaint handling and are empowered to resolve service complaints promptly and fairly.

3.4. Colleagues investigating service complaints at all stages will:

• act independently, have an open mind and questioning approach
• provide the opportunity for the service user to set out their complaint and their desired resolution
• take an evidence-based approach and consider all relevant information
• address any actual or perceived conflict of interest
• agree suitable timescales for keeping the service user updated, should the response fall outside the timescales set out in this policy
• maintain appropriate records

4. Complaint stages

Stage 1

4.1. Service complaints will be acknowledged within 5 working days of the service complaint being received. The acknowledgement will set out the service complaint definition and the timescale within which the response will be provided. We will ask for clarification on any aspects of the service complaint, where necessary.

4.2. Once acknowledged, we will establish the facts of the matters raised to ensure a full and objective response is provided to the complaint. We will carefully consider any evidence provided to us by the service user, and refer to our records, policies, and any other relevant documentation. We may discuss the complaint with the service user, colleagues, or other relevant parties, as necessary.

4.3. We aim to provide a written response at stage 1 within 10 working days of the service complaint being acknowledged. However, if during this period further investigation into the issues is required, we may extend our response time by a further 10 working days. We will inform the service user of the extension.

4.4. By exception, and approval by a senior colleague, service complaints may need to be extended beyond the additional period to be able to provide a full response. In these circumstances, the service user will be informed of the reasons and an anticipated revised date. We will provide regular updates on the progress, as required.   

4.5. If a service user raises additional points or concerns during the investigation of a service complaint, we will inform them how these issues will be handled and consider whether:

• they are a related issue and can be included in the stage 1 investigation
• it is a new unrelated stage 1 service complaint
• it is a service request

4.6. At any point during the investigation into a service complaint we may identify that some, or all of the complaint, cannot be investigated if it becomes clear that an exclusion applies. In these circumstances, we will inform the service user of the decision and our reasons at the earliest opportunity.

4.7. We will provide our response to the service complaint within the timescales set our above or when an answer to the issues is known. The stage 1 response will:

• set out the service complaint definition
• review each element of the service complaint definition and state the decision and outcome of the investigation
• if appropriate, include remedies offered to put things right
• explain how the service user can escalate to stage 2

4.8. When investigating a service complaint, we assess each element of the complaint individually. When determining the outcome, (the decision to uphold or not), will set out our findings for each individual element of the complaint.

4.9. Any actions not completed at the point of the response will be tracked and monitored by the appropriate colleague. Service users will be kept informed of the progress of any outstanding actions.

Stage 2

4.10. If the service user is not satisfied with part or all of the outcome decisions of the stage 1 process, they can request that the service complaint be escalated to stage 2. Service users are asked to provide reasons for escalating their service complaints.

4.11. The purpose of the stage 2 process is to review the stage 1 investigation and response and investigate any potential new evidence that could impact on the stage 1 decision.

The escalation process

4.12. Service users must submit a request to escalate to stage 2 within 4 weeks of the date of the stage 1 response. However, we will consider requests outside of this timescale taking into the account individual circumstances. A request should explain their reasons for their disagreement with the decision and:

• set out any of the element(s) of the service complaint that we did not cover or missed
• provide new, relevant information that would impact on our stage 1 response

4.13. We will establish if we can accept the request to escalate to stage 2 and inform the service user as to whether their request is:

• within the definition of a request to escalate to stage 2
• a new stage 1 service complaint

4.14. If the request for escalation to stage 2 is rejected, this ends the Housing Ombudsman’s service complaints procedure. The service user has no further course of redress from this Service.

4.15. If the escalation is accepted, it will be acknowledged within 5 working days of the escalation being received. The stage 2 escalation will be assigned to a colleague who has not had prior involvement in the stage 1 process.

4.16. We aim to give the service user a full response within 20 working days of our acknowledgement. We will advise at the earliest opportunity if this is not achievable and may extend this by up to an additional 20 working days.

4.17. By exception and approval by a senior colleague, service complaints may need to be extended beyond the additional period to be able to provide a full response. In these circumstances, the service user will be informed of the reasons, provided with an update and an anticipated revised date. We will provide regular updates on progress of the service complaint under such circumstances.

4.18. The stage 2 response will:

• summarise the complaint and reason for escalation to stage 2
• address each element of the escalation
• state the decision(s) and outcome(s) of the investigation if appropriate, detail any remedies offered to put things right
• confirm that this is the end of the process

4.19. Any actions not completed at the point of the response will be tracked and monitored by the appropriate colleague. Service users will be kept informed of the progress of any outstanding actions.

4.20. Stage 2 is the end of the Housing Ombudsman's internal service complaint procedure, and the service user has no further course of redress with this Service.

Customer communication after the case is closed

4.21. Closed cases are monitored for 4 weeks. If a service user contacts us about a closed service complaint (at either stage 1 or stage 2) during this period, we acknowledge the correspondence and give relevant advice and guidance. This may include (but is not limited to):

• confirming that the service complaint is closed, and no further action will be taken
• explaining the status of any outstanding remedies and the team or person overseeing these
• signposting the service user to the person responsible for any other relevant cases
• explaining that no further comment will be given in response to correspondence

4.22. After 4 weeks closed cases with no outstanding actions are not monitored; communications are filed and are not responded to.

Putting things right

4.23. The purpose of the service complaints remedies is to put things right however the team cannot influence due process and the operational casework processes relating to individual cases.

4.24. The remedies the Customer Insight team can offer to put things right are:

• a verbal or written apology
  • from the Service
  • from the Ombudsman
• liaise with the casework operational management to deliver an action, for example:
  • a review of a reasonable adjustment
  • a call or update from the team
• correct an error - update system records (evidence-based)
• provide an explanation of what happened, and why if possible
• recommend an improvement to procedures or systems
• share the learning and feedback with the operational teams or colleague
• offer a compensation payment

4.25. For individuals we may, depending on the nature of the service failure, offer a compensation payment as part of our apology.

4.26. We learn and recommend service improvements where situations and events impact all service users. In these circumstances, we do not offer compensation.

4.27. Appendix A reflects the level of financial compensation that may be offered.

Delivery of remedies

4.28. The Customer Insight team are responsible for ensuring that the remedies to put things right are assigned to the appropriate colleague.

4.29. The Customer Insight team will deliver remedies within their remit and liaise with operational and casework colleagues for all other actions. Remedies assigned to operational colleagues are tracked for compliance by the service complaints team. Accountability for completion lies with the relevant individual or team assigned the remedy.

4.30. The service complaint remedies will be tracked via the internal reporting processes to ensure effective and timely delivery.

5. Legal process

5.1. A service user may seek to enforce public law through a legal process if they believe our actions have breached legislation.

6. Service improvements

6.1. The Ombudsman welcomes and encourages service complaints from service users. These provide effective insights to enable us to learn and understand what is not working for our service users and provide a customer-focused view of the delivery of our casework and the wider organisational operations.

6.2. All staff handling service complaints will record any lessons that the Ombudsman can learn from to help improve operational service delivery. The information gained supports business planning activities and informs any service improvement initiatives required.

6.3. Service improvements and lessons identified are included in the performance monitoring and themes are reported to the operational management teams.

7. Performance monitoring: scrutiny and oversight

7.1. The Ombudsman recognises the importance of service complaints as a tool to challenge and scrutinise our own performance and service delivery. We regularly review:

• volumes and types of service complaints received and their outcomes
• service complaint handling performance
• improvement recommendations and lessons learned from service complaints

7.2. A member of the Advisory Board is the organisation’s Member Responsible for Complaints (MRC) who leads a positive service complaint-handling culture and oversees the service complaint-handling performance, including delivery of the annual report for the Quality Board.

7.3. The Ombudsman has appointed the Director of Quality, Engagement and Development as the senior person responsible for service complaint handling.

This role is responsible for:

• operational delivery of the service complaint's function
• reporting of service complaint performance
• insights (qualitative and quantitative) captured through service complaints
• liaising with relevant departments to ensure recommendations are actioned

7.4. The Ombudsman has also appointed an Independent Reviewer of Service Complaints (IRSC) and their findings of the review are reported to the senior responsible person (Director of QED), the Executive Leadership Team (ELT) and the Member Responsible for Complaints and the Quality Board.

7.5. The service complaints dashboard provides an awareness and a gauge of service users’ experience of the Housing Ombudsman Service and is presented to the Quality Board.

7.6. The Director of QED provides regular updates to the Executive Leadership Team on service complaints performance, as well as appropriate operational management teams. The performance dashboard includes a commentary as well as both qualitative and quantitative information.

Policy published: December 2024

Appendix A