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.

Section 1 – Definition of a complaint

Mandatory ‘must’ requirements

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	Definition of complaint included in policy at outset. The Policy was adopted at Full Council in Dec 2022
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	Detailed in policy
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	Detailed in policy
1.7	A landlord must accept a complaint unless there is a valid reason not to do so.	Yes	Detailed in policy
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	Detailed in 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	Detailed in 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 on Complaints leaflet
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	Complaints details go out at tenancy sign up and if a negative comment is made in the resident survey they are re-given these details.

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	In the Policy and complaints leaflet, it details email, postal, in person and phone through which someone can complain
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 adopted at Full Council in Dec 2022. The Policy is accessible on RDC website, which also has accessibility tools to translate, read aloud and change colours. The complaints leaflet summarises the stages of the complaint. The policy can be printed upon request through RDC Customer Service
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	There is a designated Complaints (and compliments) page for RDC tenants
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.	No	RDC are in the process of developing their Reasonable Adjustments Policy
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	Complaints leaflet issued at sign up, Customer Service manager is aware that tenants can be directed through the housing complaints handling policy. The annual report will contain details on the HOS/CHC
2.7	Landlords must provide residents with contact information for the Ombudsman as part of its regular correspondence with residents.	Yes	Details contained within the complaints leaflet at sign up. It will be included in the annual report and newsletters. It is detailed on website
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	Detailed in Policy and on complaints leaflet

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.	N/A	RDC tenants do not have a social media channel to communicate

Section 3 – Complaint handling personnel Mandatory ‘must’ requirements

Best practice ‘should’ requirements

Code section	Code requirement	Comply: Yes/No	Evidence, commentary and any explanations
3.1	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	Complaint officer for RDC tenants is the housing solution manager
3.2	…the complaint handler appointed must have appropriate complaint handling skills and no conflicts of interest.	Yes	Complaint officer is all up to date on their complaint handling training.
3.3	Complaint handlers should: be able to act sensitively and fairly be trained to handle complaints and deal with distressed and upset residents have access to staff at all levels to facilitate quick resolution of complaints have the authority and autonomy to act to resolve disputes quickly and fairly.	Yes	Complaint handler is housing solution manager

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.		We have yet to receive our first RDC tenant complaint (May 2023)
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.		We have yet to receive our first RDC tenant complaint (May 2023)
4.6	A complaint investigation must be conducted in an impartial manner.		We have yet to receive our first RDC tenant complaint (May 2023)
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.		We have yet to receive our first RDC tenant complaint (May 2023)
4.11	Landlords must adhere to any reasonable arrangements agreed with residents in terms of frequency and method of communication		We have yet to receive our first RDC tenant complaint (May 2023)
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.		We have yet to receive our first RDC tenant complaint (May 2023)
4.13	A landlord must include in its complaints policy its timescales for a resident to request escalation of a complaint		We have yet to receive our first RDC tenant complaint (May 2023)
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.		We have yet to receive our first RDC tenant complaint (May 2023)
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.		We have yet to receive our first RDC tenant complaint (May 2023) complaint recording in place.
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	ASB policy in place

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		We have yet to receive our first RDC tenant complaint (May 2023)
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.		We have yet to receive our first RDC tenant complaint (May 2023)
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.		We have yet to receive our first RDC tenant complaint (May 2023)
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.		We have yet to receive our first RDC tenant complaint (May 2023)
4.9	Communication with the resident should not generally identify individual members of staff or contractors.		We have yet to receive our first RDC tenant complaint (May 2023)
4.10	Landlords should keep residents regularly updated about the progress of the investigation.		We have yet to receive our first RDC tenant complaint (May 2023)
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.		We have yet to receive our first RDC tenant complaint (May 2023)
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		We have yet to receive our first RDC tenant complaint (May 2023)
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.		We have yet to receive our first RDC tenant complaint (May 2023)

Section 5 – Complaint stages

Mandatory ‘must’ requirements

Stage 1

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.		We have yet to receive our first RDC tenant complaint (May 2023)
5.2	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.		We have yet to receive our first RDC tenant complaint (May 2023)
5.3	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.		We have yet to receive our first RDC tenant complaint (May 2023)
5.4	Landlords must confirm the following in writing to the resident at the completion of stage one in clear, plain language: the complaint stage the decision on the complaint the reasons for any decisions made the details of any remedy offered to put things right details of any outstanding actions details of how to escalate the matter to stage two if the resident is not satisfied with the answer		We have yet to receive our first RDC tenant complaint (May 2023)

Stage 2

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.		We have yet to receive our first RDC tenant complaint (May 2023)
5.2	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.		We have yet to receive our first RDC tenant complaint (May 2023)
5.3	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.		We have yet to receive our first RDC tenant complaint (May 2023)
5.4	Landlords must confirm the following in writing to the resident at the completion of stage one in clear, plain language: the complaint stage the decision on the complaint the reasons for any decisions made the details of any remedy offered to put things right details of any outstanding actions details of how to escalate the matter to stage two if the resident is not satisfied with the answer		We have yet to receive our first RDC tenant complaint (May 2023)

Stage 3

Code Section	Code Requirement	Comply: Yes/No	Evidence, commentary and any explanations
5.11	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.		We have yet to receive our first RDC tenant complaint (May 2023)
5.12	Landlords must confirm the following in writing to the resident at the completion of stage three in clear, plain language: the complaint stage the complaint definition the decision on the complaint the reasons for any decisions made the details of any remedy offered to put things right details of any outstanding actions details of how to escalate the matter to the Housing Ombudsman Service if the resident remains dissatisfied		We have yet to receive our first RDC tenant complaint (May 2023)

Best practice ‘should’ requirements

Stage 1

Code Section	Code Requirement	Comply: Yes/No	Evidence, commentary and any explanations
5.13	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.		We have yet to receive our first RDC tenant complaint (May 2023)
5.14	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.		We have yet to receive our first RDC tenant complaint (May 2023)
5.15	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.		We have yet to receive our first RDC tenant complaint (May 2023)
5.16	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.		We have yet to receive our first RDC tenant complaint (May 2023)

Stage 2

Code Section	Code Requirement	Comply: Yes/No	Evidence, commentary and any explanations
5.17	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.		We have yet to receive our first RDC tenant complaint (May 2023)
5.18	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		We have yet to receive our first RDC tenant complaint (May 2023)

Stage 3

Code Section	Code Requirement	Comply: Yes/No	Evidence, commentary and any explanations
5.19	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.		We have yet to receive our first RDC tenant complaint (May 2023)
5.20	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.		We have yet to receive our first RDC tenant complaint (May 2023)

Section 6 – Putting things right

Mandatory ‘must’ requirements

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.		We have yet to receive our first RDC tenant complaint (May 2023)
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.		We have yet to receive our first RDC tenant complaint (May 2023)
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.		We have yet to receive our first RDC tenant complaint (May 2023)
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.		We have yet to receive our first RDC tenant complaint (May 2023)

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.		We have yet to receive our first RDC tenant complaint (May 2023)
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.		We have yet to receive our first RDC tenant complaint (May 2023)

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.		We have yet to receive our first RDC tenant complaint (May 2023)

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	We report to the audits and stands committee every year
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 orders Regular reviews of issues and trends arising from complaint handling The annual performance report produced by the Ombudsman, where applicable Individual 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	We report to the audits and stands committee every year
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.		We have yet to receive our first RDC tenant complaint (May 2023)
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 departments take collective responsibility for any shortfalls identified through complaints rather than blaming others act within the Professional Standards for engaging with complaints as set by the Chartered Institute of Housing.		We have yet to receive our first RDC tenant complaint (May 2023)

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	2022 is the first year that there is  Housing Management Team to manage the small stock of RDC accommodation.
8.2	Landlords must also carry out a self-assessment following a significant restructure and/or change in procedures.	N/A	We have not had a restructure or change in procedures
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 members publish the outcome of their assessment on their website if they have one, or otherwise make accessible to residents include the self-assessment in their annual report section on complaints handling performance	Yes	This is our first self-assessment since having Housing Management Team in place with a small  amount of stock (that is increasing). Annually the team will feed back to Members through the Housing, Homelessness and Rough Sleeping Strategy. There is a space on our website to include this one and a report is due out to tenants at Christmas, this will be included.