Self Assessment Form

Appendix B – Self-Assessment Form

We carry out an annual review of our complaints process against the Housing Ombudsman Code. This is to ensure our complaint handling remains in line with requirements, and that we are providing the best possible service for residents.

This self-assessment form is 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.

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Section 1: Definition of a complaint

Code provision	Code requirement	Comply: Yes / No	Evidence	Commentary / explanation
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.’	Yes	Complaints and Compliments Policy	Evidence can be found in our Complaints and Compliments Policy under ‘What is a complaint?’ section
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.	Yes	Complaints and Compliments Policy	When receiving feedback from residents or a third party, the resident will always be asked if they would like their issue raising as a formal complaint or service request. The differences will be explained at the point of contact with the resident before progressing down either route.
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.	Yes	Complaints and Compliments Policy	Evidence can be found in our Complaints and Compliments Policy under ‘What is a request for service?’ section
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.	Yes	Complaints and Compliments Policy	Evidence can be found in our Complaints and Compliments Policy under ‘What is a request for service?’ section
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.	Yes	Complaints and Compliments Policy	Future surveys will include a link ‘How to make a complaint’ Our Complaints and Compliments Policy explains how to make a complaint, and sets out how a resident can expect this to be handled

Section 2: Exclusions

Code provision	Code requirement	Comply: Yes / No	Evidence	Commentary / explanation
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	Yes	Complaints and Compliments Policy	Evidence can be found in our Complaints and Compliments Policy under ‘Exclusions’ section
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.	Yes	Complaints and Compliments Policy	Evidence can be found in our Complaints and Compliments Policy under ‘Exclusions’ section
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.	Yes	Complaints and Compliments Policy	Evidence can be found in our Complaints and Compliments Policy under ‘Exclusions’ section
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.	Yes	Complaints and Compliments Policy	Evidence can be found in our Complaints and Compliments Policy under ‘Exclusions’ section
2.5	Landlords must not take a blanket approach to excluding complaints; they must consider the individual circumstances of each complaint.	Yes	Complaints and Compliments Policy	Evidence can be found in our Complaints and Compliments Policy under ‘Exclusions’ section

Section 3: Accessibility and Awareness

Code provision	Code requirement	Comply: Yes / No	Evidence	Commentary / explanation
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.	Yes	Complaints and Compliments Policy Customer Feedback Form	Evidence can be found in our Complaints and Compliments Policy under ‘Equality and Acessibility’ section
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.	Yes	Complaints and Compliments Policy	Evidence can be found in our Complaints and Compliments Policy under ‘Equality and Acessibility’ section and ‘Complaints Procedure and Guidance’
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.	Yes	Complaints and Compliments Policy	Evidence can be found in our Complaints and Compliments Policy introduction
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.	Yes	Available on MCC Housing Services Website: Complaints and Compliments Policy	Evidence can be found in our Complaints and Compliments Policy under ‘Complaints process and timescales’ section
3.5	The policy must explain how the landlord will publicise details of the complaints policy, including information about the Ombudsman and this Code.	Yes	Complaints and Compliments Policy	Evidence can be found in our Complaints and Compliments Policy under ‘Exclusions’ section
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.	Yes	Complaints and Compliments Policy	Evidence can be found in our Complaints and Compliments Policy introduction and under ‘Support for complainants’ section
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.	Yes	Complaints and Compliments Policy	Evidence can be found in our Complaints and Compliments Policy under ‘Complaints process and timescales’ section

Section 4: Complaint Handling Staff

Code provision	Code requirement	Comply: Yes / No	Evidence	Commentary / explanation
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.	Yes	Complaints and Compliments Policy	Our Resident Experience Team includes a team dedicated to Complaint Handling. MCC employs a dedicated ‘Complaints and Feedback Officer’ and this person is supported by ‘Complaints Resolutions Officers’ who log, track and respond to all complaints as per the Code. The team are led by the Resident Experience Manager who is highly skilled and trained in Complaint Handling and the Ombudsman’s Code of Practice
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.	Yes	Complaints and Compliments Policy Compensation Policy	Resident Experience colleagues have the autonomy and authority to resolve customer dissatisfaction by working collaboratively with colleagues across all service areas. The Compensation Policy provides Resident Experience staff with the autonomy to make decisions which can facilitate prompt resolution of complaints, where there is evidence of a service failure
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	Yes	Annual Complaints and Service Improvement Report	Regular training sessions are facilitated by the Resident Experience Team. Managers receive regular briefings and performance data in relation to complaints.

Section 5: The Complaint Handling Process

Section 6: Complaints Stage

Stage 1

Code provision	Code requirement	Comply: Yes / No	Evidence	Commentary / explanation
6.1	Landlords must have processes in place to consider which complaints can be responded to as early as possible, and which require further investigation. Landlords must consider factors such as the complexity of the complaint and whether the resident is vulnerable or at risk. Most stage 1 complaints can be resolved promptly, and an explanation, apology or resolution provided to the resident.	Yes	Complaints and Compliments Policy	Evidence can be found in our Complaints and Compliments Policy under ‘Complaints process and timescales’ section
6.2	Complaints must be acknowledged, defined and logged at stage 1 of the complaints procedure within five working days of the complaint being received.	Yes	Complaints and Compliments Policy	Evidence can be found in our Complaints and Compliments Policy under ‘Complaints process and timescales’ section
6.3	Landlords must issue a full response to stage 1 complaints within 10 working days of the complaint being acknowledged.	Yes	Complaints and Compliments Policy	Evidence can be found in our Complaints and Compliments Policy under ‘Complaints process and timescales’ section
6.4	Landlords 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 10 working days without good reason, and the reason(s) must be clearly explained to the resident.	Yes	Complaints and Compliments Policy	Residents will be contacted directly if an extension is required, and this will be agreed with the Resident before adding it as an action on the case management system. This action is recorded to ensure an audit trail of agreement and contact made.
6.5	When an organisation informs a resident about an extension to these timescales, they must be provided with the contact details of the Ombudsman.	Yes	Complaints and Compliments Policy	All letter templates include details for the Ombudsman, as does the Complaints and Compliments Policy
6.6	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.	Yes	Complaints and Compliments Policy	Evidence can be found in our Complaints and Compliments Policy under ‘Complaints process and timescales’ section
6.7	Landlords 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.	Yes	Complaints and Compliments Policy	Evidence can be found in our Complaints and Compliments Policy under ‘Complaints process and timescales’ section
6.8	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.	Yes	Complaints and Compliments Policy	Evidence can be found in our Complaints and Compliments Policy
6.9	Landlords must 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.	Yes	Complaints and Compliments Policy	All letters are sent by a dedicated Complaint Handling team who ensure they meet the required criteria, as set out in the Ombudsman’s Code.

Stage 2

Code provision	Code requirement	Comply: Yes / No	Evidence	Commentary / explanation
6.10	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 landlord’s procedure. Stage 2 is the landlord’s final response.	Yes	Complaints and Compliments Policy	Evidence can be found in our Complaints and Compliments Policy under ‘Complaints process and timescales’ section
6.11	Requests for stage 2 must be acknowledged, defined and logged at stage 2 of the complaint's procedure within five working days of the escalation request being received.	Yes	Complaints and Compliments Policy	Evidence can be found in our Complaints and Compliments Policy under ‘Complaints process and timescales’ section
6.12	Residents must not be required to explain their reasons for requesting a stage 2 consideration. Landlords are expected to make reasonable efforts to understand why a resident remains unhappy as part of its stage 2 response.	Yes	Complaints and Compliments Policy	Evidence can be found in our Complaints and Compliments Policy under ‘Complaints process and timescales’ section
6.13	The person considering the complaint at stage 2 must not be the same person that considered the complaint at stage 1.	Yes	Complaints and Compliments Policy	Evidence can be found in our Complaints and Compliments Policy under ‘Complaints process and timescales’ section
6.14	Landlords must issue a final response to the stage 2 within 20 working days of the complaint being acknowledged.	Yes	Complaints and Compliments Policy	Evidence can be found in our Complaints and Compliments Policy under ‘Complaints process and timescales’ section
6.15	Landlords 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.	Yes	Complaints and Compliments Policy	Residents will be contacted directly if an extension is required, and this will be agreed with the Resident before adding it as an action on the case management system. This action is recorded to ensure an audit trail of agreement and contact made.
6.16	When an organisation informs a resident about an extension to these timescales, they must be provided with the contact details of the Ombudsman.	Yes	Complaints and Compliments Policy	All letter templates include details for the Ombudsman, as does the Complaints and Compliments Policy
6.17	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.	Yes	Complaints and Compliments Policy	Evidence can be found in our Complaints and Compliments Policy under ‘Complaints process and timescales’ section
6.18	Landlords 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.	Yes	Complaints and Compliments Policy	All letters are sent by a dedicated Complaint Handling team who ensure they meet the required criteria, as set out in the Ombudsman’s Code.
6.19	Landlords 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.	Yes	Complaints and Compliments Policy	All letters are sent by a dedicated Complaint Handling team who ensure they meet the required criteria, as set out in the Ombudsman’s Code.
6.20	Stage 2 is the landlord’s final response and must involve all suitable staff members needed to issue such a response.	Yes	Complaints and Compliments Policy	Evidence can be found in our Complaints and Compliments Policy under ‘Complaints process and timescales’ section

Section 7: Putting things right

Code provision	Code requirement	Comply: Yes / No	Evidence	Commentary / explanation
7.1	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. 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.	Yes	Complaints and Compliments Policy	All letters are sent by a dedicated Complaint Handling team who ensure they meet the required criteria, as set out in the Ombudsman’s Code.
7.2	Any remedy offered must reflect the impact on the resident as a result of any fault identified.	Yes	Complaints and Compliments Policy Compensation Policy	The Compensation Policy sets out clear guidance for staff to ensure any remedy offered fairly reflect the impact the situation has had on the resident.
7.3	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.	Yes	Complaints and Compliments Policy	All letters are sent by a dedicated Complaint Handling team who ensure they meet the required criteria, as set out in the Ombudsman’s Code.
7.4	Landlords must take account of the guidance issued by the Ombudsman when deciding on appropriate remedies.	Yes	Complaints and Compliments Policy Compensation Policy	The Compensation Policy is aligned to the Housing Ombudsman’s remedies guidance, and it sets out clear guidance for staff who are required to decide on an appropriate remedy to a complaint.

Section 8: Self-assessment, reporting and compliance

Code provision	Code requirement	Comply: Yes / No	Evidence	Commentary / explanation
8.1	Landlords must produce an annual complaints performance and service improvement report for scrutiny and challenge, which must include: a. the annual self-assessment against this Code to ensure their complaint handling policy remains in line with its requirements. b. a qualitative and quantitative analysis of the landlord’s complaint handling performance. This must also include a summary of the types of complaints the landlord has refused to accept; c. any findings of non-compliance with this Code by the Ombudsman; d. the service improvements made as a result of the learning from complaints; e. any annual report about the landlord’s performance from the Ombudsman; and f. any other relevant reports or publications produced by the Ombudsman in relation to the work of the landlord.	Yes	Annual Complaints and Service Improvement Report	All required information is contained within our Annual Complaints and Service Improvement Report
8.2	Any remedy offered must reflect the impact on the resident as a result of any fault identified.	Yes	Annual Complaints and Service Improvement Report	This report has been published on our website by the deadline 30/06/2024, but the Governing Body’s response cannot be collected until the next Housing Advisory Board meeting on 18th July 2024. Once reviewed, the governing body will publish its response. This will be completed by 26th July 2024, after which this item will be compliant and this self-assessment will be updated.
8.3	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.	Yes		A new ‘Target Operating Model’ is in the process of being implemented across Housing Services. This self-assessment coincides with this and takes account of the new structures and working arrangements.
8.4	Landlords must take account of the guidance issued by the Ombudsman when deciding on appropriate remedies.	Yes		Following findings of Severe Maladministration in 2023/24, MCC has undertaken a full review of its services and looked at compliance with the Ombudsman’s Complaint Handling Code and the Regulator of Social Housing’s Consumer Regulations. Full and thorough updates have been provided to both the Housing Ombudsman and Regulator of Social Housing, to provide assurance of learning and service improvement.
8.5	If a landlord is unable to comply with the Code due to exceptional circumstances, such as a cyber incident, they must inform the Ombudsman, provide information to residents who may be affected, and publish this on their website Landlords must provide a timescale for returning to compliance with the Code.	Yes		MCC is aware of the requirement to ‘self-refer’ in the event of a breach of compliance. Should residents be affected, all media channels and face-to-face locations will be used to convey messages to residents.

Section 9: Scrutiny & oversight: continuous learning and improvement

Code provision	Code requirement	Comply: Yes / No	Evidence	Commentary / explanation
9.1	Landlords must look beyond the circumstances of the individual complaint and consider whether service improvements can be made because of any learning from the complaint.	Yes	Annual Complaints and Service Improvement Report	‘Deep dives’ are done in a proportion of complex cases, to help identify root-causes of service failure and areas for improvement.
9.2	A positive complaint handling culture is integral to the effectiveness with which landlords resolve disputes. Landlords must use complaints as a source of intelligence to identify issues and introduce positive changes in service delivery.	Yes	Annual Complaints and Service Improvement Report	This report has been published on our website by the deadline 30/06/2024, but the Governing Body’s response cannot be collected until the next Housing Advisory Board meeting on 18th July 2024. Once reviewed, the governing body will publish its response. This will be completed by 26th July 2024, after which this item will be compliant and this self-assessment will be updated.
9.3	Accountability and transparency are also integral to a positive complaint handling culture. Landlords must report back on wider learning and improvements from complaints to stakeholders, such as residents’ panels, staff and relevant committees.	Yes	Annual Complaints and Service Improvement Report	This is running agenda item for the Housing Advisory Board, who meet quarterly. Our ‘member responsible for complaints’ provides scrutiny over this and seeks assurance that there is a positive complaint handling culture, and that this is clearly evidenced and includes Resident Voice throughout.
9.4	Landlords must appoint a suitably senior lead person as accountable for their complaint handling. This person must assess any themes or trends to identify potential systemic issues, serious risks, or policies and procedures that require revision.	Yes		The Strategic Lead for Resident Experience is the appointed person to feedback complaints performance to Senior Leadership Teams and the Housing Advisory Board.
9.5	In addition to this a member of the governing body (or equivalent) must be appointed to have lead responsibility for complaints to support a positive complaint handling culture. This person is referred to as the Member Responsible for Complaints (‘the MRC’).	Yes		This is an elected member of the Housing Advisory Board and for 2024/25 this is Cllr Paula Appelby
9.6	The MRC will be responsible for ensuring the governing body receives regular information on complaints that provides insight on the landlord’s complaint handling performance. This person must have access to suitable information and staff to perform this role and report on their findings.	Yes	Annual Complaints and Service Improvement Report	There will be regular updates from Strategic Leads and the MRC will have access to any relevant info needed from staff on complaints performance for any selected time frame.
9.7	As a minimum, the MRC and the governing body (or equivalent) must receive: a. regular updates on the volume, categories and outcomes of complaints, alongside complaint handling performance; b. regular reviews of issues and trends arising from complaint handling; c. regular updates on the outcomes of the Ombudsman’s investigations and progress made in complying with orders related to severe maladministration findings; and d. annual complaints performance and service improvement report.	Yes	Annual Complaints and Service Improvement Report	All of the required information will be included in packs provided to the Housing Advisory Board and reviewed as a standing item. Meetings / reviews outside of this will be conducted by relevant Strategic Lead and MRC, as required.
9.8	Landlords must have a standard objective in relation to complaint handling for all relevant employees or third parties that reflects the need to: a. have a collaborative and co-operative approach towards resolving complaints, working with colleagues across teams and departments; b. take collective responsibility for any shortfalls identified through complaints, rather than blaming others; and c. act within the professional standards for engaging with complaints as set by any relevant professional body.	Yes	Complaints and Compliments Policy	Any person responding to a complaint will take ownership of all aspects of the complaint and co-ordinate a single response for the Resident, agreeing with them what remedial action needs to be taken within an agreed timescale. Where agreement cannot be reached this needs to be explained and full reasons given. They are expected to work collaboratively between departments when dealing with complaints, that include issues from various service areas. One Manager will take ownership of the complaint and work alongside other Managers to provide a full response that addresses all aspects of the original complaint.