Complaint Handling Code 2026
We want to respond to your complaints fairly and effectively. This code helps us do just that.
Peaks & Plains Complaints Self-Assessment and Report
We look at the way we handle complaints every year.
This is our 2026 Self-Assessment and Annual Report - showing how we comply with the Housing Ombudsman's Complaints Handling Code.
Our customer’s complaints help us better understand people’s experiences and identify where we can make positive improvements.
As the complaints we receive become more complex and reflect a wider range of customer experiences, we remain committed to responding with empathy, openness, and accountability. By acting on what our customers tell us, we can make meaningful improvements to our services that provide better outcomes for everyone.
Amanda Newton, Board Member Responsible for Complaints
Our Annual Self-Assessment
This Self-Assessment shows how we are complying and working in line with the Housing Ombudsman's Complaint Handling Code.
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 |
Send us a complaint (peaksplains.org)
Complaints Process and Procedure
|
The Ombudsman's definition of a complaint is included in the Peaks & Plains Housing Trust Complaints Policy and procedure (4.1.6). The definition is also used during training given to complaints handlers at the Trust. |
|
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 |
Send us a complaint (peaksplains.org)
|
Expressions of dissatisfaction from customers, advocates or third parties are logged on the Trust’s CRM system, including when the word ‘complaint’ is not used by the customer. Contacts are triaged by the Customer Experience team to ensure the issue is logged appropriately. This is also overseen by the Complaints Team Coordinators. The Trust accepts complaints from advocates and third parties such as Councillors or MPs acting on behalf of customers.
|
|
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 |
Send us a complaint (peaksplains.org)
|
The Ombudsman's definition of a service request is included in the Trust’s Complaints policy and procedure (4.1.4).
Service requests are logged on the Trust’s CRM system and given to the relevant team to contact the customer and action within three working days. Daily reporting is issued to managers and members of the Executive Management Team to monitor the delivery of service requests. |
|
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 |
Send us a complaint (peaksplains.org)
|
Service requests that have not been completed within three working days will be escalated to Investigation/ Stage 1 of the complaints process.
Staff receive ongoing training and have access to the complaints training site to recognise when a customer is making a complaint, and to respond to accordingly within the given timescale. |
|
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 |
www.surveymonkey.co.uk/r/PPHTcomplaints
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Customers are sent a transactional satisfaction surveys with their complaint response letter to complete, providing customers with the opportunity to give feedback on the complaints service. Customers who complete the surveys and express dissatisfaction will be contacted by the Complaints Team periodically. This procedure will be strengthened so that all customers expressing dissatisfaction within these surveys will be contacted by the Complaints Team. Customers who have expressed dissatisfaction within their Tenant Satisfaction Measures (TSM) surveys are contacted by the appropriate teams. Dissatisfaction received is viewed as an opportunity to improve services, and to promote our complaints process to ensure that customers know how to make a complaint. |
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 |
|
All complaints are accepted unless the issue does not meet the definitions, as outlined in Section 2 of The Ombudsman’s Complaints Handling Code and section 4.2 of the Trust’s Complaints Policy.
Customers are advised in writing of the reasons why the Trust has refused to escalate a complaint, and they are provided with the HOS contact details if they wish to escalate this further. Customers can also discuss this with the Complaints Coordinators. |
|
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 |
|
These exclusions are set out in section 4.2 of the complaints policy. The Complaints Coordinators will advise customers in writing of the reasons why we have refused to escalate a complaint. The Trust will use discretion on a case-by-case basis when making these decisions, so that we provide a fair and reasonable complaints process. |
|
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 |
|
The Trust accepts complaints from customers, unless it falls under an exclusion in section 4.2 of the Trust’s Complaints Policy. We will advise customers in writing of the reasons why we have refused to escalate a complaint but will use discretion on a case-by-case basis when deciding. Customers can also discuss their case with the Complaints Coordinators. |
|
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 |
This is detailed in the Complaints Policy within the exclusions Section 4.2. We will advise customers in writing of the reasons why we have refused to escalate a complaint and provide the contact details of the HOS to customers. Customers can also discuss their case with the Complaints Team. |
|
|
2.5 |
Landlords must not take a blanket approach to excluding complaints; they must consider the individual circumstances of each complaint. |
Yes |
https://www.peaksplains.org/your-voice/compliments-and-complaints/
|
Before a decision is made not to accept a complaint, the Complaints Coordinators and a Manager or Senior Manager, will ascertain the individual merits of any complaint that falls within the exclusions set out in Section 2 of the Complaint Handling Code and within the complaints exclusions as outlined in Section 4.2 of the Trust’s Complaints Policy before a decision is reached not to accept a complaint. |
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 |
Compliments and complaints - what to do when things go wrong
Equality, diversity and inclusion (EDI)
Equality, Diversity and Inclusion Policy.docx
Reasonable Adjustments Policy.docx
|
Customers can make a complaint via their preferred channel:
This is explained in the customer complaints section of our website, on the complaints infographic leaflet and detailed in the Complaints Policy. When a complaint is raised, staff are trained to ask whether any adjustments are needed so the complaint can be handled appropriately. Any agreed adjustments are recorded on our CRM system. On the Trust's CRM system, 'flags' are added to the customer's file so staff can quickly recognise customer vulnerabilities including their mental health or physical disabilities and can make any necessary reasonable adjustments when interacting with customers. The Trust has an EDI Policy. All staff undergo regular EDI training. An EDI Forum operates within the Trust where issues relating to EDI are discussed. In addition, all staff have a standard objective around demonstrating a commitment to EDI at all levels of Trust activity within their personal development and performance assessments. In 2026, the Trust's customer Scrutiny Panel reviewed reasonable adjustments for customers, including looking at the website accessibility. Recommendations from the panel will be implemented across the Trust. |
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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. |
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Compliments and complaints - what to do when things go wrong
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Staff and managers receive complaints training, which is supported by the guidance provided in the complaints policy, procedure and compensation policies. Mandatory training on how to recognise and log service requests and complaints is undertaken by new staff who are complaints handlers. Refresher training is also provided to complaints handlers and existing staff who have taken on complaints handling responsibilities.
Staff also have access to an online Training site and are encouraged to take online courses by the Housing Ombudsman Service. |
|
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 |
peaksplains.org/your-voice/compliments-and-complaints/lessons-learned/
Compliments and complaints - what to do when things go wrong |
The Trust welcomes customer complaints and feedback, recognising that it empowers customers to play an active role in improving services for themselves and others.
The customer Challenge Group receives quarterly complaints data and TSM reports so that they are kept up-to-date with the Trusts performance.
Lessons Learnt from previous complaints are used to facilitate service improvements and are detailed on the Trust’s website. |
|
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 |
|
The Complaints Policy is available on our website. Customers may request a hard copy, large print or translation of the policy which the Complaints Team will arrange. There is also a ‘Sight Accessibility’ feature on the website, to ensure inclusivity in communication with customers. The Trust has a Reasonable Adjustments policy which can be used in conjunction with the Complaints Policy to ensure that customers who need additional support in understanding and navigating the complaints service will have access to it.
|
|
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 |
Send us a complaint (peaksplains.org)
Compliments and complaints - what to do when things go wrong
peaksplains.org/your-voice/compliments-and-complaints/2025-complaint-handling-code/ |
The Trust publishes its Complaints Policy on our website. The Complaints policy contains information about the complaints process, the Housing Ombudsman and the Ombudsman Complaint Handling Code. Details about the Complaints Policy is also published in the Trusts newsletters and is available in other accessible formats. The Trust issues a complaints infographic leaflet explaining the process with every complaint acknowledgement letter.
The Housing Ombudsman Service and its contact details are referenced in each of these publications, and the Housing Ombudsman Services contact details are included on complaints response letters. |
|
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 |
|
The Trust’s Complaints Policy confirms that we accept complaints from customer representatives in section 5.7 providing we can confirm authority is in place to discuss personal information relevant to the case. Customers are advised that they can be accompanied or have a representative with them when meeting them to discuss a case. |
|
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 |
Compliments and complaints - what to do when things go wrong |
This is detailed in the Trust’s Complaints Policy and included with |
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 |
|
Currently, the Complaints Team consists of two Complaints Coordinators and a Customer Voice & Communications Manager supported by the Assistant Director of Governance and Assurance. They work closely with all teams to provide a detailed investigation and complaints response to the customer. Managers or another appropriate person is responsible for Stage 1 ‘Investigations’ and Senior Managers or another appropriate person for Stage 2 ‘Reviews.’ |
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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 |
|
The Complaints Coordinators and Customer Voice & Communications Manager have access to staff at all levels to facilitate the prompt resolution of complaints and the authority and autonomy to act to resolve disputes promptly and fairly.
Complaints Coordinators receive ongoing training and coaching as required to handle complaints effectively, and to keep aware of statutory requirements, for example Awaab’s law. They are empowered to collaborate with staff at all levels to ensure timely responses and escalate issues when needed via the Customer Voice & Communications Manager. |
|
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 |
|
The Complaints Coordinators and Customer Voice & Communications Manager have access to staff at all levels to facilitate the prompt resolution of complaints and the authority and autonomy to act to resolve disputes promptly and fairly.
Complaints Coordinators receive ongoing training and coaching as required to handle
|
Section 5: The Complaint Handling Process
|
Code provision |
Code requirement |
Comply: Yes / No |
Evidence |
Commentary / explanation |
|
5.1 |
Landlords must have a single policy in place for dealing with complaints covered by this Code. Residents must not be treated differently if they complain. |
Yes |
|
The Trust have one Complaints Policy in place for the complaints service. All customers will be treated with respect and not treated differently following any complaint made and can still access all other services without experiencing any unfair treatment.
|
|
5.2 |
The early and local resolution of issues between landlords and residents is key to effective complaint handling. It is not appropriate to have extra named stages (such as ‘stage 0’ or ‘informal complaint’) as this causes unnecessary confusion. |
Yes |
|
The Trust has a two stage complaints process. Service requests are used for customers in the first instance as a quick fix to put ‘something right’. The customer will be contacted within three working days. Staff attempt to reach a resolution to any complaints as quickly as possible. |
|
5.3 |
A process with more than two stages is not acceptable under any circumstances as this will make the complaint process unduly long and delay access to the Ombudsman. |
Yes |
Send us a complaint (peaksplains.org)
|
The Trust operates a two stage complaints process; Stage 1 (Investigation) with a 10 working days response, and Stage 2 (Review) with a 20 working days response) in line with the Code. |
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5.4 |
Where a landlord’s complaint response is handled by a third party (e.g. a contractor or independent adjudicator) at any stage, it must form part of the two stage complaints process set out in this Code. Residents must not be expected to go through two complaints processes.
|
Yes |
|
The Trust takes full responsibility for all complaint responses involving third party contractors. These cases are managed within the existing two-part complaints process, ensuring that customers only have one process to follow, as per the Trusts Complaints Policy. |
|
5.5 |
Landlords are responsible for ensuring that any third parties handle complaints in line with the Code. |
Yes |
|
The Trust is responsible for all complaint responses and will manage complaints in line with its Complaints Policy and the Ombudsman Complaints Handling Code. Information may be sought from third parties during investigations, or information may be shared with third- party contractors following GDPR guidelines so that they can investigate the conduct of their employees and take appropriate internal action. The complaints process remains under the Trust’s control, with any actions relating to contractors managed by the Trust’s contract managers. |
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5.6 |
When a complaint is logged at Stage 1 or escalated to Stage 2, landlords must set out their understanding of the complaint and the outcomes the resident is seeking. The Code will refer to this as “the complaint definition”. If any aspect of the complaint is unclear, the resident must be asked for clarification. |
Yes |
|
The Complaints Coordinators have undergone training to write acknowledgement letters and to include the reasons for the complaint – demonstrating understanding of the complaint and desired outcomes in writing. If the issues are not clear, the Coordinator will contact the customer to discuss in more detail. The Investigating Officer will also contact the customer to discuss the complaint further as part of their investigation. Response letters start with standardised templates which make it clear that the definition of the complaint is referenced. Customer Experience Advisors will ask what outcomes the resident is seeking when logging a complaint. This is also asked when logging a complaint via the website. |
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5.7 |
When a complaint is acknowledged at either stage, landlords must be clear which aspects of the complaint they are, and are not, responsible for and clarify any areas where this is not clear. |
Yes |
Send us a complaint (peaksplains.org)
|
The Complaints Coordinators use a template letter to acknowledge complaints and has undergone training to break down the reasons for the complaint and gain an understanding of how the complaint can be resolved. They will explain reasons if there are any aspects of the complaint the Trust may not be responsible for. The Investigating. The Complaint Investigator is also responsible for ensuring all areas of the complaint are addressed in the response letter. They will also contact the customer to discuss the complaint further as part of their investigation and to ensure clarity on each point raised. |
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5.8 |
At each stage of the complaints process, complaint handlers must:
a. deal with complaints on their merits, act independently, and have an open mind;
b. give the resident a fair chance to set out their position;
c. take measures to address any actual or perceived conflict of interest; and
d. consider all relevant information and evidence carefully.
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|
Send us a complaint (peaksplains.org)
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a) Our values guide how we operate: · We are one team with one goal · We are solution focused · We are customer focused but business minded · We are reliable and do the right thing · We are respectful and celebrate our differences Therefore, as per our values (b) we welcome complaints from our customers and treat each one fairly and are transparent in our dealings with our customers. (c) If there are any areas where conflict of interest is believed to be present, steps are taken to ensure that this has no impact on the investigation. (d) Staff use an evidence-based approach where possible, and complaints are triaged to the appropriate experts within service areas to resolve. When reviewing complaints response letters the Complaints Coordinators, use an internal checklist to monitor whether complaints responses written by different teams meet this threshold |
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5.9 |
Where a response to a complaint will fall outside the timescales set out in this Code, the landlord must agree with the resident suitable intervals for keeping them informed about their complaint. |
Yes |
Send us a complaint (peaksplains.org)
|
In cases where an extension is required, the Investigating Officer will contact the customer to agree a new date and explain the reasons why there is a delay. In cases where the customer does not accept the change in timescales, the Housing Ombudsman contact details are also provided.
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5.10 |
Landlords must make reasonable adjustments for residents where appropriate under the Equality Act 2010. Landlords must keep a record of any reasonable adjustments agreed, as well as a record of any disabilities a resident has disclosed. Any agreed reasonable adjustments must be kept under active review. |
Yes |
Reasonable Adjustments Policy.docx
Equality, Diversity and Inclusion Policy.docx
Vulnerable Persons Policy.docx
|
The Trust has an EDI Policy. All staff undergo regular EDI training. An EDI Forum operates within the Trust with the opportunity where complaints relating to EDI are discussed. The Complaints Policy has been subject to an Equality Impact Assessment. When a complaint is made, staff ask if there are any reasonable adjustments we need to be aware of to handle the complaint in the best way possible.
The Trust has a Reasonable Adjustments and a Vulnerable Persons Policy to support this approach. When a customer complains via the website, this question is also asked as part of the online form. Vulnerabilities are logged on the customer account, and a flag is attached to the account entry. |
|
5.11 |
Landlords must not refuse to escalate a complaint through all stages of the complaints procedure unless it has valid reasons to do so. Landlords must clearly set out these reasons, and they must comply with the provisions set out in section 2 of this Code. |
Yes |
This is covered in the Complaints Policy (4.2). We will advise customers in writing of the reasons why if we are unable to escalate a complaint although it is rare that we will do so. The Trust keeps a record of any refusals |
|
|
5.12 |
A full record must be kept of the complaint, 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 relevant supporting documentation such as reports or surveys.
|
Yes |
Open Housing CRM |
All case records are held on our Customer Relationship Management (CRM) system Open Housing and all relevant documentation regarding the case will be stored in online files. The information includes: · The date the complaint was received · When it was acknowledged and all responses · All evidence and correspondence · Notes from any associated interactions and phone calls · The outcome, including remedies offered This information is also backed up on the internal complaints drive. |
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5.13 |
Landlords must have processes in place to ensure a complaint can be remedied at any stage of its complaints process. Landlords must ensure appropriate remedies can be provided at any stage of the complaints process without the need for escalation. |
Yes |
|
As appropriate complaints can be remedied at any part of the complaint’s process, so that customers are not unnecessarily delayed or disadvantaged.
|
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5.14 |
Landlords must have policies and procedures in place for managing unacceptable behaviour from residents and/or their representatives. Landlords must be able to evidence reasons for putting any restrictions in place and must keep restrictions under regular review. |
Yes |
|
The Trust has a Fairness & Respect Policy, which is reviewed by the Trust’s involved customers/Challenge Group and approved by the Board. The policy outlines our approach to managing unacceptable behaviour a revised policy will published on the Trust’s website.
|
|
5.15 |
Any restrictions placed on contact due to unacceptable behaviour must be proportionate and demonstrate regard for the provisions of the Equality Act 2010. |
Yes |
Equality, Diversity and Inclusion Policy.docx
|
This approach is considered and detailed in the EDI and Fairness and Respect Policies. |
Section 6: Complaints Stages
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 |
|
Contacts are triaged by the Customer Experience team and the Complaints Coordinators to ensure the customers concerns |
|
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 |
Send us a complaint (peaksplains.org)
|
All complaints are acknowledged within five working days of receiving the complaint by the Complaints team, as per our Complaints policy. |
|
6.3 |
Landlords must issue a full response to stage 1 complaints within 10 working days of the complaint being acknowledged. |
Yes |
Send us a complaint (peaksplains.org)
|
Our Stage 1 response timescale is 10 working days. Performance is measured and reported at our monthly Performance Management Group, quarterly Senior Leadership Team and quarterly to our also our Customer Challenge Group. Performance is also reported to the Board and via our TSM Submissions.
All complaint handling staff have received training to conduct investigations within 10 working days. The responses are quality checked by the Complaints Team ahead of them being sent to the customer. |
|
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 |
Send us a complaint (peaksplains.org)
|
The Trust aims to ascertain as quickly as possible whether a complaint is likely to require an extension beyond the 10 working days target. In cases where an extension is required, the Investigating Officer will contact the customer regarding a new date and explain the reasons why. The Housing Ombudsman contact details are also provided to customers. |
|
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 |
Send us a complaint (peaksplains.org)
|
The Complaints Coordinators includes the Ombudsman contacts details when advising of an extension of timescales. Customers are also regularly reminded of their right to approach the Housing Ombudsman during all stages of their complaint. |
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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 |
Send us a complaint (peaksplains.org)
|
Staff are expected to provide the response letter once the investigation is complete within the given timescales. Outstanding actions are the responsibility of the Investigating Manager to monitor and action and keep the customer informed. The Investigation response includes the following details: · The complaint stage · The definition of the complaint · The customers desired outcome · The decision of the complaint (upheld / not upheld) · The reasons for the decisions made · Remedies · Details of any outstanding issues · Details about how to escalate to Stage 2 if the customer is not happy with the response · The Housing Ombudsman’s contact details.
Outstanding actions are currently recorded by the Complaints Coordinators and tracked via Pentana, an internal auditing software platform, so that the staff members responsible for completing actions can monitor the tasks up to completion. |
|
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 |
Send us a complaint (peaksplains.org)
|
The Investigating Officers are responsible for addressing each aspect of their complaint in the response letter, in line with the Complaints Policy and taking into consideration any statutory responsibilities.
Training materials can be accessed via the Trust’s e-learning system. A complaints letter template is used for guidance for staff as a checklist to help them address each point of the complaint.
The Complaints Coordinators also review the complaints response letters for staff, prior to sending to customers.
|
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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 |
Send us a complaint (peaksplains.org)
|
If any further issues emerge during the investigation, we will aim to address them within our original response where possible. If the issues are unrelated to the initial complaint, or if the response deadline is approaching, we will discuss with the customer whether to extend the response timescale or open a new complaint. |
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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 |
|
This is required as part of our Stage 1 and 2 response. The complaints letter templates guide the Investigating Officer to include in their response details about the complaint, stages, reason for the complaint, remedies, outstanding actions and how to remedy the complaints. The letter templates were also created following HOS guidance.
The complaints infographic and response letter templates have also been reviewed by the customer Scrutiny panel and Challenge Group to ensure that plain English is used and so that customers know what stage of the complaints process they are part of. |
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 |
Send us a complaint (peaksplains.org)
|
Within the written response to the Stage 1, customers are informed about their right to escalate to Stage 2 if they remain dissatisfied with with the first response. The Trust asks that the customer informs us within 28 days if they wish to escalate, but we would consider requests outside of that timeframe. We do not require a reason for the escalation as per the Housing Ombudsman code. |
|
6.11 |
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. |
Yes |
|
The Trust will acknowledge the escalation request within five working days. Our Stage 2 response timescale is 20 working days as per the Housing Ombudsman code.
|
|
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 |
|
The Trust does not require the customer to explain their reasons for escalating the complaint. The reasons for any dissatisfaction will be established as part of the case investigation. The Investigating Manager will contact the customer and offer a home visit at Stage 2 to aim to gain a better understanding of the desired outcome of the customer. |
|
6.13 |
The person considering the complaint at stage 2 must not be the same person that considered the complaint at stage 1. |
Yes |
|
Stage 2 complaints are allocated to a Senior Manager (or appropriate Manager) not previously involved in the Stage1 response |
|
6.14 |
Landlords must issue a final response to the stage 2 within 20 working days of the complaint being acknowledged. |
Yes |
|
The Stage 2 complaints response letter will be concluded within 20 working days. Where this is not possible, the customer will be advised and informed about the reason why. |
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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 |
|
In cases where an extension is required, the Investigating Officer will contact the customer to agree a new date and explain the reasons why.
In exceptional cases, if further time is required the reasons will be provided to the customer. |
|
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 |
|
In cases where an extension is required, the Investigating Officer will contact the customer to discuss a new date and explain the reasons for the extension. The Housing Ombudsman contact details are also provided to customers in all complaint correspondence and on our website. |
|
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 |
|
Stage 2 complaints may be closed with outstanding actions which are not able to be closed ahead of the response due date. The Complaint Investigation officer is responsible for remaining in contact with the customer about any outstanding actions. Outstanding actions are recorded and tracked in Pentana (risk and audit software.) |
|
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 |
|
All information is provided in the Stage 2 response letter. The response letters have been structured using the Housing Ombudsman’s guidance which ensures all the requirements are included. All staff responsible for dealing with complaints have received training and have access to training materials videos and guidance on our Share Point site. |
|
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 |
|
The response letters templates have been structured using the Housing Ombudsman’s guidance which ensures all the requirements are included when responses are sent to customers. |
|
6.20 |
Stage 2 is the landlord’s final response and must involve all suitable staff members needed to issue such a response. |
Yes |
|
The Complaints Coordinators allocates Stage 2 complaints to a Senior Manager or other appropriate person. Senior Managers and Investigating officers are supported by the Complaints team to respond to the customer. A training manual and videos are also available on our Complaints training Share Point site to offer further support staff. |
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 |
|
The Trust recognise that it is important to offer an apology early in the process when something has gone wrong.
There are several ways in which the Trust will offer an apology and remedy including:
|
|
7.2 |
Any remedy offered must reflect the impact on the resident as a result of any fault identified. |
Yes |
|
Training has been provided to staff to ensure that they take into consideration the impact of any fault/s on the customer. The Trust’s Compensation Policy and the Ombudsman’s guidance is considered to decide on the compensation awarded to customers, taking into consideration the circumstances of the complaint. The Trust’s Compensation Policy will be reviewed and updated as required. |
|
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 |
|
Where possible, the Trust will provide dates to complete any actions within the response letter. If this is not possible, it is the responsibility of the Investigation Officer to monitor and keep in touch with the customer, so they are aware when any outstanding actions will be completed.. |
|
7.4 |
Landlords must take account of the guidance issued by the Ombudsman when deciding on appropriate remedies. |
Yes |
|
The Trust’s Compensation Policy takes into account the guidance issued by the Housing Ombudsman and is used when considering remedies. |
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 |
Quarterly/annual report/website
peaksplains.org/your-voice/compliments-and-complaints/2025-complaint-handling-code/
peaksplains.org/your-voice/compliments-and-complaints/2025-complaint-handling-code/ |
The Trust produces quarterly and annual complaints reports which include a review of performance and learning outcomes from complaints. As well as learnings from HOS complaints determinations and Spotlight reports.
These reports are reviewed by the Senior Leadership Team, the Board and the customer Challenge Group..
|
|
8.2 |
The annual complaints performance and service improvement report must be reported to the landlord’s governing body (or equivalent) and published on the section of its website relating to complaints. The governing body’s response to the report must be published alongside this. |
Yes |
Quarterly/annual report/website |
The annual complaints performance report (containing a response from the Board) and self-assessment are reviewed by the Trust’s Board, Executive Team and the customer Challenge Group.
These documents will be published on the Trusts website by the 30 September 2026. |
|
8.3 |
Landlords must also carry out a self-assessment following a significant restructure, merger and/or change in procedures. |
Yes |
peaksplains.org/your-voice/compliments-and-complaints/2025-complaint-handling-code/
Annual Complaints Report & Self Assessment
|
An additional annual self-assessment will be completed and published by the Trust if required. |
|
8.4 |
Landlords may be asked to review and update the self-assessment following an Ombudsman investigation. |
Yes |
peaksplains.org/your-voice/compliments-and-complaints/2025-complaint-handling-code/
|
The Trust will abide by any instruction from the HOS to review and update its self-assessment following an Ombudsman investigation. The quarterly and annual reports are reviewed by the Trust’s Customer Challenge Group. |
|
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 |
peaksplains.org/your-voice/compliments-and-complaints/2025-complaint-handling-code/
|
Since 2020, the Trust has completed the self-assessment annually. In the event of significant changes, the Trust is aware of its obligations to review and publish any new self-assessment. |
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 as a result of any learning from the complaint. |
Yes |
peaksplains.org/your-voice/compliments-and-complaints/lessons-learnt/ |
Complaints are used as a tool to identify learning opportunities and to inform complaints training for staff. |
|
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 |
peaksplains.org/your-voice/compliments-and-complaints/2025-complaint-handling-code/
|
Since March 2026 to improve performance, a monthly Lessons Learnt meeting is held with the Performance Management Team and the Executive Management team to discuss lessons learnt from complaints cases, and to ensure that all upheld complaints have lessons learnt completed on the CRM system.
The Trust records lessons learned from all upheld complaints. Trends of root causes of complaints are shared within the Performance Management Team and the Executive Team at the monthly lessons learnt meeting.
|
|
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 |
Board reports/customer Challenge Group Board updates
peaksplains.org/your-voice/compliments-and-complaints/lessons-learned/
|
Staff and managers receive complaints training, which is supported by the guidance provided in the Complaints Policy, procedure, Compensation Policy and lessons learnt. Learning processes are delivered which includes driving a positive culture around complaints and making changes where necessary - demonstrating our commitment to transparency.
|
|
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 |
Quarterly Board Complaints reports and monthly Performance Management Group reporting |
The complaints function currently consists of an Assistant Director of Governance and Assurance, Customer Voice and Complaints Manager, two Complaints Coordinators and the Board Member Responsible for Complaints.
The Customer Voice and Complaints Manager is responsible for identifying any themes or trends which highlights potential underlying issues, serious risks, or policies and procedures that require revision, and reports this to the Senior Management Team, Executive Management Team, the Board and the customer Challenge Group.
|
|
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 |
Board minutes |
In June 2026 the Trust appointed a new Board Member Responsible for Complaints who acts as a Complaints Champion for the Trust. |
|
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 |
Board minutes |
The MRC together with the relevant manager will ensure appropriate reporting to the Board |
|
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 |
Board minutes |
Complaints key performance indicators are reported at each board meeting throughout the year. An annual complaints performance report, which includes trends and theme information, is presented to the Board. A report is presented to Executive Management Team and Member Responsible for Complaints and the Board following all Housing Ombudsman determinations. |
|
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 |
Quarterly/annual complaints report Staff annual PDP’s |
All staff Personal Development Plans include a minimum of one objective relating to complaints for service improvement and to promote a positive, professional complaints handling culture across all teams within ten Trust.
Complaint handlers and managers receive complaints training, which is supported by the guidance provided in the complaints policy, procedure and compensation policies.
|