Subject/Title: Complaints Procedure Sanctuary Students Business Function: Complaints Procedure Sanctuary Students Author(s): Operations/Accommodation Manager Other Contributors: Director of Operational Services Authorised by: Executive Committee Sanctuary Group: Sanctuary Students is a trading name used by Sanctuary Student Homes Limited and Sanctuary Management Services Limited, subsidiaries of Sanctuary Housing Association, an exempt charity Uncontrolled copy if printed Sanctuary Group 1
CONTENTS 1 Definitions 3 2 Best Practice 6 3 Record Keeping and Reporting 7 4 Principals 7 5 Ways of Making a Complaint 8 6 Responsibility for Dealing with Complaint 8 7 Stages of the Complaints Procedure 9 8 Complaints Process 10 9 Dealing with Complaints Directly Logged 19 With a Director of Sanctuary Students 10 Applying Compensation/ Good Will Gesture in the Absence of a Formal Complaint 11 Client Complaints 20 20 (added section) Appendices Appendix 1 - Complaints Form Appendix 2 - Getting it Right - Complaints Procedure Leaflet Additional Guidance Additional Guidance Complaints Step by Step Guide (found on the Sanctuary Students Best Practice pages on solis) Sanctuary Group 2
1 Definitions Complaint A complaint is an expression of dissatisfaction about the service provided or the action taken (or not taken), where an initial response has not proven satisfactory. An example of a complaint could be: Anything perceived to have been done incorrectly or poorly; Something not done, e.g. failure to complete a repair within the stipulated time; Impolite or unhelpful staff; Failure to provide a specified service within agreed timescales. An example of a serious complaint could be: A situation that could be considered to contravene our Equal Opportunity or Diversity strategies; A serious breach of policies and procedures; A complaint of a sensitive nature. A neighbour complaint or a report of Anti Social Behaviour or Harassment. A complaint is not: An issue which is reported for the first time, e.g. advising that windows need cleaning, the property heating has failed; An act of any party providing services which are not commissioned by staff; A complaint about a particular policy which has been executed correctly which the customer feels has disadvantaged them in some. A matter which occurred longer than 12 months ago, or within a previous tenancy cycle. Complainant Service user, client or visitor who makes a complaint. Complaints Champion Sanctuary Students has an appointed Complaints Champion with responsibility for the following: To provide assistance and training to staff in using the complaints handling procedure and complaints IS system; To monitor use of the complaints system and highlight any training issues; Sanctuary Group 3
To monitor complaints not yet resolved and issue reminders to officers in order to help meet target timescales for dealing with complaints; To re-assign complaints where they have not been resolved and staff members are absent e.g. through sick leave; To log and assign generic complaints received e.g. received through the general email address; To help decide who should deal with a complaint where the complaint is received by someone who is not responsible, or where the complaint is complex and covers more than one service area; To re-open complaints on the complaints system where this is required; To help ensure that appropriate lesson learned from complaints are recorded; Carry out audits of system use and progress issues with senior managers; Record that satisfaction surveys are not sent on system. Complaints Form Complaints Leaflet Complaints System Designated Officers Director Head of Business Persistent, Serial or Vexatious Complainant A form to record relevant complaint details. A guidance document for Complainants giving an overview of the stages of our complaints procedures. An online complaints database accessed through solis. The person(s) with delegated responsibility for dealing with Stage 1 complaint s at each site. A Director of Sanctuary Students or the Company Secretary of the Special Purpose Vehicle (SPV) or a nominated Director of the SPV. The person(s) responsible for the management of the Senior Manager. Service user who takes up a repeated and excessive pursuit of: Unreasonable complaints and/or unreasonable outcomes; Persistent complaints about a series of issues; Reasonable complaints but in an unreasonable manner. The behaviour may be: Sanctuary Group 4
Persistent - Incessant, repeated, unrelenting. Serial - Story told in instalments, usually at regular intervals. Vexatious - When used legally, a specific term where actions or proceedings are being undertaken without sufficient grounds designed to cause annoyance. This term should only be used in these limited cases. Designated Officers must refer to the unacceptable customer behaviour section within the Group s Customer Contact and Complaints Policy and Procedure when dealing with such complaints. Senior Manager Serious Complaint Written Communicat ion/ Responses The person(s) responsible for overseeing the service delivery of the site. Where the complaint should be appropriately dealt with at an escalated level due to the nature of the complaint i.e. Stage 2 onwards. E-mail as well as letters can be considered to be written communication or responses by either the Complainant or Designated Officers. Sanctuary Group 5
2 Best Practice Receiving a Complaint On receiving a written complaint, contact the Complainant either in person or by telephone; Be professional, understanding and patient by showing an interest and actively listening to the Complainant; Investigate and take all complaints seriously; Decide if this constitutes a complaint and if so whether it would be considered a serious complaint; Focus on resolving the complaint at the point of origin; Find out if the matter has been raised before; Refrain from criticising or blaming the Complainant if the problem has arisen from a misunderstanding on their part; Avoid blaming other parties. Investigating a Complaint Keep the Complainant informed of progress with the complaint at all stages; Gather as much information as possible to enable the complaint to be resolved quickly; Ensure that any failure in service delivery is rectified, and apologise on behalf of Sanctuary Students to the Complainant if a failure in service delivery is proven; Ensure that effective services are maintained to the Complainant and to any other parties involved in the complaint, e.g. that no one is treated unfairly as a result of the complaint; Confidentiality must be maintained as far as possible when dealing with a complaint and care must be taken when discussing details with other staff members; Log the complaint to the Sanctuary Students On-line Complaints System, following the advice of how to lodge a complaint online. Reaching a Decision Consider all the information presented; Consider the complaint made against Sanctuary Students and decide whether to uphold or overturn the previous decision(s) made; Ensure that any policies have been correctly implemented; Ensure that reasonable care has been taken in the manner with which the complaint has been dealt with, and that there have been no unreasonable delays; Sanctuary Group 6
Recommend future changes to policy or practice. Check list of points to be included in a response letter. State the detail of the complaint; Give details of the steps taken to investigate the complaint; Clearly state the decision, and provide reasons for the decision; Indicate any steps that have been, or will be taken to rectify the complaint; Offer an apology if a service failure is proven; State the process and timescale for the Complainant to follow if they are not satisfied with the outcome. 3 Record Keeping and Reporting The person(s) responsible for dealing with the complaint at each stage of the complaints process must ensure that the details of the complaint are recorded on the Complaints System, and that the system is updated to reflect the progress of the complaint. Please refer to the Additional Guidance Complaints Step by Step Guide found on the Sanctuary Students Best Practice pages on solis. Managers must also ensure that full and accurate file notes are kept of all correspondence, visits and phone calls relating to the complaint. Any verbal communication requires to be followed up with a letter to the Complainant. The chosen Director will be responsible for providing a summary report of Stage 4 current and un-resolved complaints to each Sanctuary Students Board meeting. 4 Principals Sanctuary will not normally consider complaints where the service or incident being reported occurred over 12 months ago. If an anonymous complaint is received and it is of a genuine nature then this must still be investigated through the complaints procedure and monitored although no response will be possible. Designated Officers and Managers must monitor and record the number of anonymous complaints received on the Complaints System. For some complaints it may be necessary to use other procedures e.g. complaints about neighbours must be referred to the Code of Conduct or tenancy/licence agreements. Wherever possible, staff must have personal contact with the Complainant at all stages to resolve the complaint. Sanctuary Group 7
The Complainant must be informed, in writing, at all stages of the process, including confirming verbal communication. Example letters to be used as templates are located on SOLIS. Whilst these letters are for guidance they are not prescriptive and allow for changes to reflect the individual nature of each complaint. Where a complaint is received from a third party, e.g. a resident s parent, an acknowledgement must be sent to the third party advising that future correspondence will be with the tenant. This is in accordance with data protection. Discretion can be applied if the resident confirms in writing that they wish correspondence to go to the third party. Designated Officers must initially focus on conciliation and finding a solution to the problem when a complaint is received. If a complaint is made against a member of staff, their line manager must be informed immediately to investigate any allegations. If a complaint has been made against a Manager, then the Senior Manager, or an officer delegated with the task by the Senior Manager, will investigate the complaint. There will be no occasions where a member of staff who is the subject of a complaint will investigate that complaint. If an offensive complaint is made, e.g. where the Complainant has made racist or discriminatory remarks, a Designated Officer must refer the complaint to the Senior Manager to investigate and respond. 5 Ways of Making and Receiving a Complaint There are four ways in which a complaint can be made and received: i) In person, the Sanctuary Student staff member must complete the Complaints Form found under Appendix 1. ii) iii) iv) Over the telephone, the Sanctuary Students staff member must complete the Complaints Form. By e-mail, if the person provides full details of their complaint, the email must be accepted as notification of their complaint. By letter, if the person provides full details of their complaint, the letter must be accepted as notification of their complaint. All Complainants must be issued with a copy of the Getting It Right - Complaints Procedure Leaflet found under Appendix 2. Sanctuary Group 8
6 Responsibility for Dealing with Complaints Stage 1 - Designated Officers e.g. Site staff with designated responsibility Stage 2 - Senior Manager e.g. Regional/Operations Managers Stage 3 - Head of Business e.g. Director of Operational Services Stage 4 - Director e.g. Sanctuary Students Group Director/SPV Company Secretary or Nominated Director 7 Stages to the Complaints Procedure Stage 1 - For initial complaints. Stage 2 - Where the Complainant is not satisfied with the outcome at Stage 1, and has justifiable grounds to move the complaint to the next stage or where the initial complaint is of a serious nature. Stage 3 - Where the Complainant is not satisfied with the outcome at Stage 2 and has justifiable grounds to move the complaint to the next stage. Stage 4 - Where the Complainant is not satisfied with the outcome of Stage 3 and has justifiable grounds to move the complaint to the next stage. This is the final stage; there is no further right of appeal. Sanctuary Group 9
8 Complaints Process 1. Stage One (please also refer to the Step by Step Guide for Stage 1 Complaints) DESIGNATED OFFICER Stage 1: Step 1 - Receiving a Complaint On receipt of a Stage 1 complaint, the Designated Officer must: Record the details on the Complaints System; and Acknowledge receipt of the complaint within two working days. If the complaint is of a serious nature, it may be necessary for the Designated Officer to directly refer the complaint to Stage 2 of the procedure. Stage 1: Step 2 - Dealing with the Complaint Make personal contact with the Complainant: Find out what outcome the Complainant would like to see; and Record on the system all meetings and communication with the Complainant. Ensure all verbal communication is followed up in writing to the Complainant. Clarify the facts and investigate the issue (with the Complainant and/or with other parties involved). Look at the options to resolve the complaint. Decide what action to take. Stage 1: Step 3 - Responding to the Complaint Provide a full written response or detailed verbal explanation (supported by a file notes) to the original Complainant, within 10 working days of Sanctuary Students receiving the complaint. If the complaint is complicated and it proves impossible to give a properly considered response within the timescale, the Complainant must be kept informed of the reason for the delay and when they are likely to receive a response - it is important that the Complainant does not get the impression that the complaint is not being dealt with. You must extend the response date on the system and upload relevant correspondence. Sanctuary Group 10
1. Stage One (please also refer to the Step by Step Guide for Stage 1 Complaints) DESIGNATED OFFICER Stage 1: Step 4 - Closing the Complaint The Complainant must also be made aware that they must advise Sanctuary Students within four weeks if they wish to escalate the complaint to the next stage. They must clearly state the reasons why they are dissatisfied with Sanctuary Students response on the grounds of: issues have not been fully addressed; new information has become available; the matter remains unresolved. NOTE: If a payment has been made/ offered then the complaint will not be escalated on the grounds of increased payment being sought. If the Complainant does not respond within four weeks, Sanctuary Students will presume that the complaint has been resolved to the Complainant s satisfaction. Where Complainant has responded and accepted response before the four week deadline, then the complaint can be closed earlier. Stage 1: Step 5 - Record Keeping Ensure the Complaints System is updated. Close the complaint on the system and add: o Complaints closure note; o Whether upheld/partially or not upheld; o Learning outcomes. Stage 1: Step 6 - Complainant Unhappy with Outcome Contact the next person in line responsible for dealing with complaints to review the information and confirm if to be progressed to next stage. If rejected, confirm in writing to the Complainant stating reasons why. Close the complaint on system. Sanctuary Group 11
1. Stage One (please also refer to the Step by Step Guide for Stage 1 Complaints) DESIGNATED OFFICER If accepted to Stage 2 - update the system and assign to the next stage, i.e. the Senior Manager responsible. The system will notify the assigned Senior Manager automatically however it is good practice to keep them advised. Ensure an appropriate written acknowledgement has been sent to the Complainant within two working days ensuring that the Complainant knows who is dealing with their complaint. Advise the Stage 2 Senior Manager. Upload a copy of the letter on to system. Sanctuary Group 12
2. Stage Two - Formal - Investigation by the SENIOR MANAGER Stage 2: Step 1 - Receiving the Complaint On receipt of a Stage 2 complaint, the Senior Manager must: It is important that the Complainant is kept informed of progress. Ensure an appropriate written acknowledgement has been sent to the Complainant within two working days ensuring that the Complainant knows who is dealing with their complaint. Stage 2: Step 2 - Dealing with the Complaint The Senior Manager must investigate the complaint and provide a full written response to the Complainant within ten working days of receipt of the complaint. The Senior Manager must ensure that personal contact is maintained (where appropriate) with the Complainant at this stage to resolve the complaint. If it is not possible to respond within ten working days (because the complaint is extremely complicated or requires information from several other sources), the Complainant must be advised of the delay and given an indication of when they are likely to receive the full response. The Senior Manager must extend the response date on the Complaints System and upload relevant correspondence. The Complainant must also be made aware that they must advise Sanctuary Students within four weeks if they wish to escalate the complaint to the next stage. They must clearly state the reasons why they are dissatisfied with Sanctuary Students response on the grounds of: issues have not been fully addressed; New information has become available; the matter remains unresolved. NOTE: If a payment has been made/ offered then the complaint will not be escalated on the grounds of increased Sanctuary Group 13
2. Stage Two - Formal - Investigation by the SENIOR MANAGER payment being sought. Stage 2: Step 3 - Closing the Complaint If the Complainant does not respond within four weeks, Sanctuary Students will presume that the complaint has been resolved to the Complainant s satisfaction. Where Complainant has responded and accepted response before the four week deadline, then the complaint can be closed earlier. Stage 2: Step 4 - Record Keeping Ensure the Complaints System is updated. Close the complaint on the system and add: o Complaints closure note; o Whether upheld/partially or not upheld; o Learning outcomes; Stage 2: Step 5 - Complainant Unhappy with Outcome Contact the next person in line responsible for dealing with complaints to review the information and confirm if to be progressed to next stage. If rejected, confirm in writing to the Complainant stating reasons why. Close the complaint on the system. If accepted to Stage 3 - update the system and assign to the next stage, i.e. the Head of Business responsible. The Senior Manager must advise the Head of Business within one working day that a Stage 3 complaint has been received and provide details of the complaint. The system will notify the Head of Business automatically however it is good practice to keep them advised. Ensure an appropriate written acknowledgement has been sent to the Complainant within two working days ensuring that the Complainant knows who is dealing with their complaint. Advise Stage 3 Head of Business. Upload on to system. Sanctuary Group 14
3. Stage Three Formal Investigation by HEAD OF BUSINESS Stage 3: Step 1 - Receiving the Complaint On receipt of a Stage 3 complaint, the Head of Business must: It is important that the Complainant is kept informed of progress. Ensure an appropriate written acknowledgement has been sent to the Complainant within two working days ensuring that the Complainant knows who is dealing with their complaint. Stage 3: Step 2 - Investigation and Response The Head of Business must investigate the complaint and provide a full written response to the Complainant within ten working days of receipt of the complaint. The Head of Business must ensure that personal contact is maintained with the Complainant at this stage (where appropriate), to resolve the complaint. If it is not possible to respond within ten working days (because the complaint is extremely complicated or requires information from several other sources), the Complainant must be advised of the delay and given an indication of when they are likely to receive the full response. The Complainant must also be made aware that they must advise Sanctuary Students within four weeks if they wish to escalate the complaint to the next stage. They must clearly state the reasons why they are dissatisfied with Sanctuary Students response on the grounds of: issues have not been fully addressed; New information has become available; the matter remains unresolved. NOTE: If a payment has been made/ offered then the complaint will not be escalated on the grounds of increased payment being sought. Sanctuary Group 15
3. Stage Three Formal Investigation by HEAD OF BUSINESS Stage 3: Step 3 - Closing the Complaint If the Complainant does not respond within four weeks, Sanctuary Students will presume that the complaint has been resolved to the Complainant s satisfaction. Where Complainant has responded and accepted response before the four week deadline, then the complaint can be closed earlier. 3. Stage Three Formal Investigation by HEAD OF BUSINESS Stage 3: Step 4 - Record Keeping Ensure the Complaints System is updated. Close the complaint on the system and add: o Complaints closure note; o Whether upheld/partially or not upheld; o Learning outcomes. Stage 3: Step 5 - Complainant Unhappy with Outcome Contact the next person in line responsible for dealing with complaints to review the information and confirm if to be progressed to next stage. If rejected, confirm in writing to the Complainant stating reasons why. Close the complaint on the system. Update the system and assign to the next stage, i.e. the Director. The Head of Business must advise the Director within one working day that a Stage 4 complaint has been received and provide details of the complaint. Record the details on the Complaints System. Ensure an appropriate written acknowledgement has been sent to the Complainant within two working days ensuring that the Complainant knows who is dealing with their complaint. Advise Stage 4 Director. Upload on to system. Sanctuary Group 16
4. Stage Four - Formal - Complaint to Sanctuary Students DIRECTOR Stage 4: Step 1 - Receiving the Complaint On receipt of a Stage 4 complaint, the Director must: It is important that the Complainant is kept informed of progress. Must ensure an appropriate written acknowledgement has been sent to the Complainant within two working days ensuring that the Complainant knows who is dealing with their complaint. Stage 4: Step 2 - Report by Senior Manager The Head of Business must provide a report to the Director within five working days, providing full details of the complaint, including what action has been taken to date, and what steps have been taken to try and resolve the complaint. Accompanying correspondence may be included if appropriate. It is important that the report is as objective as possible and sets out clearly the positions of the Complainant and Sanctuary Students. Stage 4: Step 3 - Confirm Receipt The Director of Sanctuary Students must write to the Complainant within ten working days advising that their complaint will be heard by either a Sanctuary Students Board or SPV Board depending on the contractual relationship between Sanctuary Students and the Complainant. The Complainant must be advised of the date of the meeting and given the opportunity to attend in person if they wish to do so. Depending on the nature of the complaint, a meeting out with the scheduled Board meetings can be convened under the direction and at the discretion of Board Members to hear the complaint. Such a meeting can also allow for the use of videoconferencing/conference call facilities. Sanctuary Students would advise that a maximum of three Board Members attended. Stage 4: Step 4 - Board Report At least one week before the date of the relevant Board meeting, the Director of Sanctuary Students must ensure that a report setting out the details of the case is prepared and The report must provide full details of the complaint, including what action has been taken to date by both parties and what steps have been taken to try and resolve the complaint. Accompanying Sanctuary Group 17
4. Stage Four - Formal - Complaint to Sanctuary Students DIRECTOR circulated to members of the Board. correspondence must be attached to the report if appropriate. It is important that the report is as objective as possible and sets out clearly the positions of the Complainant and Sanctuary Students. Stage 4: Step 5 - Closing the Complaint The Complainant must be advised of the outcome of the Board meeting in writing by the Director of Sanctuary Students within five working days of the meeting. The letter must explain the relevant Board s decision and that the decision is final. NB If the Board determine that a response is issued by one of their members this will take precedence over any response from Sanctuary Students. Stage 4: Step 6 - Record Keeping Ensure the Complaints System is updated by Head of Business or Senior Manager. Close the complaint on the system and add: o Complaints closure note; o Whether upheld/partially or not upheld; o Learning outcomes. Sanctuary Group 18
9 Dealing with Complaints Directly logged with a Director of Sanctuary Students Procedure for Dealing with Complaints to the Director of Sanctuary Students Step 1 - Receipt of Complaint When a complaint is received at Head Office, addressed to the Director, it must be forwarded within two working days to the relevant Senior Manager and dealt with under Stage 2, unless the Director decides the complaint is of such a serious nature it should be dealt with at a higher stage in which case the complaint will be forwarded to the appropriate person. Step 2 - Redirection of Complaint An acknowledgement letter must be sent to the Complainant within two working days advising that their letter has been forwarded to the relevant Designated Officer to deal with their case. The letter must refer to the fact that the complaint has been forwarded from the Director to the Manager for action. Step 3 - Dealing with the Complaint The complaint must then be dealt with in accordance with the steps of the appropriate stage. Sanctuary Group 19
Complaints Procedure Sanctuary Students Procedure SS/LWAM0314/CP 10 Applying Compensation/ Good Will Gesture in the Absence of a Formal Complaint Compensation in the form of cash/credit payment, vouchers or goodwill gesture e.g. delivery of pizza to the flat etc. can be applied where the Accommodation Manager is aware of an issue e.g. protracted heating/hot water failure and would prefer to offer compensation/ good will gesture as an informal approach; rather than the complaint be escalated to a formal step. The Accommodation Manager must seek approval from their Operations Manager before this method is applied. The Complaint System must be used to record the information; completing in the same way as a formal complaint see How to Use the Complaints System. This provides an audit trail to support Government Procurement Card (GPC) or Expenses Claim and also records detail of the issues which warrant the compensation/goodwill approach. A note must be added stating action taken e.g. Further to discussion with the residents we agreed provision of a 20 voucher for Marks and Spencer in recognition of the inconvenience caused. Upload emails/communication with the residents in the normal way see Step by Step Guide. The complaint can then be closed. Details must be given on the compensation/ type that was offered. For a cash/credit refund this will be detailed as compensation; vouchers etc. can be detailed as a goodwill gesture confirming date purchased with the information reconciling with that lodged on the GPC Barclaycard site e.g. Resident name / Flat details / Key issue information e.g. disruption to heating and hot water for 3 days. It is good practice to add in a learning outcome too. Should the complaint become formal then a new complaint must be raised on the Complaint System. 11 Client Procedures Due to the diverse nature of Sanctuary Students business, there may be specific guidelines/procedures that individual clients may wish Sanctuary Students to use in tandem with Sanctuary Students procedures. In such instances staff should adhere to Sanctuary Students procedures/system use and update in notes section re variances etc. For Halls governed by the ANUK National Code of Standards there is an option for a Complainant who is unsatisfied to complain to the National Code Administrator for issues that are covered by the National Code. Sanctuary Group Page 20 of 20