New further investigations process
The further investigations process helps make sure landlords take responsibility for delivering better services.
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Introduction
The further investigations process helps make sure landlords take responsibility for delivering better services.
Further investigation reports used to be known as Paragraph 49 reports or special investigation reports. We have amended this wording to be consistent with the Housing Ombudsman Scheme.
This new process replaces our old approach to special investigations. It uses a new tiered approach that helps landlords detect and fix problems early. Each tier in the process brings a higher level of scrutiny.
What the Housing Ombudsman Scheme says
The Housing Ombudsman Scheme explains our role. The Scheme sets out:
- the complaints we can investigate
- what our members must do
- who can make a complaint
Paragraph 49 of the Scheme states:
‘The Ombudsman may conduct further investigation beyond the initial complaint or member to establish whether any presenting evidence is indicative of a systemic failing. Where this is the case, it will be referred to the appropriate regulatory body.’
Our framework
Our systemic framework helps us look beyond individual complaints to find wider issues that affect residents and landlord services. We use this approach to:
- share learning
- promote good practice
- improve complaint handling across the sector
A panel meets every 2 months to check for warning signs. These may show problems with one landlord or across the sector. If needed, we start a further investigation.
How we work with others
We work with the Regulator of Social Housing (RSH) during this process under our Memorandum of Understanding. We also share information with other bodies, such as:
- the Local Government and Social Care Ombudsman
- the Building Safety Regulator
Tiered approach
This new further investigations process replaces our old approach to further investigations.
Tier 1- Notification and response
| Purpose | Trigger | Activities and expectations | Outcomes: |
| Check the landlord understands its issues as identified in our casework and has a clear plan to improve. | Our data shows the landlord performs worse than similar landlords across multiple metrics.
We then analyse our casework to identify underlying themes. |
We share the identified themes with the landlord and request a SMART response plan showing what it has done and what it will do next.
If the Chief Executive does not address the issues, we escalate the issue to the Member Responsible for Complaints on the governing body. |
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Tier 2 - Performance assessment and evaluation
| Purpose | Trigger | Activities and expectations | Outcomes: |
| Further work with the landlord to understand why performance has not improved. | Monitoring shows the landlord has not improved performance within the timescale it expected. | We ask for an updated response plan and explanation if some or all of the issues persist in our casework. |
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Tier 3 - Investigation and recommendations
| Purpose | Trigger | Activities and expectations | Outcomes: |
| Find the root causes of poor performance. To make recommendations to the landlord to address these.
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Poor response from landlord at Tier 1, despite engagement with the Member Responsible for Complaints/governing body.
Or Insufficient explanation for poor performance following engagement at Tier 2. |
We investigate the root causes of outstanding issues.
We may visit the landlord to speak to senior managers, staff, or residents. We then produce a report with our findings and targeted recommendations. |
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