Closed consultation

Consultation on a direction to the Regulator of Social Housing to set a Competence and Conduct Standard for social housing

Updated 28 March 2024

Applies to England

Scope of the consultation

Topic of this consultation:

This consultation seeks views on a proposed direction from the Secretary of State to the Regulator of Social Housing (“the Regulator”), using powers under section 197 of the Housing and Regeneration Act 2008 (“the 2008 Act”). This direction would set a standard for registered providers in matters relating to the competence and conduct of individuals involved in the provision of services connected with the management of social housing.

The term ‘registered providers’ encompasses:

• Private registered providers (including housing associations);
• Local authority registered providers (i.e., local authorities that provide social housing).

The proposed direction is included in Annex A.

Geographical scope:

The proposals will mainly affect tenants of social housing in England.

They will apply to private registered providers and local authorities that are registered with the Regulator of Social Housing.

Impact assessment:

An impact assessment has been prepared and is attached at Annex C. Consultation stage analysis is included in this assessment. Further work will be carried out in advance of a decision following consultation. Changes to the assessment may be made based on responses received.

Monitoring and review:

We have identified indicators within the impact assessment (Annex C) which will help us understand if the objectives are being met. These indicators will be used to measure the effectiveness of the new Competence and Conduct Standard, in terms of whether it is driving the intended improvements in professional standards, and whether it has any unintended impacts on providers’ ability to provide high quality services to tenants. We may amend the intervention if it becomes apparent, following this evaluation, that the Standard is not driving the necessary change. For example, the government may at a later date consider whether different provisions are required for smaller organisations or volunteers, or any changes are needed to the definitions of the roles in scope or the criteria which qualifications must meet. Any changes would be subject to further consultation.

Basic Information

Body/bodies responsible for the consultation:

Department for Levelling up, Housing and Communities (DLUHC)

Statutory consultees:

• the Regulator of Social Housing
• the Homes and Communities Agency (known as Homes England)
• the Greater London Authority
• the Housing Ombudsman
• bodies representing the interests of local housing authorities
• bodies representing the interests of tenants of social housing
• bodies representing the interests of registered providers
• bodies representing the interests of services providers (delivering housing management on behalf of registered providers)
• the Charity Commission

The Department will consider any consultation responses received from other interested bodies and individuals.

Duration:

This consultation will last for 8 weeks from 6 February 2024 until 5 April 2024.

Enquiries:

For any enquiries about the consultation please contact: consult.competenceandconduct@levellingup.gov.uk

When you enquire, it would be useful if you confirm whether you are replying as an individual or submitting an official response on behalf of an organisation and include:

• your name;
• your position (if applicable);
• the name of your organisation (if applicable); and
• an email address

How to respond:

You may respond by completing an online survey.

We strongly encourage responses via the online survey, particularly from organisations with access to online facilities such as local councils, representative bodies and businesses. Consultations often receive a high-level of interest and using the online survey greatly assists our analysis of the responses, enabling more efficient consideration of the issues raised.

Alternatively, responses via email should be sent to: consult.competenceandconduct@levellingup.gov.uk

If you are responding in writing, please make it clear which question number your response, or each part of your response relates to.

Written responses can also be sent to:

Consultation on a direction to the Regulator of Social Housing to set a Competence and Conduct Standard for Social Housing
Department for Levelling Up, Housing and Communities
Floor 3 (Mailpoint B12)
Fry Building
2 Marsham Street
London
SW1P 4DF

Please submit your response through only one of the above routes.

When responding to the consultation, please do not include sensitive personal data such as your name and address within your responses to questions. Information you provide in response to this consultation may be disclosed in accordance with UK legislation (the Freedom of Information Act 2000, the Data Protection Act 2018 and the Environmental Information Regulations 2004). Please note that we must publish every response to this consultation (however we will not publish any personal data). Therefore, please ensure that your response does not include any material that you are not content for us to publish.

The consultation questions are directed at 4 categories of respondents for; all; registered providers; services providers; registered providers and services providers and qualifications providers. You need only respond to the questions applicable to you.

Demographic questions

When you reply, it would be useful if you could please confirm:

1. In which capacity are you completing these questions?

• Social housing tenant
• Individual (not a tenant of the social housing sector)
• Local authority registered provider with retained stock only (i.e. who own and manage their properties)
• Local authority registered provider who delegates some or all of the management of their properties to one or more services provider
• Local authority that is not a registered provider
• Private registered provider
• Housing association that is not a private registered provider
• Arms-length management organisation (ALMO)
• Tenant management organisation (TMO)
• Other services provider (please specify) [free text]
• Services provider sub-contracted to another services provider
• Tenant representative group
• Landlord representative group
• Organisation representing services providers (please specify) [free text]
• Charity
• Government body
• Other (please specify) [free text]
• Prefer not to say.

2. If responding on behalf of an organisation, please specify which organisation:

• [free text]
• N/A

3. If responding as an individual, where do you live? If you are responding as part of an organisation, where are you primarily based?

• North East
• North West
• Yorkshire and the Humber
• East Midlands
• West Midlands
• East of England
• South West
• South East
• London
• Spread evenly across the UK/National organisation
• Prefer not to say

4. Registered providers and services providers only: Where are the units of social housing stock you provide or manage primarily located?

• North East
• North West
• Yorkshire and the Humber
• East Midlands
• West Midlands
• East of England
• South West
• South East
• London
• Spread evenly across multiple regions
• Prefer not to say

5. Registered provider or services provider only: How many units of social housing stock do you own or manage?

• 1-10 units
• 11-20 units
• 21-50 Units
• 51-100 units
• 101-250 units
• 251-500 units
• 501-999 units
• 1,000-9,999
• 10,000-19,999
• 20,000-49,999
• 50,000+
• Prefer not to say

6. Registered provider or services provider only: Do you provide supported housing?

• Yes
• No
• Don’t know
• Prefer not to say

7. Registered provider or services provider only: How many employees and officers do you have in total (for local authorities or housing associations who deliver different types of services please only include those in your housing services rather than the number of employees or officers in the local authority or housing association as a whole)?

• Free text

8. Services providers only: How many registered providers do you manage delivery of housing management services for?

• Free text

Foreword

Every part of the Department for Levelling Up, Housing and Communities’ work is important but few issues resonate louder than tenants’ rights. The government is committed to making sure that tenants have a safe place they can call home and that their rights are respected by landlords.

We have worked hard to improve standards in the social housing sector since the devastating Grenfell Tower fire of 2017 but there is still much for us to do. The wholly avoidable death in 2020 of two-year-old Awaab Ishak, as a direct result of black mould in his social housing flat, is a stain on our collective national conscience. It reinforced the need, already laid bare by Grenfell, to professionalise the social housing sector: to raise standards further, reassure tenants and give them the excellent service they deserve.

We have heard, in evidence to the Grenfell Inquiry, how a lack of appropriate staff training contributed to the tragedy. Residents said they had voiced fears for their safety or complained about living conditions but were ignored or disregarded by some staff, whose behaviour and attitude, they testified, had been unacceptable.

Poor quality leadership within social housing more broadly is also a concern. We are acting to improve the quality and safety of social and rented housing and have recently published new guidance for landlords on the need to tackle damp and mould. Yet too often, tenants are left to endure appalling living conditions and treated with neither courtesy nor respect.

The proposals set out in this consultation should equip all social housing staff with the skills, knowledge and experience needed to provide tenants with a high quality, respectful service - helping to ensure that tragedies like the Grenfell fire and the death of Awaab Ishak never happen again.

They build on our Charter for Social Housing Residents: social housing white paper which set out wide-ranging reforms on managing and regulating social housing. A subsequent government review of professional training and development, including the qualifications and standards expected of staff, concluded that a major culture change was necessary. In order to drive that change, the review recommended qualifications for senior staff, given that leaders and managers shape the culture of organisations. It also recommended that employers embed codes of conduct to raise standards so that all staff who provide services to tenants gain the requisite skills, knowledge and experience, and understand the behaviour expected of them.

The government amended the Social Housing Regulation Bill (now Act) to take these recommendations forward. We are now consulting on setting a regulatory Competence and Conduct Standard for social housing staff, of which the requirement for professional qualifications is a part. I wish to put on record my thanks for the campaigning work of those who have experienced and exposed failures in social housing, and of Grenfell Tower survivors and bereaved family members which has been consistent in calling for a requirement for professional qualifications to be introduced. My hope is that this consultation now attracts the widest possible range of views and voices on the implementation of the new Standard, so that we make the most of this opportunity to improve the services that tenants receive for the long term.

The Rt Hon Michael Gove MP
Secretary of State for Levelling Up, Housing and Communities 

Introduction

Every social housing resident deserves to live in a home that is decent, safe and secure; to receive a high-quality service from their landlord; and to have a strong voice, with tools at their disposal to hold their landlord to account, to have their complaints dealt with swiftly and effectively, and to know that things will be put right when they go wrong. Yet for too many residents in too many places, their experience falls well short of this promise.

The government is determined to change that, which is why it has been working hard to improve standards in the social housing sector – redoubling efforts following the devastating Grenfell Tower fire in 2017, and embarking on an ambitious programme of reforms set out in the Charter for Social Housing Residents white paper.

The Social Housing (Regulation) Act 2023 marked an important milestone in the government’s work to improve the lives of social housing residents and to hold poorly performing landlords to account. We are taking the next steps in implementing a number of the measures contained in the Act, which together will drive up standards in the social rented sector and rebalance the relationship between landlord and resident: we are committed to the implementation of Awaab’s Law, which will ensure landlords take prompt action to remedy hazards like damp and mould, and a revised Decent Homes Standard. We will also set out next steps on a new Social Tenants Access to Information Requirements (STAIRs) shortly. Collectively, these measures support our ambition to halve the number of non-decent rented homes by 2030, set out in the 2022 Levelling Up White Paper.

This consultation sets out proposals for a new Competence and Conduct Standard relating to staff in the social rented sector, including qualification requirements for senior housing managers and executives. The proposals address the significant concerns which were raised following the Grenfell tragedy about the professionalism of staff working in social housing. The evidence from the Grenfell Tower Inquiry indicated that tenants living in the tower had not been listened to when they raised concerns and that some staff behaved unprofessionally, treated tenants with a lack of respect, and did not have the skills and knowledge they needed to carry out their roles effectively.

In 2017 we carried out extensive consultation with tenants across the country to inform the development of our social housing green paper. As part of this, tenants highlighted issues relating to safety and quality of service within social housing, and said they were not always treated with respect, suggesting that the issues uncovered following the Grenfell tragedy were replicated across the country.^{[footnote 1]}

Our consultation led to the government’s Charter for Social Housing Residents: social housing white paper, which committed to a review of ‘professional training and development’ provision to consider the appropriate qualifications and standards for social housing staff in different roles, including senior staff.

The Professionalisation Review, which concluded in Summer 2022, found that major changes were needed to drive up the professionalism of staff in the social housing sector.^{[footnote 2]} The Review heard from some participants that failings in professional standards stem from decisions made at management level. The Review also heard that organisational culture is a key driver of professionalism and high-quality, tenant-centred services, and that senior staff play a significant role in shaping the culture within their organisations. Our engagement with residents prior to this consultation also reinforces our view that the changes needed to raise professional standards must start at the top.

Overall, the Review highlighted that measures to drive professionalism in the sector should be focused on creating organisational-wide culture change and any qualification requirements should be focused on senior staff. More detail on the findings of our Review can be found at Annex E and the research reports can be found at Annexes F and G.

Following the Review, we made provision in the Social Housing (Regulation) Act for a new regulatory Standard on staff competence and conduct, including a requirement for senior housing managers and senior housing executives to hold appropriate qualifications.

This forms part of wider changes, outlined in the social housing white paper, that are being introduced through the Social Housing (Regulation) Act 2023 to ensure tenants have safe and decent homes, receive high quality services, are treated at all times with fairness and respect, and have a strong voice.

The government has reformed the Regulator’s consumer remit, enabling the introduction of proactive regulation of consumer standards. We have expanded the powers of the Regulator to ensure it has the right tools to carry out effectively this enhanced consumer role and can intervene in a greater range of cases where providers have failed to comply with consumer standards. The powers of the Housing Ombudsman have also been strengthened to support them to improve landlord complaint handling standards across the social housing sector. Tenant voice will also be strengthened, including through transparency measures and our tenant empowerment programme, Four Million Homes.

Following extensive engagement with a range of stakeholders including residents, landlords, services providers, and training and qualifications providers, we have developed the detail of the policy that will sit behind our direction to the Regulator and inform the Standard they will set, and this is set out in this consultation.

Overview of the proposed Competence and Conduct Standard

This consultation sets out our detailed policy proposals for the new Competence and Conduct Standard. This includes our draft direction to the Regulator and a draft policy statement setting out the detail of the proposed qualification requirements for senior managers and senior executives. The draft direction requires the Regulator to set a Standard for registered providers in matters relating to the competence and conduct of relevant individuals.

The draft direction specifies that the Standard must require registered providers of social housing to ensure that all of their staff involved in the provision of services in connection with the management of social housing have the skills, knowledge, and experience and exhibit the behaviours needed to deliver a good quality service.

The Standard will only apply directly to registered providers, but registered providers will also be required to take steps to secure that relevant staff of those organisations providing housing management services on their behalf (“services providers”) also have the necessary skills, knowledge and experience, and exhibit the right behaviours.

The draft direction specifies that the Standard must require registered providers to:

• have an up-to-date written policy setting out their approach to managing and developing the skills, knowledge, experience and conduct of those of their staff who are relevant individuals (see glossary of terms within the policy statement for definitions); and
• adopt or develop an appropriate code of conduct for those of their staff who are relevant individuals and to ensure this is embedded within their organisation.

The proposed direction will also require the Regulator to include in their Standard a requirement for registered providers to comply with the government’s policy statement on Qualifications Requirements for Social Housing (Annex B). The draft policy statement sets out detailed information about the roles and qualifications in scope, time limits for staff to begin working towards qualifications, a transition period before requirements come fully into force, and a small number of flexibilities and exemptions which will apply in limited circumstances.

The qualifications element of the Standard will apply directly to registered providers, and in relation to services providers. registered providers will be required to secure that their senior housing executives and senior housing managers which fall within the definition of Relevant Person in the policy statement have, or are working towards, a relevant qualification. They will also be required to take steps to secure that all Relevant SP Managers of their services providers (as defined in section 6.1 of the policy statement) have or are working towards a relevant qualification. Please see the glossary of terms within the policy statement for more detail on the defined terms used in this consultation document.

Implied terms have been introduced into management services agreements between registered providers and services providers by s217A of the 2008 Act. These have the effect that, from the point the Standard comes into force, services providers will be contractually obliged to secure that their Relevant SP Managers gain relevant qualifications. The implied terms relate only to the qualification requirement, and not to the broader requirements of the Standard.

Section 7 of this consultation document ‘Requirements for registered providers in respect of relevant managers of services providers’ sets out the requirements placed on registered providers by the 2008 Act in relation to services providers. This section also sets out how registered providers should make use of the implied terms when taking steps to secure that all Relevant SP Managers of services providers have or are working towards a relevant qualification. This includes bringing the requirements set out in the policy statement to the attention of their services providers and taking steps to secure that services providers are aware of their obligations under the implied terms.

Broadly speaking, the details of the qualification element of the Standard applies in relation to services providers in the same way as they apply to registered providers, with a few minor exceptions which are set out in this consultation document. For example, the roles in scope are the same for registered providers and services providers, except that for services providers the roles in scope will also capture sole traders who are services providers.

The following chapters seek your views on the details of our proposals relating to the broad Competence and Conduct Standard and the qualification element of the Standard:

• Section 1: The broad Standard relating to the competence and conduct of all social housing staff. This includes requirements for registered providers to have up to date written policies setting out their approach to managing and developing the skills, knowledge, experience and conduct of their staff, and to adopt and embed codes of conduct.
• Section 2: Who is in scope of the qualification element of the Competence and Conduct Standard, and who is out of scope. This sets out our proposal that those in scope must spend a significant portion of their time exercising their responsibilities for housing management services. In this section, we also seek views on whether the guidance we have set out around the functions of the roles in scope of the requirements is sufficiently clear.
• Section 3: Criteria that qualifications must meet. This sets out our proposals on the level and type of qualifications required, and the course content that must be covered.
• Section 4: What constitutes ‘working towards’ a qualification for the staff of both registered providers and services providers. This sets out our proposals relating to enrolment and completion of qualifications, and flexibilities to accommodate exceptional circumstances such as when individuals have extended periods of leave or where a lower level qualification is a pre-requisite to a qualification at the required level.
• Section 5: Transition period. Sets out our proposal for a 24 month transition period during which Relevant Persons and Relevant SP Managers must begin working towards qualifications, with adjusted time periods for smaller providers.
• Section 6: Transitional arrangements for partially compliant qualifications and apprenticeships. This sets out our proposals for adjusted qualification requirements, which would apply during the transition period only, to those individuals who have qualifications which partially meet the qualification requirement, or who have undertaken apprenticeships without a qualification element.
• Section 7: Requirements for registered providers in respect of the relevant managers of services providers. This sets out what registered providers must do to bring the qualification requirement to the attention of their services providers and take steps to secure that they are aware of their obligations under the implied terms.

The draft direction is attached to this consultation at Annex A and the draft policy statement is at Annex B. Following consideration of the responses to the consultation, we will issue a direction to the Regulator and publish the final policy statement.

Once issued formally, the direction will be binding on the Regulator.

After we have directed the Regulator, the Regulator will also consult on the Standard it proposes to set before they come into force. Our intention is for the Standard to come into force in April 2025.

The proposed direction has no pre-determined end date but may be subject to change or revision. Any changes would be subject to further consultation.

We invite your views on the questions listed by 5 April 2024.

Context and background

Legal framework for social housing regulation

The statutory framework for social housing regulation is set out in the Housing and Regeneration Act 2008. In brief:

• The Regulator has an economic and a consumer objective;
• With regard to consumer regulation, the Regulator is responsible for regulating social housing provided by registered providers; and
• The term registered providers encompasses:
  • local authorities who have social housing; and
  • other bodies that have registered with the Regulator (known as ‘private registered providers’).

‘Social housing’ comprises low cost rental accommodation (for example homes let at social rent or affordable rent) and low cost home ownership accommodation.

The Regulator currently has the power to set regulatory standards on a range of economic and consumer matters. registered providers are required to comply with these standards. In relation to certain matters, the Secretary of State has the power to direct the Regulator to set standards, to direct on the content of those standards, or direct the Regulator to have regard to specified objectives when setting standards.

Commentary on proposed direction

1. Throughout this consultation document, we use the term “Relevant Persons” as shorthand for registered providers’ senior housing managers and senior housing executives who are in scope of the provision and will need to gain a relevant qualification. We use the term “Relevant SP Managers” as shorthand for services providers’ senior housing managers and senior housing executives and individuals who are services providers who are in scope of the provision and will need to gain a relevant qualification. Please see the glossary of terms within the policy statement (Annex B) for more detail on definitions.

Section 1: The broad Standard relating to the competence and conduct of all social housing staff

2. On completion of the Professionalisation Review, the government concluded that relevant professional qualifications had an important role to play in driving up professional standards in the sector, and that qualifications requirements should be focused on senior managers and executives, given the key role they play in setting and embedding organisational culture and in ensuring service delivery staff across the organisation have the skills and knowledge they need to carry out their roles effectively.

3. The Review’s findings made clear that qualifications alone will not fully address the inappropriate behaviours and attitudes some tenants experience in their interactions with social housing staff.

4. Significant culture change is needed across the sector in order to improve the professional behaviours of all staff, tackle stigma within the sector and ensure that residents receive a professional and respectful service at all times. Our engagement with tenants and other stakeholders has shown that landlords need to do more to ensure their staff and the staff of their services providers have the skills and knowledge they need to carry out their roles effectively, and that they exhibit appropriate behaviours and attitudes towards tenants – such as empathy, reliability, honesty and professional curiosity.

5. Our proposed direction to the Regulator will set a Standard relating to the competence and conduct of all individuals involved in the provision of services connected with the management of the registered provider’s social housing. This includes frontline, tenant-facing staff.

6. The government recognises that registered providers have a variety of different operating models, structures and associated role profiles, and the diverse needs of tenants which requires different skills and knowledge for staff within and across their organisations. As such, we have concluded that it is not appropriate or practicable to set a standardised framework of the skills, knowledge, experience and behaviours to which all staff must adhere.

7. Instead, we will direct the Regulator to set a broad, outcomes-focused Standard which will help to drive culture change and reduce unprofessional attitudes and stigma within organisations. It will do this by setting requirements around the systems and processes landlords should have in place to ensure the competence and conduct of all of these staff, without being overly prescriptive about exactly how this outcome should be achieved, or the precise skills, knowledge, experience and behaviours that all categories of staff should possess and exhibit. By avoiding deploying a prescriptive approach, this also creates opportunities for providers to collaborate with tenants when developing such systems and processes.

Proposal 1: Our approach to the broad Standard relating to the competence and conduct of all social housing staff

8. The Standard will require registered providers to have a written policy setting out:

a. their approach to managing and developing the skills, knowledge, experience and conduct of those of their staff who are relevant individuals; and

b. the appropriate steps they will take to secure that those of their services providers’ staff who are relevant individuals have the necessary skills, knowledge and experience, and exhibit the behaviours needed for the relevant services provided by those individuals, under or pursuant to the relevant management services agreement, to be of a good quality.

9. The Standard will require registered providers to update their written policy regularly.

10. As outlined in the direction (Annex A), registered providers’ written policy must, in particular:

a. ensure that the approach to managing and developing the skills, knowledge, experience and conduct of those of the registered provider’s staff who are relevant individuals is tailored, as appropriate, to their different roles within the organisation;

b. set out the registered provider’s approach to learning and development including how it will ensure that those of its staff that are relevant individuals maintain and demonstrate appropriate and up-to-date skills, knowledge, experience and behaviours for their roles;

c. set out the registered provider’s approach to appraising those of its staff who are relevant individuals and regularly reviewing their performance; and

d. set out the registered provider’s approach to managing poor performance of those of its staff who are relevant individuals.

11. The new Standard will also require registered providers to adopt or develop an appropriate code of conduct for those of their staff who are relevant individuals and to ensure this is embedded within their organisation.

12. Relevant knowledge will vary depending on individuals’ particular roles and responsibilities, for example, for repairs and maintenance staff it could include good practice guidance issued by the Housing Ombudsman Service and the government’s guidance on damp and mould.

Questions: proposal 1

For all

Question 1: Do you agree with the content of the direction (Annex A) to setting the broad Standard relating to the competence and conduct of all social housing staff?

• Yes
• No, please specify which aspects you don’t agree with and explain why

Commentary on policy statement

Section 2: Who is in scope of the qualification element of the Competence and Conduct Standard

Registered providers

13. Except as provided otherwise in Chapters 1 to 6 of the policy statement, registered providers will be required to secure that Relevant Persons have, or are working towards, a relevant qualification. They will also be required to take steps to secure that Relevant SP Managers of their services providers have, or are working towards, a relevant qualification. These requirements are subject to certain exemptions and modifications.

14. The following information is taken from Chapter 2 of the policy statement for your reference.

15. A senior housing executive or senior housing manager of a registered provider will be classified as a Relevant Person (and therefore in scope of the qualification requirement) if:

a. They have a substantive role in managing delivery of housing management services to the registered provider’s social housing tenants;

b. They are not an unpaid volunteer;

c. They have been in their current role as a senior housing manager or senior housing executive (as the case may be) for more than 6 months (and paragraph 15(d) of the policy statement does not apply);

d. There is or was a probation period applicable to their current role and 9 months has elapsed since they began their current role;

e. They are not deemed to hold, or be working towards, a relevant qualification (see section 3.3 – 3.7 of the policy statement); and

f. No exemption applies in relation to them (see Chapter 5 of the policy statement). Services providers

16. Section 6.1 of the policy statement sets out that a senior housing executive, senior housing manager, or an individual that is a services provider will be classified as a Relevant SP Manager (and therefore in scope of the qualification requirement) if:

a. They are a Relevant Manager of a services provider;

b. They have a substantive role in managing delivery of housing management services to the registered provider’s social housing tenants;

c. They are not an unpaid volunteer;

d. They have been in their current role as a senior housing manager or senior housing executive (as the case may be) for more than 6 months (and paragraph 46(f) of the policy statement does not apply);

e. If they are a Relevant Individual that is a services provider, they have been a services provider for more than 6 months;

f. There is or was a probation period applicable to their current role and 9 months has elapsed since they began their current role;

g. They are not deemed to hold, or be working towards, a relevant qualification (see 3.3 – 3.7 and paragraph 44b of the policy statement); and

h. No exemption applies in relation to them.

17. Below, we set out in more detail what these proposals mean in practice.

Proposal 2: A Relevant Person and a Relevant SP Manager will be a person who has a substantive role in managing delivery of housing management services to the registered provider’s social housing tenants

18. Stakeholders have raised that some individuals may have cross-cutting roles and responsibilities across different service areas of an organisation, and it would not be proportionate to require staff who spend only a small amount of their time in relevant work to undertake a relevant qualification.

19. Our proposal is that the qualification requirement will capture persons where they have a substantive role in managing delivery of housing management services to the registered provider’s social housing tenants. We have outlined in the policy statement (paragraph 15a) that this means the individual is expected by the registered provider to spend a significant portion of their working time exercising their responsibilities for housing management services delivered to the registered provider’s social housing tenants.

20. Within Annex B1 of the policy statement, we provide some additional guidance on what is meant by a ‘significant portion’. This guidance explains that a ‘significant portion’ should be taken to mean that these responsibilities are an important and substantial aspect of their role: in many (but not all) instances they will take up more than half of that individual’s working time.

21. As defined in our glossary of terms within Chapter 7 of the policy statement, the term ‘housing management services’, as used in the policy statement, is defined to align with the power given by the Act. It means the provision of services in connection with the management of social housing provided by the registered provider.

22. The guidance within Annex B1 clarifies that housing management services may be delivered in all types of social housing provided by a registered provider including the management of sheltered and supported housing.

23. We also state within the guidance in Annex B1 that housing management services do not include the delivery of care and support, for example personal care that is provided to a resident in supported housing. This means that any staff who only have managerial responsibilities relating to the delivery of care and support to tenants would not be required to gain a relevant qualification. Care and support staff require a distinct set of skills and qualifications that differ from those we are introducing for housing management staff. Therefore, it would not be practical or proportionate to require staff who only manage delivery of care and support to undertake a housing management qualification. However, where a person manages care and support but also has a substantive role in managing delivery of housing management services, they would still be in scope.

Questions: proposal 2

For all

Question 2: As set out in paragraphs 15a and 46b of the policy statement, do you agree that only individuals who have a substantive role in managing delivery of housing management services should be in scope of the qualification requirements?

• Yes
• No, please explain why

Question 3: Do you agree with the guidance on the scope of housing management services (paragraphs 1-3 of Annex B1)?

• Yes
• No, please explain why

Proposal 3: Guidance on the key responsibilities and functions usually delivered by senior housing managers and senior housing executives of registered providers and their services providers

24. Annex B1 of the policy statement, which applies to registered providers and services providers, provides guidance on the functions we expect senior housing managers and senior housing executives to deliver. We have set out the functions deemed to be in scope, rather than listing the job titles or roles where the postholder will need to hold or be working towards a qualification. This is because stakeholders have told us that role titles are used inconsistently within the sector and there are a diverse range of organisational structures.

Senior housing managers

25. Senior housing managers will usually manage the direct delivery of housing management services to tenants. Individuals with managerial responsibilities in respect of the functions below will usually be senior housing managers (in relation to a services provider these functions must be being delivered on behalf of a registered provider):

a. Customer services management: managing delivery of customer services to tenants, including those who manage customer contact centres which handle tenant queries and concerns in relation to housing management services.

b. Complaints management: managing delivery of complaints management, including collecting and monitoring of customer feedback and dealing with complaints from Tenants in relation to housing management services.

c. Tenant / resident involvement or empowerment: managing delivery of customer involvement activities, including engagement with tenant groups, managing tenant feedback and ensuring communications with tenants are reflective of tenants’ needs and requirements.

d. Lettings management: managing delivery of lettings processes including the allocation and pre-tenancy stages.

e. Tenancy management: managing delivery of effective processes and services relating to tenancy management.

f. Income management: managing delivery of effective processes and communications relating to the collection of rents and service charges from tenants and income recovery, including working with tenants to manage issues related to income management such as addressing rent arrears and managing court proceedings.

g. Repairs and maintenance: managing delivery of responsive and planned repairs and maintenance work within occupied homes. Ensuring that works are carried out in accordance with the organisations’ set timescales, policies and procedures.

h. Asset management: managing delivery of effective planning, scheduling and delivery of all technical surveying works, collection of information on existing stock and considering tenants’ priorities to assist in asset management decisions.

i. Anti-social behaviour management: managing delivery of policies and procedures to deal with reports of anti-social behaviour effectively and working with relevant agencies in responding to anti-social behaviour.

j. Estate management: managing delivery of estate management, including ensuring that staff and contractors are maintaining properties and communal areas effectively. This could include consulting with tenants when developing and improving the local environment and amenities.

k. Capital/major works: managing delivery of capital/major works, including planning and scheduling capital works programmes, ensuring effective procedures are in place for consultation and communication with tenants.

26. The list provided here and within the policy statement is not exhaustive.

27. The guidance in Annex B1 of the policy statement also clarifies that senior housing managers will often manage teams of staff to ensure they deliver a good quality and responsive service to the registered provider’s tenants, although having line management responsibilities or managing teams will not necessarily bring a person into scope of the requirements. Conversely, a person is not necessarily outside the qualification requirements simply because they do not have line management responsibilities.

28. The guidance in Annex B1 of the policy statement clarifies that in a reporting chain, senior housing managers will usually, but not always, be the tier below the senior housing executive. We recognise that in larger organisations that have several management levels, it is possible that the requirements would not apply to roles who directly line manage frontline teams but rather to the level of management above. Also, in larger organisations there is an expectation that the registered provider and (where relevant) their services providers will have individuals at both the senior housing manager and the senior housing executive level who will need to gain relevant qualifications.

29. In relation to an individual who is a services provider, the listed functions provided will also apply, depending on the level of seniority of that individual.

Senior housing executives

30. Senior housing executives will usually be Heads of Services and Directors who provide strategic direction and have accountability in relation to housing management services.

31. In the guidance at Annex B1 of the policy statement, we have set out that individuals who deliver the following functions in relation to the housing management services are generally senior housing executives (in relation to a services provider these functions must be being delivered on behalf of that registered provider):

a. provides overall strategic direction and accountability in relation to service quality.

b. accountability for developing and embedding their organisation’s culture in line with strategic objectives.

c. accountability for ensuring implementation of strategies to manage and improve performance.

d. accountability for ensuring accessible and customer-focused policies and procedures are in place.

32. The list provided here and within the policy statement is not exhaustive.

33. Annex B1 clarifies that the definition of senior housing executive will capture the organisation’s Chief Executive Officer (CEO) if that person has responsibility (solely or jointly) for the day-to-day management of delivery of housing management services. It also states that senior housing executives may have overarching accountability for all housing management services. Or, in some circumstances depending on the size and makeup of the organisation, senior housing executives may have overall accountability or a high level of oversight for a specific and substantial part of the organisation’s housing management services such as income management, customer experience / services, and repairs and maintenance.

34. In relation to an individual who is a services provider, the listed functions provided will also apply, depending on the level of seniority of that individual.

Managing contracts delivered by services providers

35. Annex B1 also clarifies that even where a registered provider contracts out housing management services to one or more services providers, they may still have their own senior housing manager(s) and/or senior housing executive(s) in scope. This would be the case when the senior housing executive or the senior housing manager of the registered provider:

a. has responsibility (solely or jointly) for the day-to-day management and oversight of contracts with services providers; or

b. has responsibility (solely or jointly) for the quality of housing management services provided by services providers.

36. What this means in practice is that even when the registered provider delegates all of their housing management services to other third parties, they may still have senior housing managers and senior housing executives within their own organisation who will need to get qualified. This would be the case if there are people within the registered providers’ organisation who have responsibility for the quality of services and the day-to-day management and oversight of the contracts with those third parties.

Questions: proposal 3

For registered providers and services providers only:

Question 4: In addition to the definitions provided within legislation, does the guidance at Annex B1 of the policy statement on which functions will be in scope provide sufficient clarity to enable you to assess which individuals within your organisation will need to gain a qualification?

• Yes
• No, please explain why and specify whether your answer relates to a senior housing manager, senior housing executive, or both

For all:

Question 5: Do you think that there are any other functions not listed above which should be in scope?

• Yes, please state which functions and specify whether your answer relates to a senior housing manager, senior housing executive, or both
• No

Question 6: Are there any functions listed above that you think should not be in scope?

• Yes, please state which functions and specify whether your answer relates to a senior housing manager, senior housing executive, or both
• No

Proposal 4: Guidance on the roles deemed not to be in scope and on exemptions

37. In Chapter 5 of the policy statement, we propose applying an exemption in relation to back office managerial roles which do not deliver functions which involve managing the direct delivery of services to tenants – for example, finance teams whose functions include the processing of direct debits, housing benefit/universal credit payments and accounting as opposed to those who manage the delivery of effective processes and communications relating to the collection of rents and service charges from tenants. This exemption will apply directly to registered providers and will also apply in relation to Services Providers.

38. However, where a senior housing manager’s or a senior housing executive’s role includes both back office managerial functions and other functions relating to the provision of services in connection with the management of social housing provided by the registered provider, they will not be exempt. This is because the ‘substantive role’ rule detailed in 15(a) of the policy statement will apply so they would still be in scope if they spent a significant portion of their working time exercising their responsibilities for managing delivery of housing management services.

39. Guidance in Annex B1 of the policy statement (paragraph 18) clarifies that those who have a substantive role in managing the delivery of housing management services to the registered provider’s social housing tenants are required to get qualified, rather than those who directly deliver ‘on the ground’ frontline services. For example, where a senior housing manager or senior housing executive of a registered provider or a services provider manages the whole repairs and maintenance works process from planning the works to ensuring the quality of delivery, they are in scope, but the person or contractor who they task to carry out repairs and maintenance would not be in scope.

40. Additionally, the guidance states at paragraph 19 of Annex B1 that functions relating to the assessment of housing need, for example those within a local authority who solely oversee the housing register or make statutory decision on homelessness, are not in scope as these functions are not considered to constitute housing management services.

Questions: proposal 4

For registered providers and services providers

Question 7: Does Chapter 5 and section 6.5 of the policy statement relating to exemptions and paragraphs 18 – 21 of Annex B1 of the policy statement provide sufficient clarity to help you to assess which individuals within your organisation will not be in scope of the qualification requirement?

• Yes
• No, please explain what further clarity is needed

Proposal 5: Individuals become Relevant Persons or Relevant SP Managers once they have been in their current role for more than 6 months (except where there is a probation period applicable to the role in which case different rules apply – see proposal 6)

41. Paragraphs 15c and 46d of the policy statement sets out that individuals must have been in their current role as a senior housing manager or executive for more than 6 months to be classed as a Relevant Person or Relevant SP Manager. Also, paragraph 46e sets out that if the person is a relevant individual that is a services provider, they must have been a services provider for more than 6 months. This is true except where the individual is subject to a probationary period (see proposal 6 for the rules which apply in this scenario).

Questions: proposal 5

For all

Question 8: Do you agree with the proposal outlined above that individuals must have been in their role for more than 6 months to be classed as a Relevant Person or Relevant SP Manager (except where they are subject to a probationary period) as detailed in paragraph 15c, 46d and 46e of the policy statement?

• Yes
• No, the threshold should be less than 6 months (please explain why and specify how long)
• No, the threshold should be above 6 months (please explain why and specify how long)

Proposal 6: Where there is a probation period applicable to a person’s role, they will need to have, or be working towards, a relevant qualification within 9 months from the point at which they take up their role

42. Paragraphs 15d and 46f of the policy statement sets out our proposal that unqualified staff with a probation period will need to begin working towards a relevant qualification within 9 months from the point at which they take up their role.

43. In practice, this means that someone with a 6 month probation period will have up to 3 months to enrol on a suitable qualification after they pass their probation. If a person has a probation period of longer than 6 months, they must still have, or be working towards, a relevant qualification within 9 months, even if they have not completed or passed their probation period by that point in time.

Questions: proposal 6

For all

Question 9: Do you agree with the proposal that those staff who have a probation period should have, or be working towards, a qualification within 9 months from the point at which they take up their role as detailed in paragraph 15d and 46f of the policy statement?

• Yes
• No, please explain why and your alternative suggestion

Proposal 7: Unpaid volunteers will not be in scope of the requirement

44. It is important that we take a proportionate approach in ensuring that the policy has its intended impact in terms of driving up standards in the sector but that it does not negatively impact on organisations’ ability to deliver good quality housing management services.

45. We are aware that some small housing providers, for example, Alms-houses, smaller TMOs and housing co-operatives, are often governed or managed by volunteers. Some volunteers are ‘officers’ of the organisation in question, and we have assessed that where this is the case, they could fall within scope of the qualification requirements. Requiring unpaid volunteers to undertake a housing management qualification could lead to significant adverse impacts for small organisations, including in some cases closure, which would be to the detriment of tenants. Therefore, as detailed at paragraphs 15b and 46c of the policy statement, we propose that where an officer of a registered provider or a services provider is an unpaid volunteer, that person will not need to gain a relevant qualification.

Questions: proposal 7

For all

Question 10: Do you agree with our proposal that unpaid volunteers should not be required to gain a relevant qualification as detailed at paragraphs 15b and 46c?

• Yes
• No, please explain why

For registered providers and services providers

Question 11: Do you assess that any of your unpaid volunteers undertake roles which meet the criteria set out above in Chapter 2 and the guidance in Annex B1 of the policy statement?

• Yes
• No

Section 3: Criteria that qualifications must meet

46. Senior housing managers and executives of both registered providers and services providers (and individuals who are services providers) must undertake qualifications which meet the criteria set out within Chapter 3 of the policy statement. We have summarised this criteria, and how providers can comply with the criteria within our proposals below.

47. It is worth noting that there are some transitional provisions on what constitutes a relevant qualification, which we will explain in more detail in section 6 of this consultation document.

Proposal 8: Qualifications should be of a required level, or higher

48. As described in section 3.1 of the policy statement, we propose that the level of a relevant qualification must be:

a. For senior housing managers (and individuals who are services providers), a level 4 qualification. But higher level qualifications which meet the criteria set out below for qualification type and content will also meet the requirement; and

b. For senior housing executives, a foundation degree or level 5 qualification. Again, higher level qualifications which meet the criteria set out below for qualification type and content will also meet the requirement.

49. Within section 3.3 of the policy statement, we set out that those with higher-level qualifications than those set out above and required under Section 3.1 of the policy statement will be deemed to already hold a relevant qualification and will not need to gain additional qualifications.

50. A higher-level qualification means a qualification in housing management that is:

a. an Ofqual-regulated qualification higher than level 4 for a senior housing manager or individual who is a services provider;

b. an Ofqual-regulated qualification higher than level 5 for a senior housing executive;

c. a foundation degree for a senior housing manager or individual who is a services provider;

d. an undergraduate degree; or

e. a postgraduate degree.

51. The higher-level qualification must also meet the course content criteria in section 3.2 of the policy statement.

52. Where a senior housing manager or senior housing executive is working towards a higher-level qualification that meets the course content requirements in section 3.2 of the policy statement they are deemed to be working towards a relevant qualification.

Questions: proposal 8

For all

Question 12: As outlined in section 3.1 of the policy statement, do you agree that a level 4 qualification is the correct level for a senior housing manager and individual who is a services provider?

• Yes
• No, please explain why

Question 13: As outlined in section 3.1 of the policy statement, do you agree that a level 5 qualification or a foundation degree is the correct level for a senior housing executive?

• Yes
• No, please explain why

Proposal 9: Qualifications can be regulated by an equivalent body to Ofqual or a predecessor body

53. Section 3.1 of the policy statement specifies that relevant qualifications must be regulated by Ofqual (as well as meeting the criteria for qualification levels set out above and the criteria for qualification content set out below in Proposal 10 and in section 3.2 of the policy statement).

54. Our proposal is that, as per section 3.4 of the policy statement, Relevant Persons and Relevant SP Managers who hold or are working towards a qualification in housing management regulated by the Scottish Qualifications Authority (SQA), Qualifications Wales (QW), or the Council for the Curriculum, Examinations and Assessment (CCEA) (or a predecessor of one of those bodies), will be deemed to hold, or be working towards, a relevant qualification. This means they will not have to also gain another Ofqual-regulated qualification. This is provided the qualification is at the required level and meets the course content criteria set out in the policy statement.

55. In addition, we propose that Relevant Managers or Relevant SP Managers who hold a qualification in housing management obtained before the establishment of Ofqual in 2008, will be deemed to already hold a relevant qualification if the qualification also meets the following criteria:

a. it is a qualification that was regulated by a predecessor of Ofqual;

b. for senior housing managers, the qualification is equivalent to, or of a higher level than, an Ofqual regulated level 4 qualification and for senior housing executives, the qualification is equivalent to, or of a higher level than an Ofqual regulated level 5 qualification; and

c. it meets the relevant course content requirement as set out in section 3.2 of the policy statement.

Questions: proposal 9

For all

Question 14: Do you agree with our proposals outlined above and in section 3.4 of the policy statement that qualifications can be regulated by an equivalent body to Ofqual or a predecessor body?

• Yes
• No, please explain why

Proposal 10: Relevant qualifications must meet specific criteria relating to course content

56. Within Chapter 3 of the policy statement, we have set out the high-level criteria that qualifications must meet, as opposed to providing an exhaustive list of eligible qualifications which may later become outdated.

57. As described in paragraph 20 of the policy statement, our proposal is that senior housing managers and senior housing executives of registered providers and services providers must have a qualification that is focused on managing the delivery of housing services (“housing management”). It must also be relevant to housing management delivered within social housing. This means it should be appropriate for those delivering housing management within social housing, rather than being exclusively relevant to the delivery of housing management in leasehold properties for example.

58. We also propose that the content of courses should cover specific modules or topics as detailed below.

Senior housing managers (or individuals that are a services provider)

59. As per paragraph 21 of the policy statement, in the case of a senior housing manager (or individual that is a services provider), the course content for the qualification in housing management must develop the learners’ knowledge and skills in the following areas as a minimum:

a. professional practice skills for housing management such as collaborative working and exercising professional judgement;

b. ensuring needs of tenants are met (for example, those with additional needs);

c. customer service in housing including effective engagement with tenants and delivering respectful and professional housing services;

d. relevant housing law;

e. national housing policy and current trends driving the housing sector; and

f. embedding organisational policies in housing organisations.

Senior housing executives

60. As per paragraph 22 of the policy statement, in the case of a senior housing executive, the course content for the qualification must develop the learners’ knowledge and skills in the following areas as a minimum:

a. ethical practices and understanding how these practices apply to housing organisations and professionals;

b. professional practice skills for housing management such as collaborative working and exercising professional judgement;

c. ensuring needs of tenants are met (for example, those with additional needs);

d. customer service in housing including effective engagement with tenants and delivering respectful and professional housing services;

e. strategic and business planning for housing management;

f. leadership and management in the context of housing management; and

g. stakeholder engagement and managing relationships in housing management.

61. When setting the course content criteria outlined above, we reflected on what we have heard from tenants, who told us they often feel as though their concerns and queries are not taken seriously or ignored, including with respect to issues around damp and mould which can have serious consequences for health and wellbeing. We have heard from tenants that some of the things that are most important to them are that they are listened to, respected and treated with empathy by their landlords. Based on this feedback we have set the expectation that qualification courses must equip staff not only with relevant technical, legal or business knowledge and skills but also with the soft skills, including engagement with tenants, delivering respectful and professional customer services and meeting tenants’ needs.

Questions: proposal 10

For all

Question 15: Do you agree that the criteria that qualifications must meet as set out in section 3.2 of the policy statement is appropriate for ensuring senior housing managers and senior housing executives gain the skills, knowledge, experience and behaviours they need to deliver high quality and professional services to tenants?

• Yes
• No, please explain why and specify whether your objection relates to a senior housing manager, senior housing executive, or both.

For registered provider and services providers

Question 16: Does section 3.2 of the policy statement provide sufficient information to allow you to identify which qualifications would meet the requirements for a senior housing manager and senior housing executive?

• Yes
• No, please explain what further information is needed and specify whether your response relates to a senior housing manager, senior housing executive, or both.

Section 4: What constitutes ‘working towards’ a qualification for the staff of both registered providers and services providers

62. Registered providers must secure that their senior housing executives and senior housing managers who meet the criteria set out in Chapter 2 of the policy statement and therefore who are deemed to be in scope of the requirements (Relevant Persons), have, or are working towards a relevant qualification.

63. Registered providers must also take steps to secure that Relevant Managers of their services providers which meet the description in section 6.1 of the policy statement have or are working towards a relevant qualification.

64. The criteria which qualifications must meet are specified in Chapter 3 of the policy statement.

Proposal 11: Circumstances under which a senior housing manager and a senior housing executive of both a registered provider or a services provider is deemed to be working towards a qualification

65. Chapter 1 paragraph 13 and Chapter 6 paragraph 44b of the policy statement set out under what circumstances a person is deemed to be ‘working towards’ a qualification. The following detail is included within our policy statement.

66. A person is deemed to be working towards a relevant qualification if any of the following apply:

a. They are enrolled upon the relevant qualification, or a lower level qualification that is a prerequisite to enrolling on the relevant qualification but are not making progress towards completing the qualification and:

i. no more than 6 months have elapsed since enrolment; or

ii. the next available course start date is more than 6 months, but no more than 12 months, after the date on which they enrolled, and

iii. the registered provider intends that the Relevant Person will be making progress towards completing the qualification within 12 months of their enrolment date; or

iv. they are absent from work or due to begin an extended absence from work (which could include maternity leave, absence due to sickness, compassionate leave, special leave for public duties, or if they are reservists in the armed forces) which means that it would not be feasible for them to be making progress towards completing the qualification; and

v. the registered provider intends that they will be making progress towards completing the qualification as soon as reasonably practicable thereafter; or

b. They are enrolled upon, and making progress towards completing, the relevant qualification or a lower-level qualification that is a prerequisite to enrolling on the relevant qualification and:

i. where the qualifications provider mandates a time period within which the qualification must be completed or gives an estimate of the time period it will take to complete the qualification, that period has not passed – except where the person has not been able to complete the qualification in that period because of an extended absence from work of the type referred to in paragraph 13(a)(iv) and 13(c)(i) of the policy statement, in which case they must complete it as soon as reasonably practicable thereafter; or

ii. where no such time period is mandated or estimate given, no more than two years have passed since enrolment – except where the person has not been able to complete the qualification in that period because of an extended absence from work of the type referred to in paragraph 13(a)(iv) and 13(c)(i) of the policy statement, in which case they must complete it as soon as reasonably practicable thereafter.

67. What this means in terms of our proposal is that once enrolled, staff should commence their course and begin making progress towards completing their qualification within 6 months. However, we recognise that in a small number of cases there may be no available course start date within the first 6 months after enrolment, particularly where the person is undertaking a degree level qualification. In this case, the person would need to start making progress towards completing the qualification within 12 months of enrolment. Where a person enrols, but then needs to take an extended period of absence from work, for example due to maternity leave or sickness, they would need to start making progress towards completing their qualification as soon as is reasonably practicable thereafter.

68. We also propose that the person should complete the qualification within the time limit or estimate set by the qualifications provider for that qualification. We are not proposing to set a standardised time limit within which staff must complete their qualifications as training providers will have different time limits or estimated durations for different courses. As such, setting a uniform time limit would not be practicable.

69. Also, if a person is required to get a lower-level qualification as a prerequisite to enrolling on a level 4 or 5 qualification (or a foundation degree), the same rules as are set out above will apply in relation to the lower level qualification. They must then enrol upon a relevant qualification at the required level within 6 months of receiving their award for the lower-level qualification.

70. We expect that qualifications providers will provide some level of flexibility when it comes to the time limits or maximum duration allowed for completion of the qualification when individuals’ personal circumstances change. Some qualifications providers also currently provide options to undertake more flexible online versions of the courses which allow learners which may have specific commitments that make it difficult to complete the course at specific times (such as caring commitments) to work through in their own time, at any time.

71. Where no time limit is set by a qualifications provider, we propose that it must not take more than two years to complete a qualification from the point of enrolment except in very exceptional circumstances, such as where an individual is absent from work due to periods of sickness or maternity leave or if they are reservists in the armed forces.

72. In a small number of specific circumstances, a person can still be classified as ‘working towards’ a qualification even if they are not enrolled on a relevant qualification or a lower level qualification that is a prerequisite to enrolling on the relevant qualification. This is only permitted if:

a. they are absent from work or due to begin an extended absence from work (which could include maternity leave, absence due to sickness, compassionate leave, special leave for public duties, or if they are reservists in the armed forces) which means that it would not be feasible for them to undertake the qualification; and

b. the registered provider or services provider intends to enrol them on the qualification within 6 months of them returning from the extended absence.

Proposal 11 Questions:

For all:

Question 17: Do you agree with our approach to defining what it means to be ‘working towards’ a relevant qualification as outlined in the policy statement?

• Yes
• No, please explain which aspect you do not agree with and why

For registered providers and services providers only:

Question 18: Does the information provided above and within Chapter 1 and Chapter 6 paragraph 44b of the policy statement provide sufficient clarity to help you understand the circumstances in which individuals in scope will be deemed to be ‘working towards’ a qualification?

• Yes
• No, please explain which aspect is not clear and why

Section 5: Transition period

73. Clear evidence of poor behaviours and a lack of suitable skills, knowledge and experience amongst some within the social housing sector was highlighted through the social housing green paper consultation process and the evidence heard by the Grenfell Tower Inquiry. These concerns have been amplified further by recent cases of landlord failure, including the tragic death of Awaab Ishak. As such, we recognise the importance of ensuring this Standard is implemented as quickly as possible to drive much needed change in the sector.

74. At the same time, there is a need to balance this imperative to move quickly, with the need to implement the Standard in a practical and deliverable way which minimises adverse impacts on service delivery to tenants. This is especially pertinent given the breadth and ambition of our reform programme, and the fact that it is being implemented at a time when registered providers face a challenging financial environment.

75. In addition, it is essential that sufficient time is built in for qualifications providers to build their capability and capacity to deliver the training and qualifications at the scale required, within the time periods stipulated in the policy statement. Leading training and qualifications providers have indicated that a minimum of two years would be needed to deliver the necessary qualifications to those currently in the sector who will be in scope of the requirements.

Proposal 12: There will be a transition period within which registered providers and services providers must ensure their senior housing managers and executives have, or are working towards, a relevant qualification

76. Section 4.1 of the policy statement sets out the details of the transition period which will enable landlords to get their staff qualified in a phased way and help them to manage impacts on staffing capacity and services to tenants. Completing qualifications at the levels set by the policy statement requires a significant time commitment and high level of engagement from learners, so an adequate transition period is essential to ensure that staff wellbeing can be maintained, drop out or failure rates kept low, and landlords can manage potential impacts on services to tenants.^{[footnote 3]}

77. We have set out the expected costs of the qualification requirements across 10 years in the impact assessment attached in Annex C, and we seek views on the costs and benefits of the requirements.

78. Registered providers must secure that their Relevant Persons are qualified or working towards a relevant qualification within the time limits set out below, and they must also take steps to secure that Relevant SP Managers of their services providers are qualified or working towards a relevant qualification within the time limits described below.

79. In this proposal, the term “transition period” refers to the period of 24 months beginning with the day that the Competence and Conduct Standard comes into force.

80. At least half of those individuals in scope who are in post at the beginning of the transition period must be working towards or have completed (or must be deemed to be working towards or have completed) a relevant qualification, within the first 12 months of the transition period.

81. Some registered providers and services providers may only have one individual in scope in post at the beginning of the transition period. In this instance, this person will need to have, or be working towards a relevant qualification by the end of the transition period unless they are deemed to already hold or be working towards a relevant qualification.

82. Anyone in scope who is in post at the beginning of the transition period, or who moves into a role that is in scope during the first 18 months of the transition period, will need to have either completed or be working towards a relevant qualification by the end of the transition period unless they are deemed to already hold or be working towards a relevant qualification.

83. Following the end of this transition period, the normal rules will apply.

84. Whilst we recognise this is an ambitious time frame, we believe that this strikes the right balance between moving rapidly to professionalise the sector and improve the quality of services to tenants, whilst ensuring that providers can maintain their standards of service to tenants whilst staff undertake qualifications. This proposal sets clear expectations around the timeframes within which staff must obtain or be working towards qualifications whilst allowing landlords to spread the costs and time commitments from staff over multiple years which would reduce the risks of negative impacts on or disruption to service delivery. It also gives qualifications providers time to increase their capacity to meet increased demand.

Questions: proposal 12

For all

Question 19: Considering the costs and benefits outlined within the impact assessment, do you agree that all existing staff within the sector should have, or should begin working towards a relevant qualification within 24 months as outlined in section 4.1 of the policy statement?

• Yes
• No, please specify the length of transition period that you think would be necessary in months

Question 20: Do you have any additional comments or evidence about the potential impact of the policy proposals as assessed in our impact assessment (Annex C)?

• Yes – please explain
• No

For registered providers and services providers only

Question 21: Does the information provided above and in section 4.1 of the policy statement provide sufficient clarity on the time limits within which individuals will need to hold or be working towards a relevant qualification within the transition period?

• Yes
• No, please explain why

For qualifications providers only

Question 22: Considering the total number of staff in the sector that will need to enrol on qualifications within the transition period as outlined in the impact assessment (Annex C), and noting that our intention is for the Standard to come into force in April 2025, do you believe that you can meet the demand for enrolling learners on qualifications within the 24- month transition period?

• Yes
• No, please specify the length of transition period in months that you believe would be necessary to meet this demand.

Proposal 13: There will be an adjusted transition period for small registered providers who provide fewer than 50 units of stock, which will also apply in relation to their services providers

85. We are proposing to apply an adjusted transition period to registered providers which provide fewer than 50 units of social stock. This will mean that these registered providers have twice the amount of time to ensure their Relevant Persons begin working towards qualifications compared to that set out in section 4.1 of the policy statement.

86. This same adjusted transition period will also apply in relation to the services providers of those registered providers who provide fewer than 50 units of stock.

87. The rationale behind this proposal is that stakeholders have highlighted that very small registered providers and services providers will struggle to support their in-scope managers to work towards qualifications during the transition period. We have heard that releasing relevant staff to undertake qualifications would have a particularly disruptive effect on service delivery to tenants of the smallest providers and costs would have a bigger impact on small organisations. A longer adjusted transition period would mean very small registered providers or services providers would have more time to plan for these requirements coming into force and they could split the costs and loss of hours over a longer period.

88. It is important that we are being proportionate in ensuring that the policy has its intended impact in terms of driving up standards in the sector but that it also does not negatively impact on organisations’ ability to deliver good quality housing management services.

Questions: proposal 13

For all

Question 23: Do you agree with the proposal that an adjusted transition period (twice the amount of time) should apply to registered providers which provide fewer than 50 units of stock, and will also apply in relation to their services providers?

• Yes
• No, I disagree that the threshold should be 50 units of stock (please explain why and if you have an alternative suggestion)
• No, I disagree that the adjusted transition period should be twice the amount of time (please explain why and if you have an alternative suggestion)

Section 6: Transitional arrangements for partially compliant qualifications and apprenticeships

Proposal 14: Transitional arrangements will apply to registered providers and in relation to services providers for partially compliant qualifications

89. As per section 3.6 of the policy statement we propose to apply a transitional arrangement for partially complaint qualifications. This means that during the transition period, those who hold a qualification which partially covers the course content criteria in section 3.2 of the policy statement, must complete additional accredited training or accredited continuing professional development modules to cover the remaining criteria. Following the transition period, qualifications will only be deemed to be a relevant qualification if they meet all of the course content requirements.

90. Section 3.6 of the policy statement also sets out that where a senior housing manager or senior housing executive is working towards a partially compliant qualification during the transition period, they are deemed to be working towards a relevant qualification.

91. The rationale for this proposal is that we recognise it would be disproportionate to expect staff who already hold relevant technical qualifications such as RICS qualifications to undertake an additional qualification. Therefore, we are proposing this transitional arrangement, which will apply during the transition period, and will give the relevant qualifications providers time to update their course content to fully meet the qualification requirement content criteria should they wish to.

92. At the same time, it is important that all Relevant Managers and Relevant SP Managers strengthen their skills, knowledge and behaviours in relation to tenant engagement and customer service as soon as possible. That is why we are proposing that those individuals who hold technical or construction related qualifications that do not specifically cover the course content requirements set out in section 3.2, must supplement their existing learning with accredited training or continuing professional development modules in order to meet the transitional qualification requirements.

93. These transitional arrangements will only apply to qualifications completed by the end of the transition period, including those completed prior to the time that the Competence and Conduct Standard comes into force. After the transition period, qualifications will need to meet all the criteria in 3.1 and 3.2 of the policy statement. The government therefore encourages providers of partially relevant qualifications to update their courses as soon as possible, to ensure their qualifications will meet the criteria relating to course content when the transition period has concluded.

Questions: proposal 14

For all

Question 24: Do you agree with our proposal as outlined above and described in section 3.6 of the Policy Statement that there should be transitional arrangements in place for those with partially relevant qualifications (which meet or exceed the requirements in section 3.1 of the policy statement, but do not meet all the course content criteria in section 3.2)

• Yes
• No – please explain why

For qualification providers only

Question 25: Where your course does not cover all the criteria listed above, do you plan to update your qualifications to ensure that you cover the proposed course content requirements?

• Yes
• No, please explain why

Proposal 15: There will be transitional arrangements for apprenticeship programmes undertaken without a qualification element

94. Our proposal is that if a senior housing manager of a registered provider of a services provider or an individual that is a services provider has completed an apprenticeship programme without a qualification element by the end of the transition period or prior to the time the qualification element of the Standard comes into force, that person will be compliant if:

a. they have passed their end point assessment for their apprenticeship programme before the end of the transition period;

b. the apprenticeship programme was delivered at an equivalent level to an Ofqual regulated level 4 qualification;

c. the apprenticeship programme met the course content requirements set out in section 3.2 of the policy statement.

95. Where a senior housing manager is, during the transition period, undertaking an apprenticeship that meets the criteria in paragraph 34(b) and (c) of the policy statement they are deemed to be working towards a relevant qualification.

96. ‘Working towards’ in this context means:

a. they are enrolled upon the apprenticeship but have not yet commenced it and the end of the transition period has not passed;

b. they are enrolled upon, and making progress towards completing the apprenticeship and the end of the transition period has not passed.

97. We are proposing this because we want to offer apprenticeship providers an appropriate amount of time to incorporate a qualification element into their housing apprenticeship programme.

98. It is worth noting that this transitional arrangement will only apply to senior housing managers as there is no level 5 apprenticeship programme available.

Questions: proposal 15

For all

Question 26: Do you agree with our proposal as outlined above and described in section 3.7 of the policy statement that there should be transitional arrangements in place for those who have completed an apprenticeship programme without a qualification element provided they meet other criteria (as above)?

• Yes
• No – please explain why

Section 7: Requirements for registered providers in respect of the relevant managers of services providers

99. In many instances, registered providers will delegate all or some housing management services to ‘services providers’. This term is defined in section 194B(2) of the Housing and Regeneration Act 2008. Services providers are responsible for providing services in connection with the management of social housing on behalf of the registered provider or arranging for the provision of such services. Examples of services providers are arms-length management organisations (ALMOs) and tenant management organisations (TMOs). Alternatively, a services provider could be a private company contracted to manage delivery of housing management services. Some services providers may be individuals.

100. Research conducted by the IFF (see Annexes E-G) highlighted that the majority of housing providers (63%) sub-contracted maintenance services at least to some extent, and around one third (30%) sub-contract part or all of another service area with tenant-facing staff. This shows that services providers’ staff play a major role in delivering services to tenants.

101. Evidence heard by the Grenfell Tower Inquiry highlighted that there were significant failings in terms of the professional conduct of staff employed by the TMO who delivered housing management services on behalf of the Royal Borough of Kensington and Chelsea Council. Resident focus groups have also frequently raised concerns about poor services provided by contractors, some perceiving the actions and attitudes of sub-contractors to be more of a concern than those of tenant-facing staff employed by the registered provider.^{[footnote 4]}

102. This demonstrates that it is highly important that third party providers, subsidiaries and contractors of registered providers are held accountable for delivering good quality, professional services in their own right. The Competence and Conduct Standard will require registered providers to take steps to secure that Relevant SP Managers of services providers (a term which includes relevant sub-contractors) have, or are working towards a relevant qualification.

103. Implied terms have been introduced into management services agreements between registered providers and services providers by s217A of the 2008 Act. These have the effect that, from the point the Standard comes into force, services providers will be contractually obliged to secure that their Relevant SP Managers have or are working towards relevant qualifications. The implied terms relate only to the qualification requirement, and not to the broader requirements of the Standard.

Proposal 16: Requirements which apply to registered providers in respect of the staff of services providers

104. As per Chapter 6 of our policy statement, registered providers will be required to:

a. consider how they will use the terms which are implied into management services agreements by s217A of the Act in taking steps to secure that Relevant SP Managers have or are working towards a relevant qualification as required in the policy statement;

b. bring the qualification element of the Competence and Conduct Standard to the attention of their services providers with which they have a management services agreement;

c. take steps to secure that any services provider with which they have a management services agreement is aware of their obligations under the terms implied into the management services agreement; and

d. take steps to secure that those of their services providers with which they have a management services agreement:

i. consider how they will use the terms which are implied into management services agreements by s217A of the Act in taking the steps to secure that, the Relevant SP Managers of their sub-contractors have or are working towards a relevant qualification as required in this policy statement;

ii. bring the qualification element of the Competence and Conduct Standard to the attention of their sub-contractors that are services providers in relation to the registered provider; and

iii. take steps to secure that those sub-contractors are aware of their obligations under the implied terms.

105. Section 6.1 of the policy statement sets out under what circumstances a person will be classified as a Relevant SP Manager of a services provider. This slightly differs from the description of a Relevant Person of a registered provider.

106. The guidance around who is in scope and the criteria that qualifications must meet will be the same for Relevant Persons and Relevant SP Managers. The transition period, transitional arrangements and what constitutes working towards a qualification will also be effectively the same for Relevant Persons and Relevant SP Managers.

Questions: proposal 16

For registered providers only

Question 27: Having read the information provided above and in Chapter 6 of the policy statement, are you clear on what your responsibilities are in relation to Relevant SP Managers?

• Yes
• No, please explain what further clarity is needed

Question 28: Based on the information provided in section 6.1 and Annex B2 of the policy statement, are you clear on what would classify someone as a Relevant SP Manager?

• Yes
• No, please explain what further clarity is needed

Proposal 17: Guidance on the implications of the Act for services providers

107. We have set out guidance specifically for services providers (Annex B2 of the policy statement) to help them to understand what the implications of the Act are for services providers – for example, that they will need to secure that their Relevant SP Managers have, or are working towards, a relevant qualification and comply with any reasonable request for information to demonstrate to the registered provider that they are complying with the obligation under the main implied term.

108. As set out in legislation, the Regulator must consult with bodies nominated by the Secretary of State which appear to represent the interests of services providers in relation to registered providers. We propose to nominate two bodies which appear to represent the interests of services providers in relation to these requirements. These bodies are the National Federation of ALMOs and the National Federation of TMOs.

Questions: proposal 17

For services providers only

Question 29: Does the guidance in Annex B2 of the policy statement enable you to understand what the implications of these requirements are for your organisation and your obligations under the terms implied by section 217A of the Housing and Regeneration Act 2008?

• Yes
• No, please explain what further clarity is needed

Question 30: Does the information provided in Chapter 6 of the policy statement enable you to understand the requirements placed on registered providers in relation to services providers?

• Yes
• No, please explain what further clarity is needed

For all

Question 31: Are there any other bodies representing the interests of services providers that you think the Secretary of State should nominate as a body with which the Regulator must consult on the regulatory Standard in relation to these requirements, other than the National Federation of ALMOS and the National Federations of TMOs?

Free Text: _____________

Question 32: Are there any other issues you want to raise, or anything you believe has not been considered in relation to proposals 16 and 17?

Free text: ____________

Section 8: Questions related to the impact assessment

109. To support a review of our analysis within the impact assessment (see Annex C) it would also be useful for us to gain an understanding of your responses to the following questions below.

Questions: impact assessment

For registered providers and services providers

Question 33: In paragraph 64 of the impact assessment, we have set out our assumptions around the familiarisation / implementation costs to registered providers and services providers for the implementation of the full Competence and Conduct Standard including the qualification element of the Standard? Do you agree with these assumptions?

• Yes
• No – please explain why and provide an alternative
• Don’t know

Competence and Conduct Standard only (not including the qualification element)

Question 34: How many people have you identified as being in scope of the full Competence and Conduct Standard (not just the qualification element of the Standard)? This would be all individuals involved in the provision of services in connection with the management of social housing.

Number: ____________

Qualification requirement only

Question 35: Based on the information provided in the policy statement and associated guidance, how many individuals within your organisation have you assessed to be in scope of the qualification requirements?

Number: ______

Question 36: How many of those individuals have you assessed to be senior housing managers?

Number: ______

Question 37: How many of those individuals have you assessed to be senior housing executives?

Number: ______

Question 38: Having read the requirements set out in Chapter 3 of the policy statement, how many and what percentage of your existing in-scope staff already possess a qualification which is deemed to be a relevant qualification?

Please provide the number and percentage of staff: ­­­­­­­­­__________

Question 39: How many individuals within your organisation that you assess to be in scope currently have a partially relevant qualification (which meets or exceeds the requirements in 3.1 but does not meet all the course content criteria at 3.2) and would be in a position to undertake accredited training / CPD to meet the remaining criteria?

Number: ________

Question 40: Please specify whether you pay the apprenticeship levy

• Yes
• No
• Prefer not to say

Question 41: How many, and what proportion, of those you have assessed to be in scope of the requirements and who need to gain relevant qualification plan to meet these requirements by completing an apprenticeship programme with a qualification element?

• Apprenticeship programme with a qualification element:

Number of staff: ___________

Percentage of staff: ___________

• Qualification (without an apprenticeship programme)

Number of staff: ___________

Percentage of staff: ___________

For registered providers only

Question 42: How many services providers do you have a direct agreement with for managing the delivery of housing management services to your tenants? What size are your services - micro (less than 10 employees), small (less than 50 employees, medium (less than 250 employees) or large organisation (250 or more employees) and what types of services do they deliver?

Number of services providers: ____________

Size of your services providers _______________

Services they deliver ______________

For services providers only

Question 43: Where you manage delivery of housing management services on behalf of a registered provider, do you contract out aspects of the management of these services to other providers? If yes, please could you provide details of the number of sub-contractors used, types of services delivered and the size of these sub-contractor organisations (please note this question only applies to the management of the delivery of services, rather than to the delivery of services)

Number of sub-contractors: _______________

Size of sub-contractors _______________

Services they deliver _________________

For qualifications providers only

Question 44: We have made an assumption that where people undertake a qualification (not as part of an apprenticeship programme), this will require a commitment from the learner of 8 hours per week over approximately 12 months for both level 4 and 5. This will amount to around 320 hours of study for senior housing executives and 360 hours of study for senior housing managers in total. Do you agree with this assumption?

• Yes
• No, please explain and tell us what you estimate the number of hours commitment that will be required from the learner per week and over what period for both senior housing managers and senior housing executives.
• Don’t know

About this consultation

This consultation document and consultation process have been planned to adhere to the Consultation Principles issued by the Cabinet Office.

Representative groups are asked to give a summary of the people and organisations they represent, and where relevant who else they have consulted in reaching their conclusions when they respond.

Information provided in response to this consultation will be published to comply with section 197(8) of the Housing and Regeneration Act 2008. In addition, responses may be published or disclosed in accordance with the access to information regimes (primarily the Freedom of Information Act 2000 (FOIA), the Data Protection Act 2018 (DPA), the UK General Data Protection Regulation, and the Environmental Information Regulations 2004).

Due to the legal requirement to publish responses, we are not able to guarantee confidentiality in respect of your response. An automatic confidentiality disclaimer generated by your IT system will not, of itself, be regarded as binding on the department.

In addition, information provided in response to this consultation may be published or disclosed in accordance with the access to information regimes (these are primarily the Freedom of Information Act 2000 (FOIA), the Environmental Information Regulations 2004 and UK data protection legislation). In certain circumstances this may therefore include personal data when required by law.

The Department for Levelling Up, Housing and Communities will at all times process your personal data in accordance with UK data protection legislation and in the majority of circumstances this will mean that your personal data will not be disclosed to third parties. A full privacy notice is included below.

Individual responses will not be acknowledged unless specifically requested.

Your opinions are valuable to us. Thank you for taking the time to read this document and respond.

Are you satisfied that this consultation has followed the Consultation Principles? If not or you have any other observations about how we can improve the process please contact us via the complaints procedure.

Personal data

The following is to explain your rights and give you the information you are  entitled to under UK data protection legislation.

Note that this section only refers to personal data (your name, contact details and any other information that relates to you or another identified or identifiable individual personally) not the content otherwise of your response to the consultation.

1. The identity of the data controller and contact details of our Data Protection Officer    

The Department for Levelling Up, Housing and Communities (DLUHC) is the data controller. The Data Protection Officer can be contacted at dataprotection@levellingup.gov.uk or by writing to the following address:

Data Protection Officer
Department for Levelling Up, Housing and Communities
Fry Building, 2 Marsham Street
London
SW1P 4DF    

2. Why we are collecting your personal data  

Your personal data is being collected as an essential part of the consultation process, so that we can contact you regarding your response and for statistical purposes. We may also use it to contact you about related matters.

We will collect your IP address if you complete a consultation online. We may use this to ensure that each person only completes a survey once. We will not use this data for any other purpose.

Sensitive types of personal data

Please do not share special category personal data or criminal offence data if we have not asked for this unless absolutely necessary for the purposes of your consultation response. By ‘special category personal data’, we mean information about a living individual’s:

• race
• ethnic origin
• political opinions
• religious or philosophical beliefs
• trade union membership
• genetics
• biometrics 
• health (including disability-related information)
• sex life; or
• sexual orientation.

By ‘criminal offence data’, we mean information relating to a living individual’s criminal convictions or offences or related security measures.

3. Our legal basis for processing your personal data

The collection of your personal data is lawful under article 6(1)(e) of the UK General Data Protection Regulation as it is necessary for the performance by DLUHC of a task in the public interest/in the exercise of official authority vested in the data controller.  Section 8(d) of the Data Protection Act 2018 states that this will include processing of personal data that is necessary for the exercise of a function of the Crown, a Minister of the Crown or a government department i.e. in this case a consultation.

Where necessary for the purposes of this consultation, our lawful basis for the processing of any special category personal data or ‘criminal offence’ data (terms explained under ‘Sensitive Types of Data’) which you submit in response to this consultation is as follows. The relevant lawful basis for the processing of special category personal data is Article 9(2)(g) UK GDPR (‘substantial public interest’), and Schedule 1 paragraph 6 of the Data Protection Act 2018 (‘statutory etc and government purposes’). The relevant lawful basis in relation to personal data relating to criminal convictions and offences data is likewise provided by Schedule 1 paragraph 6 of the Data Protection Act 2018.

4. With whom we will be sharing your personal data

DLUHC may appoint a ‘data processor’, acting on behalf of the Department and under our instruction, to help analyse the responses to this consultation.  Where we do we will ensure that the processing of your personal data remains in strict accordance with the requirements of the data protection legislation.

5. For how long we will keep your personal data, or criteria used to determine the retention period.

Your personal data will be held for 2 years from the closure of the consultation, unless we identify that its continued retention is unnecessary before that point.

6. Your rights, for example, access, rectification, restriction, objection

The data we are collecting is your personal data, and you have considerable say over what happens to it. You have the right:

a. to see what data we have about you

b. to ask us to stop using your data, but keep it on record

c. to ask to have your data corrected if it is incorrect or incomplete

d. to object to our use of your personal data in certain circumstances

e. to lodge a complaint with the independent Information Commissioner (ICO) if you think we are not handling your data fairly or in accordance with the law.  You can contact the ICO at https://ico.org.uk/, or telephone 0303 123 1113.

Please contact us at the following address if you wish to exercise the rights listed above, except the right to lodge a complaint with the ICO: dataprotection@levellingup.gov.uk or

Knowledge and Information Access Team
Department for Levelling Up, Housing and Communities
Fry Building, 2 Marsham Street
London
SW1P 4DF

7. Your personal data will not be sent overseas.

8. Your personal data will not be used for any automated decision making.

9. Your personal data will be stored in a secure government IT system.

We use a third-party system, Citizen Space, to collect consultation responses. In the first instance your personal data will be stored on their secure UK-based server. Your personal data will be transferred to our secure government IT system as soon as possible, and it will be stored there for 2 years before it is deleted.

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1. Social housing green paper: a ‘new deal’ for social housing. ↩

2. Annex F: IFF Research Report. ↩

3. Based on the current leading housing management vocational qualifications available in the sector - Chartered Institute of Housing (CIH) level 4 and 5 qualifications - the approximate number of hours of study would be 8 hours per week over a period of around 12 months. It is expected that the total qualification time will be 360 hours for level 4 qualifications and 320 hours for level 5 qualifications. For apprenticeships the learning commitment is similar, with learners spending at least 20% of their working week on off the job training for level 4 senior housing and property officer apprenticeships. However, apprenticeships are usually undertaken over a longer period (18-24 months). ↩

4. IFF Research page 16 & 52. ↩