Guidance

Summary of previous lessons learned

Published 22 September 2020

Applies to England

Our Consumer Regulation Review reports set out the key messages we wish to share with the sector.

Compliance with the Home Standard, including health and safety requirements and transparency with the Regulator, are recurring themes, but each year we identify new lessons that we wish to share with the sector. We have set out a short summary of these lessons below.

2012-13

This was the first annual Consumer Regulation Review. That year we published one regulatory notice for a failure to meet gas safety requirements.

In the report, we said:

• Registered providers are responsible for meeting statutory health and safety requirements. We recognise that, for good reason, registered providers prefer to work with tenants to secure access to properties. However, on occasion, registered providers may need to make use of legal mechanisms available to ensure the safety of tenants, and they should do so in a timely manner.

2013-14

In our second Consumer Regulation Review, we set out details of the three cases where we had found a breach of the consumer standards and risk of serious detriment. All three cases related to a failure to meet gas safety requirements. We also reminded registered providers of their duty to be transparent with the Regulator.

We said:

• Registered providers have a responsibility to communicate with the Regulator in a timely way. Where a registered provider becomes aware of a breach of the standard which might cause serious detriment, it must notify the Regulator promptly.

2014-15

In 2014-15, we set out the details of six cases where we had found a breach of the consumer standards and risk of serious detriment. Four of those cases related to compliance with gas safety requirements but, for the first time, two of those cases related to the repairs and maintenance service provided to tenants.

In the report, we highlighted that:

• Responsibility for complying with the consumer standards applied to local authorities as well as private registered providers.

• It is important for registered providers to have in place good asset management systems. Where failures occur, we often find those systems are not fit for purpose, or that the board did not probe or challenge the assurance they were given.

2015-16

In our fourth Consumer Regulation Review, we set out the details of the four regulatory notices we published that year, all in relation to gas safety. One of those cases related to a registered provider who had contracted out delivery of gas safety compliance. We explained that that did not remove the responsibility on the landlord to ensure statutory compliance.

We said:

• Meeting health and safety obligations is a primary responsibility for registered providers. Contracting out the delivery of services does not contract out responsibility to meet the requirements of legislation or standards.

2016-17

In the 2016-17 Consumer Regulation Review, published shortly after the terrible fire at Grenfell Tower, we again reiterated the importance of complying with statutory health and safety obligations, and for registered providers to have clarity over their statutory responsibilities. We also shared our view on the importance of good complaint handling and the need for transparency with the Regulator.

We said:

• Compliance with health and safety obligations and the consumer standards has always been a key responsibility for governing bodies of registered providers.

• Registered providers must be clear about what stock they own and are the landlord for, and must understand their responsibilities to deliver statutory compliance.

• Registered providers are responsible for ensuring tenants know how to complain, and for responding to complaints effectively. Boards should have access to the messages that tenants are giving them.

• Transparency with the Regulator is essential. Where consumer compliance problems come to light and the registered provider has failed to be transparent with the Regulator, this is a concern in relation to compliance with the Governance and Financial Viability Standard, and may be indicative of broader governance issues.

2017-18

In the sixth Consumer Regulation Review, we set out the details of five cases where we had found a breach of the consumer standards, and serious detriment. We reiterated the importance of landlords meeting their statutory health and safety obligations. We also set out the importance of providers having an effective complaints process, and listening to the messages their tenants give.

We said:

• Complying with health and safety obligations remains the most fundamental responsibility for registered providers. Registered providers should be clear about their responsibilities, including for properties that are leased or managed.

• Compliance with the consumer standards, including how tenants are listened to, reflects the culture of the organisation, and goes to the heart of why registered providers exist and their purpose.

• Providers are responsible for responding to complaints about their service, and getting the culture right on complaints handling affects the level of trust and confidence tenants have in their landlord. Registered providers must ensure they understand the messages that tenants are giving, and should probe where those messages indicate a significant or systemic failure.

2018-19

In our seventh Consumer Regulation Review, we set out the details of six cases where we had found a breach of the consumer standards and serious detriment. We reiterated the importance of registered providers ensuring the homes where their tenants live were safe. We said:

• Registered providers must meet the full range of statutory health and safety obligations. This requires robust reporting and assurance arrangements, to allow effective oversight by Boards and councillors.

• Effective assurance relies on good quality data and effective systems.

• Registered providers should be able to demonstrate compliance across all aspects of the consumer standards, including how they engage with their tenants, how they deal with neighbourhood issues, and how they allocate their properties.

• Transparency with the regulator is essential. Co-regulation requires registered providers to be transparent with the regulator, and a failure to do so can indicate broader governance concerns.