By Deborah Fenton, Director of Housing, Babergh and Mid Suffolk District Councils

My first step into the unknown world of a regulatory notice came a couple of days before I started my new role at Babergh and Mid Suffolk District Councils.

I was aware that both organisations had challenges around compliance when I applied for the position, so it wasn’t a surprise to me when, the day before I started, the deputy chief executive called and said they had decided to make a self-referral to the Regulator for Social Housing for non-compliance with the Home Standard.

The process was relatively straightforward. The CEO wrote a letter informing the regulator about our concerns. The regulator, in return, asked for additional information. This comprised of our data around the ‘big six’. They also asked us to provide data on damp and mould in our properties. They took some time to examine the information we presented and, after six weeks, informed us that they would be issuing a regulatory notice for both councils.

Keeping residents informed

The regulator worked with us regarding media coverage and understood that one of the most critical aspects of the work we needed to carry out urgently was informing our residents.

We collaborated with our tenant board and communications team to ensure the information we gave tenants was clear and proportionate and wouldn’t cause undue worry. What then followed was regular engagement with the regulator.

We were asked to provide our recovery plan and up-to-date performance data. We were transforming our building services department; therefore, we already had an action plan. Monthly meetings were booked; they lasted an hour, and we discussed our progress against the recovery plan and our KPIs.

Although we only received a notice for two elements of the Home Standard, we decided to report on all aspects of health and safety. Our performance improved week after week. However, we did have a little blip when we were carrying out some internal due diligence. We discovered that our electrical safety certificates didn’t hold the relevant signature.

A dilemma

We were now in one of those situations. Do we tell the regulator or not, given that we did have the certificates? We knew the inspections had been conducted. We always believe that you aren’t compliant unless you can prove it, and the only way you can prove it is to provide a fully signed document or evidence to prove that assurance, so we went back to the regulator.

We told them that we had 2,000 certificates that didn’t have the appropriate signature and had already worked with the contractor to put that right. They were very clear that we had done the right thing in telling them.

We reached a point earlier this year where we could have applied to the regulator for the notice to be removed. However, we had challenges with damp and mould and additional challenges around maintaining that data, so the question we were asked was: “Can you evidence that you meet the requirements of Awaab’s Law?”

We decided that, at the time, we couldn’t provide assurance that the data was correct. Therefore, the advice from the regulator was to not seek removal and leave the regulatory notice in place.

A positive experience

Our experience of working with the regulator has been positive. They are there to help and not catch you out. We have been able to ask them questions about other areas of the Consumer Standards and what will be expected during an inspection. My advice is that doing a referral to the Regulator of Social Housing is nothing to fear and something positive. Personally, I think it shows that the council owns its issues and is committed to supporting improvements.

I think one of the learning points is the importance of good governance, and this can often be challenging for councils because they don’t have the same arrangements as housing associations.

Still, I think it’s essential that you get your governance right and that your cabinet and executive team clearly understand the expectations for them personally and the organisation as a whole.

Action points:

1. See self-referral as a positive step: it shows you’re keen to own your issues and the experience is nothing to fear.
2. Engage with the regulator: be open and honest, ask questions. They are not there to catch you out.
3. Keep residents informed: one of the most critical responses to a regulatory notice is keeping residents informed. Make sure the information you communicate is clear, proportionate and doesn’t cause undue worry.
4. Good governance is vital: it may be more of a challenge for local authorities due to the different governance structure but make sure your cabinet and executive clearly understand the expectations – for them personally and the organisation as a whole.