Scottish Government

chr guide: building a common housing register
a practitioner's guide

section one Getting Started

1 INTRODUCTION AND KEY MESSAGES

Why have we produced this guide?

Building a Common Housing Register leads you through the process of developing a common housing register. It broadly follows the six stages of the 'pyramid for progress' set out in our National Framework for CHRs, but offers more detailed advice on the activities to be undertaken throughout the development process. The guide suggests how you should address a wide range of tasks, and highlights some of the issues you will need to consider.

The guide draws on practical experiences of the Scottish pilots supported by the Modernising Government Fund (MGF) with whom we have worked closely since the launch of the National Framework for CHRs, and shares lessons from the action research carried out by South Bank University as part of a two-year evaluation of the risks and rewards of CHRs.

Although the guide is set out step-by-step, developing a CHR is often not quite that straightforward. You may need to undertake some tasks simultaneously, and others in a different order. Some tasks may need to be reconsidered even after you thought they had been completed! Last but not least, the type of CHR you decide to set up in your area will itself affect the order of the tasks. The guide is not prescriptive, and should be adapted to suit local needs.

Developing a CHR is a challenging and sometimes lengthy process. We hope that Building a Common Housing Register will help to reduce not only the length of time it takes to move from inception to implementation, but also to reduce the frustration along the way!

KEY MESSAGES

There are several key principles which underpin CHR development. These (listed) are based on practical lessons learned from CHRs, and will be highlighted throughout the text.

• Make a commitment to simplify and maximise access to housing
• Ensure that your CHR is accessible, fair and inclusive and meets the particular needs of minority and marginalised groups
• Deliver a high quality, user-centred service
• Develop a flexible structure to allow different levels of partnership
• Genuine partnership comes from trust and willingness to change
• Ensure effective communication and consultation within and between partners, and with wider stakeholders
• Ensure mutual understanding of all objectives
• Make a long-term commitment to the CHR
• Don't overcomplicate! Compromise in the interest of simplicity
• Ensure consistent service from all partners
• Maximise benefits and minimise cost
• Agree and record all key decisions
• Monitor and evaluate progress against objectives
• Be aware that ICT delivers, but does not define a CHR
• Celebrate milestones
• Share lessons to identify best practice

2 BACKGROUND

What is a common housing register?

Common housing registers (CHRs) represent an innovative approach to housing allocations. The Executive's definition of a CHR is:

A group of landlords devising a single application form
by which anyone seeking housing in their area
can register their need
and specify their housing preferences.

Participating landlords then prioritise and select applicants
from the single pool of applicants.

Within a CHR, applicants complete a single, shared application form which enables them to be considered for housing by all social landlords with stock in that area. In doing so, it makes the process of applying for housing easier, simpler and fairer.

WHY DO WE NEED CHRs?

Social housing is provided by a far greater number and range of organisations than ever before. Access to this diversified sector is much more complicated than it was 20 or 30 years ago. While in the past, anyone seeking housing would apply to the council, applicants are now faced with a vast array of different landlords. As community ownership increases, access will become more complicated as the number of landlords grows.

Current systems where each landlord has its own individual waiting list, based on lengthy paper application forms and home visits, create unnecessary obstacles for the applicant seeking housing. Applicants need to find out about - and apply separately to - all the different landlords offering housing in their area. An applicant's ability to negotiate this complex system is unrelated to their housing need; indeed, if anything, applicants facing the greatest housing stress may be the least well equipped to 'shop around'. As Grayland (1994) explains, applicants need to be:

'...literate, persistent and well-organised: qualities which do not necessarily bear any relation to the extent of their housing need... it is unreasonable to expect people in severe housing need to find their way onto the waiting lists of all the agencies active in the area in which they need housing.'

BENEFITS OF A CHR

For applicants, CHRs provide simpler and fairer access to housing than current systems, under which applicants need to apply separately to a large and increasing number of landlords. Customer-focused CHRs will help to ensure that applicants are able to access housing more easily in areas where there is a growing number of landlords.

For existing tenants, a CHR can help promote mobility, allowing social landlords to meet the needs and aspirations of existing tenants seeking to move. For applicants and tenants alike, the creation of a CHR will deliver greater choice of landlords, housing areas and house types, contributing to sustainable neighbourhoods.

For local authorities and other social landlords, the creation of a single list of people actively seeking housing within a given area - both as first-time applicants and tenants seeking to transfer - provides a more robust estimate of housing need than a system of multiple waiting lists with unknown levels of duplication. A single register can also deliver significant benefits in strategic planning within the housing market area, assisting the local authority to ensure that housing needs are being effectively assessed and met, under duties introduced in the Housing (Scotland) Act 2001.

A CHR improves use of the social housing stock. Within a single pool of applicants and vacancies, there is greater scope for making successful 'matches' and for reconciling demand and supply in local housing markets.

A CHR can realise operational efficiency. Operating a shared system reduces duplication of staff effort. Given that the cost of administration of the applications and assessment process is met from rental income, housing agencies have a responsibility to tenants to ensure efficiency. Staff time can then be redirected to other activities. A CHR can also contribute to improved performance in housing management functions, reducing void periods, meeting nominations targets and Section 5 referrals. It provides a springboard for new initiatives such as marketing of lower demand stock, promotion of shared ownership options and other joint initiatives.

THE SCOTTISH EXECUTIVE'S SUPPORT FOR CHRs

The Scottish Executive has actively supported the development of Common Housing Registers (CHRs) since early 2000. In March 2001, 686,000 was awarded under the Modernising Government Fund (MGF) to support five local area pilots. The pilots all demonstrated their commitment to developing a local CHR and agreed to put up match funding to equal the value of their award. The Scottish Executive then appointed a National Co-ordinator to promote CHRs and to develop good practice information and guidance on development and implementation. An ICT facilitator based at Communities Scotland provided practical and impartial advice/ support to landlords.

During the first two years of this National Framework for CHRs, interest grew, and increasing numbers of local authorities requested assistance to get started. In June 2003 the Scottish Executive appointed a CHR National Development Officer with practical experience of developing a CHR, to assist with implementation in local areas. Shortly after that, the Executive set aside 3 million to support the development of CHRs in Scotland in 2004-6.

Under the 2004-6 programme, funds were allocated to local authorities - banded according to size - on submission of a bid which meets criteria set out in bidding guidance. One of the key criteria was that bids should be drawn up in partnership with local RSLs, within the context of a local CHR working group.

This new funding package is underpinned by continued support through the CHR National Co-ordinator and CHR National Development Officer. They will be responsible for managing the CHR programme and will provide support to assist local authorities and their partner RSLs to achieve their targets. This CHR guide forms an important part of that support package.

CURRENT LEGISLATIVE AND REGULATORY POSITION

The Housing (Scotland) Act 2001 does not make CHRs mandatory, but Section 8 sets out powers which require local authorities to submit proposals for establishing and maintaining a CHR. Within this power there is also an implied duty on registered social landlords (RSLs) to participate in local CHRs.

The Single Regulatory Framework sets a priority for all social landlords to work with others to maximise and simplify access, and makes specific reference to CHRs. Activity Standard 1.1 states 'we work with others to maximise and simplify access routes into housing', and one of the features Inspectors will look for is 'active consideration of working with others to establish a common housing register'. The regulatory expectation therefore is that all RSLs should be actively participating in the development or operation of a CHR. If a landlord has chosen not to participate in a CHR, Regulation and Inspection will want to see evidence of ways in which that landlord maximises access to its own houses and those of other social landlords. The Regulator views maximising access at the local level as a very real way of achieving social inclusion, providing people with a genuine choice over where they live and who their landlord is.

THE FUTURE

The Housing (Scotland) Act 2001 strengthens arguments for a CHR. Creation of the Scottish Secure Tenancy and a Single Regulatory Framework for all social landlords has helped remove some of the key differences between local authorities and RSLs and strengthen arguments in favour of a single route of access. In the future, CHRs may be presented as an integral part of a better, fairer package for tenants and applicants. This lies at the centre of the Scottish Executive's plans for the future of Scottish housing.

At time of publication, four Scottish CHRs were up and running on a local authority-wide basis, with another two close to implementing pilots. Five out of these six areas had benefited from MGF funding. Building on the promising preliminary work already taking place across Scotland, the Scottish Executive expects more rapid progress with the release of the new funding package.

3 ESTABLISHING WORKING GROUPS

Who should be involved?

The very first step in developing a CHR is to identify your potential partners. It is important to include all interested parties in the initial discussions, so that no-one feels excluded. This will allow partners to make their own decisions about how their interests are represented during key stages of development. You may also want to involve users (such as tenants representatives, voluntary organisations and advice agencies) in the process of shaping your CHR.

You may encounter some initial barriers and resistance to participation. The reasons for resistance should be openly discussed and the benefits of your proposals clearly stated. Without a doubt in the early stages some organisations will wonder why they should become involved when they feel their existing processes work well and believe that their customers are satisfied with their service delivery. There will also be a fear of 'losing control'. This is natural when an organisation is used to operating on a stand-alone basis. However, clear evidence from organisations who are in the advanced stages of CHR development shows that there are real benefits in partnership working, including a greater understanding of each of the organisations, and the delivery of a much better service to the general public.

Some housing providers may be reluctant to become involved at this early stage if they have limited stock in the area or operate over a number of boundaries. It is important to note that the Scottish Executive's clear policy objective is to ensure full participation of all social landlords operating in a given area. This includes regional and national RSLs, and those with specialist stock. Later in the guide ( see chapter 4) we highlight the different levels of partnership possible. CHRs must be flexible enough to offer landlords a choice in how they wish to engage with the CHR. This flexibility should be extended to the development process.

One possibility which has been successful in English CHRs is a 'buddy' arrangement, whereby a landlord with a limited presence in the area chooses another landlord - who is to be fully involved in the development process - to represent their interests. Buddying can also be a useful option for some partners as a way of participating in the CHR.

Although some landlords may choose to have an 'arms length' relationship with the developing CHR, it is important to invite their involvement at the start and to establish effective channels of communication with them. This ensures they are given the opportunity to participate in establishing the aims and objectives of the CHR, and can choose how to feed into key decisions.

Once initial contact has been made and the partners have signed up in principle to CHR development you will need to create a steering/working group to take the project forward, and sustain progress without loss of momentum. Clearly, the working group will act on behalf of the wider partnership.

Best use should be made of existing multi-agency housing groups (such as housing forums, networks and working groups) to encourage the wider audience to engage with the developing CHR. This is one way of ensuring that different initiatives interface. It also gives individuals and organisations not represented on the CHR working group a chance to contribute to day-to-day development and remain informed of progress. This will help to strengthen the CHR as it develops.

It is likely that you will appoint key staff to assist the working group(s) in developing a CHR. This is dealt with in chapter four.

Structure, size and membership

At the outset, the partners must decide the most effective form for the working group or groups. The main options are:

• a single working group covering all issues
• an overall steering group looking at strategic issues, with a second working group addressing operational issues
• a working group addressing operations, governed by a decision-making management board
• an overall steering group, with a range of sub-groups progressing specific areas

The decision may depend on the number of partners involved, the complexity of the CHR, and the staffing resources available to service and support the work of the group(s). You will need to agree the optimal size of each group, bearing in mind that small and focused groups often work more effectively than large, unwieldy groups. It is worth remembering that the format of the working group can be reviewed during the developmental process, and that the format may well change as different milestones are reached.

Ensuring the appropriate level of staff sit on different groups

Once the structure of the working group(s) has been agreed, and key organisations have agreed to participate, the next task is to ensure that the right person sits on the right group. This will be influenced by the tasks allocated to the groups. The group dealing with strategic issues should be made up of staff with sufficient authority to make decisions on behalf of their organisations. Otherwise, significant time delays can occur while representatives refer minor decisions to their line managers. However, no individual in a working group should have 'carte blanche' to make unilateral decisions without consultation with colleagues and committees.

More importantly, staff with different roles will bring different skills to a working group, and these should be matched with the tasks allocated to the group. For example, while senior managers may be better equipped than front-line staff to tackle strategic issues associated with the CHR, they may be less well-qualified to explore day-to-day operational issues. There is clearly a role for both strategic and operational staff in developing a successful CHR.

Once representatives have been nominated to working groups, in the interests of consistency and continuity you should try to avoid changing or substituting this person.

Decision-making structures

Working groups must ensure they have effective reporting structures and procedures for wider consultation with other CHR partners before provisional decisions taken by the group are finalised. The decision-making structures for the CHR should be formally agreed by all CHR partners, and this should include procedures for ensuring approval of key decisions by colleagues in partner organisations, and by interested parties not represented on the working group. It is likely this will involve securing formal 'sign off' of key decisions throughout the process. Major decisions at key stages of development should never be taken behind closed doors. Wider consultation amongst all interested parties must be ensured, particularly if some are not represented on the steering or working group.

Setting and checking the agenda

Once the format for, and membership of, the working group(s) has been agreed, it is time to finalise the remit, agenda, objectives and workplan for each group within the overall project plan. The tasks allocated to any group will depend upon a number of factors and can only be determined locally. Regular reviews of progress will include whether the structure or membership of the group needs to be revised.

Ensuring cohesiveness

If the partnership has decided to set up more than one working group, it is crucial to establish effective lines of communication between them so that what is developed is cohesive. There is no sense in a steering group developing policy which cuts across the procedures being developed by the operational working group. It is also important to provide regular opportunities for both (or even all) groups to meet together to make key decisions on policy and practice issues. Finally, it is important that each representative on the working group takes responsibility for communicating proposals and decisions internally within their own organisation.

4 BUILDING AN EFFECTIVE PARTNERSHIP

'Partnership in itself does not create the conditions for synergy: managerial and partnering skills are critical in the achievement of partnering targets.'

(Reid et al., forthcoming)

Successful CHRs - in development and in implementation - are based on effective partnerships. The key output of a good partnership is efficient joint working and good decision-making. This must be underpinned by trust, willingness to work differently, and ability to compromise and achieve consensus.

A CHR working group will become the basis of your partnership, but you need to work hard to make the most of your collaboration. In other words, you will need to actively manage the partnership to ensure that it is effective - it won't happen on its own.

The Communities Scotland website identifies 17 different 'toolkits' which may be of use to partnerships and you should look at this information to help you make the most of your partnership. One example provided is the 'smarter partnerships' toolkit created by the Employers' Organisation (see below). This could be especially useful to CHR partnerships.

PARTNERSHIPS DON'T RUN THEMSELVES - KEY STAFF

Experience in developing and operational CHRs shows that progress tends to be more rapid, focused and ultimately successful where dedicated staff are identified to drive the initiative forward, as well as to service the needs of the CHR working group.

It will be up to CHR working groups to identify the knowledge and skills they require from their lead officer(s), within the context of their local area and their proposed CHR development plan. Ideally, the successful candidate would possess first-hand knowledge of allocations, together with effective project management skills.

Excellent interpersonal skills are also important in managing the partnership. The ability to keep all the partners coming to the table throughout difficult discussions is a key skill. Project managers who are prepared to go out and meet with individual partners to tackle difficult issues head-on has often proved to be successful. This requires a level of confidence.

The evaluation of the pilot CHRs under the MGF programme also found that 'effective change managers' - that is key staff with the right skills - were essential to developing a CHR:

'the necessity to have in place within the local partnerships individuals who are committed to partnership solutions, and who have the ability and acumen to work across boundaries, broker solutions and seek workable compromises in the interest of getting the collaborative process to work'.

(Reid et al., forthcoming)

The person specification should take into account the importance of the skills required to manage a partnership effectively.

5 FIRST KEY TASKS FOR THE CHR PARTNERSHIP

Identifying contextual issues

The partnership should be aware of local contextual issues relevant to CHR development at the start of the process. Any intention which individual partners have to change their operation (for example reviewing allocations policies or moving to a choice-based system) should be taken into account at the start of the development process. You will also need to consider other strategic and operational initiatives underway in the area in case they are of relevance to the CHR ( see chapter 11).

AGREEING CHR PRINCIPLES

At the start of the process, the partnership should agree a vision, common goals, and hoped-for benefits of the CHR, and produce a statement which sets out the aims and objectives of the CHR, and the intention to develop it. This might involve drawing up a 'principles' document that can be used to sound people out on how a CHR could work in the local context. Partners should ensure that they share a common understanding of key terms and definitions. It is important to ensure that you have secured the commitment of senior management, housing committees and politicians at this early stage.

DRAWING UP A DEVELOPMENT PLAN

Although you will need to draft a development plan at the start of the process, you will probably fill in the detail later, once you have undertaken some feasibility work and made key decisions about the scope and style of CHR you plan to develop, and when you have recruited the lead officer.

Evidence amongst the CHR pilots shows that it is very easy to become side-tracked - particularly when considering wider strategic objectives such as homelessness and Supporting People - without a clear development plan. Working to a goal-oriented project management framework with clear targets will allow you to focus on specific tasks to be undertaken, to set timescales and milestones, and to delegate tasks in an organised way. This helps ensure deadlines are met, and generates motivation to tackle the next task.

It is important to refer to the development plan regularly to ensure that the working group(s) remain focused on the agreed aims and objectives.

When producing your development plan, be sure that all tasks are SMART:

• Specific
• Measurable
• Achievable
• Realistic
• Time bound.

It is easy to become so enthusiastic when project planning you forget to carry out a reality check. Consult members of your working group on completion of the development plan to ensure that you have set achievable targets. It is better to be realistic in the initial stages of planning, as missing targets and milestones leads to demotivation and lack of confidence. Accurate evaluation of existing activity and end objectives will provide you with realistic delivery periods. Remember to consider the level partner organisations work at currently, the standard of their ICT and their current knowledge base. Only by going through this exercise will you fully understand the changes required to move from your current status to your desired model.

There are four key issues to consider when drafting your development plan:

• What tasks need to be carried out?
• Why are you doing these tasks - are they necessary and relevant?
• Who should carry out the tasks?
• When and how should these tasks be carried out?

Finally, always ensure that all key decisions are recorded and signed off by all partners. Experience has shown that even where the working group has agreed a decision, it cannot be assumed that all partners are agreeable. If not clearly agreed and documented at the time, this can cause confusion and delay later in the process.

An example of the headings to be included in a CHR development plan is included as Appendix 1.