Detailed application form for registration of new entrants as providers of
social housing

January 2018

Contents

About this form

Completing this form

Registration criteria

Format of application form

Part 1: Declaration and consent

Part 2: General information

Part 3: Changes to information provided at the preliminary application stage

Part 4: Meeting the Governance and Financial Viability Standard

Part 5: Specific expectations applicable to categories of applicant

Part 6: Meeting the other standards

Part 7: Rents

Part 8: Non-profit applicants

Section 1: Objects

Section 2: Subsidiary applicants

Section 3: Non-charitable applicants

Part 9: Equalities

About this form

1.This form should be completed by applicants wishing to become providers of social housing registered under the Housing and Regeneration Act 2008 (the HRA 2008).

2.The form should be read in conjunction with ‘Registration Requirements’, the ‘Guidance for new entrants on applying for registration as a provider of social housing’ (the registration guidance) and the Governance and Financial ViabilityStandardcode of practice issued under section 195 of the HRA 2008 (the Code), all available on the website.

3.The completed form will provide the information that will enable the regulator to assess whether the applicant meets Condition 2 of the eligibility criteria set out in section 112(3) of the HRA 2008: that it satisfies the criteria set by the regulator as to its financial situation, its constitution and other arrangements for its management, i.e. complies with the registration criteria.

4.Guidance on completing the application is included within this form.

5.This form may only be submitted when the regulator has confirmed that the applicant has successfully completed the preliminary application process to establish that it is an English Body which is, or intends to become, a provider of social housing in England. The two stage process is designed to ensure that applicants that do not meet condition one of the eligibility conditions in the HRA 2008 do not waste time putting together a detailed application. However, the applicant is asked to re-confirm the information provided at the preliminary application stage, or set out any changes to it. This is because the regulator must be sure there has been no change since that stage which might affect the continued eligibility of the applicant for registration.

6.This form must be completed in full.

7.This form requires information that the applicant is not likely to have provided previously. If the applicant has answered all the questions but thinks there is additional information that would aid the regulator’s assessment, then that information should be provided.

8.There may be overlaps in the information sought in the individual questions and the applicant may wish to cross refer to information already provided so that the same information does not have to be provided more than once.

9.The regulator expects the following to be enclosed when submitting this form:

  • a copy of thegoverning document of other bodies in the group of which the applicant is part
  • a copy of any registration certificate or confirmation of other bodies in the group of which the applicant is part issued by the relevant body’s registrar/registration body, e.g. certificate of incorporation issued by Companies House.
  1. Applicants should note that, at its discretion, the regulator may not register an applicant with a name that is similar to the name of an existing or previous registered provider if it believes that the use of this name may cause confusion. It may also, at its discretion, not register an applicant with a name that it considers inappropriate or misleading.

11.Throughout this document, references to an applicant’s 'governing body' should, where an applicant does not have a board, be taken to include an equivalent management body as appropriate.

12. Definitions of terms used within this form are, unless otherwise indicated, taken from the HRA 2008 (as amended) or other cited legislation, all of which can be found on

13.The applicant should note that the Homes and Communities Agency (HCA) as a public authority is subject to the provisions of the Freedom of Information Act 2000 and the Environmental Information Regulations 2004. The regulator may also (section 109 of the HRA 2008) share information with a public authority if the regulator thinks the disclosure is necessary for a purposed connected with its functions or the functions or for a purpose connected with the authority’s functions.

14.As a public authority the HCA is also subject to the public sector equality duty, which requires public bodies to have due regard to the need to eliminate discrimination, advance equality of opportunity and foster good relations between different people when carrying out their activities. There is a section on equalities within this application form.

15.This form asks for the consent of the applicant for the regulator to share relevant information with Homes England. It also allows Homes England to share relevant information about the applicant with the regulator. This sharing of information will only take place when it is appropriate to do so. The applicant’s consent may be withdrawn at any stage.

16.Any enquiries should be directed to the Regulatory Referrals and Enquiries team on 0300 124 5225 or

17.The regulator’s preference is for electronic applications. Thesigned and completed form should be scanned and submitted to the Registry and Notification team: . If it is not possible to submit electronically, the completed form should be posted to:

Referrals and Regulatory Enquiries Team

Homes and Communities Agency

1st Floor

Lateral House

8 City Walk

Leeds

LS11 9AT

Completing this form

18.The regulator’s primary regulatory principle is co-regulation. Mindful of its duty to minimise interference and its fundamental objective of supporting the provision of social housing, the regulator is clear that board members are responsible for ensuring that they manage provider’s businesses effectively and that their organisations are meeting applicable regulatory standards. The onus is on the applicant to demonstrate its compliance with the registration criteria to the regulator. Further information on the regulator’s approach is set out in ‘Regulating the Standards’, available on its website.

19.If an applicant is registered, the regulator is required by the HRA 2008 to designate it as non-profit or profit-making on its register. Further information is available on this in the registration guidance. If the applicant wishes to be designated on the register as non-profit it should note that the regulatory standards apply to the entirety of the business that it carries out and not just to its provision of social housing. If the applicant wishes to be designated on the register as profit-making, the standards apply only insofar as they relate to the applicant’s provision of social housing. Where non-social housing activity is carried out by a profit-making applicant, the regulator will expect to understand the nature of that activity, the risks it may pose to the social housing assets and how these risks are managed.

20.Applicants that are charities (including charities registered with the Financial Conduct Authority) will find it helpful to refer to the Charity Commission website contains relevant guidance. The regulator will expect applicants that are charities to demonstrate an understanding of the requirements inherent in their charitable status when it is assessing compliance with the registration criteria.

Registration criteria

21.The registration criteria established by the regulator are linked to the regulatory standards that registered providers have to meet. These standards have been established by the regulator under Sections 193 and 194 of the HRA 2008 and are set out in the regulatory framework which is available on the regulator’s website.

22.The registration criteria are:

All applicants must:
• meet the Governance and Financial Viability Standard at the point of registration and demonstrate it can sustain its financial viability on an on-going basis
• have in place management arrangements that enable it to demonstrate the capacity to meet the other regulatory standards
For applicants seeking non-profit designation:
An applicant that is a registered or non-registrable charity must within its constitution:
• have as an object the provision of social housing (which can be worded as social housing in the form of almshouse accommodation or as charitable social housing)
• if it is a subsidiary, state as much and ensure the parent and its controls are clearly identified
A non-profit applicant which is not a registered or non-registrable charity must within its constitution:
• have as an object the provision of social housing
• embed non-profit status
• if it is a subsidiary, state as much and ensure the parent and its controls are clearly identified.
An applicant which is a Charitable Incorporated Organisation (CIO) must have within its constitution (in addition to the requirements above for applicants that are registered charities) requirements that:
• if it is a subsidiary, state as much and ensure that the parent and its controls are clearly identified
• where it is a subsidiary, changes to provisions identifying the parent and/or its controls, shall be notified to the regulator
• where steps are taken preliminary to winding up or a voluntary arrangement in relation to the CIO, it shall notify the regulator of the fact
• changes to the provisions required by the regulator must be notified to the regulator.

Format of application form

23.This form comprises nine parts. Answering each fully should provide the regulator with the information it needs to assess whether the applicant is meeting the registration criteria. However, the applicant should include any additional information it feels is relevant to the regulator’s assessment if it has not already been provided in response to the questions.

24.The nine parts are:

  • Part 1: Declaration and consent
  • Part 2: General information
  • Part 3: Changes to information provided at the preliminary application stage
  • Part 4: Meeting the Governance and Financial Viability Standard
  • Part 5: Specific expectations applicable to categories of applicants. (Applicants who do not fall into any of these categories should mark these questions ‘N/A’)
  • Part 6: Meeting the other standards
  • Part 7: Rents
  • Part 8: Non-profit applicants
  • Part 9: Equalities

Part 1: Declaration and consent

Name of applicant: ………………………………………………………………………

On behalf of the above-named applicant, I submit the attached details for consideration by the regulator by way of application for registration of the applicant under section 116 of the HRA 2008 and:

i)certify that there has been no change in the information provided by the applicant at the preliminary application stage OR confirm that the detail of any changes to the information provided by the applicant at the preliminary information stage has been included within this application form [delete as appropriate]

ii)confirm that the applicant has considered the regulator’s registration criteria established under section 112(3) of the HRA 2008 and I believe that it will be able to meet them

iii)confirm that the applicant has considered the rent setting provisions in the Welfare Reform and Work Act 2016 (WRWA) and that the applicant complies with those provisions and, to the limited extent where it still applies, the Rent Standard

iv)undertake to submit to the regulator any necessary documentation and information to demonstrate that the applicant is eligible for registration and can meet the requirements set out in the regulator’s registration criteria

v)certify that to the best of my knowledge and belief, the information given in this form is correct and has been seen and approved by the governing body of the applicantand will ensure that any information subsequently provided to the regulator during the registration process will be seen and approved by its governing body

vi)confirm that I understand that any information regarding this application held by the regulator, including any information provided in this application form and supporting documents, or which is provided to the regulator during the application process, may be disclosedby the regulator where this is in keeping with its obligations as a public authority under the Freedom of Information Act 2000and/or the Environmental Information Regulations 2004

vii)confirm that the applicant understands that information concerning the applicant provided for registration may be shared with Homes England

viii)confirm the applicant’s agreement to receive electronic communications from the regulator.

Signed by…………………….………………………………………………….…………………

Date…………………………………………………………………………………………..

Name…………………………………………………………………………………………..

Position…………………………………………………………………………………………..

This application form should be signed by someone who has the authority, in accordance with the applicant's constitution, to sign on behalf of the applicant.

Part 2: General information

The applicant is required to complete thecontact details section only where its contact details have changed since submission of the Preliminary Application Form. In that case, insert only the details that have changed.

Contact details
Contact name:
Contact’s position/role:
Applicant’s website address:
Registered office address:
Telephone number:
Correspondence address of contact named above (if different to registered office):
Tel. No. of contact named above (if difference to registered office):
Email address of contact named above:

All applicants must complete the Information about the applicant section below

Information about the applicant
1. How does the applicant consider that it should be designated on the register?
Tick only one box / Non-profit
Profit-making
2. If the applicant has a corporate trustee, provide the corporate trustees’ name, registered office address, telephone number and contact details for that trustee

Part 3: Changes to information provided at the preliminary application stage

This section only needs to be completed when there have been changes to the information the applicant provided at the preliminary application stage. Applicants should set out below the details of any changes and provide amended answers (with accompanying evidence, where relevant) to the relevant questions contained in the Preliminary Application Form.

Part 4: Meeting the Governance and Financial Viability Standard

Governance and Financial Viability Standard
An applicant must meet the Governance and Financial Viability Standard at the point of registration and demonstrate it can sustain its financial viability on an on-going basis

Guidance:

The applicant must demonstrate how it meets the Governance and Financial Viability Standard at the point of registration and, in relation to financial viability, how it will do so on an on-going basis. The applicant should note that the Code amplifies the requirements in the Governance and Financial Viability Standard. The Code is designed to help registered providers understand what the regulator is looking for when seeking assurance on compliance with the standard by explaining and elaborating on the content, with illustrative examples where necessary. In considering whether standards have been met, the regulator will have regard to the Code so it provides relevant information for applicants.

The regulator expects to see:

  • a business plan setting out the applicant’s objectives and how it intends to deliver them
  • financial forecasts of income and expenditure, financial position (formerly balance sheet) and cash flow for at least the next five years
  • a narrative that confirms the rationale for the base assumptions used in the financial forecasts
  • the applicant’s assessment of the key risks to the delivery of the financial plan and how it intends to manage those risks
  • stress testing to show the impact of a range of adverse changes in the key assumptions made in the financial forecasts including the applicant’s greatest risks. This should include multi-variable/combined stress tests, and be undertaken against lenders’ financial covenants, where debt is in place or expected
  • the applicant’s previous two years’ financial statements and most recent management accounts
  • detailed evidence as to the actual and assumed levels of rent and rent increases and their relation to the statutory and regulatory requirements on registered providers in relation to rents
  • detailed evidence as to the impact upon the business plan of all relevant statutory and regulatory requirements on registered providers in relation to rents
  • detailed evidence as to the accuracy of assumptions made around housing benefit payable in relation to accommodation provided
  • where financial viability is dependent upon receipt of loan finance, evidence that the funds will be available for drawdown at the time that they are required and on terms consistent with the financial plan and risk assessment
  • where grant funding has been offered, evidence of the funding and any conditions or requirements which apply as a result of receiving financial assistance from Homes England or the GLA
  • a copy of the applicant’s governing document, for example, rules, memorandum of association, articles of association, etc. and that of other bodies in the group of which the applicant is part
  • a copy of any registration certificate or confirmation issued by the applicant’s registrar/registration body, e.g. certificate of incorporation issued by Companies House, and that of other bodies in the group of which the applicant is part.

The regulator needs to understand the risks to the applicant’s social housing assets. It expects the applicants to show:

  • it understands what these risks are
  • the circumstances in which the risks might materialise
  • how combinations of risks may impact
  • how risks are mitigated and
  • how the applicant’s board has assurance on risk management.

The applicant may find it useful to refer to the Sector Risk Profile published on the regulator’s website.

Applicants must explain how their probity arrangements are reflected in the provisions of the applicant’s governing document. For example, provisions dealing with:

  • conflicts of interest
  • conflicts of loyalty
  • wrongful gifts, bonuses and dividends (refer to section 122 of the HRA 2008)
  • any compromise of charitable status, etc.

They must also explain how their governance arrangements are effectively reflected in the provisions of their governing document.

The governing document must make provision for the removal of any ‘officer’ (within the meaning of section 270 of the HRA 2008) who fulfils one or more of the cases specified in section 266 of the HRA 2008 (see also Guidance Note 17 of the ‘Guidance on the regulator’s approach to intervention, enforcement and use of powers’).Provision must also be made enabling the applicant to take any appropriate action against them (in compliance with the regulator’s expectation under Guidance Note 17).