Guide to compliance records – what to check and what to action

Pennington Logo Small

It is essential that Registered Providers meet the property compliance obligations required by legislation, regulation and codes of practice and are able to evidence 100% compliance, across all areas, including the “big five” areas of gas, electrical safety, asbestos, fire and water hygiene. This is a fundamental part of being able to evidence tenant safety.

The Regulator of Social Housing is responsible for governing the safety of tenants through a co-regulatory approach. This means that it is the responsibility of Board members to ensure the organisation they govern is complying with the required standards across every service area, but it is also the responsibility of the organisation they represent to identify their problems and take effective actions to mitigate risks.

Having now worked with over 100 Registered Providers nationwide a common problem we’ve identified when investigating the efficiency of data management and record keeping is the level of understanding of the actual compliance records themselves. It is often the case that those responsible for managing the records are focused purely on ensuring there is a record in place, rather than properly examining its contents to ensure it is fit for purpose.

What do Providers need to check?

The following advice is a high-level overview of the types of things providers should be looking out for but can be missed. This is a guide rather than a comprehensive list therefore it should not be a substitute for proper training, which we would recommend anybody who is responsible for reviewing compliance records undertakes.

GAS

Legislation: The Gas Safety (Installation and Use) Regulations 1998.

Record: Landlords Gas Safety Record (LGSR).

What to check on the compliance report:

  • The date of inspection
  • The address of the premises
  • Landlord Details (name and address)
  • A description of the location and type of each appliance or flue to be checked
  • Description of any defect identified
  • All remedial actions should be identified
  • Confirmation that the check complies with the requirements of Regulation 26 (9)
  • Details of the individual carrying out the inspection including the name and signature of the assessor
  • The report should include the Gas Safe registration number of the individual undertaking the check

ELECTRICAL SAFETY

Legislation: Landlord and Tenant Act 1985 / Electricity at Work Regulations 1989 / Electrical Equipment (Safety) Regulations 1994.

Record: Electrical Installation Condition Report.

What to check on the compliance record:

  • Landlord Details (name and address)
  • Installation Details – including; Tenant name and address, premise type, date of the inspection
  • Overall assessment result (Satisfactory or Unsatisfactory) as well as commentary explaining the reason for the result
  • Recommendations – this will include recommended remedial works if the certificate is unsatisfactory. Follow up remedial works should be checked for completion and a new satisfactory certificate should then be issued
  • All observations and recommendations should be classified as either C1, C2 , C3 or F1
  • The re-inspection cycle should be correctly recorded in the compliance management system. This is particularly important if the recommended reinspection period is different to the 5 to 10 years typically recommended
  • Check that all elements of the report have been filled in, even if the entry is ‘not applicable’
  • If handwritten, ensure that all elements are legible
  • Check if smoke/CO alarm checks are part of the certificate, this is often part of company policy and is not an obligation but should be included if part of policy.

Do you want assurance that you are fully compliant?

For a more detailed insight in to what you should be looking for on your compliance records across the big five areas of fire, electrical safety, water hygiene, asbestos and gas, as well as any additional areas relevant to your organisation such as lifts. We will also advise you on the most common risks Registered Providers unknowingly expose themselves to, and how to avoid them. We can provide your organisation with our full Compliance Record Checklist that outlines all of the relevant legislation, legal requirements and best practice recommendations to help you to identify your current compliance position and to determine how performance could be improved across all compliance areas.

For more information on how we can support your organisation in ensuring compliance, please email Jenny Neville or call on 07496110879.

Back to blog