SHiP Scheme Monitoring Audit V2.0

• If Other Site, please specify or add n/a

• Please add a photo of the property

  Media

• Name of Managing Agent:

  Select

• Add name of Managing Agent

• Inspection conducted on

  Date

• Inspection prepared by

• Persons present at the visit:

• Staffing hours

  24/7

  Mon-Fri Office Hours

  Other

• Regular days staff attend

  Select Monday Tuesday Wednesday Thursday Friday Saturday Sunday

  • Monday
  • Tuesday
  • Wednesday
  • Thursday
  • Friday
  • Saturday
  • Sunday

• Out of hours service provided

  Yes

  No

• Out of hours contact details

• This Audit template consists of 7 Sections.
  Please use the next question to check the sections you'd like to complete.
  Each section will then expand and have a series of questions to be answered.
  
  NB: Please allow up to 6 hours to complete the full audit incl. all 7 sections.

• Which Sections would you like to complete?

  Select Section 1 - Health & Safety, Fire Protection, Environment Section 2 - Occupancy Agreements, Rent Accounts, Arrears Section 3 - Selection, Allocation, Voids Section 4 - Possession Action Section 5 - ASB, Nuisance, Harassment, Safeguarding Section 6 - Complaints, Consultation, Resident Involvement Section 7 - Move-on

  • Section 1 - Health & Safety, Fire Protection, Environment
  • Section 2 - Occupancy Agreements, Rent Accounts, Arrears
  • Section 3 - Selection, Allocation, Voids
  • Section 4 - Possession Action
  • Section 5 - ASB, Nuisance, Harassment, Safeguarding
  • Section 6 - Complaints, Consultation, Resident Involvement
  • Section 7 - Move-on

Section 1: Health & Safety, Fire Protection and Environment

1.1 Health & Safety

H&S policy and procedure:

• 1.1.1 When was the H&S policy and procedure last reviewed?

  Date

• 1.1.2 How do staff members access the H&S policy and procedure?

  Select Paper manual Online Other

  • Paper manual
  • Online
  • Other

• 1.1.2.1 If other, please specify how staff members access the H&S policy and procedure?

Induction and training:

• 1.1.3 How are new staff members inducted into the H&S policy and procedures, both corporately and locally?

  Select Training manual Online training Face-to-face training Watch and learn from colleague Other

  • Training manual
  • Online training
  • Face-to-face training
  • Watch and learn from colleague
  • Other

• 1.1.3.1 If other, please specify how new staff members are inducted into the H&S policy and procedures, both corporately and locally?

• 1.1.3.2 Check the induction checklist and programme

• 1.1.4 Are records kept that show that new staff members have completed the H&S induction?

  Yes

  No

• 1.1.4.1 Ask to see a copy of new staff members H&S induction records

• 1.1.5 Are H&S courses available to existing staff members?

  Yes

  No

• 1.1.5.1 Check if any H&S training is overdue

  Within date

  Overdue

• 1.1.6 How is H&S training recorded and monitored?

  Manual monitoring

  Online - local monitoring

  Online - central monitoring

  Other monitoring

  No monitoring

• 1.1.6.1 If other, please specify how H&S training is recorded and monitored?

H&S checks:

• 1.1.7.1 (Daily) - Check the daily H&S checks, inc. fire alarm panel, fire escape routes clear, fire doors closed, emergency lighting indicators

  Good

  Fair

  Poor

  N/A

• 1.1.7.2 (Weekly) - Check the weekly H&S checks, inc. fire alarm tests

  Good

  Fair

  Poor

  N/A

• 1.1.7.3 (Monthly) - Check the monthly H&S checks

  Good

  Fair

  Poor

  N/A

• 1.1.7.4 (Quarterly) - Check the quarterly H&S checks, as appropriate

  Good

  Fair

  Poor

  N/A

• 1.1.7.5 (Annually) - Check the annual H&S checks, as appropriate

  Good

  Fair

  Poor

  N/A

• 1.1.7 Are H&S checks carried out in accordance with the H&S policy and procedure?

  Yes

  No

• 1.1.8 Are residents given the opportunity to be involved in H&S checks?

  Yes

  No

• 1.1.9 Are all areas of the property and equipment (eg, fire safety, warden call alarms, etc) included in the checks?

  Yes

  No

• 1.1.10 How are H&S action points monitored and followed up?

• 1.1.10.1 Check how well H&S action points are monitored and followed up

  Good

  Fair

  Poor

  N/A

• 1.1.11 How are H&S checks and action points monitored internally, i.e. by management?

• 1.1.11.1 Check H&S monitoring by management

  Good

  Fair

  Poor

  N/A

• 1.1.11.2 Check the Health & Safety at Work (Law) poster is being displayed

  Yes

  No

• 1.1.11.2.1 Are the designated staff name(s) on poster correct?

  Yes

  No

• 1.1.11.3 Check the current Employer’s liability insurance certificate is on display

  Yes

  No

• 1.1.11.3.1 What is the expiry date of Employer’s liability insurance certificate?

  Date

• 1.1.12 Have any H&S concerns been raised by staff or residents during the past 12 months?

  Yes

  No

• 1.1.12.1 Check follow up actions to H&S concerns raised

  Good

  Fair

  Poor

  N/A

• 1.1.13 Is the managing agent currently facing a compensation claim for alleged poor H&S practices?

  Yes

  No

• 1.1.13. 1 If the managing agent is currently facing a compensation claim for alleged poor H&S practices, ask the managing agent to provide details

Premises risk assessments:

• 1.1.14 What is the date of the most recent annual premises risk assessments?

  Date

• 1.1.15 How are actions followed up and monitored internally?

• 1.1.15.1 Is staff compliance with the procedure monitored?

  Yes

  No

COSHH Risk Assessments

• 1.1.16.1 Is the most recent COSHH risk assessment available?

  Yes

  No

• 1.1.16 What is the date of the most recent COSHH risk assessment?

  Date

• All of the cleaning products should have a safety data sheet for each one and a COSHH risk assessment. This will determine whether any of the products cannot be stored together.

• 1.1.16.2 Check the COSHH risk assessment

  Good

  Fair

  Poor

  N/A

• 1.1.17 Are reviews carried out annually and when a new product is introduced?

  Yes

  No

• 1.1.18 Are COSHH products stored safely?

  Yes

  No

  N/A

• 1.1.18.1 Ask to see the COSHH storage arrangements

  Media

• 1.1.19 How are the COSHH risk assessments made available to staff?

  In COSHH manual

  In COSHH storage cupboard

  Not available

  Other

• 1.1.19.1 If other, please specify how COSHH risk assessments are made available to staff

Accidents

• 1.1.20 Is a BI 510 accident book or another means of recording accidents available to staff at the scheme?

  Yes

  No

• Ask to see the book/system

• 1.1.21 How is the accident book accessed by staff and residents?

• 1.1.22 How are accidents monitored internally?

  Manual monitoring

  Online - local monitoring

  Online - central monitoring

  Other monitoring

  No monitoring

• 1.1.22.1 If other, please specify how are accidents are monitored internally

• 1.1.22.2 Check accident records / reports/remedial actions

  Good

  Fair

  Poor

  N/A

Lone Working

• 1.1.23 Is there a lone working policy?

  Yes

  No

• Check the lone working policy

• 1.1.24 When was the lone working policy last reviewed?

  Date

• 1.1.24.1 Check the review date on the lone working policy

  Within date

  Overdue

• 1.1.25 Have lone working risk assessments been carried out?

  Yes

  No

• 1.1.25.1 Check a completed lone working assessment

  Good

  Fair

  Poor

  N/A

• 1.1.26 What is the local procedure for lone working?

• 1.1.27 Is staff compliance with the procedure monitored?

  Yes

  No

Client Risk Assessments (not PCFRAs or PEEPs which come later)

• 1.1.28 Is there a client risk policy and procedure?

  Yes

  No

• 1.1.29 When was the client risk policy and procedure last reviewed?

  Date

• 1.1.30 How do housing staff access the client risk assessments?

Gas Safety

• 1.1.31 Are gas safety checks carried out annually?

  Yes

  No

  N/A

• 1.1.32 Is there a gas safety certificate for each boiler/appliance?

  Yes

  No

  N/A

• 1.1.32.1 Check the managing agent’s gas safety certificate(s)

  Media

• 1.1.33 Are gas safety certificates given to residents and/or is a copy displayed at the scheme?

  Yes

  No

  N/A

• 1.1.33.1 If gas safety certificate is displayed, check that it is in a prominent place

  Media

• 1.1.34 When is the next check due?

  Date

Portable Appliance Testing

• 1.1.35 What is the date of the most recent PAT test?

  Date

• 1.1.37 When is the next test due?

  Date

• 1.1.35.1 Check a sample of appliances for PAT certificate expiry

  Media

• 1.1.35.2 Were any PAT samples out of date?

  Yes

  No

• 1.1.36 Is there a certificate and list of appliances tested?

  Yes

  No

• 1.1.36.1 Check the PAT certificate and list of appliances

  Media

Lift Maintenance & Servicing

• 1.1.38 Does the property have a lift?

  Yes

  No

• 1.1.38.1 When was the lift last serviced?

  Date

• 1.1.38.2 Check the lift service certificate

  Media

• 1.1.38.3 Check the lift servicing records

  Good

  Fair

  Poor

  N/A

• 1.1.39 When is the next service due?

  Date

Warden Call Systems

• 1.1.40 Is there a Warden Call Systems?

  Yes

  No

• 1.1.40.1 When was this equipment last serviced?

  Date

• 1.1.41 When is the next service due?

  Date

• 1.1.42 Does the managing agent carry out regular tests?

  Yes

  No

• 1.1.42.1 Check the managing agent's warden call system records

  Good

  Fair

  Poor

  N/A

NEICIC - Electrical Hard Wire Testing

• 1.1.43 Are there current up-to-date certificates for both communal areas, rooms in shared properties and self-contained properties? (i.e. within 5 years)

  Yes

  No

• 1.1.43.1 Check a sample of electrical certificates

  Media

• 1.1.43.2 When is electrical testing next due?

  Date

Safety Checks on Void Properties

• 1.1.44 Does the voids procedure include a requirement to inform the owning RP of voids?

  Yes

  No

• 1.1.44.1 Check the policy and procedure

• 1.1.45 Are gas and electrical safety checks and energy performance inspections carried out on each void property?

  Yes

  No

Water Safety

• 1.1.46 Is the latest Legionella risk assessment available?

  Yes

  No

• 1.1.46.1 Check a copy of the Legionella risk assessment

• 1.1.46.2 What is the date of the most recent Legionella risk assessment?

  Date

• 1.1.47 Have Legionella risk actions due been completed?

  Yes

  No

• 1.1.48 A new Legionella risk assessment is only necessary when plumbing or heating systems have been altered

• Definition: Sentinel Taps are the first and last taps on a water distribution system. For hot systems the nearest and further form the water heater or calorifier. For cold water systems the sentinel will be the nearest and furthest taps from the cold water storage tanks.

• 1.1.49 How often are hot and cold water temperature checks carried out at sentinel taps?

  Select Weekly Monthly Quarterly 6 monthly Annually Not tested

  • Weekly
  • Monthly
  • Quarterly
  • 6 monthly
  • Annually
  • Not tested

• 1.1.50 Does the managing agent flush through little used outlets and outlets in void properties each week?

  Yes

  No

• 1.1.51 Are shower heads regularly descaled?

  Yes

  No

  N/A

Asbestos

• 1.1.52 Has an asbestos investigation been carried out?

  Yes

  No

• 1.1.52.1 Check Registered Provider (RP) asbestos records

• 1.1.53 Does the RP keep an asbestos register and is this available to managing agents?

  Yes

  No

• 1.1.53.1 Does the managing agents have access to the RP asbestos register?

  Yes

  No

Smoking

• 1.1.54 Is there a No Smoking policy?

  Yes

  No

• 1.1.55 What information on smoking is given to residents?

• 1.1.55.1 Ask to see a copy of the information on smoking given to residents

• 1.1.56 Are 'No Smoking' signs displayed in communal areas?

  Yes

  No

• 1.1.56.1 Carry out a visual check for 'No Smoking' signs

  Media

• 1.1.57 If smoking is permitted in designated rooms, are legal requirements being met?

  Yes

  No

  N/A

Energy Performance

• 1.1.58 Is the current Energy Performance Certificate(s) available?

  Yes

  No

• 1.1.58.1 When is the next EPC due?

  Date

1.2 Fire Safety

Fire safety and protection

• 1.2.0 Does the managing agent carry out their own Fire risk assessments (FRA)?

  Yes

  No

• 1.2.0.1 Ask for a copy of the managing agent's FRA

• 1.2.1 Is the most recent landlord Fire risk assessments (FRA) available?

  Yes

  No

• 1.2.1.1 Check the most recent landlord FRA

• 1.2.1.2 What is the date of the most recent landlord FRA

  Date

• 1.2.2 When is the landlord FRA next review due?

  Date

• 1.2.3 How are fire risk action points followed up?

• 1.2.4 How is the FRA monitored internally, i.e by management?

• 1.2.4.1 Check risk risk monitoring reports

Fire drills (if applicable):

• 1.2.5 How often are fire drills carried out?

• 1.2.5.1 Check the fire drills policy and procedure for compliance

  Compliant

  Non-Compliant

  N/A

• 1.2.6 Are fire drill records kept (signed and dated)?

  Yes

  No

  N/A

• 1.2.6.1 Check fire drill records

• 1.2.7 How are non-compliant residents in fire drills dealt with?

• 1.2.7.1 Check records for dealing with non-compliant residents in fire drills, letter to residents, actions taken, etc.

  Good

  Fair

  Poor

  N/A

Fire safety checks:

• 1.2.7.1 Is there a fire documents box?

  Yes

  No

• 1.2.7.1.1 Where is the fire documents box located?

• Ask to see the contents. Fire documents boxes should contain anything related to fire or anything that may assist the Fire Brigade should they have to attend the site.

• 1.2.7.2 Is the Fire Risk Assessments (FRAs) in the fire documents box?

  Yes

  No

• 1.2.7.3 Is the Emergency Evacuation Plan in the fire documents box?

  Yes

  No

• 1.2.7.4 Are Person Centered Fire Risk Assessments (PCFRAs) in the fire documents box?

  Yes

  No

  N/A

• 1.2.7.4.1 Are the PCFRAs current?

  Yes

  No

• 1.2.7.5 Are Person Emergency Evacuation Plans (PEEPs) in the fire documents box?

  Yes

  No

  N/A

• 1.2.7.5.1 Are the PEEPs current?

  Yes

  No

• 1.2.7.6 Is the Fire Log Book in the fire documents box or easily accessible / next to the fire alarm panel?

  Yes

  No

• 1.2.7.7 Are Floor Plans in the fire documents box or displayed on the wall next to the Fire Alarm?

  Yes

  No

• 1.2.7.8 Is the Business Continuity Plan in the fire documents box? (NB: good practice not requirement)

  Yes

  No

• 1.2.7.9 Is there an Emergency 'Grab Bag' in the fire documents box? (NB: good practice not requirement)

  Yes

  No

• 1.2.8.0 Is there a fire alarm system installed?

  Yes

  No

• 1.2.8 How often are fire call points tested? (NB:A different call point should be tested each week for the weekly fire alarm test)

• 1.2.9 Are there records of each fire call point being tested regularly?

  Yes

  No

• 1.2.9.1 Check fire alarm testing records

  Media

• 1.2.14 How often are fire-alarm-activated door guards tested? (NB: They should be checked for operation after every fire alarm test)

• 1.2.12 Are mechanical smoke vents tested? (NB: They should be checked for operation after every fire alarm test)

  Yes

  No

  N/A

• 1.2.11 How often are smoke/heat detectors tested?

  Select Weekly Monthly Quarterly 6 monthly Annually Not tested

  • Weekly
  • Monthly
  • Quarterly
  • 6 monthly
  • Annually
  • Not tested

• 1.2.10 How often are emergency lights tested? (NB: Monthly for a function test, annually for the 3 hour duration test)

  Select Weekly Monthly Quarterly 6 monthly Annually Not tested

  • Weekly
  • Monthly
  • Quarterly
  • 6 monthly
  • Annually
  • Not tested

• 1.2.13 How often are fire blankets and fire extinguishers visually inspected?

  Select Weekly Monthly Quarterly 6 monthly Annually Not tested

  • Weekly
  • Monthly
  • Quarterly
  • 6 monthly
  • Annually
  • Not tested

• 1.2.15 Are fire doors inspected for damage and to ensure that they self-close?

  Yes

  No

• 1.2.16 Are fire exit signs and fire notices suitable and sufficient?

  Yes

  No

• 1.2.16.1 Carry out a visual inspection of fire action notices and fire exit signs

  Media

• 1.2.17 Are fire exits accessible without the use of a key?

  Yes

  No

• 1.2.17.1 Carry out a visual inspection for fire exits

• 1.2.18 Are the fire exit routes free of obstructions?

  Yes

  No

• 1.2.18.1 Carry out a visual inspection of fire escape routes

Servicing of fire safety equipment:

• 1.2.19 Are up to date servicing certificates available for (insert dates):

• 1.2.19.1 Is Fire alarm servicing up-to-date?

  Yes

  No

  N/A

• 1.2.19.1.1 When was the Fire alarm last serviced?

  Date

• 1.2.19.2 Is Emergency lights servicing up-to-date?

  Yes

  No

  N/A

• 1.2.19.2.1 When were Emergency lights last serviced?

  Date

• 1.2.19.3 Have Fire extinguishers been serviced in the last 12 months?

  Yes

  No

  N/A

• 1.2.19.3.1 When were Fire extinguishers last serviced?

  Date

• 1.2.19.4 Are fire blankets visually inspected regularly?

  Yes

  No

  N/A

• 1.2.19.4.1 When were fire blankets last visually inspected?

  Date

• 1.2.19.5 Are smoke/heat detectors serviced regularly?

  Yes

  No

  N/A

• 1.2.19.5.1 When were Smoke/heat detectors last serviced?

  Date

• 1.2.19.6 Are mechanical smoke vents tested regularly?

  Yes

  No

  N/A

• 1.2.19.6.1 When were mechanical smoke vents last tested?

  Date

Monitoring of fire safety checks:

• 1.2.20 How does management/senior management monitor compliance with the H&S / fire safety policy and procedure?

• 1.2.21 Are internal scheme audits carried out?

  Yes

  No

• 1.2.22 Are regular reports sent to management / senior management?

  Yes

  No

Emergency plan and evacuation procedure:

• 1.2.23 Is there an emergency plan?

  Yes

  No

• 1.2.23.1 Check the emergency plan

• 1.2.24 When was the emergency plan last reviewed?

  Date

• 1.2.25 Is there an evacuation procedure?

  Yes

  No

• 1.2.25.1 Check the evacuation procedure details

• 1.2.25.2 Check the evacuation plan for compliance with the FRA

  Compliant

  Non-Compliant

  N/A

• 1.2.26 When was the evacuation plan last reviewed?

  Date

• 1.2.27 Is there a fire action stay put policy?

  Yes

  No

• 1.2.27.1 Check the fire action stay put procedure details

• 1.2.27.2 Check the fire action stay put policy for compliance with the FRA

  Compliant

  Non-Compliant

  N/A

• 1.2.27.3 Check Fire Action Notice signage complies with FRA

  Compliant

  Non-Compliant

  N/A

• 1.2.29 How are details of the evacuation procedures given to residents?

• 1.2.29.1 Ask to see a copy of the evacuation information given to residents

Furniture:

• 1.2.30 Does furniture supplied comply with fire safety regulations?

  Yes

  No

  N/A

• 1.2.31 Is residents' own furniture required to comply with fire safety regulations?

  Yes

  No

• 1.2.31.1 If residents' own furniture is required to comply with fire safety regulations, how is this monitored?

• 1.2.32 Does any furniture need replacing?

  Yes

  No

• 1.2.33 What involvement do residents have in choosing furniture?

1.3 Environment

Maintenance Options and Allowances

• What Maintenance Option applies?

  Option 1

  Option 2

  Other

• If other, please specify repair responsibility

• 1.3.1 Where the managing agent is contracted to provide repairs on behalf of the RP: Has performance information relating to meeting targets for repairs been provided to the RP?

  Yes

  No

• 1.3.1.1 Check repair records

• Is a decorating allowance paid to managing agent?

  Yes

  No

General Condition

• 1.3.2 What is the general state of repair of the property?

• 1.3.2.1 External repair? (damage, defects, cracks, etc.)

  Good

  Fair

  Poor

  N/A

• 1.3.2.2 Roof condition?

  Good

  Fair

  Poor

  N/A

• 1.3.2.3 Windows & doors condition?

  Good

  Fair

  Poor

  N/A

• 1.3.2.4 Internal repair? (damage, defects, cracks, etc.)

  Good

  Fair

  Poor

  N/A

• 1.3.2.5 Kitchen(s) condition?

  Good

  Fair

  Poor

  N/A

• 1.3.2.6 Bathroom(s) & toilets condition?

  Good

  Fair

  Poor

  N/A

• 1.3.2.7 Is the scheme reasonably clean? (Replaces 1.3.35)

  Good

  Fair

  Poor

  N/A

• 1.3.2.8 What is the general state of the front garden? (Replaces 1.3.36)

  Good

  Fair

  Poor

  N/A

• 1.3.2.9 What is the general state of the back garden? (Replaces 1.3.36)

  Good

  Fair

  Poor

  N/A

• 1.3.2.10 Are there large trees or overgrown plants that could cause nuisance to neighbours or damage property?

  Yes

  No

Cyclical Decs

• 1.3.3 When were cyclical decs last carried out by the RP?

• 1.3.4 How were residents consulted about these decs?

• 1.3.4.1 Check cyclical decs resident consultation procedures

• 1.3.5 When are cyclical decs next due?

• 1.3.6 What is the state of the decorations at the property for which the RP has responsibility?

  Good

  Fair

  Poor

  N/A

Internal decs:

• 1.3.7 What is the state of internal decs?

  Good

  Fair

  Poor

  N/A

• 1.3.8 How are residents consulted about internal decs?

• 1.3.8.1 Check internal decs resident consultation procedures

• 1.3.9 Has the managing agent budgeted for carrying out internal decs on a regular basis?

  Yes

  No

  N/A

• 1.3.9.1 Check internal decs budgetary provision

• 1.3.9.2 How does the managing agent fund internal decs?

Routine Repairs

• 1.3.37.1 Does the managing agent know how to raise requests for repairs, adaptations, improvements and other works?

  Yes

  No

• 1.3.12 Are staff given clear procedures for reporting repairs (including out of hours emergencies)?

  Yes

  No

• 1.3.13 Is there a system for monitoring the progress of repairs?

  Yes

  No

• 1.3.13.1 Check repair records

• 1.3.10 Are there any problems with maintenance reporting to the RP?

  Yes

  No

• 1.3.10.1 Please provide details of problems with maintenance reporting

• 1.3.11 Are there any urgent repairs outstanding?

  Yes

  No

• 1.3.11.1 Please provide details of urgent repairs outstanding

• 1.3.11.2 Check that urgent outstanding repairs have been reported and chased

  Yes

  No

  N/A

• 1.3.37.2 Check that the managing agent also knows how to escalate requests where there are problems getting the works completed

  Yes

  No

• 1.3.14 Are residents given clear procedures for reporting repairs (including out of hours emergencies)?

  Yes

  No

• 1.3.14.1 Ask to see a copy of the information given to residents for reporting repairs

• 1.3.15 Are out of hours arrangements on display at the scheme?

  Yes

  No

• 1.3.15.1 Do a visual check of hours arrangements

• 1.3.16 Are repairs carried out sensitively, based on the needs of the residents?

  Yes

  No

• 1.3.17 Are contractors accompanied where there are vulnerable residents?

  Yes

  No

  N/A

Privacy

• 1.3.19 Are bedrooms/bathrooms/WCs lockable?

  Yes

  No

• 1.3.19.1 Carry out a visual check of bedrooms/bathrooms/WCs privacy

• 1.3.20 Do residents have their own keys to their bedrooms?

  Yes

  No

• 1.3.21 Is there an agreed written procedure on staff gaining entry to residents’ rooms?

  Yes

  No

• 1.3.22 Are interviews with residents held in a private space?

  Yes

  No

• 1.3.23 Is there a key holding policy?

  Yes

  No

• 1.3.23.1 Check the key holding policy

Review of Physical Environment

• 1.3.24 Has a review of the physical environment been carried out?

  Yes

  No

• 1.3.24.1 If yes, request a copy of the physical environment review

• 1.3.25 Are residents involved in reviews?

  Yes

  No

• 1.3.25.1 Check resident involvement procedures for reviewing of the physical environment

• 1.3.26 Is the scheme fit for purpose?

  Yes

  No

• 1.3.27 Are there plans for re-modelling?

  Yes

  No

• 1.3.28 Have any changes been made due to long term voids?

  Yes

  No

• 1.3.29 Have any comments / requests been made by commissioners?

  Yes

  No

• 1.3.29.1 If yes, please specify comments / requests made by commissioners

Security Surveillance Equipment

• 1.3.30 Is security surveillance equipment (CCTV) used?

  Yes

  No

• 1.3.31 Which areas of the property are covered by CCTV?

  Select Front door Hallway Communal lounge Kitchen Stairs Landings Bedrooms Bathrooms Back door Offices Counselling rooms Front garden Back garden External escape routes

  • Front door
  • Hallway
  • Communal lounge
  • Kitchen
  • Stairs
  • Landings
  • Bedrooms
  • Bathrooms
  • Back door
  • Offices
  • Counselling rooms
  • Front garden
  • Back garden
  • External escape routes

• 1.3.31.1 Do a visual check of CCTV coverage

• 1.3.32 Are residents consulted / informed of the use of CCTV equipment?

  Yes

  No

• 1.3.33 How long are CCTV recordings kept for?

• 1.3.34 Who has access to CCTV recordings?

Section 2 - Occupancy Agreements, Rent Accounts, Arrears

2.1 Occupancy Agreements

Occupancy Agreements

• 2.1.1 Is the occupancy agreement used in the scheme the one issued by the RP?

  Yes

  No

• 2.1.1.1 Check a sample of residents’ files to see if the correct occupancy agreements are being issued to residents

• 2.1.2 Are the correct schedules completed and attached to the occupancy agreements

  Yes

  No

  N/A

• 2.1.2.1 Check a sample of residents’ files for schedules completed and attachments

House Rules

• 2.1.3 Are there any House Rules?

  Yes

  No

• 2.1.3.1 Are the House Rules reasonable and compatible with the terms of the occupancy agreement?

  Yes

  No

• 2.1.4 Are the House Rules issued as part of the occupancy agreement?

  Yes

  No

2.2 Sign up and information given to residents

Sign up checklist and timetable

• 2.2.1 Does the agent have a checklist and timetable for signing up residents?

  Yes

  No

• 2.2.1.1 Ask to see a copy of the sign-up checklist

• 2.2.2.1 Does the sign-up checklist include the Risk Assessment?

  Yes

  No

• 2.2.2.2 Does the sign-up checklist include the Occupancy agreement?

  Yes

  No

• 2.2.2.3 Does the sign-up checklist include details of advocate / legal representative?

  Yes

  No

  N/A

• 2.2.2.4 Does the sign-up checklist include the Housing Benefit authorisation letter?

  Yes

  No

  N/A

• 2.2.2.5 Does the sign-up checklist include the Housing Benefit and Council Tax application forms?

  Yes

  No

  N/A

• 2.2.2.6 Does the sign-up checklist include the Tenancy start date for the DWP?

  Yes

  No

  N/A

• 2.2.2.7 Does the sign-up checklist include the Keys acceptance form?

  Yes

  No

  N/A

• 2.2.2.8 Does the sign-up checklist include the methods of rent payment?

  Yes

  No

  N/A

• 2.2.2.9 Does the sign-up checklist include the detailed rent and service charge breakdown?

  Yes

  No

  N/A

• 2.2.2.10 Does the sign-up checklist include the grounds for possession?

  Yes

  No

  N/A

• 2.2.2.11 Does the sign-up checklist include the support charge policy, where relevant?

  Yes

  No

  N/A

• 2.2.2.12 Does the sign-up checklist include the Welfare Benefits check and consent form?

  Yes

  No

  N/A

• 2.2.2.13 Does the sign-up checklist include the CORE form?

  Yes

  No

• 2.2.2.14 Does the sign-up checklist include the next of kin form?

  Yes

  No

• 2.2.2.15 Does the sign-up checklist include the first support plan to be drawn up?

  Yes

  No

  N/A

• 2.2.2.16 Does the sign-up checklist include the offer of translation services and information in alternative formats, where relevant?

  Yes

  No

  N/A

• 2.2.2.17 Does the sign-up checklist include the registration with GP?

  Yes

  No

  N/A

• 2.2.2.18 Does the sign-up checklist include the First Impressions form?

  Yes

  No

  N/A

Welcome pack/resident’s handbook/terms of occupancy

• 2.2.3 Does the agent give a handbook (including welcome pack) to residents?

  Yes

  No

• 2.2.3.1 Ask to see a copy of the handbook

• 2.2.4.1 Does the handbook include Scheme aims and objectives?

  Yes

  No

• 2.2.4.2 Does the handbook include terms of occupancy explained?

  Yes

  No

• 2.2.4.3 Does the handbook include Tenancy fraud measures (ie, obtaining housing or succeeding to tenancies by deception, unlawful subletting, key selling)?

  Yes

  No

  N/A

• 2.2.4.4 Does the handbook include House Rules (including smoking, substance misuse)

  Yes

  No

  N/A

• 2.2.4.5 Does the handbook include staffing and out of hour arrangements?

  Yes

  No

• 2.2.4.6 Does the handbook include staff contact details?

  Yes

  No

• 2.2.4.7 Does the handbook include emergency phone numbers?

  Yes

  No

• 2.2.4 .8 Does the handbook include repair and maintenance responsibilities and procedures?

  Yes

  No

• 2.2.4.9 Does the handbook include Health & Safety information?

  Yes

  No

• 2.2.4.10 Does the handbook include Fire Safety information, including soft furnishing standards?

  Yes

  No

• 2.2.4.11 Does the handbook include Fire procedures?

  Yes

  No

• 2.2.4.12 Does the handbook include Gas safety certificates?

  Yes

  No

  N/A

• 2.2.4.13 Does the handbook include Electrical safety certificates?

  Yes

  No

• 2.2.4.14 Does the handbook include Energy Performance certificate?

  Yes

  No

• 2.2.4.15 Does the handbook include details of utility suppliers, if relevant?

  Yes

  No

  N/A

• 2.2.4.16 Does the handbook include TV licence requirement?

  Yes

  No

• 2.2.4.17 Does the handbook include information on contents insurance?

  Yes

  No

• 2.2.4.18 Does the handbook include useful contacts?

  Yes

  No

• 2.2.4.19 Does the handbook include information on local areas?

  Yes

  No

• 2.2.4.20 Does the handbook include service standards?

  Yes

  No

• 2.2.4.21 Does the handbook include rent arrears policy and procedure?

  Yes

  No

  N/A

• 2.2.4.22 Does the handbook include Safeguarding policy and procedure?

  Yes

  No

• 2.2.4.23 Does the handbook include ASB/harassment policy and procedure?

  Yes

  No

• 2.2.4.24 Does the handbook include confidentiality policy and procedure?

  Yes

  No

• 2.2.4.25 Does the handbook include consultation and participation policy and procedure?

  Yes

  No

• 2.2.4.26 Does the handbook include complaints policy and procedure?

  Yes

  No

• 2.2.4.27 Does the handbook include move on policy and procedure, if relevant

  Yes

  No

  N/A

2.3 Rents and service charges

Rent statements, rent increases, rent collection and service charges

• 2.3.1 Are residents given regular rent statements?

  Yes

  No

  N/A

• 2.3.1.1 Check a sample of residents’ files and frequency of rent statements

• 2.3.2 Are rent statements in an understandable and clear format?

  Yes

  No

  N/A

• 2.3.2.1 If rent statements are not in an understandable and clear format, provide details

• 2.3.3 Where there is a Commissioner / Supporting People block subsidy contract, are residents given regular support charge statements?

  Yes

  No

  N/A

• Is this property a Registered Care Home?

  Yes

  No

• 2.3.4 Are rents as confirmed by RP?

  Yes

  No

• 2.3.4.1 Check sample of rent accounts

• 2.3.5 Has a correct letter been sent to the tenants for the last rent increase?

  Yes

  No

• 2.3.5.1 If the correct rent increase letter has not been sent to tenants, provide details

• 2.3.6 Is there a clear rent collection and arrears policy?

  Yes

  No

• 2.3.6.1 Check rent collection policy

• 2.3.7 When was the rent collection policy last reviewed?

  Date

• 2.3.8 How is the rent collection policy made available to residents and staff?

• 2.3.9 Does the rent collection policy include close liaison with Housing Benefit and Commissioners/SP Administering Authority?

  Yes

  No

Arrears management

• 2.4.1 What is the arrears target for the scheme?

• 2.4.1.1 Is the arrears target being met? (check SHiP Quarterly Performance Returns)

  Yes

  No

  N/A

• 2.4.2 Is there regular reporting to Committee / senior management on rent collection performance?

  Yes

  No

  N/A

• 2.4.2.1 How is rent collection performance reporting done?

• Arrears should generally be within 10% for short-stay high turnover schemes and 5% for long stay low turnover schemes. Arrears may be higher for schemes with a high turnover of residents

• 2.4.3 Are the current arrears reasonable and acceptable for the type of scheme?

  Yes

  No

  N/A

Bad debts and former residents’ arrears

• 2.4.4 Is there a procedure for former residents’ arrears?

  Yes

  No

• 2.4.4.1 Check procedure for former residents’ arrears

• 2.4.4.2 When was the former residents’ arrears procedure last reviewed?

  Date

• 2.4.5 Is there a procedure for collecting bad debts?

  Yes

  No

• 2.4.5.1 Check the procedure for collecting bad debts

• 2.4.5.2 When was the procedure for collecting bad debts last reviewed?

  Date

• 2.4.6 Is there a procedure for writing off bad debts?

  Yes

  No

• 2.4.6.1 Check the procedure for writing off bad debts

• 2.4.6.2 When was the procedure for writing off bad debts last reviewed?

  Date

Service Charges

• 2.3.10 Are residents provided with a detailed breakdown of their HB eligible and HB ineligible service charges?

  Yes

  No

• 2.3.10.1 Check resident's files for HB eligible and HB ineligible service charges

• 2.3.11 Does the information provided enable residents to understand how their service charges are made up?

  Yes

  No

• 2.3.12 Are the charges based on actual costs / realistic forecasts?

  Yes

  No

• 2.3.13 Are residents given regular service charge statements?

  Yes

  No

• 2.3.13.1 Check a sample of residents’ service charge statements

• 2.3.14 Has the service charge been agreed by the RP?

  Yes

  No

• 2.3.15 Are service charges fixed or variable?

  Fixed

  Variable

• 2.3.16 For variable service charges, are residents given a detailed annual breakdown of service charges statement?

  Yes

  No

• 2.3.15.1 Check what is stated in the tenancy about service charges

• 2.3.15.2 Check copy of service charge breakdown sent to residents. This is a requirement

• 2.3.17 Are personal charges clearly set out for residents?

  Yes

  No

  N/A

• 2.3.17.1 Check a copy of the personal service charge breakdown

• 2.3.18 Do the service charges reflect the services being provided by the agent?

  Yes

  No

• 2.3.18.1 If communal cleaning is included, is the scheme kept clean?

  Good

  Fair

  Poor

  N/A

• 2.3.19 For each scheme managed, is the agent building up a furniture and furnishing fund to renew / replace items?

  Yes

  No

• 2.3.19.1 If the agent is not building up a furniture and furnishing fund, what provision is there for renewals/replacements?

Council Tax

• 2.3.20 Do occupancy agreements make clear where responsibility lies for Council Tax payments to the local authority?

  Yes

  No

• 2.3.21 Where the managing agent is responsible for collecting and making Council Tax payments on behalf of the landlord, is there evidence that payments are being made?

  Yes

  No

  N/A

Section 3 - Selection, Allocation, Voids

3.1 Selection and allocation

• 3.1.1 Is there a clear referral and allocations policy and procedure?

  Yes

  No

• 3.1.1.1 Check the referral and allocations policy and procedure

• 3.1.1.2 When was the referral and allocations policy and procedure last reviewed?

  Date

• 3.1.2 Are the scheme’s aims and objectives, eligibility criteria and referral process publicised to applicants and referral agencies?

  Yes

  No

• 3.1.3 Are there any exclusion criteria for the scheme?

  Yes

  No

• 3.1.3.1 Check exclusion criteria are reasonable and lawful. Exclusion criteria should not unlawfully discriminate against particular individuals or groups. Each application should be judged on its own merit. The Equality Act protected characteristics. - age - disability - gender reassignment - marriage or civil partnership - pregnancy and maternity - race - religion or belief - sex - sexual orientation

• 3.1.4 Are there clear timescales for each stage of the referral process?

  Yes

  No

• 3.1.5 Does the policy link into Supporting People contracts or other funding / commissioning contracts?

  Yes

  No

• 3.1.5.1 Check the referral criteria meet the aims of the scheme

• 3.1.6 Are risk and support assessments carried out as part of the referral process?

  Yes

  No

• 3.1.7 Does the referral and allocations policy include an appeals process?

  Yes

  No

• 3.1.8 Does the agent require evidence of immigration status for each letting?

  Yes

  No

• 3.1.8.1 Check a sample of residents’ files for risk and support assessments and immigration status.

• 3.1.9 Are referrals and allocations monitored to ensure fair and equal access to the scheme?

  Yes

  No

• 3.1.10 Are lettings performance targets set?

  Yes

  No

• Are lettings performance targets met?

  Yes

  No

• 3.1.11 How does the agent ensure CORE forms are completed and submitted for each letting?

• 3.1.11.1 Check CORE forms against the Lettings page of SHiP’s Quarterly Performance Return

• 3.1.12 Is a copy of the CORE form placed on residents’ files?

  Yes

  No

• 3.1.12.1 Advise agent that it is a requirement to keep a copy of the CORE form in residents' files.

• 3.1.13 Is there regular reporting on referrals and lettings to senior management / Committee?

  Yes

  No

• 3.1.13.1 How is reporting on referrals and lettings to senior management / Committee done?

• 3.1.14 Are regular comparisons made between lettings and relevant data to ensure that lettings to BME applicants are proportionate?

  Yes

  No

3.2 Voids

• 3.2.1 What is the voids target for the scheme?

• 3.2.1.1 Check the void target is within the RP’s void allowance

• 3.2.2 Is the void target being met?

  Yes

  No

  N/A

• 3.2.2.1 Check SHiP Quarterly Performance Returns / annual accounts

• 3.2.3 Are void levels reasonable for the scheme?

  Yes

  No

• 3.2.3.1 If voids are high, provide reasons and actions taken.

• 3.2.4 Is there regular reporting to Committee / senior management on voids performance?

  Yes

  No

• 3.2.4.1 How is reporting to Committee / senior management on voids performance done?

Section 4 - Possession Action

4.1 Policies and procedures

• 4.1.1 Does the agent have clear policies and procedures on tackling breaches of occupancy and taking formal possession proceedings?

  Yes

  No

• 4.1.1.1 Check the policies and procedures (abandonment, arrears, ASB, harassment, breaches of occupancy agreement, drug use, issuing notices, instigating court action and eviction)

• 4.1.1.2 When were the policies and procedures last reviewed?

  Date

• 4.1.2 Are the policies clear that repossession is treated as a last resort?

  Yes

  No

• 4.1.3 Is the use of advocates promoted, where relevant?

  Yes

  No

  N/A

• 4.1.4 Do the procedures include internal controls for the authorisation of any legal action?

  Yes

  No

• 4.1.5 Is decision making being taken at an appropriate level?

  Yes

  No

• 4.1.6 Do the policies and procedures reflect the requirement that the managing agent seeks approval from the owning RP at appropriate stages when taking legal action?

  Yes

  No

4.2 Notices

• 4.2.1 Has the agent followed the RP’s procedure on serving notices?

  Yes

  No

  N/A

• 4.2.1.1 Check a sample of notices served

• 4.2.1.2 Cross reference notices served with SHiP Quarterly Performance Returns

• 4.2.2 Has the managing agent issued the correct form of legal Notice?

  Yes

  No

  N/A

• 4.2.3 Have the notices been accurately completed and issued?

  Yes

  No

  N/A

• 4.2.4 Did an appropriate senior officer sign the notices?

  Yes

  No

  N/A

• 4.2.5 Was each notice served with a covering letter?

  Yes

  No

  N/A

4.3 Court action and evictions

• 4.3.1 Have all court actions and requests for eviction been authorised by the RP?

  Yes

  No

  N/A

• 4.3.1.1 Check a sample of court action cases

• 4.3.2 Have all court actions and evictions been carried out in accordance with RP / agent policies and procedures?

  Yes

  No

  N/A

• 4.3.3 Did an appropriate senior manager/Committee member authorise the eviction?

  Yes

  No

  N/A

4.4 Termination of occupancy agreements

• 4.4.1 Does the managing agent have clear policies and procedures for terminating occupancy agreements for the following reasons:

• 4.4.1.1 Death policy and procedures?

  Yes

  No

• 4.4.1.2 Hospitalisation policy and procedures?

  Yes

  No

• 4.4.1.3 Imprisonment policy and procedures?

  Yes

  No

• 4.4.3 In the above circumstances, are the policies / procedures being followed?

  Yes

  No

  N/A

• 4.4.2 Do the policies / procedures include a requirement that authorisation is given by a senior manager / Committee member?

  Yes

  No

• 4.4.2.1 Check a sample of relevant cases (Death / Hospitalisation / Imprisonment)

• 4.4.3 Does the managing agent have a policy and procedure on relinquishment

  Yes

  No

• 4.4.3.1 Ask to see a copy of the policy and procedure on relinquishment

Section 5 - ASB, Nuisance, Harassment, Safeguarding

5.1 ASB and nuisance

• 5.1.1 Is there a policy and procedure to deal with ASB and nuisance?

  Yes

  No

• 5.1.1.1 Check the ASB policy

• 5.1.1.2 When was the ASB policy last reviewed?

  Date

• 5.1.2 Do timescales and categories in the ASB policy reflect those of the RP?

  Yes

  No

• 5.1.3 Has the agent dealt with any incidents of ASB or nuisance under the terms of the policy?

  Yes

  No

• 5.1.3.1 Check the agent’s ASB records

• 5.1.4 Are there guidelines for staff on what to do in the event of violent behaviour?

  Yes

  No

• 5.1.4.1 Is restraint permitted or not?

  Yes

  No

5.2 Harassment

• 5.2.1 Is there a policy and procedure to deal with racial, sexual and other forms of harassment?

  Yes

  No

• 5.2.1.1 Check the harassment policy

• 5.2.1.2 When was harassment policy last reviewed?

  Date

• 5.2.2 Has the agent dealt with any complaints of harassment under the terms of the policy?

  Yes

  No

• 5.2.2.1 Check the agent’s harassment records

• 5.2.3 Do any people found to be perpetrators of harassment still live or work at the scheme?

  Yes

  No

5.3 Safeguarding

• 5.3.1 Is there a policy and procedure for dealing with safeguarding of vulnerable adults?

  Yes

  No

• 5.3.1.1 Check the safeguarding of vulnerable adult policy

• 5.3.1.2 When was the safeguarding of vulnerable adult policy last reviewed?

  Date

• 5.3.2 If applicable, is there a policy and procedure for dealing with safeguarding children?

  Yes

  No

  N/A

• 5.3.2.1 Check the safeguarding children policy

• 5.3.2.2 When was the safeguarding children policy last reviewed?

  Date

• 5.3.3 Has the agent dealt with any incidents of abuse or neglect under the terms of either policy?

  Yes

  No

• 5.3.3.1 Check the agent’s safeguarding case records

• 5.3.4 Are there any such incidents that are still being investigated?

  Yes

  No

• 5.3.4.1 How is the agent responding to safeguarding issues?

Section 6 - Complaints, Consultation, Resident Involvement

6.1 Complaints

• 6.1.1 Is there a complaints policy and procedure?

  Yes

  No

• 6.1.1.1 Check the complaints policy

• 6.1.1.2 When was the complaints policy last reviewed?

  Date

• 6.1.2 Is the complaints procedure easy to follow, without too many stages?

  Yes

  No

• 6.1.3 Where a resident has communication difficulties is the complaints procedure available in an appropriate format?

  Yes

  No

• 6.1.4 Does the policy and procedure include the right to take complaints about housing management issues to the RP at the appropriate stage?

  Yes

  No

• 6.1.5 Does the policy and procedure include the right to take complaints to a designated person (MP, councillor or a recognised tenant panel) and the Housing Ombudsman Service at the appropriate stages?

  Yes

  No

• 6.1.6 Are complaints recorded and proper procedures followed?

  Yes

  No

• 6.1.6.1 Check the complaints log

• 6.1.6.2 Check a sample of complaints

• 6.1.7 Are there any complaints currently outstanding?

  Yes

  No

• 6.1.7.1 If yes, check the details of the complaint

• 6.1.8 How are complaints reported to senior management and Committee?

• 6.1.9 How are complaints used to improve services?

6.2 Consultation

• 6.2.1 Is there a clear strategy for consulting with and gathering feedback from residents, carers and advocates?

  Yes

  No

• 6.2.1.1 Check the feedback strategy

• 6.2.1.2 When was the feedback strategy written?

  Date

• 6.2.1.3 When is the feedback strategy due to be reviewed?

  Date

• 6.2.2 What methods are used to obtain feedback?

• 6.2.3 What evidence is there that residents are satisfied with their support and housing?

• 6.2.3.1 Check feedback / satisfaction records

• 6.2.4 What evidence is there that BME residents are satisfied with their support and housing?

• 6.2.4.1 Check feedback / satisfaction records for BME residents

• 6.2.5 When was a resident survey last carried out?

  Date

• 6.2.6 How were the results of the survey and other methods of obtaining feedback used to improve services?

6.3 Resident involvement

• 6.3.1 Is there a clear strategy / policy on resident involvement, which provides residents (and their carers / advocates) with a range of opportunities to participate in the management of their home and community?

  Yes

  No

• 6.3.1.1 Check the resident involvement strategy / policy

• 6.3.1.2 When was the resident involvement strategy written?

  Date

• 6.3.1.3 When is the resident involvement strategy due to be reviewed?

  Date

• 6.3.2 Have residents been consulted on how they would like to be involved?

  Yes

  No

• 6.3.3 How does the managing agent resource resident involvement?

• 6.3.4 How does the managing agent monitor and review resident involvement?

• 6.3.5 What methods are used to promote resident involvement?

• 6.3.6 How are residents supported to obtain the knowledge and skills to become involved?

• 6.3.7 Are residents involved in setting service standards?

  Yes

  No

• 6.3.7.1 Check how residents are involved in setting service standards

• 6.3.8 Is information about services available in a range of languages and formats appropriate to residents’ needs?

  Yes

  No

• 6.3.8.1 Check the procedure for providing information in various languages / formats

• 6.3.9 Is there an Equality & Diversity action plan in place?

  Yes

  No

• 6.3.9.1 Ask to see a copy of the Equality & Diversity action plan

• 6.3.9.2 Does the Equality & Diversity action plan include an impact assessment of resident involvement?

  Yes

  No

Section 7 - Move-on

7.1 Policy and procedure

• 7.1.1 Is there a policy and procedure for move-on?

  Yes

  No

• 7.1.1.1 Check the move-on policy

• 7.1.1.2 When was the move-on policy last reviewed?

  Date

• 7.1.2 Are residents provided with clear and relevant advice about their move-on options at sign-up or shortly after?

  Yes

  No

  N/A

• 7.1.3 What is the process for selecting and nominating residents for move-on?

• 7.1.3.1 Check how move-on decisions are made

7.2 Targets

• 7.2.1 What is the expected length of stay?

• 7.2.2 Are length of stay targets being met?

  Yes

  No

  N/A

7.3 Move-on accommodation

• 7.3.1 Are there any problems obtaining move on accommodation for residents?

  Yes

  No

• 7.3.2 Are any move-on options other than social housing available to residents?

  Yes

  No

• 7.3.3 Are residents expected to accept private rented accommodation?

  Yes

  No

• 7.3.3.1 Check the procedure for assisting residents to identify suitable private rented accommodation

7.4 Follow up

• 7.4.1 Does the managing agent offer support following resettlement to move-on accommodation?

  Yes

  No

  N/A

• 7.4.1.1 If not, does it provide information on how support from other organisations can be accessed?

  Yes

  No

• 7.4.1.2 Ask for details of how support from other organisations can be accessed

• Ask for details of support provided following move-on