Collecting, managing and using housing
stock information
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Publication title: Collecting, Managing and Using Housing Stock Information
Audience: Local authorities, Registered Social Landlords, social housing tenants and other
interested bodies
Date published: August 2000
Product code: N/A
Price: Free
Summary
In August 2000, the Department of the Environment, Transport and the Regions (DETR, now
Communities and Local Government) published guidance on Collecting Managing and Using
Housing Stock Information. The guidance was developed by a consortium consisting of
individuals from the following companies; Hacas Consulting (now Hacas Chapman Hendy Ltd),
Building Research Establishment and London Research Centre (now part of the Greater
London Authority). A new annex to this guidance was published in March 2002 entitled 'Decent
homes: Capturing the standard at a local level' .
The guidance is aimed at Local Authorities, Registered Social Landlords and other agencies
involved in any aspect of a stock condition survey from identifying and specifying the
requirements, management of the fieldwork through to analysing, updating and storing the
collected data.
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Contents
Introduction
The Need for New Guidance
Technical Issues
Statistical Issues
Response Rates
Content of stock Survey - Data Collection
Survey Management Issues
Managing/conducting a stock condition survey
Related Survey Information
Intergrating core elements of the Housing Health and Safety Rating System (HHSRS)
Further Information
Introduction
In August 2000, the Department of the Environment, Transport and the Regions (DETR, now
ODPM) published guidance on Collecting Managing and Using Housing Stock Information. The
guidance was developed by a consortium consisting of individuals from the following
companies; Hacas Consulting (now Hacas Chapman Hendy Ltd), Building Research
Establishment and London Research Centre (now part of the Greater London Authority). A
new annex to this guidance was published in March 2002 entitled 'Decent homes: Capturing
the standard at a local level' .
The guidance is aimed at Local Authorities, Registered Social Landlords and other agencies
involved in any aspect of a stock condition survey from identifying and specifying the
requirements, management of the fieldwork through to analysing, updating and storing the
collected data.
No two stock surveys are identical, there will be differing requirements from the survey and
compositions of the stock to be surveyed, and hence every survey must be treated on an
individual basis. However, there are general principles that will apply to all stock surveys. We
have provided a series of frequently asked questions and answers in relation to these general
principles based upon queries that the ODPM frequently receives.
The Need for New Guidance
Q1: Why did DETR issue new guidance on Collecting, Managing and Using Housing
Stock Information?
A1: The new guidance built upon and replaced earlier (1993) DoE guidance entitled Local
House Condition Surveys; a guidance manual which mainly focused upon stock surveys in the
private sector. The new guidance has a cross-tenure focus and takes into account the rapid
developments that have taken place over the last few years in relation to IT and databases. It
has a much wider focus than the earlier guidance, covering how stock information should be
set within a wider housing information system and updated frequently and linked to other
systems (such as repair and maintenance records) to avoid the need for frequent repeat
survey work.
Q2: Who should read the guidance?
A2: The guidance is aimed at housing practitioners in local authorities (LAs), and Registered
Social Landlords who need to capture and maintain robust information, both public and private,
to inform strategy development for their stock. It is also aimed at regeneration partnerships that
have housing as a key objective in their wider regeneration strategy.
Q3: Why is the guidance in Three volumes?
A3: The guidance has been structured to give senior staff an overview of the core principles
connected with stock surveys and stock databases (Volume One). More technical information
is contained in Volume Two, which is aimed at those who will have a more hands-on role in
conducting or managing the survey and database and analysing the information. Volume
Three gives a more detailed steer on specifying and commissioning stock condition surveys. It
will be an important tool to those responsible for managing a stock condition survey.
Q4: How does this guidance relate to other guidance about Business Planning and
developing strategies for the stock that was issued by ODPM and its predecessors?
A4: Some of the key principles connected with collecting robust stock condition information
have been included in A New Financial Framework for Local Authority Housing: guidance on
business plans which aims to promote efficient use of housing assets. The financial framework
guidance stresses the importance of developing comprehensive business plans for housing
revenue account (HRA) properties based on robust information about the stock .
The current Housing Transfer Manual (2003) (Annex F) stresses the importance of carrying out
a robust stock condition survey to inform the transfer strategy using the principles of the new
stock survey guidance, and also cross refer to it for more detailed understanding.
Other guidance on "Low Demand Housing and Unpopular Neighbourhoods" (DETR 2000,
ISBN 1851123954 £32.00), "Local Housing Needs Assessments" (DETR 2000, ISBN
185112408X £17.00) and "Demolition and New Building on Local Authority Estates" (DETR
2000, ISBN 1851124128 £14.00) stress the importance of collecting robust information about
the stock and analysing it alongside broader information on housing demand to develop longer
term strategies for the stock.
Q5: How does the guidance relate to the Major Repair Allowance?
A5: The MRA allocations to local authorities will be based on information from the English
House Condition Survey (EHCS) because this is a national survey which collects detailed and
consistent information on the condition and age of individual dwelling elements in all tenures.
The EHCS is not large enough to be able to predict directly expenditure requirements for each
local authority robustly and accurately. Instead the EHCS will be used to estimate the national
average expenditure required on newly arising need for dwellings of different types (the
national average MRA weights). MRA allocations for each authority will then be derived by
applying the national average MRA weights to the numbers of dwellings of each type owned by
an authority.
LAs are thus required to submit information on the numbers of properties by a predetermined
set of MRA archetypes through the HRA Subsidy Claim Form Base Data Return but are not
required to submit any linked stock condition information that may have been collected through
a local authority level stock condition survey.
The stock surveys guidance advocates a flexible approach to collecting information about
stock type, rather than following predetermined archetypes that are required under any one
particular system.
Q6: How does the guidance relate to Decent Homes?
A6: To take forward the PSA target set in the 2000 Spending Review, the Government's policy
statement 'The Way Forward for Housing' published in 2001 stated that all social housing
would be made decent by 2010. In order to achieve this landlords must quantify the extent of
non-decent housing within their stock (i.e. which of the decent homes criteria it fails upon and
why). Good quality, up to date stock information is necessary to achieve this. This information
may already be available if detailed records have been kept of modifications and maintenance
programmes to dwellings. If the information is not available then a stock condition survey is
seen as the best way of obtaining the relvant data.
In March 2002 the DTLR published a new Annex to this guidance 'Decent Homes: Capturing
the Standard at the Local Level' to provide additional guidance specific to the requirements of
Decent Homes.
Q7: If I undertake a survey for Business Planning purposes, do I need to undertake
another survey if I want to look at transfer?
A7: No It has already been stated that stock information should be collected in such a way in
order to inform a number of different investment and programme decisions about your stock.
As long as the data is collected and stored so that analysis can be undertaken for differing
requirements then there should not need to be a requirement for a new survey.
Q8: Why is there no example survey schedule included within the guidance and can I
still use the survey form in the previous DOE guidance?
A8: The current guidance is far more wide ranging and there is no one methodology that would
meet the many needs to which it might be put. However, the principles behind this survey form
are still appropriate and can be used as a starting point for the design of a bespoke survey
form. And, indeed, it has informed many of the commercial systems that are currently on the
market.
Technical Issues
Statistical Issues
Q9: Why does ODPM advocate a sample approach to a stock survey rather than a 100%
survey?
A9: Information is needed to accurately reflect the condition of the stock as a whole. If every
dwelling were unique they would have different condition problems and require very different
works. But housing stocks are more homogenous than this. Therefore a sample survey gives
an accurate picture. As stock condition surveys are expensive to undertake, with a large
proportion of the cost going towards the fieldwork process, it is not advisable, to undertake a
100% survey of the dwellings in the stock. A sample survey can provide robust data at a much
lower cost. (see Chapter 3 of Volume 1 and Chapter 6 and Annex I of Volume 2)
Q10: What sample size will I need for a stock condition survey?
A10: There is no fixed sample percentage that will suit all purposes. The sample will depend
upon the purpose of the survey and the size and make-up of the stock. It is important to have
all types of property represented in the sample, rather than large samples of all the same type.
If the stock is very diverse the sample may have to be increased to provide an efficient
assessment of all dwelling types. Stratified rather than simple random samples are often the
most effective in ensuring that concentrated problems in particular types of stock or area are
included. (Chapter 6 & Annex I of Volume 2).
Q11: What characteristics of the stock should be used to produce a robust stratified
sample?
A11: Stratification is a means by which, through a sample survey, certain characteristics can
be identified in the stock. For LA or RSL stock this may be at estate level or even at more
specific levels such as sections of estates with similar design characteristics. For the private
sector, stock may be stratified by age to identify those dwellings in poor condition (mainly older
dwellings). As a result more of the older dwellings would be surveyed rather than new
dwellings where you would expect to find fewer problems. (Chapter 6 and Annex I of Volume
2).
Q12: Can I use the council tax list to choose a sample for a stock condition survey?
A12: An authority's council tax list provides a good cross-tenure database from which to select
a sample for a stock condition survey. However the list could also hold information seen as
sensitive, about the householder etc. As long as the data is only used to identify an address
from which the surveyor would then approach the householder to gain permission for taking
part in a survey then this should be acceptable. Further guidance should be sought from the
Data Protection Registrar if you are uncertain as to what you can use and what you cannot.
Response Rates
Q13: What can we expect to achieve in terms of a reasonable response rate from a stock
condition survey?
A13: Response rates from a stock condition survey will very much depend on the individual
circumstances at the time of the survey. It will depend, amongst other issues, upon the tenure
of the stock, its location, the size of the sample, the time of day/week or year that the survey is
carried out and the economic circumstances of the households being surveyed (linked to
access rates).
Getting a high response rate is more important than a large sample size. Low response rates
can result in biased results. Means of maximising response rates are important and deserve
effort being made. Options are: mail-shots to all dwellings targeted for the stock condition
survey; prize draws for agreeing to take part; in multicultural areas provide multi-lingual
letter/leaflets to households explaining the importance of the survey or undertake the surveys
at times when it is more likely for a household to be at home. RSLs and LAs may also benefit
from getting tenant associations on board with the survey. (Chapter 7 of Volume 2)
Q14: What is surveyor variation and how can it be reduced?
A14: Surveyors will vary in how they assess the condition of a building element; usually the
difference in assessment is small but it can occasionally be large. This variation is to be
expected because a stock condition survey is a matter of judgement. Surveyor variability
affects particularly the more subjective assessments such as unfitness and the extent of
disrepair, very often there is no one right answer about what work needs to be carried out to a
dwelling at any point in time, but it is never entirely absent. Even in very objective
measurements such as building dimensions some degree of variance is to be expected.
Surveyor variation can never be fully eradicated but it can be reduced. Some key principles are
outlined in (Chapter 7 and Annexes J, K, L of Volume Two) and these include:x Giving clear briefing about the scope of the survey
x Restricting what is recorded to direct observations and leave interpretation to the analysis
stage where consistent assumptions can be made
x Careful management, including spot checks in the field
x The use of call-back surveys to assess the extent of surveyor variability
Because of surveyor variance one group of surveyors will come up with different answers
about conditions of your stock compared with another group.
Content of stock Survey - Data Collection
Q15: What type of information should be collected in a stock survey?
A15: The type of information to be collected in a survey will depend on the uses to which it is
going to be put. The guidance is very clear that the information required from the survey should
be identified before it is commissioned. A survey should be tailored to a users needs, rather
than taken off-the-peg. If information on repair costs is required, the guidance explains that
there is only a limited amount of data that can be collected cost-effectively and that the balance
should be on collecting data on the age and condition of key building elements (e.g. windows,
roofs, kitchens, bathrooms) rather than cost insignificant items such as door fittings.
Q16: What is a flexible approach to data collection and why is this important?
A16: A problem with some stock surveys is that they result in a single fixed set of outputs
which cannot then be subsequently analysed to meet a range of different information needs.
For example, some surveys collect data on pre-set archetypes which can become out of date
very quickly, or may not meet different policy needs.
Rather than labelling each dwelling in the field as belonging to one archetype or another, a
flexible approach to collecting data on stock type requires the surveyor to collect data on the
age, size, tenure, building type, type of area etc. These can then be combined to give any
archetype groups needed.
Similarly, rather than classifying in the field the state of repair as backlog, or catch up, the
guidance recommends information is collected that enables the analyst to determine at the
analysis stage. To achieve this information is needed on:
x
x
x
x
x
the type and age of element
whether there is a defect and type of defect
the type of initial action needed
the timing of the initial action/longest allowed delay
remaining elemental life once action is completed.
Q17: What does the term "Just In Time" maintenance mean?
A17: Page 25 of the "A New Financial Framework for Local Authority Housing: guidance on
business plans" explains that a"Just In Time" approach to maintenance and renewal assumes
variable life cycles for building components, often longer than the industry standard (which may
be slightly conservative). It is based on choosing the optimal time for a programme of building
component replacement rather than using fixed component lifetimes. It requires decision
makers to think about strategies for extending major components lifetimes, more effective
planning of sub component replacement and the prioritisation of different streams of repair and
maintenance work to make more effective use of resources. In order to assess this approach
you need to have collected the data in a form that enables you to identify the time at which
building components can most effectively be replaced. (Further information can be obtained in
Annex II of A New Financial Framework for Local Authority Housing: guidance on business
plans).
The more flexible approach to data capture outlined at Q15 above is in line with this approach.
Data on the state of repair captured in this way will allow you to consider maintenance and
repair strategies under a range of different scenarios rather than having fixed data on e.g.
"backlog" or "catch-up" which cannot be interrogated further. It will allow analysis in line with
the principles of "Just In Time" through looking at the consequences of deferring or bringing
forward major works, the relationship between maintenance costs and timing of major repair
programmes and the effects of changing assumptions about building element life cycles and
costs of works.
Survey Management Issues
Managing/conducting a stock condition survey
Q18: Can I use internal staff to undertake a stock survey?
A18: There are no rules that state that the survey has to be undertaken externally or internally.
It is important, if undertaking the survey internally that you fully appreciate the skills required by
those involved and the level of commitment that will be needed which may include freeing
individuals from other duties within the organisation. If the survey is being undertaken
externally it is important that you are still involved in the process and you make it the clear
responsibility of a group of individuals (the Housing Information Team) to deliver the survey.
Day to day liaison should be through a project manager. This will ensure a closer working
relationship with the contractor and allow input throughout the process.
Some authorities and RSLs choose a middle option in that they will appoint a contractor to
undertake some aspects of the survey and use internal staff for other tasks. For example, a
contractor may be appointed to devise a sample size and provide staff/resources to carry out
the analysis of the data collected with the fieldwork being undertaken by the clients own
employees. This may also be reversed with the client devising the sample and the contractor
appointed for the fieldwork. The key message here is not to underestimate the level of
involvement that will be required. (Ref. Volume 3 of the guidance and Housing Needs
Assessment - Good Practice Guide).
Q19: How often should a stock condition survey be undertaken?
A19: A stock survey should be undertaken when you have a need for the information because
earlier information no longer reflects the condition of your stock as it does not produce
information to meet current requirements. The move towards a wider housing information
system that links information from other sources about the stock (e.g. repair and maintenance
databases) may mean that practitioners are able to maintain an up to date information system
about the stock without needing to embark on repeat surveys every "n" years. Additionally with
a system that has been updated regularly, any further stock surveys that are required can be
greater focussed on specific areas where it is felt that data are not as robust.
Q20: Does the ODPM hold a list of possible stock survey contractors?
A20: For propriety reasons, ODPM is unable to suggest possible contractors for stock
condition survey work. However, Volume 3 of the Guidance is specifically aimed at helping you
design a good brief for your survey and gives specific guidance on tendering, commissioning
and managing a stock condition survey.
Q21: Can I combine a stock survey with another survey and what are the benefits?
A21: It is possible to combine a stock survey with other surveys such as an energy survey or
local housing needs assessment. The cost of combining surveys will be lower as you are
reducing the administration/manpower costs associated with two separate surveys. The data
collected can also be of higher value as you are able to relate different sorts of information
together e.g. household circumstances and housing conditions.
However, care should be taken when agreeing what information needs to be collected during
the survey. It should be borne in mind that a survey should be as concise as possible to
increase the response rates and prevent respondent fatigue. Also if you attempt to collect too
much data there is a danger of the survey becoming unworkable. (see Chapter 3 of Volume
Three).
Q22: How long does a stock condition survey take?
A22: Volume 3 of the guidance stresses the importance of planning the survey and allowing
sufficient time at all stages of the process, including tendering and commissioning it. The
probable minimum time scales suggested based on a medium sized survey are as follows:
x
x
x
x
tendering - one month
developing stage -one month
fieldwork and data processing - two months
analysis and draft final report - one month
Q23: Will I need to purchase new hardware/software for the Housing Information
system?
A23: It is important to include a member of your IT staff in all discussions, probably as part of
the Housing Information Team, from the initial stages through to handing over of the database
by the contractor or from your own surveyors etc. if the survey is carried out internally. The IT
expert can then assess whether the current system is capable of fulfilling the requirements that
will be placed upon it. If a new system is required the key message here is to test before you
buy, trying to obtain a system that will be suitable for both current and, where possible,
predicted future requirements. ODPM is not an expert on system evaluation and cannot make
recommendations on grounds of propriety.
Q24: Will we be required to have a full Housing Information System up and running
immediately?
A24: No But before you start to develop any part of it you should have a clear set of key
principles to work with. It is the intention that you should be able to expand or up-date the data
base as further data becomes available. There is no specific requirement from ODPM you to
set up such a system; it is for you to decide on whether such a system is useful for your own
purposes.
Related Survey Information
Intergrating core elements of the Housing Health and Safety Rating System (HHSRS)
Q25: Can the HHSRS be incorporated into a stock condition survey?
A25: The ODPM has published the new Housing Health and Safety Rating System (HHSRS).
It is based on an assessment of 24 hazards to occupants and visitors that can occur in the
home. The rating has been designed as an enforcement tool to be applied by suitably trained
Environmental Health Officers. Primary legislation is required before it replaces the current
fitness standard for enforcement.
It is suggested that it would be too costly and time consuming to incorporate a full HHSRS as
part of a stock condition survey. However, local authorities may wish to capture information in
line with the new rating system and the guidance outlines possible approaches for capturing
core information to give an indicative statistical measure on the main types of hazards that
occur across the stock and that can reasonably be measured via a routine stock condition
survey. Annex G of Volume Two provides examples of how the HHSRS can be incorporated
into a stock survey. It is important to stress that this approach will generate some statistical
information in line with the new system; it does not provide a full health and safety rating
system that could be used for enforcement.
Q26: Should we still collect data to measure the stock in line with the current fitness
standard as well as the HHSRS?
A26: Yes- The new rating system will be running in parallel with the current fitness standard to
provide a chance to test its effectiveness and refine the new system before legislation is in
place. As the current fitness standard is still in force information upon it still needs to be
collected where you have this information need.
Further Information
Q27: Where can I go for more information?
A27: Your first reference point should be the ODPM guidance as this is extremely
comprehensive on all issues connected with stock surveys. Copies of the full guidance have
been sent to all directors of housing and the largest RSLs. Given this wide distribution, we
cannot provide further free copies. However, further summaries are available on this website
under Housing > Research > Research Summaries.
The publications home page contains information on how and where you can obtain
publications produced by the Office of the Deputy Prime Minister.
Please send any queries regarding the Questions and Answers on this subject to
stock.surveys@communities.gsi.gov.uk or by fax on 020 7944 3529.
We will try and answer your query promptly (within 5 working days) but please note that we
cannot guarantee a response within this time frame, or respond more quickly to urgent
requests.