PRELIMINARY APPLICATION
FORM FOR REGISTRATION
AS A PROVIDER OF SOCIAL
HOUSING
April 2015
1.
About this form
1.1
This form is issued by the Homes and Communities Agency (HCA) in its capacity as regulator of
social housing (the regulator) and should be completed by applicants wishing to become providers of
social housing registered under the Housing and Regeneration Act 2008 (the act).
1.2
The form should be read in conjunction with the ‘Guidance on registration as a provider of social
housing’ (the registration guidance) published from time to time by the regulator. Applicants should
refer to that guidance for general information on registration as a provider and on the registration
process and should refer to the regulatory framework that applies to registered providers on the
HCA’s website https://www.gov.uk/housing/regulation.
1.3
Guidance on completing the preliminary application is included within this form.
1.4
Before completing this application form, the applicant should familiarise itself with the detailed
application process and with the requirements that will apply to them if they are registered. The
applicant should not proceed with a preliminary application unless it is satisfied that it will be able
meet the requirements of registration.
1.5
The applicant should complete this form to provide the information that will enable the regulator to
establish whether it is an English body as defined in section 79 of the act and whether it meets
Condition 1 of the eligibility criteria for registration set out in section 112(2) of the act: that it is a
provider of social housing in England or that it intends to become a provider of social housing in
England.
1.6
If the regulator confirms that the applicant is an English body that is, or intends to become, a provider
of social housing in England, the applicant may then submit a detailed application for registration. The
applicant should complete this to provide the information that will enable the regulator to establish
whether it meets Condition 2 of the eligibility criteria set out in section 112(2) of the act: that it satisfies
the criteria set by the regulator as to its financial situation, its constitution, and other arrangements for
its management.
1.7
This form should be completed in full.
1.8
The applicant should note that the 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 act) 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.
1.9
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.
1.10
This form asks for the consent of the applicant for the regulator to share relevant information with
other parts of the HCA and for other parts of the HCA 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.
1.11
Definitions of terms used within this form are, unless otherwise indicated, taken from the act or other
cited legislation, all of which can be found on www.legislation.gov.uk.
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1.12
Any enquiries should be directed to 0300 1234 500 or email mail@homesandcommunities.gov.uk.
1.13
The regulator’s preference is for electronic applications at all stages. These should be submitted to
registrations@hca.gsi.gov.uk. If it is not possible to submit electronically, applications should be
posted to:
Referrals and Regulatory Enquiries Team
Homes and Communities Agency
1st Floor
Lateral House
8 City Walk
Leeds
LS11 9AT
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Name of applicant ………………………………………………………………………………
Declaration and consent
We apply on behalf of the above applicant for registration under Section 116 of the Housing and
Regeneration Act 2008 (the act) and hereby:
i)
undertake to submit to the regulator any necessary documentation and information to demonstrate
that the applicant meets the eligibility requirements for registration
ii)
certify that to the best of our knowledge and belief, the information given in this form is correct and
has been seen and approved by any governing body of the applicant
iii) certify that the applicant will ensure that any information subsequently provided to the regulator
during the application process will be seen and approved by any governing body
iv) confirm that we understand and accept that any recorded 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 disclosed by
the regulator where this is in keeping with its obligations as a public authority under the Freedom of
Information Act 2000 and/or the Environmental Information Regulations 2004
v)
consent to the sharing of relevant information within the HCA concerning the applicant for
registration
vi) agree to receiving electronic communications from the HCA
Signed by
…………………………………………………………………………………….
Name
…………………………………………………………………………………….
Date
…………………………………….………………………………………………
Position
……………………………………...……………………………………………..
The application form should be signed by someone who has the authority, in accordance with the applicant's
governing instrument, to sign on behalf of the applicant.
The applicant should note that, at its discretion, the regulator will 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 will also, at its discretion, not register an applicant with a name that it considers
inappropriate or misleading.
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General information
Contact name
Contact’s position with the applicant
Applicant’s website
Registered office
Correspondence address of contact
named above
Postcode:
Postcode:
Tel No:
Tel No:
Email:
4
Information about the applicant
1. Is the applicant a parent of one or more
organisations? (please provide details)
2. Is the applicant a subsidiary of another
organisation? (please provide details of the
applicant’s immediate parent and the
ultimate controlling body of the applicant)
3. Please confirm who are the shareholders
or members of the applicant
4. Please confirm who are the directors or
board members of the applicant
For the information provided above, any official documents confirming this (such as Companies House or
FCA records) should be included with the application.
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APPLYING FOR REGISTRATION
Before submitting a Detailed Application for registration, an applicant must first
demonstrate to the regulator that it is an English body which is, or intends to become, a
provider of social housing in England.
ENGLISH BODY
An applicant must be an English body as defined in section 79 of the Housing and
Regeneration Act 2008. Please indicate below how the applicant meets the definition of
English body set out in the act.
A registered charity whose address for the purpose of registration by the Charity Commission is in
England
A registered society whose registered office for the purposes of the Co-Operative and Community
Benefit Societies Act 2014 is in England
A registered company which has its registered office in England
A copy of the confirmation from the relevant registration authority that includes the name of the registered
organisation and its registration number should be provided with the application.
A registered company includes a Community Interest Company (CIC).
A community land trust which owns land in England and meets the conditions specified in the act
Note that the wording in section 79 of the act relating to community land trusts (CLTs) states that the CLT
must own land in England. CLTs that do not yet own land in England but are intending to do so should tick
this box and the regulator will treat them as intending providers, subject to the applicant providing satisfactory
evidence of intent.
CLTs should tick this box and any other box that is appropriate for them, for example registered company.
Any other person (whether or not a body corporate registered under the law of the United Kingdom)
which is not a Welsh body within the meaning of Section 1A of the Housing Act 1996 and makes
available, or intends to make available, accommodation in England. Details should be provided below
of the type of person, for example LLP, for the purposes of registration.
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PROVIDER
By section 80 Housing and Regeneration Act 2008, a provider is:

The landlord of low cost rental accommodation

The landlord of low cost home ownership: shared ownership

The seller of low cost home ownership: equity percentage

The social landlord of low cost home ownership: shared ownership trust
5. Please confirm how the applicant is a
provider as defined above. Please provide
evidence of the applicant’s status as a
landlord or seller or (for shared ownership
trusts) social landlord
6. If the applicant is not a provider as
defined above, please provide evidence of
its intention to become a provider (the
evidence should relate to an identified
scheme or project to provide social
housing within a specified timeframe after
registration)
Guidance notes
The regulator interprets landlord for the purposes of section 80 of the act as meaning the person entitled to
the immediate reversion of the lease and who issues the tenancy agreements to the social housing tenants.
A superior landlord (such as the owner of the freehold who leases the property to the landlord) would not be
considered to be a landlord for the purposes of the act and so would not be eligible for registration.
The regulator does not regard corporate entities where they act solely as the corporate trustee of an
unincorporated charity as being landlords for the purposes of section 80 of the act and so they would not be
eligible for registration.
If the applicant is already a landlord of social housing in England then evidence of the existing housing
provision should be supplied. This could be, for example, copies of tenancy agreements.
Additional notes for intending providers
If the applicant does not already provide social housing in England but is applying as an intending provider,
the regulator needs to be satisfied of that intent before the applicant can progress to the detailed application
stage. It expects to see that the applicant has a viable plan in place that appears to be deliverable.
The applicant should provide evidence either of existing housing that is to become social housing or of
financial provision for leasing, buying or developing new social housing. This may include:
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
details of existing land/property ownership, leasing or development, including copies of Land Registry
title or head lease

details of planned land/property ownership, leasing or development

financial arrangements, for example application for financial assistance lodged with the HCA or GLA,
loans, general funding provision

details of contact with the local authority about the applicant's plans

any existing and planned contractual relationships

any other supporting evidence
The regulator will expect the applicant to have a board in place that is actively involved in the registration
process, in any decisions taken about, for example, finance arrangements and in engagement, where
relevant, with the regulator.
The regulator would not usually expect to register an applicant if the business plan showed a period of longer
than twelve months after registration before the applicant became a provider of social housing, although it
recognises that in some cases development timescales may be longer. Applicants that are intending
providers will be required to commit to key milestones and a date by which they expect to have become
landlords of social housing.
The position of the intending provider will be kept under review after registration. In the event that the
regulator is not satisfied after registering a provider that there is continued, evidenced, intent to provide social
housing, the regulator is likely to propose compulsory de-registration under section 118 of the act. This action
would be taken on the basis that the provider is no longer eligible for registration. If circumstances change
after de-registration, applicants can re-apply for registration at any stage.
If there are material changes in the business plan or scheme in this period the regulator may need to review
the provider’s continued compliance with the regulatory standards.
If the regulator is not satisfied that the evidence of an applicant's intent is sufficient to proceed to registration
and the application is refused or if a provider is de-registered because the regulator is not satisfied of its
progress towards becoming a provider, a re-application may be made at any time if the applicant's
circumstances change.
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SOCIAL HOUSING
By section 68 of the Housing and Regeneration Act 2008, social housing means:

Low cost rental accommodation, and

Low cost home ownership accommodation
LOW COST RENTAL ACCOMMODATION
By section 69 of the Housing and Regeneration Act 2008, low cost rental accommodation is
accommodation:

which Is made available for rent, and

the rent is below the market rate, and

which is made available in accordance with rules designed to ensure that it is made
available to people whose needs are not adequately served by the commercial housing
market.
7. Does the applicant provide, or intend to
provide, accommodation as defined
above?
If no, go to question 14
8. Has the applicant applied for or received
funding from the HCA or GLA to develop
social housing? Evidence of this should be
provided by the applicant
9. The applicant should outline how its
accommodation is or, for intending
providers, will be made available in line
with the requirements in the act
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10. The applicant should set out why the
rent is considered to be below market rate.
The expectation is that the applicant is
charging social rents as defined in the
Rent Standard. The applicant should
provide evidence that the rents have been
calculated in accordance with the formula
contained in the Rent Standard
11. If the applicant does (or will) charge
rent for its social housing that falls outside
of the formula calculation contained in the
Rent Standard now or in the future the
applicant should provide the evidence that
shows how it meets the criteria in
paragraph 3.18 of the Rent Standard
Guidance.
12. If the applicant is (or will) charge a rent
for its social housing that falls outside the
rent formula calculation in the Rent
Standard now or in the future, how has the
applicant determined market rate?
13. How is or, in the case of intending
providers, will the accommodation be
made available in accordance with rules,
as required above? (Please provide a
copy of the rules or the principles on which
any rules will be based)
Guidance notes
The applicant will need to demonstrate to the regulator that the housing it provides or propose to provide is or
will be social housing.
Question 8
To assess whether the proposed housing provision is social housing, the regulator will first consider whether
the housing provided or to be provided by the applicant has been funded by the HCA or GLA as social
housing. It is likely to treat all such housing as social housing, although there may be exceptions. The
applicant can evidence this by providing a copy of an agreement with the HCA or GLA setting out the
conditions under which financial assistance is provided.
In the absence of grant funding, the regulator does not consider the following to be social housing:

accommodation let on the open market
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
accommodation made available only to students in full-time education or training

a care home (within the meaning of the Care Standards Act 2000) where nursing is provided

accommodation provided in response to a request by the Secretary of State under section 100 of the
Immigration and Asylum Act 1999 (support for asylum seekers) and

property of a kind specified in regulations made by the Secretary of State. Note that no such
regulations have so far been made.
The regulator has based this view on the exceptions set out in section 77 of the act.
Question 9
If the housing is not grant funded and is not one of the exceptions listed above, the applicant will need to
demonstrate that the accommodation is made available for rent. The applicant should set out whether it takes
tenant nominations from a local housing authority or, if not, how a potential social housing tenant would know
that the applicant had properties available. The applicant should refer to the Tenancy Standard and ensure
that the types and lengths of tenure it proposes to offer meet the requirements of this Standard.
Questions 10 - 12
The regulator will need to be satisfied that the rent is below market rate. The applicant can demonstrate this
by evidencing that it is charging a social rent that meets the requirements of the Rent Standard. The applicant
should refer to the Rent Standard and the associated guidance (available on the website) to determine
whether it is charging social rent. This indicates how social housing rents should be set and sets out a
formula that determines the level of social rent that should be charged for different types of properties, taking
into account factors such as size, property value and location.
The Rent Standard also sets out the circumstances when an exemption from its requirements is acceptable.
If the applicant thinks its housing is exempt from the Rent Standard requirements, it should demonstrate how
it meets the relevant exemption. The exemption categories are set out in paragraph 3.18 of the Rent
Standard Guidance.
Note that an applicant that is classed as providing exempt accommodation for the purposes of housing
benefit regulations is not necessarily exempt from the requirements of the Rent Standard.
If the applicant is not charging a social rent, it needs to demonstrate that the rent is below market rate. Market
rate is not defined in the act. The regulator does, however, set out .18 3 to the Rent Standard Guidance the
principles of valuation for Affordable Rent purposes. The applicant should follow these principles when
demonstrating that the rent is below market rate. The applicant should note that the core rent should be
separated out from any other charged elements, such as support costs, so that a direct comparison can be
made between the core rental element and the market rate valuation.
Temporary accommodation used to discharge the duty under Part 7 of the Housing Act 1996 is, like any other
accommodation, not considered to be social housing unless it is provided at below market rate and is made
available in accordance with rules designed to ensure that it is made available to people whose needs are not
adequately served by the commercial housing market. The regulator’s understanding is that such temporary
accommodation will often be provided at market rate or above and therefore its presumption is that it will not
be social housing. The applicant will need to provide evidence to demonstrate that this presumption is not the
case.
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The applicant may be proposing to provide housing where no ‘rent’ is paid. This may be, for example, where
the housing is occupied under a license and the residents pay a weekly contribution to the maintenance of
the property. Section 275 of the act provides that such payments are to be treated as rent, but if the applicant
believes that the nature of the payment means that it cannot be compared with the prevailing market rent
levels then it should demonstrate that this is the case. If the regulator accepts this, it will determine whether
the housing to be provided is social housing by looking at whether it is made available in accordance with
rules designed to make sure that it is made available to people whose needs are not adequately served by
the commercial housing market.
Question 13
The applicant must demonstrate that the housing is made available in accordance with rules designed to
make sure that it is made available to people whose needs are not adequately served by the commercial
housing market. Applicants may be able to demonstrate meeting this requirement by, for example, reasons of
affordability, specialised/adapted housing, security of tenure or vulnerability or by referring to the objects in its
governing document.
The Tenancy Standard requires providers to put in place processes for allocation of their social housing, to
address the housing needs and aspirations of tenants and potential tenants, and (regarding allocation
processes) how providers have made use of common allocation registers, common allocations policies and
local lettings policies. Processes that meet this Standard are likely to include the rules on which
accommodation would be allocated that explain the basis on which the applicant will allocate the social
housing while meeting the requirements of the Tenancy Standard that homes are let “in a fair, transparent
and efficient way”.
The regulator will expect to see a copy of ‘the rules’ on which the social housing will be made available, such
as the applicant’s allocation policy.
Additional guidance for intending providers
The regulator expects intending providers to provide the information set out above or, where it is not yet
available, information that enables the regulator to determine whether the eligibility requirements are met.
Where the applicant has not yet drawn up an allocation policy, the regulator expects that the applicant will
have considered how it will allocate its social housing and so the applicant can set out these principles.
Similarly, the regulator expects that an applicant will know the basis on which it will be charging rent,
especially as this may be linked to conditions of grant funding, and so will be in a position to set this out even
if it is not yet charging rent.
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LOW COST HOME OWNERSHIP ACCOMMODATION
By section 70 of the Housing and Regeneration Act 2008, low cost home ownership accommodation
is accommodation occupied, or made available for occupation, in accordance with:

shared ownership arrangements

equity percentage arrangements, or

shared ownership trusts
The accommodation must be made available in accordance with rules designed to ensure that it is
made available to people whose needs are not adequately served by the commercial housing market
SHARED OWNERSHIP ARRANGEMENTS
By section 70(4) of the Housing and Regeneration Act 2008, this means arrangements under a lease
which :

Is granted on payment of a premium calculated by reference to a percentage of either the
value of the accommodation or the cost of providing it, and

Provides that the tenant (or the tenant’s personal representatives) will or may be entitled to a
sum calculated by reference to the value of the accommodation
14. Does the applicant provide, or intend to
provide, accommodation as defined
above? If no, go to question 17
If yes, please provide evidence that it
meets the definition.
15. Please outline how the applicant’s
accommodation is made available in line
with the requirements in the act
16. For intending providers, is the applicant
in receipt of funding from the HCA or GLA
and is the applicant intending to develop
social housing of which it will be the
landlord? Evidence of this funding should
be provided by the applicant
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EQUITY PERCENTAGE ARRANGEMENTS
By section 70(5) of the Housing and Regeneration Act 2008, this means arrangements under which:

The owner of a freehold or leasehold interest in residential property (the seller”) conveys it to
an individual (the buyer)

The buyer, in consideration for the conveyance:

-
Pays the seller a sum (the initial payment) expressed to represent a percentage of the
value of the interest at the time of the conveyance, and
-
Agrees to pay the seller other sums calculated by reference to a percentage of the
value of the interest at the time when each sum is to be paid, and
The liability to make any payment required by the arrangements (apart from the initial
payment) is secured by a mortgage
17. Does the applicant provide, or intend to
provide, accommodation as defined
above?
If no, go to question 20
18. Please outline how the applicant’s
accommodation is made available in line
with the requirements in the act
19. For intending providers, is the applicant
in receipt of funding from the HCA or GLA
and is to develop social housing of which it
will be the seller, as set out in Section
70(5) of the act? Evidence of this funding
should be provided by the applicant
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SHARED OWNERSHIP TRUSTS
By section 70(6) of the Housing and Regeneration Act 2008, has the same meaning as in Schedule 9
to the Finance Act 2003 (c.14) (stamp duty land tax)
20. Does the applicant provide, or intend to
provide, accommodation as defined
above?
21. Please outline how the applicant’s
accommodation is made available in line
with the requirements in the act
22. For intending providers, is the applicant
in receipt of funding from the HCA or GLA
and is the applicant intending to develop
social housing of which it will be the "social
landlord" within the meaning of paragraph
7(3) of Schedule 9 to the Finance Act
2003? Evidence of this funding should be
provided by the applicant
Guidance notes
In each of these cases of low cost home ownership, the applicant should follow the guidance for low cost
rental accommodation above on the rules under which the accommodation is made available.
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mail@homesandcommunities.co.uk
0300 1234 500
Homes and Communities Agency
Fry Building
2 Marsham Street
London SW1P 4DF
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Publication date: March 2015