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CHAPTER 4 - HANDLING OF APPLICATIONS
4.1
Summary - this chapter discusses how
initial approaches should be handled, including the
recording of the results of inquiries. The inquiries which
local authorities must undertake into applications under
the homelessness legislation are discussed in Chapters 5 to
8.
4.2 It is important that homeless applications are
considered in the overall context of providing a service to
those in housing need. Staff should adopt a person-centred
approach in order to deliver a response tailored to the
needs of the individual applicant. Staff should be aware
that where a person has applied for accommodation, or for
assistance in obtaining accommodation, and there is reason
to believe that they are in fact homeless or threatened
with homelessness then inquiries must be carried out to
ascertain the duty owed to the household under the
homelessness legislation.
4.3 Initial identification of homelessness or threatened
homelessness may be via the housing department or other
routes such as social work or youth services. Local
authorities have a corporate responsibility towards the
applicant to ensure they are helped appropriately and
effectively, and all relevant departments must play a part
in discharging this responsibility. Chapter 3 gives
guidance on how different parts of local authorities should
work together.
4.4 Local authorities have a duty to provide good
quality objective housing advice on a range of housing
options of which accessing local authority or housing
association accommodation via a homeless application is
one. Staff responsible for dealing with a homeless
application should be trained to ensure provision of such
advice. At all times, staff must be aware that should an
individual wish to make a homeless application, they are
within their legal rights to do so, and housing staff must
accept that application. Staff should ensure that
applicants are aware of their legal rights or where they
may receive information on these. Staff should also be able
to advise applicants on how to contact independent
advocates or advisors.
Avoidance of first screening of
applicants
4.5 The principal aim for staff in local authority
housing offices should be to identify a housing solution
for a homeless individual that reflects their needs. Staff
should work to find the best way to achieve that solution.
To do this, staff should ensure that all relevant
information is provided to the individual, including their
legal right to make an application, so that the individual
can make an informed choice.
4.6 There are a number of key points that staff should
follow:
- No homeless person should ever be refused the right
to make a homeless application.
- Particular care should be taken to ensure
receptionists or general inquiry staff do not carry out
any informal "first screening" of applicants, either
deliberately or unwittingly, for example, by advising
them in advance that they are likely to be re-housed in
a difficult to let area or in a location many miles
from where they wish to stay.
- Staff should not assume that every individual who
enters a local authority office is aware of their legal
right to make a homelessness application. Prominently
displayed notices should make it clear that applicants
are entitled to an interview with a homelessness
officer.
- At all times, staff should give factual information
to members of the public on the application process, as
well as giving information to people on their legal
right to apply.
4.7 Staff should receive training, if required, in the
handling of such applications, including where to refer
applications.
Discrimination
4.8 It is essential that applications are handled in a
non-discriminatory way, at minimum taking account of local
authorities' duties under relevant equal opportunities
legislation, for example:
- The Sex Discrimination Act 1975 covers
discrimination on account of gender.
- The Race Relations Act 1976 (which was amended by
the Race Relations (Amendments) Act 2000) places a
general duty on local authorities to make appropriate
arrangements with a view to securing that their
functions are carried out with due regard to the need
to eliminate unlawful discrimination; and to promote
equality of opportunity and good relations between
persons of different racial groups.
- The Disability Discrimination Act 1995 prevents
discrimination against disabled people in the sale or
letting of houses.
4.9 As a matter of good practice local authorities
should consider all equalities issues, not just those
enshrined in legislation, when handling applications.
4.10 It should also be noted that section 106 of the
2001 Act requires the encouragement of equal opportunities
and the observance of equal opportunity requirements in the
provision of housing and related services by Registered
Social Landlords and in the exercise of the functions given
under the 2001 Act by local authorities. The definition of
"Equal opportunities" is taken from the Scotland Act (1998)
and means the prevention, elimination or regulation of
discrimination between persons on grounds of sex or marital
status, on racial grounds, or on grounds of disability,
age, sexual orientation, language or social origin, or of
other personal attributes, including beliefs or opinions,
such as religious beliefs or political opinions and "equal
opportunities requirements" means the requirements of the
law for the time being relating to equal opportunities. The
2001 Act also requires homelessness strategies to state how
the local authority is complying with its duty under
section 106 so far as relating to matters in the
strategy.
Staff training
4.11 It is important that homelessness officers are
trained in the requirements of the homelessness
legislation, the Code of Guidance, anti-discrimination
legislation, and the local authority's own housing and
homelessness policies. Training in awareness raising and
practice issues as well as clear staff support arrangements
will also be helpful in ensuring staff are able to assist
applicants proactively.
4.12 Staff should be able to provide at least Type 1 (as
defined in Homepoint's National Standards for Housing
Information and Advice
26) advice on homelessness and other associated areas of
housing law. They should also know how to access Types 2
and 3 advice if necessary. They should also be aware of the
requirements of legislation and policies which may be
relevant to particular cases, for example community care
legislation or the Children (Scotland) Act 1995; and of
local authority departments and independent agencies to
which applicants should be referred for specialist advice
and assistance where necessary. Where possible training
should be carried out in partnership with other local
agencies who will have a role in the assessment
process.
4.13 Staff should have good interviewing skills and be
equipped to deal with people who are distressed,
embarrassed or confused. Where the first point of contact
is a receptionist or member of staff dealing with other
inquiries, the aim should be to refer the applicant to a
homelessness officer as soon as possible (including those
trained to deal with homelessness applications as part of
their general duties).
4.14 Reception staff should always be alert to the
possible wider needs of applicants in order to be able to
provide a sensitive and appropriate initial response.
Adoption of HomePoint's National Standards for Housing
Information and Advice provides a useful and relevant
framework for assessing training needs against a set of
agency and staff competencies. Supervision and support of
staff will enable the development of best practice in
handling applications.
4.15 See paragraph 3.6 in Chapter 3 for guidance on
ensuring a joint partnership approach to training.
Explanation of procedures
4.16 At the initial interview, each applicant should
receive a clear and simple explanation of the local
authority's procedures for handling homelessness
applications, including the various steps involved and
likely timetables for each; and of the decisions a local
authority can take on the application. Applicants should be
advised of what they should expect at each stage of the
process including information on any rights they may
have.
4.17 Staff should be mindful that they do not overwhelm
applicants with too much information and it may be more
appropriate to give explanations at different key stages in
the interview. For some applicants who are particularly
upset or distressed it may be appropriate to deal with the
initial "crisis"
e.g. commencing the application, taking basic
details and arranging temporary accommodation but continue
inquiries another day. However the applicant should be made
aware of their options and rights before arranging
temporary accommodation.
4.17 Explanations should be presented in a manner which
is accessible to the applicant. There should be a written
as well as a verbal explanation of the procedures and
leaflets may be useful. These should be available in the
main community languages.
Sequence of inquiries
4.18 The following sets out the sequence of inquiries at
present. As the 2003 Act is commenced, local authorities'
duties will change, in particular as progress is made
towards the 2012 target of removal of priority need.
Further guidance will be issued in the future.
4.19 When a person applies to a local authority under
the homelessness legislation, it has to make inquiries into
the application in sequence. It has to have reason to
believe that the applicant is homeless or threatened with
homelessness and it shall make necessary inquiries to
satisfy itself that this is the case. If so, there shall be
inquiries as to whether the applicant has a priority need
and whether he or she became homeless or threatened with
homelessness intentionally. The local authority may decide
to inquire whether the applicant has a local connection
with another local authority in Scotland, England, or
Wales. The local authority will also need to check whether
the applicant is a person subject to immigration control,
and if so whether he or she is eligible for assistance
under the homelessness legislation (see chapter 13 for more
details).
4.20 Local authorities should adopt targets for
completion of each stage of the process and should monitor
these. They should aim to:
- interview and carry out an initial assessment of an
application on the day of application or on the first
working day thereafter in the case of applications made
out of office hours or in circumstances where the
applicant is particularly distressed;
- complete their inquiries within 28 days, unless
there are legitimate reasons for taking longer;
and
- issue decisions within one working day of the
completion of inquiries.
Progress of applications
4.21 Applicants should be given some indication of the
likely length of time the application process will take,
and should be kept well informed of the progress of their
application, and what inquiries the local authority will
make at each stage of the process. Staff should contact the
applicant in person if possible throughout the process, or
by other means agreed with the applicant, for example by
letter, telephone or text message. Inquiries into
applications should be careful, but not over elaborate. A
long period of uncertainty is bad for the applicant, and
may cost the local authority money as it has a duty to
secure that accommodation is made available while
completing its inquiries. Staff should indicate to the
applicant when a final decision may be made in order to
reduce uncertainty and to give the applicant time to make
any arrangements that they may need to make.
Recording
4.22 Where an application is made this should be
recorded through the electronic case-based HL1 returns to
the Scottish Executive Housing Statistics branch. It should
be noted that the final section of the HL1 (dealing with
the rehousing outcome) should not be completed until the
case has been closed -
i.e. the local authority has discharged its
duty in its entirety.
4.23 This recording system also enables local
authorities to identify repeat applications - these may
suggest a need to review current policies. Local
authorities should also consider bespoke standard
monitoring systems which allow them to ensure that
appropriate policies and procedures are implemented,
including, where appropriate, referrals to other
bodies.
4.24 Authorities may also wish to record information
relating to enquiries which do not result in a formal
homelessness application. Over-elaborate recording systems
are to be avoided, but it is important that recording
systems are capable of demonstrating clearly the enquiries
that have taken place, the decisions reached and the
reasons for these decisions.
4.25 The name of the officer who interviewed the
applicant should be included in any record for ease of
reference at a later date, as should the applicant's
contact details and the best way of contacting him or her,
e.g. by telephone or in writing. Recording
systems should also allow for the recording of case notes
and follow up notes so that applicants can have enquiries
dealt with effectively even when their case officer is not
available.
4.26 All housing advice that is provided to applicants
should be noted as a matter of record. This is particularly
important for non-priority applicants and priority
applicants who are assessed as being intentionally
homeless, where the type of advice and assistance they are
entitled to is prescribed by ministerial regulation.
Sharing of information
4.27 Assessment interviews may involve asking applicants
personal, and possibly distressing questions, and should
therefore be conducted in private. Interviews must never be
conducted where the interview might be overheard, and
should be held in a private interview room or in an office
not otherwise open to the public.
4.28 When collecting information as part of an
assessment local authorities should ensure that applicants
know why the information is being collected and what it
will be used for. Local authorities should obtain an
applicant's written consent to information being shared
with other agencies, and any implications likely to arise
from this, and should ensure that they comply with the
terms of data protection legislation. An applicant may have
good reason for not wanting to share certain information
with other parties, for example in cases of abuse, and
their right to confidentiality should be respected.
4.29 In order to facilitate effective case management
local authorities should establish protocols and procedures
for the sharing of information about homeless applicants
between Housing Departments, Social Work, housing support
providers and other relevant agencies. Such protocols
should contain agreements as to the type of information to
be shared and the stage at which this is to be done.
4.30 In all cases information should only be shared
where it is of direct relevance to the receiving agency -
for instance it is good practice to share information about
a new tenant with their landlord if this is relevant to
sustaining the tenancy, or for housing management purposes,
but not otherwise.
Support for applicants
4.31 All applicants should be advised that they can be
accompanied during any interview relating to their
application by a friend or advocate, who can speak for them
if required. Applicants should always have the opportunity
to explain their circumstances fully. Applicants should be
informed that they can ask to see a homelessness officer of
either sex, and this wish will be met wherever
possible.
4.32 Consideration should also be given to interviewing
applicants with young children and staff should do all they
can to ensure that the interview is as comfortable as
possible for parents and children. A play area or toys to
keep children entertained while the applicant is being
interviewed can help make the experience less
stressful.
4.33 If an applicant becomes distressed during an
interview, consideration should be given to continuing at a
later time although this should not delay settlement of the
applicant in temporary accommodation.
4.34 Arrangements must be in place to ensure support is
available to those with literacy difficulties, whose first
language is not English, or have other difficulties in
expressing themselves. For example written documentation
should be reinforced with a verbal explanation and the
officer dealing with the case should check the applicant
understands any advice being offered or any options
proposed.
4.35 Local authorities should ensure that those
applicants for whom English is not their first language
have access to an interpreter - either one nominated by the
local authority or by the applicant, or services like
Language Line. Where applicants bring in a friend or
relative to interpret they should always be given the
option of using a trained interpreter. Even if an applicant
prefers to use a friend to interpret the case officer
should consider using a trained interpreter if there are
concerns that the applicant does not fully understand the
advice they are being given.
4.36 People with hearing or speech difficulties, mental
health problems or learning disabilities, may also need an
intermediary or advocate. Appropriate provision for deaf
applicants,
e.g. provision of sign language interpreters,
should be considered if necessary. Homelessness staff
should also be alert to the need that some more vulnerable
applicants may also require an assessment of their housing
support or health needs while others may need to be
referred for community care assessments.
4.37 It is important assessments are carried out quickly
to avoid the client forming a dependency on their temporary
accommodation which may make subsequent moves more
difficult to manage. (see also chapter 9, paragraphs
9.5-9.36 on temporary and interim accommodation).
Cases involving abuse
4.38 Individuals who have experienced abuse may contact
the local authority. In considering a homelessness
application, staff should interpret abuse widely to include
any form or violence, harassment, threatening conduct and
any other behaviour giving rise or likely to give rise to
physical or mental injury, fear, alarm or distress and not
just domestic, racial or sexual abuse. Staff should be
aware of the different types of abuse and responses they
may require.
4.39 If the applicant reports abuse, the local authority
should take reasonable steps to obtain information to
support the applicant's case and consider all available
evidence and information relating to the circumstances of
each case. However, a local authority should never seek
proof from an alleged perpetrator and if it proves
impossible or inappropriate to obtain confirming evidence
the applicant's expressed fears should be considered as
sufficient evidence. For example, if the only way to obtain
confirming evidence is by asking the alleged perpetrator
then this should be deemed to be inappropriate.
4.40 In cases involving violence or threats of violence,
or sexual or other abuse the applicant may be in
considerable distress. All local authorities should ensure
an appropriately trained officer is available to applicants
and wherever possible in such cases, a person of the same
sex as the applicant should conduct the interview, if this
is line with the applicant's wishes. There should be
arrangements for assistance to be available, if required,
from statutory or voluntary services.
4.41 Applicants should be advised of their rights to
take action against the perpetrators of abuse, but it is
for them to decide whether to use these rights in the light
of their individual circumstances, bearing in mind that
they may fear this will provoke further abuse. In cases of
sexual abuse, particularly of children or young people, the
person suffering abuse may be reluctant to mention this
initially. Homelessness officers should therefore be alert
to the possibility that there may be reasons,
e.g. for leaving a family home abruptly, which
the applicant is not divulging.
4.42 Homelessness officers are not equipped to inquire
into allegations of assault or abuse. Joint protocols with
Social Work should be considered as should joint training
in child protection procedures. Staff should recognise that
different forms of abuse may require very different
responses - for example childhood sexual abuse requires
different handling to external neighbour violence. See
paragraph 3.6 in Chapter 3 for guidance on ensuring a joint
partnership approach to training.
4.43 If the applicant alleges assault or sexual abuse of
a child, the homelessness officer should advise him or her
of the homelessness officer's responsibility to discuss
this with the social work department, so that any necessary
help and protection for the child and applicant can be
arranged. Homelessness officers should ensure that they
have telephone contact numbers and addresses of local
services to which those who have experienced violence or
sexual abuse can be referred, for example women's refuges,
and other services specialising in violence or sexual
abuse.
Links with community care assessments
4.44 All local authorities should have a mechanism for
assessing housing support needs under Supporting People
arrangements. Homelessness officers should be trained to
look for triggers that would indicate that an applicant may
benefit from some degree of housing support in the short or
longer term. Assessing and recording housing support needs
and making arrangements for housing support services should
be carried out by the homelessness officer, where possible,
and be built into the housing advice/homeless application
process.
4.45 Where applicants have more profound or complex
needs that may benefit from community care services, from
social work, health or other agencies, local authorities
should ensure that a seamless referral process, that builds
on information already gathered through previous
assessments, is in place. Such needs may be particularly
likely to come to light when assessing whether a person is
vulnerable and hence in priority need, or an assessment may
be required before an applicant is assigned specialist
housing, for example housing designed for ambulant disabled
people. An assessment of community care needs can also
prevent homelessness, particularly when a vulnerable
individual is threatened with eviction.
4.46 Even if the local authority has no further duties
under the homelessness legislation because the person is
neither homeless nor threatened with homelessness, a
referral for advice or assistance under other legislation,
for example the Social Work (Scotland) Act 1968, Children
(Scotland) Act 1995 or the
NHS and Community Care Act 1990, may be
appropriate. Housing staff are an important point of
contact for people with other community care health or
support services.
4.47 From April 2004, all people with community care
needs seeking help from social work, health or housing
services, and who may require the services of more than one
professional discipline or agency, have been entitled to a
Single Shared Assessment. According to the individual's
needs, this may be a simple or comprehensive assessment
with any specialist assessments that are required, and
including assessment of the person's financial
circumstances. The assessment is undertaken by the most
appropriate person in social work, health or housing, the
"lead assessor", who will be responsible for co-ordinating
assessment contributions and care planning and applying the
arrangements for accessing services. Single Shared
Assessment should give access to a range of community care
services without the need for agencies to duplicate
assessments or for people to repeat their details to each
service with which they have contact.
4.48 Homelessness officers, and other housing staff,
will need to be familiar with the local arrangements for
Single Shared Assessment and for referring to other
services, and their expected role in this. Appropriately
trained or experienced staff may be involved in undertaking
simple assessments or contributing their specialist
knowledge to comprehensive assessments, allocating
resources, planning and facilitating housing support.
27
4.49 Social work departments should be aware that
homeless people are often in urgent need of accommodation
and may require a fast track assessment and they should
build this into the arrangements for Single Shared
Assessment. This is particularly true of roofless people
seeking entry to emergency accommodation with support.
Housing and social work departments may delegate authority
to decide on immediate admissions to voluntary and other
bodies running emergency accommodation where the need is
urgent.
False or misleading statements
4.50 The applicant is obliged by section 40(2) of the
Act to notify the local authority as soon as possible of
any change in the facts material to his or her application
which occurs before he or she receives notification of the
local authority's decision on his or her application (but
not changes arising after the decision is notified).The
local authority has a duty to explain to the applicant, in
ordinary language, that he or she must report such changes
in their circumstances, and that if this is not done the
applicant would be guilty of an offence. The applicant will
not be guilty if he or she can show that they had a
reasonable excuse for not notifying a change, or that the
necessary explanation was not given by the local authority
(section 40(3)).
4.51 The explanation given by the local authority under
section 40 should also cover information about the
penalties for giving false or misleading statements. Such
explanations should be handled sensitively so as not to
intimidate applicants or imply dishonesty; and homelessness
officers should ensure an applicant is clear what kind of
changes should be reported to the local authority. An
applicant cannot be expected to know every circumstance
which would be relevant to his or her application.
4.52 Under section 40(1) of the Act, a person is guilty
of an offence if he knowingly or recklessly makes a
statement which is false, or knowingly withholds
information which the local authority has reasonably
required him to give it, with the intention of inducing the
local authority to believe that he or another person
is:
- homeless or threatened with homelessness or;
- has a priority need or;
- not homeless, nor threatened with homelessness,
intentionally.
A person guilty of such an offence is liable on summary
conviction to a fine not exceeding Level 5 on the standard
scale (currently £5,000) (section 40(4)).
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