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Housing and Regeneration Act 2008

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Changes to legislation:

Housing and Regeneration Act 2008, Chapter 7 is up to date with all changes known to be in force on or before 04 January 2025. There are changes that may be brought into force at a future date. Changes that have been made appear in the content and are referenced with annotations. Help about Changes to Legislation

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Chapter 7E+WEnforcement powers

GeneralE+W

218Exercise of enforcement powersE+W

(1)[F1This section] applies where the regulator is deciding—

(a)whether to exercise a power under this Chapter,

(b)which power under this Chapter to exercise, or

(c)how to exercise a power under this Chapter.

(2)The regulator shall consider—

(a)the desirability of registered providers being free to choose how to provide services and conduct business;

F2(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F2(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(d)the speed with which the failure or other problem needs to be addressed;

[F3(e)whether the failure or other problem is serious or trivial.]

F4(3). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F5(4). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Commencement Information

I1S. 218 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

[F6Performance improvement plansE+W

Textual Amendments

218APerformance improvement plan noticeE+W

(1)The regulator may give a registered provider a notice (a “performance improvement plan notice”) if the regulator is satisfied that—

(a)the registered provider has failed to meet a standard under section 193, 194, 194A or 194C,

(b)there is a risk that, if no action is taken by the regulator or the registered provider, the registered provider will fail to meet a standard under section 193, 194, 194A or 194C,

(c)the registered provider has failed to comply with directions or a request under section 198C,

(d)the interests of the tenants of social housing of the registered provider require protection, or

(e)the registered provider has given an undertaking under section 125 and failed to comply with it.

(2)A performance improvement plan notice must—

(a)specify on which of the grounds mentioned in subsection (1) it is given,

(b)identify the issues which led the regulator to be satisfied of those grounds,

(c)require the registered provider to prepare and submit to the regulator a plan (a “performance improvement plan”) setting out the action the provider will take to address the issues identified,

(d)specify the date by which the performance improvement plan must be submitted to the regulator,

(e)require the registered provider to publish a performance improvement plan if it is approved by the regulator and specify the manner of such publication, and

(f)explain the effect of subsections (3) and (4) and sections 218B to 218D.

(3)The regulator may withdraw a performance improvement plan notice by notice to the registered provider.

(4)If a registered provider fails to comply with a performance improvement plan notice the regulator must consider exercising another power under this Chapter or Chapter 6.

218BPerformance improvement plansE+W

(1)The regulator must—

(a)approve a performance improvement plan submitted in accordance with section 218A(2)(c) and (d), or

(b)reject it, giving reasons for doing so.

(2)A registered provider must implement in full a performance improvement plan that has been approved by the regulator.

(3)If a performance improvement plan is rejected, the registered provider will be taken to have failed to comply with the performance improvement plan notice.

(4)If a tenant of social housing of a registered provider makes a written request to the provider for a copy of the provider’s performance improvement plan which has been approved by the regulator, the registered provider must provide the tenant with a copy as soon as reasonably practicable.

218CCancellation of performance improvement planE+W

(1)The regulator may, by notice to a registered provider, cancel a performance improvement plan which it has approved.

(2)Notice under subsection (1) must specify the date (the “cancellation date”) on which the cancellation takes effect (which may be a date before the notice is given).

(3)If a performance improvement plan is cancelled in accordance with subsection (1) the duties mentioned in subsection (4) cease to apply (or are treated as having ceased to apply) from the cancellation date.

But this does not affect any action taken (or being taken) by the regulator in relation to a breach of such a duty before the cancellation date.

(4)The duties are—

(a)the duty to publish a performance improvement plan which has been approved (see section 218A(2)(e));

(b)the duty in section 218B(2) (duty to implement a plan);

(c)the duty in section 218B(4) (duty to provide copy of plan).

218DAppealsE+W

(1)A registered provider may appeal to the High Court against a decision of the regulator to give the provider a performance improvement plan notice.

(2)An appeal under this section must be brought within the period of 28 days beginning with the day on which the registered provider is given the notice.

(3)The requirement to prepare and submit a performance improvement plan is suspended during the appeal period.

(4)The “appeal period” means—

(a)where an appeal is brought, the period beginning with the day on which the performance improvement plan notice is given and ending with the day on which the appeal is finally determined or withdrawn, and

(b)otherwise, the period during which an appeal could be brought.

(5)But where a performance improvement plan has been approved under section 218B an appeal under this section does not suspend—

(a)the duty to publish a performance improvement plan which has been approved (see section 218A(2)(e));

(b)the duty in section 218B(2) (duty to implement a plan);

(c)the duty in section 218B(4) (duty to provide copy of plan).]

Enforcement noticeE+W

219OverviewE+W

This group of sections allows the regulator to require a registered provider to take specified action to resolve a specified failure or other problem.

Commencement Information

I2S. 219 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

220Grounds for giving noticeE+W

(1)The regulator may give an enforcement notice to a registered provider if the regulator is satisfied that—

(a)any of the following cases applies, and

(b)giving an enforcement notice is appropriate (whether it is likely to be sufficient in itself or a prelude to further action).

(2)Case 1 is where the registered provider has failed to meet a standard F7... under section [F8193, 194 or 194C].

(3)Case 2 is where the affairs of the registered provider have been mismanaged.

(4)Case 3 is where the registered provider has failed to comply with an earlier enforcement notice.

(5)Case 4 is where the registered provider has failed to publish information in accordance with a requirement under section 228(3) or 240(3).

(6)Case 5 is where the interests of tenants of the registered provider require protection.

(7)Case 6 is where [F9the registered provider is a private registered provider and its assets] require protection.

(8)Case 7 is where the registered provider has given an undertaking under section 125 and failed to comply with it.

[F10(9)Case 8 is where the registered provider has failed to [F11pay an annual fee under section 117(1)(b).]

(10)Case 9 is where an offence under this Part has been committed by the registered provider.

(11)Case 10 is where the registered provider has failed to comply with an order made by [F12a housing ombudsman].

F13(11A). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F14(11B)Case 12 is where—

(a)the registered provider—

(i)does not have a health and safety lead designated under section 126A, or

(ii)has failed to meet a requirement under section 126C, or

(b)the functions of the health and safety lead are not being carried out.]

[F15(11C)Case 13 is where the registered provider has failed to comply with directions or a request under section 198C.]

[F16(11D)Case 14 is where the registered provider has failed to comply with a performance improvement plan notice.

(11E)Case 15 is where the registered provider has a performance improvement plan which has been approved by the regulator and has failed to implement it in full.]

(12)Where the regulator is satisfied that an offence under this Part has been committed in respect of a registered provider but by another person (such as a member, employee or agent of the registered provider)—

(a)Case 9 applies,

(b)the regulator may give an enforcement notice to the other person, and

(c)this Chapter applies with the substitution of references to that other person for references to the registered provider.]

Textual Amendments

Commencement Information

I3S. 220 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

221ContentE+W

(1)An enforcement notice must—

(a)specify the grounds on which it is given,

(b)specify the action the regulator wants the registered provider to take in response to the notice,

(c)specify when the action is to be taken (which may be immediately on receipt of the notice), and

(d)explain the effect of sections 223 to 225.

(2)The action specified in an enforcement notice may include publishing the notice in a specified manner.

Commencement Information

I4S. 221 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

[F17 222 Notifying HCA etc E+W

If the regulator gives an enforcement notice it must send a copy—

F18(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F19(za)to the HCA,]

[F20(aa)in the case of an enforcement notice given to a registered provider who owns land in Greater London, the Greater London Authority, and]

(b)in the case of an enforcement notice given to a local authority, to the Secretary of State.]

Textual Amendments

Commencement Information

I5S. 222 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

223AppealE+W

[F21(1)] A registered provider who is given an enforcement notice may appeal to the High Court.

[F22(2)An appeal under this section must be brought within the period of 28 days beginning with the day on which the registered provider is given the enforcement notice.]

Textual Amendments

Commencement Information

I6S. 223 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

224WithdrawalE+W

The regulator may withdraw an enforcement notice by notice to the registered provider.

Commencement Information

I7S. 224 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

225SanctionE+W

(1)If a registered provider does not comply with an enforcement notice the regulator shall consider exercising another power under Chapter 6 or this Chapter.

(2)In the case of an enforcement notice given to a person other than the registered provider by virtue of section 220(12), the regulator may only—

(a)exercise the power to issue a penalty notice to the person in accordance with [F23sections 226 to 235,] or

(b)take steps to have the person prosecuted for the offence by reference to which the enforcement notice was given.

(3)A person to whom an enforcement notice is given on the ground in Case 9 of section 220 may not be prosecuted for the offence by reference to which the enforcement notice was given unless the person fails to comply with the enforcement notice.

Textual Amendments

Commencement Information

I8S. 225 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

[F24Emergency remedial actionE+W

Textual Amendments

225AOverviewE+W

This group of sections gives the regulator power to authorise persons to enter premises to take specified action to remedy specified failures on the part of registered providers.

225BPower to take emergency remedial actionE+W

(1)If the conditions in subsections (2) to (4) are met, the regulator may arrange for an authorised person to take emergency remedial action in respect of premises.

(2)Condition 1 is that a survey of the condition of the premises has been carried out under section 199.

(3)Condition 2 is that the regulator is satisfied that—

(a)the registered provider has failed to maintain the premises in accordance with standards under section 193, and

(b)that failure has caused an imminent risk of serious harm to the health or safety of the occupiers of those or other premises.

(4)Condition 3 is that the registered provider has failed to comply with an enforcement notice requiring it to take action to address the failure mentioned in subsection (3)(a).

(5)In this section and in sections 225C to 225G, “emergency remedial action”, in relation to premises, is carrying out such works to the premises as the authorised person considers immediately necessary to remove the imminent risk of serious harm mentioned in subsection (3)(b).

(6)In this section and in sections 225C to 225G, “authorised person” means a member of the regulator’s staff, or another person, authorised in writing by the regulator for the purposes of the section concerned.

(7)Arrangements for a person other than a member of the regulator’s staff to take emergency remedial action may include provision about payments.

225CEmergency remedial action: power to enter without warrantE+W

(1)An authorised person may enter premises at any reasonable time, or times, to take emergency remedial action.

(2)The power in subsection (1) may only be exercised if an authorised person has given a pre-entry notice to—

(a)if the premises are occupied, the occupier (or any one of the occupiers),

(b)if the premises include common parts of a building and there are occupied dwellings in the building that have use of those common parts, the occupier (or any one of the occupiers) of each of those dwellings,

(c)the registered provider whose failure to maintain the premises has caused the imminent risk of serious harm, and

(d)each person registered in the register kept under section 1 of the Land Registration Act 2002 as the proprietor of a registered estate (within the meaning of that Act) in the premises.

(3)A pre-entry notice required by subsection (2) need only be given once in respect of emergency remedial action in relation to premises, even if an authorised person enters the premises on more than one occasion in order to take the emergency remedial action.

(4)A “pre-entry notice” is a notice which—

(a)identifies the premises to be entered;

(b)identifies the failure to maintain the premises which has caused the imminent risk of serious harm;

(c)states that a person authorised by the regulator intends to enter the premises;

(d)specifies the date (or the first date) that the authorised person proposes to enter the premises to take emergency remedial action;

(e)specifies the power under this section as the power under which the authorised person intends to enter the premises;

(f)explains the effect of section 225H.

(5)A pre-entry notice may state that, if entry to the premises were to be refused, an authorised person would propose to apply for a warrant under section 225E.

(6)An authorised person may not enter premises in reliance on a pre-entry notice—

(a)before the date (or the first date) specified in the notice, or

(b)within 24 hours of giving the notice, 

except where the relevant person in respect of the notice consents.

(7)In subsection (6), “the relevant person” in respect of the pre-entry notice means—

(a)in the case of a pre-entry notice required by subsection (2)(a) or (b), the occupier (or any one of the occupiers) of the premises or dwelling;

b

in the case of a pre-entry notice required by subsection (2)(c) or (d), the person (or each person) to whom a pre-entry notice is required to be given.

(8)In this section, “common parts”, in relation to a building, includes the structure and exterior of that building and any common facilities provided (whether or not in the building) for persons who occupy the building.

225DPower under section 225C: supplementaryE+W

(1)A pre-entry notice required by section 225C(2)(a) or (b) may be given by fixing it to some conspicuous part of the premises.

(2)A pre-entry notice required by section 225C(2)(d) may be given by sending it to an address supplied for the purpose of service of notice under the Land Registration Act 2002 (see paragraph 5 of Schedule 10 to that Act).

(3)An authorised person who under section 225C has entered, or who is seeking to enter, premises to take emergency remedial action must produce a copy of the authorisation mentioned in 225B(6) on request by an occupier.

(4)An authorised person entering premises to take emergency remedial action may—

(a)be accompanied by such other persons, and

(b)take onto the premises such equipment or materials,

as the authorised person thinks necessary for the purposes of taking the emergency remedial action.

(5)Equipment or materials taken onto premises by virtue of subsection (4)(b) may be left in a place on the premises until the emergency remedial action has been taken provided that—

(a)leaving the equipment or the materials in that place does not significantly impair the ability of an occupier to use the premises, or

(b)leaving the equipment or the materials on the premises is necessary for the purposes of taking the emergency remedial action and it is not possible to leave it or them in a place that does not significantly impair the ability of an occupier to use the premises.

(6)Where the premises include common parts of a building (as defined in section 225C), references in subsection (5) to the ability of an occupier to use the premises include the ability of an occupier of a dwelling that has use of the common parts to use those parts or the dwelling.

225EEmergency remedial action: power to enter with warrantE+W

(1)This section applies where a justice of the peace is satisfied, on sworn information in writing by an authorised person, that entry to premises specified in the information is reasonably required to take emergency remedial action under section 225B.

(2)The justice may issue a warrant authorising the authorised person who is named in it to enter the premises to take emergency remedial action where the justice is satisfied that—

(a)entry to the premises has been sought under section 225C but has been refused,

(b)the premises are unoccupied or that the occupier is temporarily absent, or

(c)there are reasonable grounds to believe that the authorised person will not be able to obtain entry to the premises without a warrant.

(3)A warrant under this section authorises the authorised person to enter the premises at any reasonable time, or times, using reasonable force if necessary.

(4)A warrant under this section authorises an authorised person entering premises to take onto the premises such equipment or materials as the authorised person thinks necessary for the purposes of taking the emergency remedial action.

(5)Equipment or materials taken onto premises by virtue of subsection (4) may be left in a place on the premises until the emergency remedial action has been taken provided that—

(a)leaving the equipment or the materials in that place does not significantly impair the ability of an occupier to use the premises, or

(b)leaving the equipment or the materials on the premises is necessary for the purposes of taking the emergency remedial action and it is not possible to leave it or them in a place that does not significantly impair the ability of an occupier to use the premises.

(6)Where the premises include common parts of a building (as defined in section 225C), references in subsection (5) to the ability of an occupier to use the premises include the ability of an occupier of a dwelling that has use of the common parts to use those parts or the dwelling.

(7)A warrant under this section may authorise persons (“accompanying persons”) to accompany the authorised person.

(8)Accompanying persons—

(a)have the same powers as the authorised person in respect of execution of the warrant, but

(b)must exercise those powers only in the company, and under the supervision, of the authorised person.

(9)An authorised person who has entered, or who is seeking to enter, premises under a warrant under this section must produce on request by any person—

(a)a copy of the warrant;

(b)a copy of the authorisation mentioned in 225B(6).

(10)A warrant under this section continues in force until the emergency remedial action has been taken.

(11)If the premises are unoccupied or the occupier is temporarily absent, the authorised person who has entered the premises under a warrant under this section must leave the premises as effectively secured against trespassers as the authorised person found them.

225FOffencesE+W

(1)A registered provider, or an officer of a registered provider, commits an offence if the provider or officer obstructs an authorised person—

(a)in exercising a power under section 225C or 225D, or

(b)in exercising a power under section 225B, where the authorised person has entered the premises to take emergency remedial action under the power in section 225C.

(2)A person commits an offence if the person obstructs an authorised person—

(a)in exercising a power conferred by a warrant under section 225E, or

(b)in exercising a power under section 225B, where the authorised person has entered the premises to take emergency remedial action under a warrant under section 225E.

(3)A person guilty of an offence under this section is liable on summary conviction to a fine not exceeding level 4 on the standard scale.

(4)Proceedings for an offence under this section may be brought only by or with the consent of—

(a)the regulator, or

(b)the Director of Public Prosecutions.

225GReclaiming expensesE+W

(1)Where the regulator makes arrangements under section 225B, the regulator may by notice require the registered provider concerned to pay to the regulator—

(a)such relevant expenses as are specified in the notice;

(b)interest on those expenses (see subsection (4)).

(2)“Relevant expenses” are—

(a)expenses reasonably incurred by the regulator—

(i)in deciding whether to make arrangements under section 225B;

(ii)in making those arrangements;

(iii)in the authorised person taking emergency remedial action;

(b)any costs reasonably incurred by the regulator related to the action in paragraph (a)(iii).

(3)Sums mentioned in subsection (1)(a) are payable at the end of the period of 28 days beginning with the day on which the notice is given.

(4)Interest may be charged on any sums not paid by the end of the period mentioned in subsection (3) at such reasonable rate as the regulator may determine.

225HAppealsE+W

(1)A registered provider may appeal to the High Court against—

(a)a decision of the regulator to make arrangements under section 225B(1);

(b)a decision of the regulator to give a notice under section 225G(1).

(2)An appeal under subsection (1)(a) must be brought within the period of 28 days beginning—

(a)with the day on which the registered provider is given the pre-entry notice under section 225C(2), or

(b)with the day on which the premises were first entered under a warrant obtained under section 225E on the grounds in subsection (2)(b) or (c) of that section.

(3)An appeal under subsection (1)(b) must be brought within the period of 28 days beginning with the day on which the registered provider is given the notice under section 225G(1).

(4)No question may be raised on an appeal under subsection (1)(b) which might have been raised on an appeal under subsection (1)(a).

(5)Where an appeal under subsection (1)(b) is brought—

(a)the requirement to pay the sums described in section 225G(1)(a) is suspended during the period beginning with the day on which the notice under section 225G(1) is given and ending with the day on which the appeal is finally determined or withdrawn, and

(b)no interest is payable by virtue of section 225G(1)(b) in respect of that period.]

PenaltyE+W

226OverviewE+W

This group of sections allows the regulator to penalise failures on the part of [F25F26... registered providers] by the imposition of fines.

Textual Amendments

Commencement Information

I9S. 226 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

227Grounds for impositionE+W

(1)The regulator may require a [F27F28... registered provider] to pay a penalty if the regulator is satisfied that—

(a)any of the following cases applies, and

(b)the imposition of a penalty is appropriate (whether or not as part of a response including other action).

(2)Case 1 is where the registered provider has failed to meet a standard under section [F29193, 194 or 194C].

(3)Case 2 is where the affairs of the registered provider have been mismanaged.

(4)Case 3 is where the registered provider has failed to comply with an enforcement notice.

(5)Case 4 is where the registered provider has given an undertaking under section 125 and failed to comply with it.

(6)Case 5 is where the registered provider has failed to pay an annual fee under section [F30117(1)(b)].

(7)Case 6 is where an offence under this Part has been committed by the registered provider.

F31(7A). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F32(7B)Case 8 is where—

(a)the registered provider—

(i)does not have a health and safety lead designated under section 126A, or

(ii)has failed to meet a requirement under section 126C, or

(b)the functions of the health and safety lead are not being carried out.]

[F33(7C)Case 9 is where the registered provider has failed to comply with directions or a request under section 198C.]

[F34(7D)Case 10 is where the registered provider has failed to comply with a performance improvement plan notice.

(7E)Case 11 is where the registered provider has failed to comply with the duty in section 218B(4) (duty to provide copy of performance improvement plan).]

(8)Where the regulator is satisfied that an offence under this Part has been committed in respect of a registered provider but by another person (such as a member, employee or agent of the registered provider)—

(a)Case 6 applies,

(b)the regulator may require the other person to pay a penalty, and

(c)this Chapter applies with the substitution of references to that other person for references to the registered provider.

(9)In order to rely on Case 6 the regulator must be satisfied beyond reasonable doubt that it applies.

Textual Amendments

Commencement Information

I10S. 227 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

228ImpositionE+W

(1)A penalty is imposed by the regulator giving notice (a “penalty notice”) to the registered provider.

(2)The notice must specify—

(a)the grounds on which the penalty is imposed,

(b)the amount of the penalty,

(c)how the penalty must be paid,

(d)a period within which it must be paid, and

(e)any interest or additional penalty which, by virtue of section 234(2), is payable in the event of late payment.

(3)The notice may require the registered provider to publish information about the penalty in a specified manner.

(4)The notice must explain the effect of sections 234(1), (3) and (6) and 235.

(5)The Secretary of State—

(a)shall make regulations about the period under subsection (2)(d),

(b)may make other regulations about the form and content of a penalty notice, and

(c)may make regulations about the manner in which a penalty notice is given.

Commencement Information

I11S. 228(1)-(4) in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

I12S. 228(5) in force at 1.4.2009 for specified purposes by S.I. 2009/803, art. 7(c)

I13S. 228(5) in force at 1.4.2010 in so far as not already in force by S.I. 2010/862, art. 2 (with Sch.)

229AmountE+W

(1)The amount of a penalty imposed on the ground specified in Case 6 of section 227 may not exceed the maximum amount [F35(if any)] of fine that a magistrates' court could impose for the relevant offence.

(2)The amount of a penalty [F36that may be] imposed on the ground specified in any other Case of that section [F37is unlimited].

F38(3). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

F35Words in s. 229(1) inserted (12.3.2015) by The Legal Aid, Sentencing and Punishment of Offenders Act 2012 (Fines on Summary Conviction) Regulations 2015 (S.I. 2015/664), reg. 1(1), Sch. 5 para. 14 (with reg. 5(1))

Commencement Information

I14S. 229 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

230WarningE+W

(1)Before giving a penalty notice to a registered provider the regulator must give the provider a notice (a “pre-penalty warning”)—

(a)specifying grounds on which the regulator thinks a penalty could be imposed,

(b)warning the provider that the regulator is considering imposing a penalty,

(c)including any indication that the regulator is able to give of the likely amount of any penalty, and

(d)explaining the effect of sections 231, 234(1), (3) and (6) and 235.

(2)If the regulator gives a pre-penalty warning it must send a copy to—

F39(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F40(za)the HCA,]

[F41(aa)the Greater London Authority (if the pre-penalty warning is given to a registered provider who owns land in Greater London), and]

(b)any other persons it thinks appropriate.

(3)For the purposes of subsection (2)(b) the regulator shall consider, in particular, any person who provided information as a result of which the pre-penalty warning is given.

(4)A pre-penalty warning must—

(a)refer to section 125 (voluntary undertaking), and

(b)indicate whether or to what extent the regulator would accept a voluntary undertaking instead of, or in mitigation of, a penalty.

(5)A pre-penalty warning may be combined with notice under one or more of sections 242, 248, 250 and 252.

Textual Amendments

Commencement Information

I15S. 230 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

231RepresentationsE+W

(1)A pre-penalty warning must specify a period during which the registered provider may make representations to the regulator.

(2)The period must—

(a)be a period of at least 28 days, and

(b)begin with the date on which the registered provider receives the pre-penalty warning.

(3)Representations may concern—

(a)whether a penalty should be imposed;

(b)the amount of any penalty that may be imposed.

(4)After the end of the period specified under subsection (1) the regulator shall—

(a)consider any representations made, and

(b)decide whether to impose a penalty.

Commencement Information

I16S. 231 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

[F42231A.Notifying the HCAE+W

If the regulator imposes a penalty on a registered provider it must send a copy of the penalty notice to the HCA.]

Textual Amendments

F43232Notifying HCAE+W

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

[F44232ANotifying the Greater London AuthorityE+W

If the regulator imposes a penalty on a registered provider who owns land in Greater London, it must send a copy of the penalty notice to the Greater London Authority.]

Textual Amendments

233DestinationE+W

(1)This section applies where the regulator receives money by way of penalty.

(2)The regulator may deduct a sum which represents—

(a)the direct costs to the regulator of imposing and enforcing the penalty, and

(b)a reasonable share of expenditure by the regulator which is indirectly referable to the imposition and enforcement of the penalty.

(3)Any excess shall be paid to the HCA, to be used for purposes which appear to it to amount to investment in social housing.

Commencement Information

I17S. 233 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

234EnforcementE+W

(1)A penalty shall be treated as a debt owed to the regulator.

(2)The Treasury may make regulations authorising the regulator—

(a)to charge interest on penalty not paid during the period specified under section 228(2)(d);

(b)to impose one or more additional penalties where a penalty is not paid during that period.

(3)Interest and additional penalty shall be treated as penalty (and may have the effect of increasing the penalty above a limit set by section 229).

(4)Regulations under subsection (2)(a) may provide for an interest rate to be—

(a)set by a specified person, or

(b)determined in accordance with the regulations.

(5)A penalty notice may include provision allowing a discount if the penalty is paid on or before a date specified in the notice (falling within the period specified under section 228(2)(d)).

(6)A person to whom a penalty notice is given on the ground in Case 6 of section 227 may not be prosecuted for the offence by reference to which the penalty notice was given.

Commencement Information

I18S. 234(1)(3)(5)(6) in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

I19S. 234(2)(4) in force at 1.4.2009 for specified purposes by S.I. 2009/803, art. 7(d)

I20S. 234(2)(4) in force at 1.4.2010 in so far as not already in force by S.I. 2010/862, art. 2 (with Sch.)

235AppealE+W

[F45(1)] A registered provider who is given a penalty notice may appeal to the High Court against—

(a)the imposition of the penalty,

(b)its amount, or

(c)both.

[F46(2)An appeal under this section must be brought within the period of 28 days beginning with the day on which the registered provider is given the penalty notice.

(3)The requirement to pay the penalty is suspended during the appeal period.

(4)Regulations under section 234(2) may not authorise the regulator to—

(a)charge interest in respect of the appeal period, or

(b)impose additional penalties during that period.

(5)The “appeal period” means—

(a)where an appeal is brought, the period beginning with the day on which the penalty notice is given and ending with the day on which the appeal is finally determined or withdrawn, and

(b)otherwise, the period during which an appeal could be brought.]

Textual Amendments

Commencement Information

I21S. 235 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

CompensationE+W

236OverviewE+W

This group of sections allows the regulator to award compensation to a victim of a failure on the part of a [F47private registered provider].

Textual Amendments

Commencement Information

I22S. 236 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

237Grounds for awardE+W

(1)The regulator may require a [F48private registered provider] to pay compensation if the regulator is satisfied that—

(a)[F49any] of the following cases applies, and

(b)the award of compensation is appropriate (whether or not as part of a response including other action).

(2)Case 1 is where the registered provider has failed to meet a standard under section [F50193, 194 or 194C].

(3)Case 2 is where the registered provider has given an undertaking under section 125 and failed to comply with it.

F51(4). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F52(5)Case 4 is where the registered provider has failed to comply with a performance improvement plan notice.

(6)Case 5 is where the registered provider has failed to comply with the duty in section 218B(4) (duty to provide copy of performance improvement plan).]

Textual Amendments

Commencement Information

I23S. 237 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

238NatureE+W

(1)Compensation in respect of a failure may be awarded to one or more persons who have suffered as a result of the failure.

(2)But an award may be made only to—

(a)a specified tenant of social housing provided by the registered provider,

(b)each member of a specified class of tenants of social housing provided by the registered provider, or

(c)each member of the class of tenants of social housing provided by the registered provider.

Commencement Information

I24S. 238 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

239Housing ombudsman compensationE+W

(1)The regulator may not award compensation to a person in respect of a matter if [F53a housing ombudsman] has awarded compensation to the person in respect of the matter.

F54(2). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Commencement Information

I25S. 239 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

240AwardE+W

(1)Compensation is awarded by the regulator giving notice (a “compensation notice”) to—

(a)the registered provider, and

(b)the person to be compensated.

(2)The notice must specify—

(a)the grounds on which the compensation is awarded,

(b)the amount of the compensation,

(c)the person to be compensated,

(d)any interest or additional compensation which, by virtue of section 244(2), is payable in the event of late payment, and

(e)a period within which it must be paid.

(3)The notice may require the registered provider to publish information about the compensation award in a specified manner.

(4)The notice must explain the effect of sections 244(1) and (3) and 245.

(5)The Secretary of State—

(a)shall make regulations about the period under subsection (2)(e),

(b)may make other regulations about the form and content of a compensation notice, and

(c)may make regulations about the manner in which a compensation notice is given.

Commencement Information

I26S. 240(1)-(4) in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

I27S. 240(5) in force at 1.4.2009 for specified purposes by S.I. 2009/803, art. 7(c)

I28S. 240(5) in force at 1.4.2010 in so far as not already in force by S.I. 2010/862, art. 2 (with Sch.)

241ImpactE+W

(1)This section applies when the regulator is considering—

(a)whether to award compensation, or

(b)the amount of compensation to award.

(2)The regulator must take account of any information available to it about the financial situation of the registered provider.

(3)The regulator must consider the likely impact of the compensation on the registered provider's ability to provide services.

(4)In particular, the regulator must aim to avoid—

(a)jeopardising the financial viability of the registered provider,

(b)preventing the registered provider from honouring financial commitments, or

(c)preventing the registered provider from taking action to remedy the matters on the grounds of which the compensation might be awarded.

Commencement Information

I29S. 241 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

242WarningE+W

(1)Before giving a compensation notice to a [F55private registered provider] the regulator must give the provider a notice (a “pre-compensation warning”)—

(a)specifying grounds on which the regulator thinks compensation could be awarded,

(b)warning the provider that the regulator is considering awarding compensation to a specified person,

(c)including any indication that the regulator is able to give of the likely amount of any compensation, and

(d)explaining the effect of sections 243, 244(1) and (3) and 245.

(2)Before giving a pre-compensation warning the regulator must consult the [F56housing ombudsman] for the scheme of which the registered provider is a member.

(3)If the regulator gives a pre-compensation warning it must send a copy to—

F57(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F58(za)the HCA,]

[F59(aa)the Greater London Authority (if the pre-compensation warning is given to a registered provider who owns land in Greater London), and]

(b)any other persons it thinks appropriate.

(4)For the purposes of subsection (3)(b) the regulator shall consider, in particular, any person who provided information as a result of which the pre-compensation warning is given.

(5)A pre-compensation warning must—

(a)refer to section 125 (voluntary undertaking), and

(b)indicate whether or to what extent the regulator would accept a voluntary undertaking instead of, or in mitigation of, awarding compensation.

(6)A pre-compensation warning may be combined with notice under one or more of sections 230, 248, 250 and 252.

Textual Amendments

Commencement Information

I30S. 242 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

243RepresentationsE+W

(1)A pre-compensation warning must specify a period during which the registered provider may make representations to the regulator.

(2)The period must—

(a)be a period of at least 28 days, and

(b)begin with the date on which the registered provider receives the pre-compensation warning.

(3)Representations may address—

(a)whether compensation should be awarded;

(b)the amount of any compensation that may be awarded.

(4)After the end of the period specified under subsection (1) the regulator shall—

(a)consider any representations made, and

(b)decide whether to award compensation.

Commencement Information

I31S. 243 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

244EnforcementE+W

(1)Compensation shall be treated as a debt owed to the person to whom it is awarded.

(2)The Treasury may make regulations authorising the regulator—

(a)to award interest on compensation not paid during the period specified under section 240(2)(e);

(b)to award additional compensation where compensation is not paid during that period.

(3)Interest and additional compensation shall be treated as compensation.

(4)Regulations under subsection (2)(a) may provide for an interest rate to be—

(a)set by a specified person, or

(b)determined in accordance with the regulations.

Commencement Information

I32S. 244(1)(3) in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

I33S. 244(2)(4) in force at 1.4.2009 for specified purposes by S.I. 2009/803, art. 7(d)

I34S. 244(2)(4) in force at 1.4.2010 in so far as not already in force by S.I. 2010/862, art. 2 (with Sch.)

245AppealE+W

[F60(1)]A [F61private registered provider] who is given a compensation notice may appeal to the High Court against—

( a)the award of compensation,

(b)its amount, or

(c)both.

[F62(2)An appeal under this section must be brought within the period of 28 days beginning with the day on which the registered provider is given the compensation notice.

(3)The requirement to pay the compensation is suspended during the appeal period.

(4)Regulations under section 244(2) may not authorise the regulator to—

(a)award interest in respect of the appeal period, or

(b)award additional compensation during that period.

(5)The “appeal period” means—

(a)where an appeal is brought, the period beginning with the day on which the compensation notice is given and ending with the day on which the appeal is finally determined or withdrawn, and

(b)otherwise, the period during which an appeal could be brought.]

Textual Amendments

Commencement Information

I35S. 245 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

Management etc.E+W

246OverviewE+W

This group of sections gives the regulator various powers in relation to the management and constitution of registered providers.

Commencement Information

I36S. 246 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

247Management tenderE+W

(1)This section applies if the regulator is satisfied that—

(a)a registered provider has failed to meet a standard F63... under section [F64193, 194 or 194C],

F65(aa). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F66(ab)a registered provider—

(i)does not have a health and safety lead designated under section 126A, or

(ii)has failed to meet a requirement under section 126C(1),

(ac)the functions of the health and safety lead are not being carried out,]

(b)the affairs of a registered provider have been mismanaged in relation to social housing [F67, or

(c)a registered provider has failed to comply with a performance improvement plan notice.]

(2)The regulator may [F68by notice] require the registered provider to implement a process specified by the regulator for the purpose of—

(a)inviting persons to apply to undertake management functions of the registered provider, and

(b)selecting from the applications and making an appointment.

(3)A requirement may relate to—

(a)the registered provider's affairs generally in so far as they relate to social housing, or

(b)specified affairs relating to social housing.

(4)A requirement must include—

(a)provision about the constitution of a selection panel (which must include provision for ensuring representation of tenants' interests),

(b)provision for ensuring best procurement practice [F69(and consistent with any applicable procurement law)], and

(c)provision about the terms and conditions on which the manager is to be appointed (including provision about—

(i)setting, monitoring and enforcing performance standards, and

(ii)resources).

Textual Amendments

Commencement Information

I37S. 247 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

248Section 247: supplementalE+W

(1)Before acting under section 247(2) the regulator must give the registered provider a notice—

(a)specifying grounds on which action might be taken under that section,

(b)warning the provider that the regulator is considering action under that section, and

(c)explaining the effect of this section.

(2)The notice must specify a period during which the registered provider may make representations to the regulator.

(3)The period must—

(a)be a period of at least 28 days, and

(b)begin with the date on which the registered provider receives the notice.

(4)The regulator must send a copy of a notice under subsection (1) to—

F70(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F71(za)the HCA,]

[F72(aa)the Greater London Authority (if the notice is given to a registered provider who owns land in Greater London),]

[F73(b)the Secretary of State (if the notice is given to a local authority), and

(c)any other persons the regulator thinks appropriate.]

(5)A notice under subsection (1) must—

(a)refer to section 125 (voluntary undertaking), and

(b)indicate whether or to what extent the regulator would accept a voluntary undertaking instead of, or in mitigation of, action under section 247(2).

(6)Notice under subsection (1) may be combined with notice under one or more of sections 230, 242, 250 and 252.

(7)In imposing a requirement the regulator must have regard to views of—

(a)relevant tenants,

(b)the registered provider,

[F74(ba)the HCA,]

F75(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F76(ca)the Greater London Authority (if the notice is given to a registered provider who owns land in Greater London),]

[F77(d)the Secretary of State (if the registered provider is a local authority), and

(e)if the regulator thinks it appropriate, any relevant local housing authority.]

[F78(8)If the regulator imposes a requirement it must send a copy—

F79( a ). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F80(za)the HCA,]

[F81(aa)in the case of a requirement imposed on a registered provider who owns land in Greater London, to the Greater London Authority, and]

(b)in the case of a requirement imposed on a local authority, to the Secretary of State.]

(9)A registered provider may appeal to the High Court against a requirement under section 247(2).

[F82(10)An appeal under this section must be brought within the period of 28 days beginning with the day on which the regulator notifies the registered provider of the imposition of a requirement on the provider under section 247(2).]

Textual Amendments

Commencement Information

I38S. 248 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

249Management transferE+W

(1)This section applies if as a result of an inquiry under section 206 or an audit under section 210 [F83or 210A] the regulator is satisfied that—

(a)the affairs of a registered provider have been mismanaged in relation to social housing, F84...

(b)a transfer of certain of a registered provider's management functions would be likely to improve the management of some or all of its social housing [F85, or

(c)the registered provider has failed to meet a standard under section 193, 194 or 194C.]

(2)The regulator may [F86by notice] require the registered provider to transfer management functions to a specified person.

(3)A requirement to transfer management functions may be imposed only with the Secretary of State's consent (both as to the transfer and the terms).

(4)A requirement may relate to—

(a)the registered provider's affairs generally in so far as they relate to social housing, or

(b)specified affairs relating to social housing.

(5)Transfer shall be on terms and conditions (including as to remuneration) specified in, or determined in accordance with, the requirement.

(6)A transferee manager shall have—

(a)any power specified in the requirement, and

(b)any other power in relation to the registered provider's affairs required by the manager for the purposes specified in the requirement (including the power to enter into agreements and take other action on behalf of the registered provider).

Textual Amendments

Commencement Information

I39S. 249 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

250Section 249: supplementalE+W

(1)Before acting under section 249(2) the regulator must give the registered provider a notice—

(a)specifying grounds on which action might be taken under that section,

(b)warning the provider that the regulator is considering action under that section, and

(c)explaining the effect of this section.

(2)The notice must specify a period during which the registered provider may make representations to the regulator.

(3)The period must—

(a)be a period of at least 28 days, and

(b)begin with the date on which the registered provider receives the notice.

(4)The regulator must send a copy of a notice under subsection (1) to—

F87(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F88(za)the HCA,]

[F89(aa)in the case of a notice given to a registered provider who owns land in Greater London, the Greater London Authority,]

[F90(b)in the case of a notice given to a local authority, the Secretary of State, and

(c)any other persons the regulator thinks appropriate (having regard, in particular, to any person who provided information as a result of which the notice is given).]

(5)A notice under subsection (1) must—

(a)refer to section 125, and

(b)indicate whether or to what extent the regulator would accept a voluntary undertaking under that section instead of, or in mitigation of, action under section 249(2).

(6)Notice under subsection (1) may be combined with notice under one or more of sections 230, 242, 248 and 252.

(7)In imposing a requirement the regulator must have regard to views of—

(a)relevant tenants,

(b)the registered provider,

[F91(ba)the HCA,]

F92(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F93(ca)if the requirement would be imposed on a registered provider who owns land in Greater London, the Greater London Authority,]

[F94(d)if the requirement would be imposed on a local authority, the Secretary of State, and

(e)if the regulator thinks it appropriate, any relevant local housing authority.]

[F95(8)If the regulator imposes a requirement it must send a copy—

F96( a ). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F97(za)the HCA,]

[F98(aa)in the case of a requirement imposed on a registered provider who owns land in Greater London, to the Greater London Authority, and]

(b)in the case of a requirement imposed on a local authority, to the Secretary of State.]

(9)A registered provider may appeal to the High Court against a requirement under section 249(2).

[F99(10)An appeal under this section must be brought within the period of 28 days beginning with the day on which the regulator notifies the registered provider of the imposition of a requirement on the provider under section 249(2).]

Textual Amendments

Commencement Information

I40S. 250 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

[F100250ASections 247 and 249: local authoritiesE+W

(1)This section makes further provision about the application of sections 247 and 249 in a case where the registered provider is a local authority.

(2)The regulator may act under those sections even if the local authority already has a management agreement in place.

(3)But while a section 247 or 249 arrangement is in force, the local authority may not give effect to a management agreement as respects functions of the authority which are the subject of the arrangement.

(4)Any duty the local authority may have to consult with respect to the exercise of its management functions (for example, a duty arising by virtue of section 27BA of the Housing Act 1985) does not apply so far as it is acting pursuant to a requirement imposed on it under section 247 or 249.

(5)A section 247 or 249 arrangement—

(a)is not to be considered a management agreement, but

(b)subsections (13) and (15) of section 27 of the Housing Act 1985 apply to it as they apply to a management agreement.

(6)In this section—

  • “management agreement” has the meaning given by section 27(2)(a) and 27B(4) of the Housing Act 1985;

  • “section 247 or 249 arrangement” means an arrangement which is entered into pursuant to a requirement imposed on a local authority under section 247 or 249 and by which functions of the authority are to be exercised by a manager on its behalf.]

Textual Amendments

251Appointment of manager [F101of private registered provider]E+W

(1)This section applies if the regulator is satisfied that—

(a)a [F102private registered provider] has failed to meet a standard under section [F103193, 194 or 194C],

F104(aa). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(b)the affairs of a [F105private registered provider] have been mismanaged in relation to social housing.

(2)The regulator may [F106by notice to the registered provider] —

(a)appoint F107... a manager of the registered provider, or

(b)require the registered provider to appoint F107... a manager.

(3)An appointment or requirement may relate to a manager—

(a)of the registered provider's affairs generally in so far as they relate to social housing, or

(b)of specified affairs relating to social housing.

(4)Appointment shall be on terms and conditions (including as to remuneration) specified in, or determined in accordance with, the appointment or requirement.

(5)A manager shall have—

(a)any power specified in the appointment or requirement, and

(b)any other power in relation to the registered provider's affairs required by the manager for the purposes specified in the appointment or requirement (including the power to enter into agreements and take other action on behalf of the registered provider).

Textual Amendments

Commencement Information

I41S. 251 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

252Section 251: supplementalE+W

(1)Before acting under section 251(2) the regulator must give the registered provider a notice—

(a)specifying grounds on which action might be taken under that section,

(b)warning the provider that the regulator is considering action under that section, and

(c)explaining the effect of this section.

[F108(2)The registered provider may make representations to the regulator about the notice within the period of 5 days beginning with the day on which the provider receives the notice.]

[F109(2A)Unless the registered provider consents, the regulator may not take action under section 251(2) before the expiry of the period within which the provider may make representations.]

F110(3). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(4)The regulator must send a copy of a notice under subsection (1) to—

F111(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F112(za)the HCA,]

[F113(aa)the Greater London Authority (if the notice is given to a registered provider who owns land in Greater London), and]

(b)any other persons it thinks appropriate (having regard, in particular, to any person who provided information as a result of which the notice is given).

(5)A notice under subsection (1) must—

(a)refer to section 125 (voluntary undertaking), and

(b)indicate whether or to what extent the regulator would accept a voluntary undertaking instead of, or in mitigation of, action under section 251(2).

(6)Notice under subsection (1) may be combined with notice under one or more of sections 230, 242, 248 and 250.

[F114(6A)The regulator must notify the HCA of an appointment or requirement under section 251(2).]

F115(7). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F116(7A)The regulator must notify the Greater London Authority of an appointment or requirement under section 251(2) in respect of a registered provider who owns land in Greater London.]

(8)The regulator may require a manager to report to the regulator on the affairs specified in the appointment or requirement under section 251(3).

(9)A [F117private registered provider] may appeal to the High Court against an appointment or requirement under section 251(2).

[F118(10)An appeal under this section must be brought within the period of 28 days beginning with the day on which—

(a)the regulator notifies the registered provider of an appointment made under section 251(2)(a) (in the case of an appeal against an appointment), or

(b)the regulator notifies the registered provider of the imposition of a requirement on the provider under section 251(2)(b) (in the case of an appeal against a requirement).]

Textual Amendments

Commencement Information

I42S. 252 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

[F119252AAppointment of advisers to local authoritiesE+W

(1)This section applies to a registered provider which is a local authority.

(2)The power in subsection (3) is exercisable if the regulator [F120is satisfied]—

(a)that it is necessary to exercise it for the proper management of the authority’s affairs so far as they relate to the provision of social housing (its “social housing affairs”), F121...

(b)that it is desirable to exercise it in the interests of securing better services for the authority’s tenants,

[F122(c)that the authority—

(i)does not have a health and safety lead designated under section 126A, or

(ii)has failed to meet a requirement under section 126C(1),

(d)that the functions of the health and safety lead are not being carried out],

[F123(e)that the authority has failed to meet a standard under section 193, 194 or 194C] [F124, or

(f)that the authority has failed to comply with a performance improvement plan notice.]

(3)The regulator may—

(a)appoint one or more advisers to assist the authority in relation to its social housing affairs (or a particular aspect of those affairs), or

(b)require the authority to appoint one or more advisers for that purpose.

(4)Appointment shall be on terms and conditions (including as to remuneration) specified in, or determined in accordance with, the appointment or requirement.

(5)A requirement under subsection (3)(b) may specify a process which the authority is required to implement for selecting and appointing advisers.

(6)The authority must cooperate with any advisers appointed by virtue of this section.]

Textual Amendments

253Transfer of land [F125by private registered provider]E+W

(1)This section applies if as a result of an inquiry under section 206 or an audit under section 210 the regulator is satisfied that—

(a)the affairs of a [F126private registered provider] have been mismanaged in relation to social housing, F127...

(b)a transfer of land by a [F128private registered provider] would be likely to improve the management of the land [F129, or

(c)the registered provider has failed to meet a standard under section 193, 194 or 194C.]

(2)The regulator may require the registered provider to transfer specified land—

(a)to the regulator, or

(b)to another specified [F130private registered provider].

(3)A requirement may be imposed on a profit-making registered provider only in relation to its social housing and associated land.

(4)For the purposes of subsection (3) land is associated with social housing if the regulator thinks that it is used in connection with the social housing or its management.

(5)A requirement may not be imposed on a non-profit registered provider requiring it to transfer land to a profit-making registered provider.

(6)A requirement may not be imposed on a registered charity.

(7)A requirement may be imposed on a charity which is not registered (C1), but only for transfer to another charity (C2) whose objects the regulator thinks are similar to those of C1.

Textual Amendments

Commencement Information

I43S. 253 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

254Section 253: supplementalE+W

(1)A transfer under section 253 shall be on terms specified in, or determined in accordance with, the requirement.

(2)The price shall be not less than an amount certified by the district valuer as the amount the property would fetch if sold by a willing seller to another registered provider.

(3)The terms shall include provision as to the payment of any debts or liabilities in respect of the land (whether or not secured on it).

(4)A requirement to transfer land may be imposed only with the Secretary of State's consent (both as to the transfer and the terms).

(5)Where land is transferred to the regulator under section 253(2)(a)—

(a)the regulator may dispose of it only to a registered provider, and

(b)if it is transferred by a non-profit registered provider, the regulator may dispose of it only to a non-profit registered provider.

Commencement Information

I44S. 254 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

255AmalgamationE+W

(1)This section applies if as a result of an inquiry under section 206 or an audit under section 210 the regulator is satisfied that—

(a)the affairs of a non-profit registered provider which is [F131a registered society] have been mismanaged in relation to social housing, F132...

(b)the management of social housing owned by a non-profit registered provider which is [F131a registered society] would be improved if the provider were amalgamated with another [F133registered society] [F134, or

(c)the registered provider has failed to meet a standard under section 193, 194 or 194C.]

(2)The regulator may make and execute on behalf of the society an instrument providing for the amalgamation of the society with another [F133registered society].

(3)The regulator may act under subsection (2) only with the Secretary of State's consent.

(4)An instrument providing for the amalgamation of a society (“S1”) with another has the same effect as a resolution by S1 under [F135section 109 of the Co-operative and Community Benefit Societies Act 2014] (amalgamation of societies by special resolution).

(5)A copy of an instrument shall be sent to and registered by the [F136Financial Conduct Authority].

(6)An instrument does not take effect until the copy is registered.

(7)The copy must be sent for registration during the period of 14 days beginning with the date of execution; but a copy registered after that period is valid.

(8)Any body created by virtue of an amalgamation—

(a)must be registered by the regulator and designated as a non-profit organisation, and

(b)pending registration shall be treated as registered and designated as a non-profit organisation.

Textual Amendments

Commencement Information

I45S. 255 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

Restrictions on dealings [F137by F138... registered providers]E+W

Textual Amendments

256Restrictions on dealings during inquiryE+W

(1)The regulator may make an order under this section if—

(a)an inquiry under section 206 is in progress in respect of a [F139private] registered provider, and

(b)either of the following cases applies.

(2)Case 1 applies if the regulator [F140is satisfied]—

(a)that the affairs of the registered provider have been mismanaged, and

(b)that the interests of tenants of the registered provider, or its assets, require protection.

(3)Case 2 applies if as a result of an inquirer's interim report under section 207 the regulator is satisfied [F141that—

(a)the affairs of the registered provider have been mismanaged, or

(b)the registered provider has failed to meet a standard under section 194.]

(4)The regulator may order a bank or other person who holds money or securities on behalf of the registered provider not to part with the money or securities without the regulator's consent.

(5)The regulator may make an order restricting—

(a)the transactions that may be entered into by the registered provider, or

(b)the nature and amounts of payments that may be made by it.

(6)An order under subsection (5) may in particular provide that transactions may not be entered into or payments made without the regulator's consent.

[F142(6A)If the registered provider is a registered charity, the regulator must notify the Charity Commission if it makes an order under this section.]

F143(7). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(8)An order ceases to have effect at the end of the period of 6 months beginning with the day on which the inquirer's final report under section 207 is made.

(9)But the regulator—

(a)may revoke the order before that time;

(b)may by order extend it for a specified period of up to 6 months.

Textual Amendments

Commencement Information

I46S. 256 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

257Restrictions on dealings following inquiryE+W

(1)This section applies if as a result of an inquiry under section 206 or an audit under section 210 the regulator is satisfied [F144that—

(a)the affairs of a private registered provider have been mismanaged, or

(b)a private registered provider has failed to meet a standard under section 194.]

(2)The regulator may order a bank or other person who holds money or securities on behalf of the registered provider not to part with the money or securities without the regulator's consent.

(3)The regulator may make an order restricting—

(a)the transactions that may be entered into by the registered provider, or

(b)the nature and amounts of payments that may be made by it.

(4)An order under subsection (3) may in particular provide that transactions may not be entered into or payments made without the regulator's consent.

[F145(4A)If the registered provider is a registered charity, the regulator must notify the Charity Commission if it makes an order under this section.]

F146(5). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(6)An order under this section has effect until revoked by the regulator.

Textual Amendments

Commencement Information

I47S. 257 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

258Restrictions on dealings: supplementalE+W

(1)Before making an order under section 256 or 257 the regulator must take all reasonable steps to give notice to—

(a)the registered provider, and

(b)in the case of an order under section 256(4) or 257(2), the person to whom the order is directed.

(2)Contravention of an order under section 256(4) or 257(2) is an offence.

(3)A person guilty of an offence is liable on summary conviction to a fine F147....

(4)Proceedings for an offence may be brought only by or with the consent of—

(a)the regulator, or

(b)the Director of Public Prosecutions.

Textual Amendments

Commencement Information

I48S. 258 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

Suspension and removal of officers [F148of F149... registered providers]E+W

Textual Amendments

259Suspension during inquiryE+W

(1)The regulator may make an order under this section if—

(a)an inquiry under section 206 is in progress in respect of a [F150private] registered provider, and

(b)[F151any] of the following cases applies.

(2)Case 1 applies if the regulator [F152is satisfied]—

(a)that the affairs of the registered provider have been mismanaged, and

(b)that the interests of tenants of the registered provider, or its assets, require protection.

(3)Case 2 applies if as a result of an inquirer's interim report under section 207 the regulator is satisfied [F153that—

(a)the affairs of the registered provider have been mismanaged, or

(b)the registered provider has failed to meet a standard under section 193, 194 or 194C.]

[F154(3A)Case 3 applies if the regulator is satisfied that an officer, employee or agent of the registered provider is obstructing, or failing to co-operate with, the inquiry.]

[F155(4)The regulator may by order—

(a)where Case 1 or Case 2 applies, suspend any officer, employee or agent of the registered provider who it thinks has contributed to the mismanagement or failure, or

(b)where Case 3 applies, suspend the officer, employee or agent who it thinks is obstructing, or failing to co-operate with, the inquiry.]

F156(5). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(6)An order ceases to have effect at the end of the period of 6 months beginning with the day on which the inquirer's final report under section 207 is made.

(7)But the regulator may revoke an order before the end of that period.

[F157(7A)If the regulator makes an order, the regulator must—

(a)take all reasonable steps to notify the person suspended, and

(b)notify the registered provider.]

(8)The regulator shall notify the Charity Commission if it suspends an officer, employee or agent of a registered charity.

Textual Amendments

Commencement Information

I49S. 259 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

260Removal or suspension following inquiryE+W

(1)This section applies if as a result of an inquiry under section 206 or an audit under section 210 the regulator is satisfied [F158that—

(a)the affairs of a private registered provider have been mismanaged, or

(b)a private registered provider has failed to meet a standard under section 193, 194 or 194C.]

(2)The regulator may by order remove any officer, employee or agent of the registered provider [F159who—

(a)it thinks has contributed to the mismanagement or failure, or

(b)it thinks obstructed, or failed to co-operate with, the inquiry under section 206.]

(3)Pending a decision whether to remove an officer, employee or agent, the regulator may by order suspend the person for a specified period of up to 6 months.

F160(4). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(5)Before making an order the regulator must take all reasonable steps to give at least 14 days' notice to—

(a)the person, and

(b)the registered provider.

[F161(5A)If the regulator makes an order, the regulator must—

(a)take all reasonable steps to notify the person removed or suspended, and

(b)notify the registered provider.]

(6)The regulator shall notify the Charity Commission if it removes or suspends an officer, employee or agent of a registered charity.

Textual Amendments

Commencement Information

I50S. 260 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

261Suspension under section 259 or 260: supplementalE+W

(1)This section applies where the regulator suspends an officer, employee or agent of a registered provider under section 259 or 260.

(2)The regulator may give directions to the registered provider about—

(a)the performance of the suspended person's functions, and

(b)any other matter arising from the suspension.

(3)The regulator may appoint a person to perform the suspended person's functions.

Commencement Information

I51S. 261 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

262Disqualification of removed personE+W

(1)A person is disqualified from acting as an officer of a registered provider if the person has been removed under—

(a)section 260, or

(b)paragraph 24(2)(a) of Schedule 1 to the Housing Act 1996 (c. 52), section 30(1)(a) of the Housing Associations Act 1985 (c. 69) or section 20(1)(a) of the Housing Act 1974 (c. 44) (other similar provisions).

(2)The regulator may waive a disqualification either generally or in relation to a particular registered provider or class of registered providers.

(3)A waiver may be granted only on an application by the disqualified person.

(4)The regulator shall notify a person whose disqualification is waived.

(5)If a disqualified person acts as an officer of a registered provider, the person's acts are not invalid by reason only of the disqualification.

Commencement Information

I52S. 262 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

263Register of disqualified personsE+W

(1)The regulator shall maintain a register of persons disqualified under section 262.

(2)The register must show details of any waivers.

(3)The regulator shall make the register available for inspection by the public.

Commencement Information

I53S. 263 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

264Acting while disqualified: offenceE+W

(1)It is an offence for a person to act as an officer of a registered provider in respect of which the person is disqualified under section 262.

(2)A person guilty of an offence is liable—

(a)on summary conviction, to imprisonment for a term not exceeding [F162the general limit in a magistrates’ court] or a fine F163... or both;

(b)on conviction on indictment, to imprisonment for a term not exceeding two years or a fine or both.

(3)Proceedings for an offence may be brought only by or with the consent of—

(a)the regulator, or

(b)the Director of Public Prosecutions.

(4)In relation to an offence committed before [F1642 May 2022] the reference in subsection (2)(a) to [F165the general limit in a magistrates’ court] shall have effect as if it were a reference to 6 months.

Textual Amendments

Commencement Information

I54S. 264 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

265Acting while disqualified: other consequencesE+W

(1)This section applies where the regulator is satisfied that a person—

(a)has acted as an officer of a registered provider in respect of which the person is disqualified under section 262, and

(b)in doing so, has received payments or other benefits from the registered provider.

(2)The regulator may require the person to repay the sum or, as the case may be, a specified amount representing the whole or part of the value of the benefit.

(3)If a person fails to comply with a requirement the registered provider may recover the sum or specified amount as a debt.

Commencement Information

I55S. 265 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

266Removal of officersE+W

(1)The regulator may by order remove an officer of a [F166private] registered provider if a Case listed in this section applies to the officer.

(2)Case 1 applies to a person who has been [F167made] bankrupt.

(3)Case 2 applies to a person who has made an arrangement with creditors.

(4)Case 3 applies to a person who is subject to a disqualification order or a disqualification undertaking under the Company Directors Disqualification Act 1986 (c. 46) or equivalent legislation in Northern Ireland.

(5)Case 4 applies to a person who is subject to an order under section 429(2) of the Insolvency Act 1986 (c. 45) (disabilities on revocation of county court administration order).

(6)Case 5 applies to a person who is disqualified under [F168section 178 of the Charities Act 2011] from being a charity trustee.

(7)Case 6 applies to a person who is incapable of acting by reason of mental disorder.

(8)Case 7 applies to a person who is impeding the proper management of the registered provider by reason of absence or failure to act.

[F169(9)Case 8 applies to a person who is obstructing the regulator, or failing to co-operate with the regulator, in the performance of the regulator’s functions under this Part.]

Textual Amendments

F168Words in s. 266(6) substituted (14.3.2012) by Charities Act 2011 (c. 25), s. 355, Sch. 7 para. 134 (with s. 20(2), Sch. 8)

Commencement Information

I56S. 266 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

267Section 266: supplementalE+W

(1)Before making an order under section 266 in respect of an officer the regulator must take all reasonable steps to give at least 14 days' notice to—

(a)the officer, and

(b)the registered provider.

[F170(1A)If the regulator makes an order, the regulator must—

(a)take all reasonable steps to notify the person removed, and

(b)notify the registered provider.]

[F171(1B)The regulator must notify the Charity Commission if it makes an order removing an officer of a registered charity.]

F172(2). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Commencement Information

I57S. 267 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

268Appeal against removal or suspensionE+W

[F173(1)] A person removed or suspended under section 259, 260 or 266 may appeal to the High Court.

[F174(2)An appeal under this section must be brought within the period of 28 days beginning with the day on which the registered provider concerned is notified of the removal or suspension.]

Textual Amendments

Commencement Information

I58S. 268 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

269Appointment of new officersE+W

(1)The regulator may by order appoint a person as an officer of a [F175private] registered provider—

(a)to replace an officer removed by order under section 266,

(b)where there are no officers, F176...

[F177(ba)in the case of a registered provider which is a registered charity, registered society or registered company, if none of the officers is a board member,

(bb)if the regulator is satisfied that the registered provider has failed to meet a standard under section 193, 194 or 194C, or]

(c)if the regulator [F178is satisfied] an additional officer is necessary [F179to ensure that the registered provider's affairs are managed in accordance with legal requirements (imposed by or under an Act or otherwise)].

[F180(1A)In subsection (1)(ba), “board member” means—

(a)in the case of a registered charity which is not a registered company, a charity trustee within the meaning given by section 177 of the Charities Act 2011;

(b)in the case of a registered society, a member of its committee within the meaning given by section 149 of the Co-operative and Community Benefit Societies Act 2014;

(c)in the case of a registered company, a director within the meaning given by section 250 of the Companies Act 2006.]

(2)The regulator may appoint more than a minority of the officers of a registered provider only if—

(a)the provider has fewer officers than required by its constitution, or

(b)its constitution does not specify a minimum number of officers.

(3)Subsection (1) overrides any restriction on eligibility or numbers of officers imposed by the body's constitution.

(4)An order appointing an officer shall specify the period for which, and the terms on which, the office is to be held; but—

(a)F181... the regulator may by order renew the appointment [F182(on any number of occasions)], and

(b)the officer may resign or retire in accordance with the registered provider's constitution.

(5)An officer appointed by order has the same rights, powers and obligations as an officer appointed under the registered provider's constitution.

(6)The regulator may exercise the power in subsection (1) in respect of a registered charity only if—

F183(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(b)the regulator [F184 notified the Charity Commission of its intention to do so ].

Textual Amendments

Commencement Information

I59S. 269 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

[F185Censure of local authority employeesE+W

Textual Amendments

269ALocal authorities: censure during or following inquiryE+W

(1)The regulator may give a censure notice to a local authority if—

(a)an inquiry under section 206 is in progress in respect of the authority, and

(b)either of the following cases applies.

(2)Case 1 applies if the regulator [F186is satisfied]—

(a)that the affairs of the authority have been mismanaged, and

(b)that the interests of tenants of the authority, or its assets, require protection.

(3)Case 2 applies if as a result of an inquirer’s interim report under section 207 the regulator is satisfied [F187that—

(a)the affairs of the authority have been mismanaged, or

(b)the authority has failed to meet a standard under section 193, 194 or 194C.]

(4)The regulator may also give a censure notice to a local authority if, as a result of an inquiry under section 206, the regulator is satisfied [F188that—

(a)the affairs of the authority have been mismanaged, or

(b)the authority has failed to meet a standard under section 193, 194 or 194C.]

(5)A censure notice is a notice identifying an employee or agent of the authority who the regulator thinks has contributed to the failure or mismanagement.

(6)The notice must include the regulator’s reasons.

(7)The regulator shall send a copy of the notice to the employee or agent concerned.

(8)No more than one employee or agent may be identified in a censure notice (but this does not prevent several notices being given in respect of the same failure or mismanagement).

(9)Members of local authorities may not be identified in censure notices.

Textual Amendments

269BResponse to censure noticeE+W

(1)A local authority to whom a censure notice is given under section 269A must respond to the regulator in writing within 28 days of receipt of the notice.

(2)The response must—

(a)explain what action (if any) the authority has taken or proposes to take in relation to the employee or agent,

(b)explain why the authority does not think the employee or agent has contributed to the failure or mismanagement, or

(c)explain why the authority does not think its affairs have been mismanaged [F189or it has failed to meet the standard (as the case may be).]]

Textual Amendments

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