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Chapter 6E+WRegulatory powers

192OverviewE+W

This Chapter—

(a)allows the regulator to set standards for the provision of social housing (sections 193 [F1to 198]),

(b)gives the regulator powers to monitor compliance (sections 199 to [F2to 210A]),

F3(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(d)requires the regulator to give guidance F4... about the use of its powers under this Chapter and Chapter 7 (sections 215 and 216), F5...

(e)allows the regulator to arrange for the accreditation of managers of social housing (section 217) [F6, and

(f)makes provision about terms to be implied into management services agreements (section 217A).]

Textual Amendments

Commencement Information

I1S. 192 in force at 8.9.2008 by S.I. 2008/2358, art. 3(1)

StandardsE+W

193[F7Standards relating to consumer matters]E+W

(1)The regulator may set standards for registered providers as to the nature, extent [F8, safety, energy efficiency] and quality of accommodation, facilities or services provided by them in connection with social housing.

(2)Standards under subsection (1) may, in particular, require registered providers to comply with specified rules about—

(a)criteria for allocating accommodation,

(b)terms of tenancies,

F9(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(d)maintenance,

(e)procedures for addressing complaints by tenants against landlords,

(f)methods for consulting [F10tenants and providing them with information in connection with such consultation],

(g)methods of enabling tenants to influence or control the management of their accommodation and environment,

[F11(ga)methods of assisting tenants to exchange tenancies,]

(h)policies and procedures required by section 218A of the Housing Act 1996 (c. 52) in connection with anti-social behaviour,

[F12(ha)policies and procedures in connection with behaviour which amounts to domestic abuse within the meaning of the Domestic Abuse Act 2021 (see section 1 of that Act),]

(i)landlords' contribution to the environmental, social and economic well-being of the areas in which their property is situated, and

(j)estate management.

F13(3). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

F7 S. 193 heading substituted (1.4.2012) by Localism Act 2011 (c. 20), s. 240(2), Sch. 17 para. 4(2); S.I. 2012/628, art. 6(i) (with arts. 9 11 14 15 17)

F11S. 193(2)(ga) inserted (15.1.2012) by Localism Act 2011 (c. 20), ss. 176(1), 240(2); S.I. 2012/57, art. 4(1)(s) (with arts. 6, 7, 9-11)

Commencement Information

I2S. 193 in force at 8.9.2008 by S.I. 2008/2358, art. 3(1)

194[F14Standards relating to economic matters]E+W

(1)The regulator may set standards for [F15private registered providers] in matters relating to F16... their financial and other affairs.

[F17(1A)Standards under subsection (1) may, in particular, require private registered providers to comply with specified rules about—

(a)the management of their financial and other affairs, and

(b)their efficiency in carrying on their financial and other affairs.]

(2)In respect of profit-making registered providers, standards may be made in relation to the management of their affairs only so far as relating to the provision of social housing.

[F18(2A)The regulator may set standards for registered providers requiring them to comply with specified rules about their levels of rent (and the rules may, in particular, include provision for minimum or maximum levels of rent or levels of increase or decrease of rent).]

F19(3). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Modifications etc. (not altering text)

C1S. 194(2A) modified (16.3.2016 for specified purposes, 1.4.2016 in so far as not already in force) by Welfare Reform and Work Act 2016 (c. 7), ss. 32, 36(5); S.I. 2016/394, reg. 4

Commencement Information

I3S. 194 in force at 8.9.2008 by S.I. 2008/2358, art. 3(1)

[F20194AStandards relating to competence and conductE+W

(1)The regulator may set standards for registered providers in matters relating to the competence and conduct of individuals involved in the provision of services in connection with the management of social housing (“relevant individuals”).

(2)Standards under subsection (1) may, in particular, require registered providers to comply with specified rules about—

(a)the knowledge, skills and experience to be required of relevant individuals, and

(b)the conduct to be expected of relevant individuals in their dealings with tenants.

(3)Standards under subsection (1) may require registered providers to secure that their senior housing executives and senior housing managers—

(a)have a specified qualification in housing management or type of qualification in housing management, or

(b)are working towards such a qualification or type of qualification.

(4)Standards under subsection (1) may require registered providers to take steps to secure that relevant managers of their services providers—

(a)have a specified qualification in housing management or type of qualification in housing management, or

(b)are working towards such a qualification or type of qualification.

(5)Each of the following is a “relevant manager” of a services provider—

(a)if the services provider is a relevant individual, that individual;

(b)a senior housing executive of the services provider;

(c)a senior housing manager of the services provider.

(6)A qualification or type of qualification specified for a senior housing executive may only be—

(a)a foundation degree, or

(b)a qualification or type of qualification regulated by the Office of Qualifications and Examinations Regulation which is of a level not exceeding level 5.

(7)A qualification or type of qualification specified for a senior housing manager, or for an individual described in subsection (5)(a), may only be a qualification or type of qualification regulated by the Office of Qualifications and Examinations Regulation which is of a level not exceeding level 4.

(8)The references in subsections (6) and (7) to the level of a qualification are to the level assigned to a qualification by virtue of general conditions set and published by the Office of Qualifications and Examinations Regulation under section 134 of the Apprenticeships, Skills, Children and Learning Act 2009.

(9)Except as provided by subsections (3) to (8), standards under subsection (1) may not require registered providers to comply with rules about the qualifications to be required of relevant individuals.

(10)See also section 217A (which makes provision implying terms relating to qualifications into management services agreements).

Textual Amendments

194BMeaning of “services provider”, “senior housing executive” and “senior housing manager”E+W

(1)This section makes provision about the meaning of terms for the purposes of section 194A.

(2)“Services provider”, in relation to a registered provider, means a person who, in accordance with an agreement with the registered provider or another person, provides services in connection with the management of social housing provided by the registered provider or arranges for the provision of such services.

(3)For the purposes of subsection (2), an agreement does not include a contract of employment or a contract of apprenticeship.

(4)“Senior housing executive” of a registered provider means a relevant individual who—

(a)is an employee or officer of the registered provider,

(b)has responsibility (solely or jointly) for the day to day management of the provision of services in connection with the management of social housing provided by the registered provider, and

(c)is part of the registered provider’s senior management.

(5)“Senior housing executive” of a services provider in relation to a registered provider means a relevant individual who—

(a)is—

(i)an employee of the services provider,

(ii)an officer of the services provider, or

(iii)if the services provider is a partnership, a partner in the partnership,

(b)has responsibility (solely or jointly) for the day to day management of the provision of services in connection with the management of social housing provided by the registered provider, and

(c)is part of the services provider’s senior management.

(6)For the purposes of subsections (4) and (5), an individual is part of a registered provider’s or services provider’s senior management if the individual plays a significant role in—

(a)the making of decisions about how the whole or a substantial part of the activities of the provider which relate to social housing are to be managed or organised, or

(b)the management or organisation of the whole or a substantial part of such activities.

(7)“Senior housing manager” of a registered provider means a relevant individual who—

(a)is an employee of the registered provider, and

(b)is a senior housing and property manager for the registered provider.

(8)“Senior housing manager” of a services provider in relation to a registered provider means a relevant individual who—

(a)is an employee of the services provider,

(b)is a senior housing and property manager for the services provider, and

(c)is involved in the provision of services in connection with the management of social housing provided by the registered provider.

(9)For the purposes of subsections (7) and (8), whether an individual is a senior housing and property manager is to be determined by reference to the description of the occupation of senior housing and property management published by the Institute for Apprenticeships and Technical Education under section ZA10(5) of the Apprenticeships, Skills, Children and Learning Act 2009.

(10)In this section—

  • “employee” includes a person employed under a contract of apprenticeship;

  • “relevant individual” has the same meaning as in section 194A.

(11)The following Table gives the meaning of “officer” in relation to services providers for the purposes of this section—

Services providerMeaning of “officer”
Registered charity which is not a registered companyTrustee, secretary or treasurer
Registered society“Officer” within the meaning given by section 149 of the Co-operative and Community Benefit Societies Act 2014 (including a person co-opted to serve on the society’s committee)
Registered company“Officer” within the meaning given by section 1173 of the Companies Act 2006
Limited liability partnershipA member of the limited liability partnership.]

Textual Amendments

[F21194CStandards relating to information and transparencyE+W

(1)The regulator may set standards for registered providers in matters relating to the provision of information to their tenants of social housing and to the regulator, including standards requiring information to be published.

(2)Standards under subsection (1) may, in particular, require registered providers to comply with specified rules about—

(a)the provision of information to their tenants of social housing concerning the accommodation, facilities or services provided in connection with social housing, including information concerning—

(i)their tenants’ rights in connection with those things, and

(ii)how to make complaints against registered providers,

(b)monitoring their compliance with standards under this section and sections 193, 194 and 194A and informing the regulator if they have failed, or there is a risk they will fail, to meet any of those standards, and

(c)the publication of information about—

(i)the remuneration of their executives, and

(ii)their income, management costs and other expenditure.

(3)For the purposes of subsection (2)(c), an “executive”, in relation to a registered provider, means an individual who is both—

(a)an officer or employee of the registered provider, and

(b)responsible for the management of the provider.]

Textual Amendments

195Code of practiceE+W

(1)The regulator may issue a code of practice which—

(a)relates to a matter addressed by a standard F22..., and

(b)amplifies the standard.

(2)In considering whether standards F23... have been met the regulator may have regard to a code of practice.

(3)The regulator may revise or withdraw a code of practice.

(4)The regulator shall make arrangements for bringing a code of practice to the attention of registered providers.

Textual Amendments

Commencement Information

I4S. 195 in force at 8.9.2008 by S.I. 2008/2358, art. 3(1)

196ConsultationE+W

(1)Before setting standards, or issuing, revising or withdrawing a code of practice, the regulator shall consult the following or ensure that they have been consulted—

(b)one or more bodies appearing to it to represent the interests of registered providers,

one or more bodies appearing to it to represent the interests of secured creditors of registered providers,

[F24(ba)any body for the time being nominated under section 278A,]

(c)one or more[F25other] bodies appearing to it to represent the interests of tenants of social housing,

F26(d). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(e)one or more bodies appearing to it to represent the interests of local housing authorities,

[F27(ea)the Greater London Authority,]

[F28(eb)any housing ombudsman,]

F29(f). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ., and

(g)the Secretary of State.

[F30(1A)Before setting standards, or issuing, revising or withdrawing a code of practice, the regulator must also consult the HCA.]

(2)Before setting a standard which would apply to charities, or issuing, revising or withdrawing a code of practice which applies or would apply to charities, the regulator must consult the Charity Commission.

[F31(3)Before setting a standard under section 194A which imposes a requirement described in subsection (4) of that section, the regulator must consult, or ensure that there has been consultation with, each body (if any) which is nominated by the Secretary of State for the purposes of this subsection.

(4)The Secretary of State may nominate a body for the purposes of subsection (3) only if the body appears to the Secretary of State to represent the interests of services providers in relation to registered providers (as defined in section 194B(2)).

(5)The Secretary of State must notify the regulator of any nomination (or withdrawal of any nomination) made for the purposes of subsection (3).]

Textual Amendments

F29S. 196(1)(f) (but not the word "and" at the end of that paragraph) repealed (1.4.2012) by Localism Act 2011 (c. 20), s. 240(2), Sch. 16 para. 42, Sch. 25 Pt. 26; S.I. 2012/628, art. 6(i)(j) (with arts. 9 11 14 15 17)

Commencement Information

I5S. 196 in force at 8.9.2008 by S.I. 2008/2358, art. 3(1) (with art. 3(3)(4))

197Direction by Secretary of StateE+W

(1)The Secretary of State may direct the regulator—

(a)to set a standard under section 193 [F32or 194],

(b)about the content of standards under section 193 [F33or 194], or

(c)to have regard to specified objectives when setting standards under section 193 or 194.

(2)The Secretary of State may give a direction under subsection (1)(a) or (b) only if it relates, in the Secretary of State's opinion, to—

(a)quality [F34, safety or energy efficiency] of accommodation,

[F35(aa)tenure,]

(b)rent, F36...

(c)involvement by tenants in the management by registered providers of accommodation [F37, or

(d)methods of assisting tenants to exchange tenancies.]

[F38(2A)The Secretary of State may direct the regulator—

(a)to set a standard under section 194A,

(b)to set a standard under section 194C which relates, in the Secretary of State’s opinion, to the matters in section 194C(2)(a),

(c)about the content of standards described in paragraph (a) or (b), or

(d)to have regard to specified objectives when setting those standards.]

(3)In deciding whether to give a direction the Secretary of State shall, in particular, have regard to the regulator's fundamental objectives.

(4)Before giving a direction the Secretary of State must consult—

[F39(za)the HCA,]

(a)the regulator,

[F40(aa)the Greater London Authority,]

[F41(ab)any housing ombudsman,]

F42(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F43(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(d)one or more bodies appearing to the Secretary of State to represent the interests of local housing authorities,

[F44(da)any body for the time being nominated under section 278A,]

(e)one or more[F45other ] bodies appearing to the Secretary of State to represent the interests of tenants of social housing, and

(f)one or more bodies appearing to the Secretary of State to represent the interests of registered providers.

(5)Before giving a direction about a standard which would apply to charities the Secretary of State must consult the Charity Commission.

[F46(5A)Before giving a direction to set a standard under section 194A which imposes a requirement described in subsection (4) of that section, the Secretary of State must consult one or more bodies appearing to the Secretary of State to represent the interests of services providers in relation to registered providers (as defined in section 194B(2)).]

(6)A direction may disapply the requirement to consult under section 196 in relation to specified matters.

(7)The regulator shall comply with any direction.

(8)The Secretary of State shall publish—

(a)each proposed direction that is the subject of a consultation,

(b)each response to a consultation, and

(c)each direction.

Textual Amendments

F32Words in s. 197(1)(a) inserted (1.4.2012) by Localism Act 2011 (c. 20), s. 240(2), Sch. 17 para. 7; S.I. 2012/628, art. 6(i) (with arts. 9 11 14 15 17)

F33Words in s. 197(1)(b) inserted (1.4.2012) by Localism Act 2011 (c. 20), s. 240(2), Sch. 17 para. 7; S.I. 2012/628, art. 6(i) (with arts. 9 11 14 15 17)

F35S. 197(2)(aa) inserted (15.1.2012) by Localism Act 2011 (c. 20), ss. 152, 240(2); S.I. 2012/57, art. 4(1)(n) (with arts. 6, 7, 9-11)

F37S. 197(2)(d) and word inserted (15.1.2012) by Localism Act 2011 (c. 20), ss. 176(2), 240(2); S.I. 2012/57, art. 4(1)(s) (with arts. 6, 7, 9-11)

Commencement Information

I6S. 197 in force at 8.9.2008 by S.I. 2008/2358, art. 3(1) (with art. 3(3)(4))

198SupplementalE+W

F47(1). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(2)The regulator shall make arrangements for bringing standards to the attention of registered providers.

(3)The regulator may revise or withdraw standards; and section 196 applies to revising or withdrawing standards as to setting standards.

(4)Standards may be expressed by reference to documents prepared by others.

(5)Standards—

(a)may make provision generally or only in relation to specified cases, circumstances or areas, and

(b)may make different provision for different cases, circumstances or areas.

[F48(6)In setting standards the regulator must have regard to the desirability of registered providers being free to choose how to provide services and conduct business.]

Textual Amendments

Modifications etc. (not altering text)

C2S. 198(3) modified (16.3.2016 for specified purposes, 1.4.2016 in so far as not already in force) by Welfare Reform and Work Act 2016 (c. 7), ss. 32, 36(5); S.I. 2016/394, reg. 4

Commencement Information

I7S. 198(2)-(5) in force at 8.9.2008 by S.I. 2008/2358, art. 3(1)

F49198AFailure to meet standard under section 193E+W

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

Textual Amendments

F50198BFailure to meet standard under section 194E+W

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

Textual Amendments

[F51Performance informationE+W

Textual Amendments

198CDirections about performance informationE+W

(1)The regulator may give directions to registered providers requiring them to collect, process and publish information about their performance in relation to matters covered by standards under sections 193, 194, 194A and 194C.

(2)Directions under subsection (1) may, in particular, specify or describe—

(a)the information that must be collected,

(b)the period the information must cover,

(c)the method of collecting, processing and presenting information,

(d)the form in which information must be presented, and

(e)what information must be published and when and the manner of publication.

(3)A direction—

(a)may make provision that applies generally or only to specified cases, circumstances or registered providers, and

(b)may make different provision for different cases, circumstances or registered providers.

(4)The regulator must make arrangements for bringing a direction to the attention of every registered provider to which it applies.

(5)The regulator may request that a registered provider send to the regulator—

(a)any information collected by the registered provider pursuant to directions under subsection (1);

(b)an analysis of that information;

(c)an explanation of how the information was collected, processed or published.]

MonitoringE+W

199SurveyE+W

(1)This section applies where the regulator suspects that a registered provider may be failing to maintain premises in accordance with standards under section 193.

(2)The regulator may arrange for a survey of the condition of the premises by an authorised person.

(3)In [F52this section and in sections 199A to 200,] “authorised person” means a member of the regulator's staff, or another person, authorised in writing by the regulator for the purposes [F53of the section concerned].

F54(4). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F54(5). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F54(6). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(7)After carrying out a survey an authorised person must produce a written report.

(8)The regulator must give the registered provider a copy of the report.

[F55(9)Arrangements for a person other than a member of the regulator’s staff to carry out a survey may include provision about payments.]

Textual Amendments

Commencement Information

I8S. 199 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

[F56199ASurvey: power to enter without warrantE+W

(1)An authorised person may enter premises at any reasonable time, or times, to carry out a survey under section 199.

(2)The power in subsection (1) may only be exercised if an authorised person has given at least 48 hours’ notice of the first exercise of the power—

(a)to the registered provider, and

(b)if the premises are occupied, to the occupier (or any one of the occupiers).

(3)The requirement to give notice may be waived—

(a)in the case of notice required by subsection (2)(a), by the registered provider, and

(b)in the case of notice required by subsection (2)(b), by the occupier (or any one of the occupiers) of the premises.

(4)Notice under subsection (2) may state that, if entry to the premises were to be refused, an authorised person would propose to apply for a warrant under section 199B.

(5)Notice required by subsection (2)(b) may be given by fixing it to some conspicuous part of the premises.

(6)An authorised person who under this section has entered, or who is seeking to enter, premises in order to carry out a survey must produce a copy of the authorisation mentioned in section 199(3) on request by an occupier.

(7)An authorised person entering premises to carry out a survey 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 carrying out the survey.

(8)Equipment or materials taken onto premises by virtue of subsection (7) may be left in a place on the premises until the survey has been carried out 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 carrying out the survey 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.

(9)Where the premises include common parts of a building, references in subsection (8) 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.

(10)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.]

Textual Amendments

[F56199BSurvey: 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 carry out a survey under section 199.

(2)The justice may issue a warrant authorising the authorised person who is named in it to enter the premises to carry out the survey where the justice is satisfied that—

(a)entry to the premises has been sought under section 199A 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 carrying out the survey.

(5)Equipment or materials taken onto premises by virtue of subsection (4) may be left in a place on the premises until the survey has been carried out 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 carrying out the survey 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 199A), 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 section 199(3).

(10)A warrant under this section continues in force until the survey is carried out.

(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.]

Textual Amendments

200Survey: supplementalE+W

F57(1). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(2)The regulator may require the registered provider to pay some or all of the costs of the survey and report.

F58(3). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F59(4)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 199A, or

(b)in exercising a power under section 199, where the authorised person has entered the premises to carry out the survey under the power in section 199A.]

[F60(4A)A person commits an offence if the person obstructs an authorised person—

(a)in exercising a power conferred by a warrant under section 199B, or

(b)in exercising a power under section 199, where the authorised person has entered the premises to carry out a survey under a warrant under section 199B.]

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

(6)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.

Textual Amendments

Commencement Information

I9S. 200 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

201InspectionsE+W

(1)The regulator may arrange for a person to inspect—

(a)a registered provider's performance of its functions in relation to the provision of social housing, or

(b)the financial or other affairs of a registered provider.

F61(2). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F62(2A). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F63(3). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(4)The regulator may direct a person carrying out an inspection to discontinue it.

(5)An inspection may be general or specific.

F64(6). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F65(7)Arrangements for a person other than a member of the regulator's staff to carry out an inspection may include provision about payments.]

F66(7A). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F67(8). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Commencement Information

I10S. 201 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

[F68201AInspection planE+W

(1)The regulator must make a plan as regards—

(a)the descriptions of registered provider that should be subject to regular inspection under section 201,

(b)the intervals at which regular inspections should be carried out under that section, and

(c)the circumstances in which registered providers should be subject to inspections under that section other than regular inspections.

(2)The plan may make different provision for different cases, circumstances or areas.

(3)The regulator must take appropriate steps to implement the plan.

(4)The regulator must—

(a)keep the plan under review,

(b)when appropriate, revise or replace the plan, and

(c)publish the plan and any revised or replacement plan.]

Textual Amendments

202Inspections: supplementalE+W

F69(1). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F69(2). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F69(3). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F70(4). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F70(5). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F70(6). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F70(7). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F71(8). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Commencement Information

I11S. 202(1)-(3) (5) in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

I12S. 202(4)(6)(7) in force at 8.9.2008 for specified purposes by S.I. 2008/2358, art. 3(1)

I13S. 202(4)(6)(7) in force at 1.4.2010 in so far as not already in force by S.I. 2010/862, art. 2 (with Sch.)

203Inspector's powersE+W

(1)An inspector may by notice require a person to provide specified documents or information.

(2)The power under subsection (1) may be exercised only in relation to documents and information of a kind in respect of which the regulator can impose a requirement under section 107.

(3)Sections [F72107(2A) to (4) and (5) to (7)] and 108 apply for the purposes of subsection (1) (with any necessary modifications).

(4)An inspector may at any reasonable time—

(a)enter premises occupied by the registered provider which is being inspected, and

(b)inspect, copy or take away documents found there.

(5)The reference to documents found on premises includes—

(a)documents stored on computers or electronic storage devices on the premises, and

(b)documents stored elsewhere which can be accessed by computers on the premises.

(6)The power to inspect documents includes the power to inspect any computer or electronic storage device on which they have been created or stored.

(7)An inspector may require any person on the premises to provide such facilities or assistance as the inspector reasonably requests.

(8)For the purposes of subsections (5) and (6) an inspector may require any person having charge of a computer to provide such assistance as the inspector reasonably requests.

(9)It is an offence for a person without reasonable excuse to obstruct an inspector exercising the powers conferred by subsections (4) to (8).

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

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

(a)the regulator, or

(b)the Director of Public Prosecutions.

[F73(12) In this section “ inspector ” means a person authorised in writing by the regulator to exercise the powers under this section [F74and section 203A] for the purposes of an inspection under section 201. ]

Textual Amendments

Commencement Information

I14S. 203 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

[F75203AAction after inspectionE+W

(1)After an inspection of a registered provider is carried out by an inspector under section 201, the inspector must produce—

(a)a written summary of the inspector’s findings, and

(b)a written report about any matters specified by the regulator.

(2)The summary and any report must be in the form specified by the regulator.

(3)The regulator may specify matters, or the form of a summary or report, for the purposes of inspections generally or for the purposes of a particular inspection or description of inspection.

(4)The regulator must give the registered provider a copy of the summary of the inspector’s findings.

(5)The regulator must also give the registered provider—

(a)a copy of the inspector’s report, or

(b)a notice confirming that no matters were specified for the purposes of subsection (1)(b).

(6)The regulator may publish—

(a)all or part of the summary of the inspector’s findings,

(b)(where relevant) all or part of the inspector’s report, and

(c)related information.]

Textual Amendments

F76204Performance informationE+W

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

Textual Amendments

F77205Publication of performance informationE+W

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

Textual Amendments

206InquiryE+W

[F78(1)The regulator may hold an inquiry into the affairs of a registered provider if the regulator suspects that—

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

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

(c)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 or 194C.]

(2)The regulator shall appoint one or more individuals to conduct the inquiry.

(3)An individual is eligible for appointment only if the individual is independent of the regulator.

(4)Individuals are independent of the regulator if they and the members of their family—

(a)are not members [F79or employees] of the regulator, and

(b)have not been members or employees of the regulator within the previous five years.

F80(5). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Commencement Information

I15S. 206 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

207Inquiry: supplementalE+W

(1)The individual or individuals conducting an inquiry (“the inquirer”) shall determine its procedure.

[F81(2)The inquirer may consider the affairs of the following categories of registered provider only so far as relating to social housing—

(a)profit-making organisations;

(b)local authorities.]

(3)The inquirer may consider affairs of a body which at the material time was a subsidiary or associate of the registered provider.

(4)The inquirer may make interim reports.

(5)The inquirer shall make a final report on matters specified by the regulator.

(6)The regulator may arrange for the publication of all or part of an interim or final report.

(7)A local authority may contribute to the regulator's expenses in connection with an inquiry.

Textual Amendments

Commencement Information

I16S. 207 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

208Inquiry: evidenceE+W

(1)The inquirer may by notice require a person to provide specified documents or information.

(2)The notice may, in particular, require evidence to be given on oath (and the inquirer may administer oaths for that purpose).

(3)The power under subsection (1) may be exercised only in relation to documents and information of a kind in respect of which the regulator can impose a requirement under section 107.

(4)Sections [F82107(2A) to (4) and (5) to (7)] and 108 apply for the purposes of this section (with any necessary modifications).

Textual Amendments

Commencement Information

I17S. 208 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

209Inquiry: charitiesE+W

F83(1). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(2)An inquiry in relation to a registered charity may only relate to its activities relating to housing.

(3)If an inquiry is held in relation to a registered charity the regulator shall notify the Charity Commission.

Textual Amendments

Commencement Information

I18S. 209 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

210Extraordinary auditE+W

(1)Where an inquiry in respect of [F84a private registered provider] is being held, or has been held, under section 206, the regulator may require the registered provider to allow its accounts and balance sheet to be audited by a qualified auditor appointed by the regulator.

(2)“Qualified auditor” means a person eligible for appointment as auditor of the registered provider's ordinary accounts.

(3)On completion of the audit, the auditor shall report to the regulator about such matters and in such form as the regulator determines.

(4)The revenue accounts of a registered charity may be audited under this section only insofar as they relate to its housing activities.

(5)The registered provider shall pay the costs of the audit (including the auditor's remuneration).

Textual Amendments

Commencement Information

I19S. 210 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

[F85210AExtraordinary [F86audit]: local authoritiesE+W

(1)Where an inquiry in respect of a local authority is being held, or has been held, under section 206, [F87the regulator may require the local authority to allow its accounts, so far as they relate to the provision of social housing, to be audited by a local auditor appointed by the regulator.]

[F88(1A)The regulator may not appoint a local auditor to audit the accounts of a local authority if that person—

(a)is the person (or one of the persons) appointed under or by virtue of the Local Audit and Accountability Act 2014 to audit the authority's accounts, or

(b)was the person (or one of the persons) who carried out the most recent completed audit of the authority's accounts under or by virtue of that Act.

(1B)Sections 20(1), (2), (5) and (6), 22 and 23 of the Local Audit and Accountability Act 2014 (local auditors' general duties and right to documents etc) apply in relation to an audit under this section as they apply in relation to an audit of the local authority under or by virtue of that Act.

(1C)On completion of the audit under this section, the local auditor must report to the regulator about such matters and in such form as the regulator determines.]

F89(2). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F89(3). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(4)The local authority shall pay the [F90costs of the audit (including the local auditor's remuneration)].

[F91(5)In this section—

  • “accounts” has the meaning given by section 4 of the Local Audit and Accountability Act 2014;

  • “local auditor” means a person who is eligible for appointment under or by virtue of the Local Audit and Accountability Act 2014 as an auditor of the local authority's accounts.]]

Textual Amendments

F86Word in s. 210A heading substituted (1.4.2015) by Local Audit and Accountability Act 2014 (c. 2), s. 49(1), Sch. 12 para. 95(7); S.I. 2015/841, art. 3(x) (with Sch. para. 2) (as amended (27.6.2016) by S.I. 2016/675, art. 2)

F87Words in s. 210A(1) substituted (1.4.2015) by Local Audit and Accountability Act 2014 (c. 2), s. 49(1), Sch. 12 para. 95(2); S.I. 2015/841, art. 3(x) (with Sch. para. 2) (as amended (27.6.2016) by S.I. 2016/675, art. 2)

F88S. 210A(1A)-(1C) inserted (1.4.2015) by Local Audit and Accountability Act 2014 (c. 2), s. 49(1), Sch. 12 para. 95(3); S.I. 2015/841, art. 3(x) (with Sch. para. 2) (as amended (27.6.2016) by S.I. 2016/675, art. 2)

F90Words in s. 210A(4) substituted (1.4.2015) by Local Audit and Accountability Act 2014 (c. 2), s. 49(1), Sch. 12 para. 95(5); S.I. 2015/841, art. 3(x) (with Sch. para. 2) (as amended (27.6.2016) by S.I. 2016/675, art. 2)

F92. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .E+W

Textual Amendments

F92Ss. 211-214 and cross-heading omitted (6.4.2017) by virtue of Housing and Planning Act 2016 (c. 22), s. 216(3), Sch. 4 para. 31; S.I. 2017/75, reg. 4

F92211Non-profit providers onlyE+W

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

F92212Registered society: change of rulesE+W

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

F92213Charity: change of objectsE+W

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

F92214Companies: change of articlesE+W

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

GuidanceE+W

215Use of intervention powersE+W

(1)The regulator shall publish—

F93(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(b)guidance about how it uses and intends to use powers under this Chapter and Chapter 7.

[F94(1A)In determining whether the regulator has complied with subsection (1) in relation to its power to arrange for inspections under section 201(1), a plan published under section 201A may be taken into account.]

F95(2). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F96(2A). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3)The regulator shall have regard to guidance under this section.

Textual Amendments

Commencement Information

I20S. 215(1)(2) in force at 8.9.2008 by S.I. 2008/2358, art. 3(1)

I21S. 215(3) in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

216ConsultationE+W

Before giving guidance under section 215 the regulator must consult—

[F97(za)the Secretary of State,]

(a)one or more bodies appearing to it to represent the interests of registered providers,

[F98(aa)any body for the time being nominated under section 278A,]

(b)one or more[F99other] bodies appearing to it to represent the interests of tenants [F100of social housing],

[F101(ba)the Greater London Authority,]

(c)one or more bodies appearing to it to represent the interests of local housing authorities,

F102(d). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F103(e). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F104(f)the HCA.]

Textual Amendments

Commencement Information

I22S. 216 in force at 8.9.2008 by S.I. 2008/2358, art. 3(1) (with art. 3(3)(4))

Managers of social housingE+W

217AccreditationE+W

(1)The regulator may operate a scheme for the purpose of accrediting persons who provide services in connection with the management of social housing.

(2)The regulator may approve a scheme operated by someone else for that purpose.

(3)Approval may be withdrawn.

(4)A scheme may include provision about—

(a)eligibility for accreditation;

(b)standards to be met by accredited persons (which may operate by reference to standards under section 193 [F105or 194A]);

(c)monitoring compliance;

(d)complaints against accredited persons;

(e)renewal, suspension and withdrawal of accreditation.

(5)Accreditation, or continued accreditation, may be conditional on the payment of fees.

(6)Standards under section 193 [F106or 194A] may refer to accreditation under this section.

Textual Amendments

Commencement Information

I23S. 217 in force at 1.4.2010 by S.I. 2010/862, art. 2 (with Sch.)

[F107217AImplied terms of management services agreements relating to qualificationsE+W

(1)Each management services agreement in relation to social housing of a registered provider, whenever entered into, is to be treated as including the terms set out in subsection (4).

(2)In this section, a “management services agreement”, in relation to social housing of a registered provider, means an agreement under which one person (a “services provider”) agrees with another person (the “services recipient”) to provide services in connection with the management of social housing provided by the registered provider or to arrange for the provision of such services.

(3)For the purposes of subsection (2)—

(a)an agreement does not include a contract of employment or a contract of apprenticeship, and

(b)the services recipient may be the registered provider or another person.

(4)The terms are that—

(a)the services provider must secure that its relevant managers who are involved in the provision of services in connection with the management of social housing to which the agreement relates meet the qualification standard at all times;

(b)in the event that the services provider does not comply with the term set out in paragraph (a), the services provider will take such action to rectify the non-compliance as is reasonably required by the services recipient;

(c)the services provider must comply with any reasonable request for information demonstrating whether or not the services provider is complying with the term in paragraph (a) that is made by the registered provider who provides the social housing to which the agreement relates or (if different) the services recipient.

(5)A relevant manager of a services provider under a management services agreement “meets the qualification standard” if—

(a)a standard is in force under section 194A which requires the registered provider who provides the social housing to which the agreement relates to take steps to secure that the manager has, or is working towards, a qualification or type of qualification in housing management, and

(b)the manager has or (as the case may be) is working towards such a qualification,

or if there is no standard in force under section 194A which imposes a requirement described in paragraph (a).

(6)A term of a management services agreement is not binding on the services recipient to the extent it would—

(a)exclude or restrict the liability of the services provider for breach of a term implied by this section, or

(b)prevent an obligation under a term implied by this section arising or limiting its extent.

(7)In this section “relevant manager”, in relation to a services provider, has the same meaning as it has for the purposes of section 194A (see section 194A(5)).]

Textual Amendments

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