Part 2Regulation of Social Housing
Chapter 7Enforcement powers
Enforcement notice
I1219Overview
This group of sections allows the regulator to require a registered provider to take specified action to resolve a specified failure or other problem.
I2220Grounds for giving notice
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 F1applicable to it under section 193 or 194.
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 F2the 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.
F39
Case 8 is where the registered provider has failed to pay—
a
in the case of a private registered provider, an annual fee under section 117(1)(b);
b
in the case of a local authority, an initial fee or an annual fee under section 117(1)(a) or (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 an ombudsman appointed by virtue of section 124.
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.
I3221Content
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.
I4 222 F4 Notifying HCA etc
If the regulator gives an enforcement notice it must send a copy—
a
to the HCA, and
b
in the case of an enforcement notice given to a local authority, to the Secretary of State.
I5223Appeal
A registered provider who is given an enforcement notice may appeal to the High Court.
I6224Withdrawal
The regulator may withdraw an enforcement notice by notice to the registered provider.
I7225Sanction
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 the next group of sections, 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.