C1Part 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
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 F1the 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.
F29
Case 8 is where the registered provider has failed to F16pay 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 F10a housing ombudsman.
F911A
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F1411B
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.
F1111C
Case 13 is where the registered provider has failed to comply with directions or a request under section 198C.
F1511D
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.
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 F3 Notifying HCA etc
If the regulator gives an enforcement notice it must send a copy—
F4a
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F6za
to the HCA,
F5aa
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.
I5223Appeal
F131
A registered provider who is given an enforcement notice may appeal to the High Court.
F122
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.
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 F17sections 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.
Pt. 2 modified (1.4.2012) by Localism Act 2011 (c. 20), s. 240(2), Sch. 16 para. 69(2); S.I. 2012/628, art. 6(i) (with arts. 911141517)