Draft guidance note 5: Sections 219-225 鈥� Enforcement notices (enforcement power)

Question 1

The power听

Accepted Answer

1 - This power enables the regulator to require a registered provider to take a particular action or actions, which will be set out in an enforcement notice.听

Question 2

When the regulator will use this power听

Accepted Answer

2 - Section 220(2) of the Act sets out a number of specific grounds under which the regulator can use this power. These grounds are:听

where the registered provider has failed to meet a standard under section 193, 194 or 194C of the Act听
where the affairs of the registered provider have been mismanaged in relation to social housing ^{[footnote 1]}听
where the registered provider has failed to comply with an earlier enforcement notice听
where the registered provider has failed to publish information in accordance with a requirement under section 228(3) or 240(3) of the Act听
where the interests of tenants of the registered provider require protection听
where the registered provider is a PRP and its assets require protection听
where the registered provider has given an undertaking under section 125 of the鈥疉ct and failed to comply with it
where the registered provider has failed to pay an annual fee under section 117(1)(b) of the Act听
where an offence under Part 2 of the鈥疉ct has been committed by a registered provider听
where the registered provider has failed to comply with an Order made by the housing ombudsman听
where the registered provider:听
i) does not have a health and safety lead designated under section 126A of the Act, or听
ii) has failed to meet a requirement under section 126C of the Act, or听
iii) the functions of the health and safety lead are not being carried out听
where the registered provider has failed to comply with directions or a request under section 198C of the Act.听
where the registered provider has failed to comply with a performance improvement plan notice
where the registered provider has a performance improvement plan which has been approved by the regulator and has failed to implement it in full.

Question 3

Process for using the power听

Accepted Answer

3 - If the regulator is satisfied that one or more of the grounds as set out in section 220 of the Act apply, as set out at section 221 of the Act, the regulator will send a notice (鈥榚nforcement notice鈥�) to the registered provider, which will:听听

specify grounds on which the enforcement notice is being given听
specify actions the registered provider is required to take听听
specify timescales for the completion of those actions 鈥� the regulator will aim to impose reasonable timescales considering the actions which must be completed, however where the registered provider is required to take urgent action, the timescales will be commensurate with this听
i) explain that the registered provider has a statutory right of appeal to the High Court听
ii) explain the regulator may withdraw the enforcement notice by giving notice to the registered provider听
iii) explain that if the registered provider does not comply with the enforcement notice the regulator may consider exercising other regulatory or enforcement powers.

4 - The regulator will notify the following bodies by sending them a copy of the enforcement notice:听听

Homes England听
GLA (where the registered provider owns land in Greater London)听
the Secretary of State (where the registered provider is a local authority).听听

Question 4

Appeal process听

Accepted Answer

5 - There is a statutory right of appeal to the High Court, which must be brought within the period of 28 days beginning with the day on which the registered provider is given the enforcement notice.

Mismanagement has a specific meaning in the Act and is defined in section 275: 鈥楳ismanagement in relation to the affairs of a registered provider鈥� means managed in breach of any legal requirements (imposed by or under an Act or otherwise).听鈫‐u003c/a>

	Applicable
PRP (For profit)	yes
PRP (Not For profit)	yes
PRP (Registered charity)	yes
Local authority	yes

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