Housing and Regeneration Act 2008

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 [F1this 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 [F2of the section concerned].

F3(4). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F3(5). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F3(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.

[F4(9)Arrangements for a person other than a member of the regulator’s staff to carry out a survey may include provision about payments.]

[F5199ASurvey: 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.]

[F5199BSurvey: 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.]

200Survey: supplementalE+W

F6(1). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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

F7(3). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F8(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.]

[F9(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.

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.

F10(2). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F11(2A). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F12(3). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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

(5)An inspection may be general or specific.

F13(6). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F14(7)Arrangements for a person other than a member of the regulator's staff to carry out an inspection may include provision about payments.]

F15(7A). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F16(8). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F17201AInspection 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.]

202Inspections: supplementalE+W

F18(1). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F18(2). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F18(3). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F19(4). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F19(5). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F19(6). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F19(7). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F20(8). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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 [F21107(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.

[F22(12) In this section “ inspector ” means a person authorised in writing by the regulator to exercise the powers under this section [F23and section 203A] for the purposes of an inspection under section 201. ]

[F24203AAction 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.]

F25204Performance informationE+W

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

F26205Publication of performance informationE+W

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

206InquiryE+W

[F27(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 [F28or employees] of the regulator, and

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

F29(5). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

207Inquiry: supplementalE+W

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

[F30(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.

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 [F31107(2A) to (4) and (5) to (7)] and 108 apply for the purposes of this section (with any necessary modifications).

209Inquiry: charitiesE+W

F32(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.

210Extraordinary auditE+W

(1)Where an inquiry in respect of [F33a 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).

[F34210AExtraordinary [F35audit]: local authoritiesE+W

(1)Where an inquiry in respect of a local authority is being held, or has been held, under section 206, [F36the 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.]

[F37(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.]

F38(2). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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

(4)The local authority shall pay the [F39costs of the audit (including the local auditor's remuneration)].

[F40(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.]]