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SCHEDULES

Section 7.

SCHEDULE 1E+W+S Registered social landlords: regulation

Part IE+W Control of payments to members, &c

Payments by way of gift, dividend or bonusE+W

1(1)A registered social landlord shall not make a gift or pay a sum by way of dividend or bonus to—E+W

(a)a person who is or has been a member of the body,

(b)a person who is a member of the family of a person within paragraph (a), or

(c)a company of which a person within paragraph (a) or (b) is a director,

except as permitted by this paragraph.

(2)The following are permitted—

(a)the payment of a sum which, in accordance with the constitution or rules of the body, is paid as interest on capital lent to the body or subscribed by way of shares in the body;

(b)the payment by a fully mutual housing association to a person who has ceased to be a member of the association of a sum which is due to him either under his tenancy agreement with the association or under the terms of the agreement under which he became a member of the association.

[F1(c)the payment of a sum, in accordance with the constitution or rules of the body, to a registered social landlord which is a subsidiary or associate of the body.]

(3)Where [F2a registered society] or [F3a company] pays a sum or makes a gift in contravention of this paragraph, the society or company may recover the sum or the value of the gift, and proceedings for its recovery shall be taken if the [F4Relevant Authority] so directs.

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Amendments (Textual)

F1Sch. 1 para. 1(2)(c) inserted (18.1.2005) by Housing Act 2004 (c. 34), s. 270(3)(c), Sch. 11 para. 14

F2Words in Act substituted (1.8.2014) by Co-operative and Community Benefit Societies Act 2014 (c. 14), s. 154, Sch. 4 para. 56 (with Sch. 5)

F4Words in Pt. I substituted (1.11.1998) by 1998 c. 38, s. 140, Sch. 16 para. 82(1)(2) (with ss. 139(2), 141(1), 143(2)); S.I. 1998/2244, art.5.

Payments and benefits to officers and employees, &c.E+W

2(1)A registered social landlord which is [F2a registered society] or [F5a company] shall not make a payment or grant a benefit to—E+W

(a)an officer or employee of the society or company,

(b)a person who at any time within the preceding twelve months has been a person within paragraph (a),

(c)a close relative of a person within paragraph (a) or (b), or

(d)a business trading for profit of which a person falling within paragraph (a), (b) or (c) is a principal proprietor or in the management of which such a person is directly concerned,

except as permitted by this paragraph.

(2)The following are permitted—

(a)payments made or benefits granted to an officer or employee of the society or company under his contract of employment with the society or company;

(b)the payment of remuneration or expenses to an officer of the society or company who does not have a contract of employment with the society or company;

(c)any such payment as may be made in accordance with paragraph 1(2) (interest payable in accordance with the rules and certain sums payable by a fully mutual housing association to a person who has ceased to be a member);

(d)the grant or renewal of a tenancy by a co-operative housing association;

(e)where a tenancy of a house has been granted to, or to a close relative of, a person who later became an officer or employee, the grant to that tenant of a new tenancy whether of the same or another house;

(f)payments made or benefits granted in accordance with any determination made by the [F6Relevant Authority].

(3)A determination for the purposes of sub-paragraph (2)(f) may specify the class or classes of case in which a payment may be made or benefit granted and specify the maximum amount.

(4)Where a society or company pays a sum or grants a benefit in contravention of this paragraph, the society or company may recover the sum or value of the benefit; and proceedings for its recovery shall be taken if the [F6Relevant Authority] so directs.

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Amendments (Textual)

F6Words in Pt. I substituted (1.11.1998) by 1998 c. 38, s. 140, Sch. 16 para. 82(1)(2) (with ss. 139(2), 141(1), 143(2)); S.I. 1998/2244, art.5.

Commencement Information

I1Sch. 1 para. 2 wholly in force at 1.10.1996; Sch. 1 para. 2 not in force at Royal Assent; Sch. 1 para. 2(2)(f) in force for certain purposes at 1.8.1996 by S.I. 1996/2048, art. 3; Sch. 1 para. 2 in force at 1.10.1996 to the extent that it is not already in force by S.I. 1996/2404, art. 3 (subject to the transitional provisions and savings in the Sch. of that S.I.)

Maximum amounts payable by way of fees, expenses, &c.E+W

3(1)The [F7Relevant Authority] may from time to time specify the maximum amounts which may be paid by a registered social landlord which is [F2a registered society] or [F8a company]E+W

(a)by way of fees or other remuneration, or by way of expenses, to a member of the society or company who is not an officer or employee of the society or company, or

(b)by way of remuneration or expenses to an officer of the society or company who does not have a contract of employment with the society or company.

(2)Different amounts may be so specified for different purposes.

(3)Where a society or company makes a payment in excess of the maximum permitted under this paragraph, the society or company may recover the excess, and proceedings for its recovery shall be taken if the [F7Relevant Authority] so directs.

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Amendments (Textual)

F7Words in Pt. I substituted (1.11.1998) by 1998 c. 38, s. 140, Sch. 16 para. 82(1)(2) (with ss. 139(2), 141(1), 143(2)); S.I. 1998/2244, art.5.

Commencement Information

I2Sch. 1 para. 3 wholly in force 1.10.1996; Sch. 1 para. 3 not in force at Royal Assent see s. 232(3); Sch. 1 para. 3(1)(2) in force at 1.8.1996 by 1996/2048, art. 2(1); Sch. 1 para. 3 in force at 1.10.1996 to the extent it is not already in force, by S.I. 1996/2402, art. 3 (subject to the transitional provisions in the Sch. to that S.I.)

Part IIE+W+S Constitution, change of rules, amalgamation and dissolution

General power to remove [F9officer] E+W

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Amendments (Textual)

F9Words in Sch. 1 para. 4 heading substituted (18.10.2011) by Housing (Wales) Measure 2011 (nawm 5), ss. 84(2), 90(2); S.I. 2011/2475, arts. 1(2), 2(s)

4(1)The [F10Relevant Authority] may, in accordance with the following provisions, by order remove [F11 an officer of a registered social landlord]

F12(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F12(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F12(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(2)The [F10Relevant Authority] may make an order removing any such person if—

(a)he has been [F13made] bankrupt or [F14a debt relief order (under Part 7A of the Insolvency Act 1986) has been made in respect of him, or he] has made an arrangement with his creditors;

[F15(b)he is subject to a disqualification order or disqualification undertaking under the Company Directors Disqualification Act 1986 or the Company Directors Disqualification (Northern Ireland) Order 2002;]

(c)he is subject to an order under section 429(2) of the M1Insolvency Act 1986 (failure to pay under county court administration order);

(d)he is disqualified under [F16section 178 of the Charities Act 2011] from being a charity trustee;

(e)he is incapable of acting by reason of mental disorder;

(f)he has not acted; or

(g)he cannot be found or does not act and his absence or failure to act is impeding the proper management of the registered social landlord’s affairs.

(3)Before making an order the [F10Relevant Authority] shall give at least 14 days’ notice of its intention to do so to the person whom it intends to remove, and to the registered social landlord.

(4)That notice may be given by post, and if so given to the person whom the [F10Relevant Authority] intend to remove may be addressed to his last known address in the United Kingdom.

(5)A person who is ordered to be removed under this paragraph may appeal against the order to the High Court.

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Amendments (Textual)

F10Words in Pt. I substituted (1.11.1998) by 1998 c. 38, s. 140, Sch. 16 para. 82(1)(2) (with ss. 139(2), 141(1), 143(2)); S.I. 1998/2244, art. 5.

F11Words in Sch. 1 para. 4(1) inserted (18.10.2011) by Housing (Wales) Measure 2011 (nawm 5), ss. 84(3)(a), 90(2); S.I. 2011/2475, arts. 1(2), 2(s)

F12Sch. 1 para. 4(1)(a)-(c) omitted (18.10.2011) by virtue of Housing (Wales) Measure 2011 (nawm 5), ss. 84(3)(b), 90(2); S.I. 2011/2475, arts. 1(2), 2(s)

F16Words in Sch. 1 para. 4(2)(d) substituted (14.3.2012) by Charities Act 2011 (c. 25), s. 355, Sch. 7 para. 72(2) (with s. 20(2), Sch. 8)

Marginal Citations

Restriction on power of removal in case of registered charityE+W

5(1)The [F17Relevant Authority] may make an order under paragraph 4 removing [F18an officer] of a registered charity only if the charity has [F19 received public assistance] F20...

F21(2). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Amendments (Textual)

F17Words in Pt. I substituted (1.11.1998) by 1998 c. 38, s. 140, Sch. 16 para. 82(1)(2) (with ss. 139(2), 141(1), 143(2)); S.I. 1998/2244, art.5.

F18Words in Sch. 1 para. 5(1) substituted (18.10.2011) by Housing (Wales) Measure 2011 (nawm 5), ss. 84(4), 90(2); S.I. 2011/2475, arts. 1(2), 2(s)

F20Words in Sch. 1 para. 5(1) omitted (18.10.2011) by virtue of Housing (Wales) Measure 2011 (nawm 5), s. 90(2), Sch. para. 13(a)(ii); S.I. 2011/2475, arts. 1(2), 2(v)

F21Sch. 1 para. 5(2) omitted (18.10.2011) by virtue of Housing (Wales) Measure 2011 (nawm 5), s. 90(2), Sch. para. 13(b); S.I. 2011/2475, arts. 1(2), 2(v)

Registered charity: power to appoint new [F22officer] E+W

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Amendments (Textual)

F22Words in Sch. 1 para. 6 cross-heading substituted (18.10.2011) by Housing (Wales) Measure 2011 (nawm 5), ss. 85(2), 90(2); S.I. 2011/2475, arts. 1(2), 2(s)

6(1)The [F23Relevant Authority] may by order appoint a person to be a [F24officer] of a registered social landlord which is a registered charity—

(a)in place of a person removed by the [F23Relevant Authority],

(b)where there are [F25no officers] , or

(c)where the [F23Relevant Authority] is of the opinion that it is necessary for the proper management of the charity’s affairs to have an additional [F26officer] .

The power conferred by paragraph (c) may be exercised notwithstanding that it will cause the maximum number of [F27officers] permissible under the charity’s constitution to be exceeded.

(2)The [F23Relevant Authority] shall only exercise its power under sub-paragraph (1) if—

(a)the charity has, at any time before the power is exercised, received [F28public assistance] , and

(b)the [F23Relevant Authority] has consulted the [F29Charity Commission] .

(3)A person may be so appointed notwithstanding any restrictions on appointment in the charity’s constitution or rules.

(4)A person appointed under this paragraph shall hold office for such period and on such terms as the [F23Relevant Authority] may specify; and on the expiry of the appointment the [F23Relevant Authority] may renew the appointment for such period as it may specify.

This does not prevent a person appointed under this paragraph from retiring in accordance with the charity’s constitution or rules.

(5)A person appointed under this paragraph as [F30an officer] of a registered charity is entitled—

(a)to attend, speak and vote at any general meeting of the charity and to receive all notices of and other communications relating to any such meeting which a member is entitled to receive,

(b)to move a resolution at any general meeting of the charity, and

(c)to require a general meeting of the charity to be convened within 21 days of a request to that effect made in writing to the directors or trustees.

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Amendments (Textual)

F23Words in Pt. I substituted (1.11.1998) by 1998 c. 38, s. 140, Sch. 16 para. 82(1)(2) (with ss. 139(2), 141(1), 143(2)); S.I. 1998/2244, art.5.

F24Words in Sch. 1 para. 6(1) substituted (18.10.2011) by Housing (Wales) Measure 2011 (nawm 5), ss. 85(3)(a), 90(2); S.I. 2011/2475, arts. 1(2), 2(s)

F25Words in Sch. 1 para. 6(1)(b) substituted (18.10.2011) by Housing (Wales) Measure 2011 (nawm 5), ss. 85(3)(b), 90(2); S.I. 2011/2475, arts. 1(2), 2(s)

F26Words in Sch. 1 para. 6(1)(c) substituted (18.10.2011) by Housing (Wales) Measure 2011 (nawm 5), ss. 85(3)(c), 90(2); S.I. 2011/2475, arts. 1(2), 2(s)

F27Words in Sch. 1 para. 6(1) substituted (18.10.2011) by Housing (Wales) Measure 2011 (nawm 5), ss. 85(3)(d), 90(2); S.I. 2011/2475, arts. 1(2), 2(s)

F28Words in Sch. 1 para. 6(2)(a) substituted (18.10.2011) by Housing (Wales) Measure 2011 (nawm 5), s. 90(2), Sch. para. 14; S.I. 2011/2475, arts. 1(2), 2(v)

F29Words in Sch. 1 para. 6(2) substituted (27.2.2007) by Charities Act 2006 (c. 50), s. 79(2), Sch. 8 para. 192(2); S.I. 2007/309, art. 2, Sch.

F30Words in Sch. 1 para. 6(5) substituted (18.10.2011) by Housing (Wales) Measure 2011 (nawm 5), ss. 85(3)(e), 90(2); S.I. 2011/2475, arts. 1(2), 2(s)

Company: power to appoint new [F31officer] E+W

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Amendments (Textual)

F31Word in Sch. 1 para. 7 cross-heading substituted (18.10.2011) by Housing (Wales) Measure 2011 (nawm 5), ss. 85(4), 90(2); S.I. 2011/2475, arts. 1(2), 2(s)

7(1)The [F32Relevant Authority] may by order appoint a person to be [F33an officer] of a registered social landlord which is [F34a company]

(a)in place of [F33an officer] removed by the [F32Relevant Authority],

(b)where there are [F35no officers] , or

(c)where the [F32Relevant Authority] is of the opinion that it is necessary for the proper management of the company’s affairs to have an additional [F36officer] .

(2)A person may be so appointed whether or not he is a member of the company and notwithstanding anything in the company’s articles of association.

(3)Where a person is appointed under this paragraph—

(a)he shall hold office for such period and on such terms as the [F32Relevant Authority] may specify, and

(b)on the expiry of the appointment the [F32Relevant Authority] may renew the appointment for such period as it may specify.

This does not prevent a person from retiring in accordance with the company’s articles of association.

[F37(4)A person appointed under this paragraph is entitled—

(a)to receive all such communications relating to a written resolution proposed to be agreed to by the company as are required to be supplied to a member of the company;

(b)to receive all notices of, and other communications relating to, any general meeting which a member of the company is entitled to receive, and to attend, speak and vote at any such meeting;

(c)to move a resolution at any general meeting of the company; and

(d)to require a general meeting of the company to be convened within 21 days of a request to that effect made in writing to the directors of the company.]

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Amendments (Textual)

F32Words in Pt. I substituted (1.11.1998) by 1998 c. 38, s. 140, Sch. 16 para. 82(1)(2) (with ss. 139(2), 141(1), 143(2)); S.I. 1998/2244, art.5.

F33Words in Sch. 1 para. 7(1) substituted (18.10.2011) by Housing (Wales) Measure 2011 (nawm 5), ss. 85(5)(a), 90(2); S.I. 2011/2475, arts. 1(2), 2(s)

F35Words in Sch. 1 para. 7(1)(b) substituted (18.10.2011) by Housing (Wales) Measure 2011 (nawm 5), ss. 85(5)(b), 90(2); S.I. 2011/2475, arts. 1(2), 2(s)

F36Word in Sch. 1 para. 7(1)(c) substituted (18.10.2011) by Housing (Wales) Measure 2011 (nawm 5), ss. 85(5)(c), 90(2); S.I. 2011/2475, arts. 1(2), 2(s)

[F38Registered society]: power to appoint [F39officer] E+W

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Amendments (Textual)

F38Words in Sch. 1 para. 8 heading substituted (1.8.2014) by Co-operative and Community Benefit Societies Act 2014 (c. 14), s. 154, Sch. 4 para. 65(2) (with Sch. 5)

F39Words in Sch. 1 para. 8 cross-heading substituted (18.10.2011) by Housing (Wales) Measure 2011 (nawm 5), ss. 85(6), 90(2); S.I. 2011/2475, arts. 1(2), 2(s)

8(1)The [F40Relevant Authority] may by order appoint a person to be [F41an officer] of a registered social landlord which is [F2a registered society]

(a)in place of a person removed by the [F40Relevant Authority],

(b)where there are [F42no officers], or

(c)where the [F40Relevant Authority] is of the opinion that it is necessary for the proper management of the society’s affairs to have an additional [F43officer] .

The power conferred by paragraph (c) may be exercised notwithstanding that it will cause the maximum number of [F44officers] permissible under the society’s constitution to be exceeded.

(2)A person may be so appointed whether or not he is a member of the society and, if he is not, notwithstanding that the rules of the society restrict appointment to members.

(3)A person appointed under this paragraph shall hold office for such period and on such terms as the [F40Relevant Authority] may specify; and on the expiry of the appointment the [F40Relevant Authority] may renew the appointment for such period as it may specify.

This does not prevent a person appointed under this paragraph from retiring in accordance with the rules of the society.

(4)A person appointed under this paragraph is entitled—

(a)to attend, speak and vote at any general meeting of the society and to receive all notices of and other communications relating to any general meeting which a member of the society is entitled to receive,

(b)to move a resolution at any general meeting of the society, and

(c)to require a general meeting of the society to be convened within 21 days of a request to that effect made in writing to the committee of the society.

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Amendments (Textual)

F40Words in Pt. I substituted (1.11.1998) by 1998 c. 38, s. 140, Sch. 16 para. 82(1)(2) (with ss. 139(2), 141(1), 143(2)); S.I. 1998/2244, art.5.

F41Words in Sch. 1 para. 8(1) substituted (18.10.2011) by Housing (Wales) Measure 2011 (nawm 5), ss. 85(7)(a), 90(2); S.I. 2011/2475, arts. 1(2), 2(s)

F42Words in Sch. 1 para. 8(1) substituted (18.10.2011) by Housing (Wales) Measure 2011 (nawm 5), ss. 85(7)(d), 90(2); S.I. 2011/2475, arts. 1(2), 2(s)

F43Words in Sch. 1 para. 8(1)(c) substituted (18.10.2011) by Housing (Wales) Measure 2011 (nawm 5), ss. 85(7)(c), 90(2); S.I. 2011/2475, arts. 1(2), 2(s)

F44Words in Sch. 1 para. 8(1)(b) substituted (18.10.2011) by Housing (Wales) Measure 2011 (nawm 5), ss. 85(7)(b), 90(2); S.I. 2011/2475, arts. 1(2), 2(s)

Change of rules, &c. by [F45registered society] E+W+S

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Amendments (Textual)

F45Words in Sch. 1 para. 9 heading substituted (1.8.2014) by Co-operative and Community Benefit Societies Act 2014 (c. 14), s. 154, Sch. 4 para. 65(3) (with Sch. 5)

9(1)This paragraph applies to [F2a registered society] whose registration as a social landlord has been recorded by the [F46Financial Conduct Authority].E+W+S

(2)Notice shall be sent to the [F47Relevant Authority] of any change of the society’s name or of the situation of its registered office.

(3)Any other amendment of the society’s rules is not valid without the Corporation’s consent F48...

[F49(3A)Consent under sub-paragraph (3)—

(a)if given by the Housing Corporation, shall be given by order under its seal, and

(b)[F50Consent given by] the [F51Welsh Ministers] [F52under sub-paragraph (3)] , shall be given by order in writing.]

(4)A copy of that consent shall be sent with the copies of the amendment required by [F53section 16 of the Co-operative and Community Benefit Societies Act 2014 (“the 2014 Act”)] to be sent to the [F46Financial Conduct Authority].

(5)[F54The 2014 Act] applies in relation to the provisions of this paragraph as if they were contained in [F55section 16] of that Act (amendment of registered rules).

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Amendments (Textual)

F47Words in Pt. I substituted (1.11.1998) by 1998 c. 38, s. 140, Sch. 16 para. 82(1)(2) (with ss. 139(2), 141(1), 143(2)); S.I. 1998/2244, art. 5.

F48Words in Sch. 1 para. 9(3) repealed (1.11.1998) by 1998 c. 38, ss. 140, 152, Sch. 16 para. 96(2)(a), Sch. 18 Pt. VI (with ss. 137(1), 139(2), 141(1), 143(2)); S.I. 1998/2244, art. 5.

F49Sch. 1 para. 9(3A) inserted (1.11.1998) by 1998 c. 38, s. 140, Sch. 16 para. 96(2)(b) (with ss. 139(2), 141(1), 143(2)); S.I. 1998/2244, art. 5.

F51Words in Sch. 1 para. 9(3A)(b) substituted (1.4.2010) by Housing and Regeneration Act 2008 (c. 17), ss. 62(a), 325(1); S.I. 2010/862, art. 2 (with Sch.)

F53Words in Sch. 1 para. 9(4) substituted (1.8.2014) by Co-operative and Community Benefit Societies Act 2014 (c. 14), s. 154, Sch. 4 para. 65(4)(a) (with Sch. 5)

Modifications etc. (not altering text)

Change of objects by certain charitiesE+W

10(1)This paragraph applies to a registered social landlord—

(a)which is a registered charity and is not [F56a company] , and

(b)whose registration under this Part of this Act has been recorded by the [F57Charity Commission] in accordance with section 3(3).

(2)No power contained in the provisions establishing the registered social landlord as a charity, or regulating its purposes or administration, to vary or add to its objects may be exercised without the consent of the [F57Charity Commission] .

Before giving [F58its] consent the [F57Charity Commission] shall consult the [F59Relevant Authority].

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Amendments (Textual)

F57Words in Sch. 1 para. 10(1)(2) substituted (27.2.2007) by Charities Act 2006 (c. 50), s. 79(2), Sch. 8 para. 192(3)(a); S.I. 2007/309, art. 2, Sch.

F58Word in Sch. 1 para. 10(2) substituted (27.2.2007) by Charities Act 2006 (c. 50), s. 79(2), Sch. 8 para. 192(3)(b); S.I. 2007/309, art. 2, Sch.

F59Words in Pt. I substituted (1.11.1998) by 1998 c. 38, s. 140, Sch. 16 para. 82(1)(2) (with ss. 139(2), 141(1), 143(2)); S.I. 1998/2244, art.5.

Change of [F60articles] of companyE+W

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Amendments (Textual)

11(1)This paragraph applies to [F61a company (including a company that is a registered charity)] whose registration as a social landlord has been recorded by the registrar of companies.

(2)Notice shall be sent to the [F62Relevant Authority] of any change of the company’s name or of the address of its registered office.

(3)Any other alteration of the company’s [F63articles] of which notice is required to be given to the registrar of companies is not valid without the Corporation’s consent F64...

[F65(3A)Consent under sub-paragraph (3)—

(a)if given by the Housing Corporation, shall be given by order under its seal, and

(b)[F66Consent given by] the [F67Welsh Ministers] [F68under sub-paragraph (3)] , shall be given by order in writing.]

(4)A copy of that consent shall be sent [F69with the copy of the resolution making the alterations that is required to be sent to the registrar of companies under section 30 of the Companies Act 2006] .

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Amendments (Textual)

F62Words in Pt. I substituted (1.11.1998) by 1998 c. 38, s. 140, Sch. 16 para. 82(1)(2) (with ss. 139(2), 141(1), 143(2)); S.I. 1998/2244, art.5.

F64Words in Sch. 1 para. 11(3) repealed (1.11.1998) by 1998 c. 38, ss. 140, 152, Sch. 16 para. 96(2)(a), Sch. 18 Pt.VI (with ss. 137(1), 139(2), 141(1), 143(2)); S.I. 1998/2244, art.5.

F65Sch. 1 para. 11(3A) inserted (1.11.1998) by 1998 c. 38, s. 140, Sch. 16 para. 96(2)(b) (with ss. 139(2), 141(1), 143(2)); S.I. 1998/2244, art.5.

F67Words in Sch. 1 para. 11(3A)(b) substituted (1.4.2010) by Housing and Regeneration Act 2008 (c. 17), ss. 62(a), 325(1); S.I. 2010/862, art. 2 (with Sch.)

Modifications etc. (not altering text)

Amalgamation and dissolution &c. of [F70registered society]E+W+S

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Amendments (Textual)

F70Words in Sch. 1 para. 12 heading substituted (1.8.2014) by Co-operative and Community Benefit Societies Act 2014 (c. 14), s. 154, Sch. 4 para. 65(5) (with Sch. 5)

12(1)This paragraph applies to [F2a registered society] whose registration as a social landlord has been recorded by the [F71Financial Conduct Authority].E+W

(2)The [F71Financial Conduct Authority] shall not register a special resolution which is passed for the purposes of—

[F72(a)section 109 of the Co-operative and Community Benefit Societies Act 2014 (“the 2014 Act”) (amalgamation of societies),

(b)section 110 of that Act (transfer of engagements between societies), or

(c)section 112 of that Act (conversion of society into a company etc),]

unless, together with the copy of the resolution, there is sent to [F73it] a copy of the [F74Relevant Authority’s] consent to the amalgamation, transfer or conversion.

(3)Any new body created by the amalgamation or conversion or, in the case of a transfer of engagements, the transferee, shall be deemed to be registered as a social landlord forthwith upon the amalgamation, conversion or transfer taking effect.

(4)If the society resolves by special resolution that it be wound up voluntarily under the M2Insolvency Act 1986, the resolution has no effect unless—

(a)before the resolution was passed the [F74Relevant Authority] gave its consent to its passing, and

(b)a copy of the consent is forwarded to the [F71Financial Conduct Authority] together with a copy of the resolution required to be so forwarded in accordance with [F75section 123(3)(a) of the 2014 Act.]

(5)If the society is to be dissolved by instrument of dissolution, the [F71Financial Conduct Authority] shall not—

(a)register the instrument in accordance with [F76section 121 of the 2014 Act], or

(b)cause notice of the dissolution to be advertised in accordance with [F77section 122] of that Act,

unless together with the instrument there is sent to [F78it] a copy of the [F74Relevant Authority’s] consent to its making.

(6)The references in this paragraph to the [F74Relevant Authority’s] consent [F79are—

(a)if it is given by the Housing Corporation, to consent given by order under its seal, and

(b)[F80Consent given by] the [F81Welsh Ministers] [F82under this paragraph shall be] given by order in writing.]

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Amendments (Textual)

F73Word in Sch. 1 para. 12(2) substituted (1.12.2001) by S.I. 2001/3649, arts. 1, 357(3)(b)(ii)

F74Words in Pt. I substituted (1.11.1998) by 1998 c. 38, s. 140, Sch. 16 para. 82(1)(2) (with ss. 139(2), 141(1), 143(2)); S.I. 1998/2244, art. 5.

F75Words in Sch. 1 para. 12(4)(b) substituted (1.8.2014) by Co-operative and Community Benefit Societies Act 2014 (c. 14), s. 154, Sch. 4 para. 65(6)(b) (with Sch. 5)

F78Word in Sch. 1 para. 12(5) substituted (1.12.2001) by S.I. 2001/3649, arts. 1, 357(3)(d)(ii)

F79Sch. 1 para. 12(6)(a)(b) and the word “are” immediately preceding substituted (1.11.1998) by 1998 c. 38, s. 140, Sch. 16 para. 96(3) (with ss. 139(2), 141(1), 143(2)); S.I. 1998/2244, art. 5.

F81Words in Sch. 1 para. 12(6) substituted (18.10.2011) by Housing (Wales) Measure 2011 (nawm 5), s. 90(2), Sch. para. 15; S.I. 2011/2475, arts. 1(2), 2(v)

Modifications etc. (not altering text)

Marginal Citations

Arrangement, reconstruction, &c. of companyE+W

13(1)This paragraph applies to [F83a company] whose registration as a social landlord has been recorded by the registrar of companies.

(2)An order of the court given for the purposes of [F84section 899 of the Companies Act 2006] (compromise or arrangement with creditors or members) is not effective unless the [F85Relevant Authority] has given its consent.

A copy of the consent shall be sent to the registrar of companies along with the office copy of the order delivered to him under that section.

(3)An order of the court given for the purposes of [F86section 900 of the Companies Act 2006] (transfer of undertaking or property for purposes of reconstruction or amalgamation) is not effective unless the [F85Relevant Authority] has given its consent.

A copy of the consent shall be sent to the registrar of companies along with the office copy of the order delivered to him under that section.

(4)The registrar of companies shall not register any resolution under [F87section 115 of the Co-operative and Community Benefit Societies Act 2014 (conversion of company into registered society)], unless, together with the copy of the resolution, there is sent to him a copy of the [F85Relevant Authority’s] consent to the conversion.

(5)Where a director, administrator or liquidator of the company proposes to make a voluntary arrangement with the company’s creditors under section 1 of the M3Insolvency Act 1986, the arrangement shall not take effect under section 5 (effect of approval by members and creditors) of that Act unless the [F85Relevant Authority] has given its consent to the voluntary arrangement.

(6)If the company resolves by special resolution that it be wound up voluntarily under the Insolvency Act 1986, the resolution has no effect unless—

(a)before the resolution was passed the [F85Relevant Authority] gave its consent to its passing, and

(b)a copy of the consent is forwarded to the registrar of companies together with a copy of the resolution required to be so forwarded in accordance with [F88section 30 of the Companies Act 2006] .

(7)The references in this paragraph to the [F85Relevant Authority’s] consent [F89are—

(a)if it is given by the Housing Corporation, to consent given by order under its seal, and

(b)[F90Consent given by] the [F91Welsh Ministers] [F92under this paragraph shall be] given by order in writing.]

(8)Where sub-paragraph (3) or (4) applies, the transferee or, as the case may be, any new body created by the conversion shall be deemed to be registered as a social landlord forthwith upon the transfer or conversion taking effect.

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Amendments (Textual)

F85Words in Pt. I substituted (1.11.1998) by 1998 c. 38, s. 140, Sch. 16 para. 82(1)(2) (with ss. 139(2), 141(1), 143(2)); S.I. 1998/2244, art.5.

F89Sch. 1 para. 13(7)(a)(b) and the word “are” immediately preceding substituted (1.11.1998) by 1998 c. 38, s. 140, Sch. 16 para. 96(3) (with ss. 139(2), 141(1), 143(2)); S.I. 1998/2244, art.5.

F91Words in Sch. 1 para. 13(7)(b) substituted (18.10.2011) by Housing (Wales) Measure 2011 (nawm 5), s. 90(2), Sch. para. 16; S.I. 2011/2475, arts. 1(2), 2(v)

Modifications etc. (not altering text)

Marginal Citations

[F93Relevant Authority’s] power to petition for winding upE+W+S+N.I.

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Amendments (Textual)

F93Words in Pt. I substituted (1.11.1998) by 1998 c. 38, s. 140, Sch. 16 para. 82(1)(2) (with ss. 139(2), 141(1), 143(2)); S.I. 1998/2244, art.5.

14(1)The [F94Relevant Authority] may present a petition for the winding up under the Insolvency Act 1986 of a registered social landlord which is—E+W+S+N.I.

[F95(a)a company (including a company that is a registered charity), or]

(b)[F2a registered society] (to which the winding up provisions of the M4Insolvency Act 1986 apply in accordance with [F96section 123 of the Co-operative and Community Benefit Societies Act 2014]),

on either of the following grounds.

(2)The grounds are—

(a)that the landlord is failing properly to carry out its purposes or objects, or

(b)that the landlord is unable to pay its debts within the meaning of section 123 of the Insolvency Act 1986.

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Amendments (Textual)

F94Words in Pt. I substituted (1.11.1998) by 1998 c. 38, s. 140, Sch. 16 para. 82(1)(2) (with ss. 139(2), 141(1), 143(2)); S.I. 1998/2244, art.5.

Marginal Citations

Transfer of net assets on dissolution or winding upE+W+S

15(1)This paragraph applies—E+W+S

(a)where a registered social landlord which is [F2a registered society] is dissolved as mentioned in [F97section 119 or 123 of the Co-operative and Community Benefit Societies Act 2014 (dissolution by instrument of dissolution or by winding up)], and

(b)where a registered social landlord which is [F98a company (including a company that is a registered charity)] is wound up under the Insolvency Act 1986.

(2)On such a dissolution or winding-up, so much of the property of the society or company as remains after meeting the claims of its creditors and any other liabilities arising on or before the dissolution or winding-up shall be transferred to the [F99Relevant Authority] or, if the [F99Relevant Authority] so directs, to a specified registered social landlord.

The above provision has effect notwithstanding anything in [F100the Co-operative and Community Benefit Societies Act 2014], [F101the Companies Act 2006] or the Insolvency Act 1986, or in the rules of the society or, as the case may be, in the [F101articles] of the company.

(3)In order to avoid the necessity for the sale of land belonging to the registered social landlord and thereby secure the transfer of the land under this paragraph, the [F99Relevant Authority] may, if it appears to it appropriate to do so, make payments to discharge such claims or liabilities as are referred to in sub-paragraph (2).

(4)Where the registered social landlord which is dissolved or wound up is a charity, the [F99Relevant Authority] may dispose of property transferred to it by virtue of this paragraph only to another registered social landlord—

(a)which is also a charity, and

(b)the objects of which appear to the [F99Relevant Authority] to be, as nearly as practicable, akin to those of the body which is dissolved or wound up.

[F102(5)In any other case the Welsh Ministers may dispose of property transferred to them by virtue of this paragraph to a registered social landlord.]

(6)Where property transferred to the [F99Relevant Authority] by virtue of this paragraph includes land subject to an existing mortgage or charge (whether in favour of the [F99Relevant Authority] or not), the [F99Relevant Authority] may, in exercise of its powers under Part III of the M5Housing Associations Act 1985, dispose of the land either—

(a)subject to that mortgage or charge, or

(b)subject to a new mortgage or charge in favour of the [F99Relevant Authority] securing such amount as appears to the [F99Relevant Authority] to be appropriate in the circumstances.

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Amendments (Textual)

F99Words in Pt. I substituted (1.11.1998) by 1998 c. 38, s. 140, Sch. 16 para. 82(1)(2) (with ss. 139(2), 141(1), 143(2)); S.I. 1998/2244, art.5.

Marginal Citations

[F103Transfer of net assets on termination of charity not within paragraph 15(1)E+W+S

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Amendments (Textual)

F103Sch. 1 para. 15A and preceding cross-heading inserted (18.11.2004 for specified purposes) by Housing Act 2004 (c. 34), s. 270(2)(b), Sch. 11 para. 16

15A(1)The [F104 Welsh Ministers] may by regulations provide for any provisions of paragraph 15(2) to (6) to apply in relation to a registered social landlord within sub-paragraph (2)—E+W+S

(a)in such circumstances, and

(b)with such modifications,

as may be specified in the regulations.

(2)A registered social landlord is within this sub-paragraph if—

(a)it is a registered charity, and

(b)it does not fall within sub-paragraph (1) of paragraph 15.

(3)Regulations under this paragraph may in particular provide that any provision of the regulations requiring the transfer of any property of the charity is to have effect notwithstanding—

(a)anything in the terms of its trusts, or

(b)any resolution, order or other thing done for the purposes of, or in connection with, the termination of the charity in any manner specified in the regulations.

(4)Any regulations under this paragraph shall be made by statutory instrument which shall be subject to annulment in pursuance of a resolution of [F105the National Assembly for Wales] .]

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Amendments (Textual)

F104Words in Sch. 1 para. 15A(1) substituted (1.4.2010) by Housing and Regeneration Act 2008 (c. 17), ss. 62(a), 325(1); S.I. 2010/862, art. 2 (with Sch.)

F105Words in Sch. 1 para. 15A(4) substituted (1.4.2010) by Housing and Regeneration Act 2008 (c. 17), ss. 63, 325(1); S.I. 2010/862, art. 2 (with Sch.)

[F106Management etcE+W

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Amendments (Textual)

F106Sch. 1 para. 15B and cross-heading inserted (18.10.2011 for specified purposes, 2.12.2011 in so far as not already in force) by Housing (Wales) Measure 2011 (nawm 5), ss. 72, 90(2); S.I. 2011/2475, arts. 1(2), 2(o), 3(h)

Management tenderE+W

15B(1)This paragraph applies if the Welsh Ministers are satisfied that—

(a)a registered social landlord has failed to meet a standard under section 33A, or

(b)there has been misconduct or mismanagement in the affairs of the registered social landlord.

(2)But this paragraph does not apply where the misconduct or mismanagement relates only to the registered social landlord's provision of housing in England.

(3)The Welsh Ministers may require the registered social landlord to implement a process specified by them for the purpose of—

(a)inviting persons to apply to undertake management functions of the registered social landlord, and

(b)selecting from the applications and making an appointment.

(4)A requirement may relate to—

(a)the registered social landlord's affairs generally, or

(b)specified affairs.

(5)A requirement must include—

(a)provision about the constitution of a selection panel (which must include provision for ensuring representation of tenants' interests),

(b)provision for ensuring best procurement practice (and consistent with any applicable procurement law), and

(c)provision about the terms and conditions on which the manager is to be appointed (including provision about—

(i)setting, monitoring and enforcing performance standards, and

(ii)resources).]

Management tender: supplementalE+W

[F10715C(1)Before acting under paragraph 15B(3) the Welsh Ministers must give the registered social landlord a notice—

(a)specifying grounds on which action might be taken under that paragraph,

(b)warning the landlord that the Welsh Ministers are considering action under that paragraph, and

(c)explaining the effect of this paragraph.

(2)The notice must specify a period during which the registered social landlord may make representations to the Welsh Ministers.

(3)The period must—

(a)be a period of at least 28 days, and

(b)begin with the date on which the registered social landlord receives the notice.

(4)The Welsh Ministers must send a copy of a notice under sub-paragraph (1) to any person they think appropriate (having regard, in particular, to any person who provided information as a result of which the notice is given).

(5)A notice under sub-paragraph (1) must—

(a)refer to section 6A, and

(b)indicate whether or to what extent the Welsh Ministers would accept a voluntary undertaking instead of, or in mitigation of, action under paragraph 15B(3).

(6)Notice under sub-paragraph (1) may be combined with notice under one or more of the following—

(a)sections 50K and 50S,

(b)paragraphs 15E and 15G.

(7)In imposing a requirement the Welsh Ministers must have regard to views of—

(a)relevant tenants,

(b)the registered social landlord, and

(c)if they think it appropriate, any relevant local housing authority.

(8)A registered social landlord may appeal to the High Court against a requirement under paragraph 15B(3).]

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Amendments (Textual)

Management transferE+W

[F10815D(1)This paragraph applies if, as a result of an inquiry under paragraph 20 or an audit under paragraph 22, the Welsh Ministers are satisfied that—

(a)there has been misconduct or mismanagement in the affairs of the registered social landlord, or

(b)a transfer of certain of a registered social landlord's management functions would be likely to improve the management of some or all of its affairs.

(2)But this paragraph does not apply where—

(a)the misconduct or mismanagement relates only to the registered social landlord's provision of housing in England, or

(b)the transfer would be likely to improve the registered social landlord's management of its affairs only in relation to the provision of housing in England.

(3)The Welsh Ministers may require the registered social landlord to transfer management functions to a specified person.

(4)A requirement may relate to—

(a)the registered social landlord's affairs generally, or

(b)specified affairs.

(5)Transfer is to be on terms and conditions (including as to remuneration) specified in, or determined in accordance with, the requirement.

(6)A transferee manager is to have—

(a)any power specified in the requirement, and

(b)any other power in relation to the registered social landlord's affairs required by the manager for the purposes specified in the requirement (including the power to enter into agreements and take other action on behalf of the registered social landlord).]

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Amendments (Textual)

Management transfer: supplementalE+W

[F10915E(1)Before acting under paragraph 15D(3) the Welsh Ministers must give the registered social landlord a notice—

(a)specifying grounds on which action might be taken under that paragraph,

(b)warning the landlord that the Welsh Ministers are considering action under that paragraph, and

(c)explaining the effect of this paragraph.

(2)The notice must specify a period during which the registered social landlord may make representations to the Welsh Ministers.

(3)The period must—

(a)be a period of at least 28 days, and

(b)begin with the date on which the registered social landlord receives the notice.

(4)The Welsh Ministers must send a copy of a notice under sub-paragraph (1) to any person they think appropriate (having regard, in particular, to any person who provided information as a result of which the notice is given).

(5)A notice under sub-paragraph (1) must—

(a)refer to section 6A, and

(b)indicate whether or to what extent the social landlord would accept a voluntary undertaking instead of, or in mitigation of, action under paragraph 15D(3).

(6)Notice under sub-paragraph (1) may be combined with notice under one or more of the following—

(a)sections 50K and 50S,

(b)paragraphs 15C and 15G.

(7)In imposing a requirement the Welsh Ministers must have regard to views of—

(a)relevant tenants,

(b)the registered social landlord, and

(c)if they think it appropriate, any relevant local housing authority.

(8)A registered social landlord may appeal to the High Court against a requirement under paragraph 15D(3).]

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Amendments (Textual)

Appointment of manager of registered social landlordE+W

[F11015F(1)This paragraph applies if the Welsh Ministers are satisfied that—

(a)a registered social landlord has failed to meet a standard under section 33A, or

(b)there has been misconduct or mismanagement in the affairs of the registered social landlord.

(2)But this paragraph does not apply where the misconduct or mismanagement relates only to the registered social landlord's provision of housing in England.

(3)The Welsh Ministers may—

(a)appoint an individual as a manager of the registered social landlord, or

(b)require the registered social landlord to appoint an individual as a manager.

(4)An appointment or requirement may relate to the management of —

(a)the registered social landlord's affairs generally, or

(b)specified affairs.

(5)Appointment is to be on terms and conditions (including as to remuneration) specified in, or determined in accordance with, the appointment or requirement.

(6)A manager is to have—

(a)any power specified in the appointment or requirement, and

(b)any other power in relation to the registered social landlord's affairs required by the manager for the purposes specified in the appointment or requirement (including the power to enter into agreements and take other action on behalf of the registered social landlord).]

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Annotations are used to give authority for changes and other effects on the legislation you are viewing and to convey editorial information. They appear at the foot of the relevant provision or under the associated heading. Annotations are categorised by annotation type, such as F-notes for textual amendments and I-notes for commencement information (a full list can be found in the Editorial Practice Guide). Each annotation is identified by a sequential reference number. For F-notes, M-notes and X-notes, the number also appears in bold superscript at the relevant location in the text. All annotations contain links to the affecting legislation.

Amendments (Textual)

F110Sch. 1 para. 15F inserted (18.10.2011 for specified purposes, 2.12.2011 in so far as not already in force) by Housing (Wales) Measure 2011 (nawm 5), ss. 76, 90(2); S.I. 2011/2475, arts. 1(2), 2(q), 3(i)

Appointment of manager: supplementalE+W

[F11115G(1)Before acting under paragraph 15F(3) the Welsh Ministers must give the registered social landlord a notice—

(a)specifying grounds on which action might be taken under that paragraph,

(b)warning the landlord that the Welsh Ministers are considering action under that paragraph, and

(c)explaining the effect of this paragraph.

(2)The notice must specify a period during which the registered social landlord may make representations to the Welsh Ministers.

(3)The period must—

(a)be a period of at least 28 days, and

(b)begin with the date on which the registered social landlord receives the notice.

(4)The Welsh Ministers must send a copy of a notice under sub-paragraph (1) to any person they think appropriate (having regard, in particular, to any person who provided information as a result of which the notice is given).

(5)A notice under sub-paragraph (1) must—

(a)refer to section 6A, and

(b)indicate whether or to what extent the Welsh Ministers would accept a voluntary undertaking instead of, or in mitigation of, action under paragraph 15F(3).

(6)Notice under sub-paragraph (1) may be combined with notice under one or more of the following—

(a)sections 50K and 50S,

(b)paragraphs 15C and 15E.

(7)The Welsh Ministers may require a manager to report to them on the affairs specified in the appointment or requirement under paragraph 15F(3).

(8)A registered social landlord may appeal to the High Court against an appointment or requirement under paragraph 15F(3).]

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Amendments (Textual)

AmalgamationE+W

[F11215H(1)This paragraph applies if as a result of an inquiry under paragraph 20 or an audit under paragraph 22, the Welsh Ministers are satisfied that—

(a)there has been misconduct or mismanagement in the affairs of a registered social landlord which is [F2a registered society] , or

(b)the management of the affairs of a registered social landlord which is [F2a registered society] would be improved if the landlord were amalgamated with [F113another registered society] .

(2)But this paragraph does not apply where—

(a)the misconduct or mismanagement relates only to the registered social landlord's provision of housing in England, or

(b)the amalgamation would improve the management of the registered social landlord's affairs only in relation to the provision of housing in England.

(3)The Welsh Ministers may make and execute on behalf of the society an instrument providing for the amalgamation of the society with [F114another registered society] .

(4)An instrument providing for the amalgamation of a society (“S1”) with another has the same effect as a special resolution by S1 under [F115section 109 of the Co-operative and Community Benefit Societies Act 2014] (amalgamation of societies by special resolution).

(5)A copy of an instrument must be sent to and registered by the [F116Financial Conduct Authority].

(6)An instrument does not take effect until the copy is registered.

(7)The copy must be sent for registration during the period of 14 days beginning with the date of execution, but a copy registered after that period is valid.

(8)Any body created by virtue of an amalgamation must be registered as a social landlord by the Welsh Ministers, and pending registration is to be treated as registered.]

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Amendments (Textual)

Part IIIE+W+S Accounts and audit

General requirements as to accounts and auditE+W

16(1)The [F117Relevant Authority] may from time to time determine accounting requirements for registered social landlords with a view to ensuring that the accounts of every registered social landlord—E+W

(a)are prepared in a proper form, and

(b)give a true and fair view of—

(i)the state of affairs of the landlord, so far as its housing activities are concerned, and

(ii)the disposition of funds and assets which are, or at any time have been, in its hands in connection with those activities.

(2)The [F117Relevant Authority] by a determination under sub-paragraph (1) may lay down a method by which a registered charity is to distinguish in its accounts between its housing activities and other activities.

(3)The accounts of every registered social landlord shall comply with the requirements laid down under this paragraph.

F118(4). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F119(5)Every registered social landlord shall furnish to the Relevant Authority—

(a)a copy of its accounts, and

(b)(subject to sub-paragraph (7)) a copy of the auditor’s report in respect of them,

within six months of the end of the period to which they relate.

(6)The auditor’s report shall state, in addition to any other matters which it is required to state, whether in the auditor’s opinion the accounts comply with the requirements laid down under this paragraph.

(7)The provisions of sub-paragraphs (5)(b) and (6) do not apply where, by virtue of any enactment—

(a)any accounts of a registered social landlord are not required to be audited, and

(b)instead a report is required to be prepared in respect of them by a person appointed for the purpose (“the reporting accountant”),

and sub-paragraph (8) shall apply in place of those provisions.

(8)In such a case—

(a)the registered social landlord shall furnish to the Relevant Authority a copy of the reporting accountant’s report in respect of the accounts within six months of the end of the period to which they relate; and

(b)that report shall state, in addition to any other matters which it is required to state, whether in the reporting accountant’s opinion the accounts comply with the requirements laid down under this paragraph.]

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Annotations are used to give authority for changes and other effects on the legislation you are viewing and to convey editorial information. They appear at the foot of the relevant provision or under the associated heading. Annotations are categorised by annotation type, such as F-notes for textual amendments and I-notes for commencement information (a full list can be found in the Editorial Practice Guide). Each annotation is identified by a sequential reference number. For F-notes, M-notes and X-notes, the number also appears in bold superscript at the relevant location in the text. All annotations contain links to the affecting legislation.

Amendments (Textual)

F117Words in Pt. I substituted (1.11.1998) by 1998 c. 38, s. 140, Sch. 16 para. 82(1)(2) (with ss. 139(2), 141(1), 143(2)); S.I. 1998/2244, art.5.

F118Sch. 1 para. 16(4) repealed (18.1.2005) by Housing Act 2004 (c. 34), s. 270(3)(c), Sch. 11 para. 17(2), Sch. 16

F119Sch. 1 para. 16(5)-(8) substituted for Sch. 1 para. 16(5) (18.1.2005) by Housing Act 2004 (c. 34), s. 270(3)(c), Sch. 11 para. 17(3)

Modifications etc. (not altering text)

C5Sch. 1 para. 16(3)-(5) extended (16.9.1996) by S.I. 1996/2402, art. 3, Sch. para. 5

Commencement Information

I3Sch. 1 para. 16 wholly in force 1.10.1996; Sch. 1 para. 16 not in force at Royal Assent see s. 232(3) ; Sch. 1 para. 16(1)(2) in force at 1.8.1996 by 1996/2048, art. 2(1); Sch. 1 para. 16 in force at 1.10.1996 to the extent not already in force, by S.I. 1996/2402, art. 3 (subject to the transitional savings in the Sch. to that S.I.)

[F120Companies exempt from audit requirements: accountant’s reportE+W+S

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Amendments (Textual)

F120Sch. 1 para. 16A and cross-heading inserted (18.1.2005) by Housing Act 2004 (c. 34), s. 270(3)(c), Sch. 11 para. 18

[F12116A(1)This paragraph applies to a registered social landlord that—E+W+S

(a)is a company,

(b)is exempt from the audit requirements of the Companies Act 2006 by virtue of section 477 of that Act (small companies’ exemption), and

(c)is not a charity.

(2)The directors of the company must cause a report to be prepared in accordance with paragraph 16B and made to the company’s members in respect of the company’s individual accounts for any year in which the company takes advantage of its exemption from audit.

(3)The Relevant Authority may, in respect of any such financial year, give a direction to the company requiring it—

(a)to appoint a qualified auditor to audit its accounts and balance sheet for that year, and

(b)to furnish to the Relevant Authority a copy of the auditor’s report by such date as is specified in the direction.

(4)A direction under sub-paragraph (3) may not be given until after the end of the financial year to which it relates.

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Annotations are used to give authority for changes and other effects on the legislation you are viewing and to convey editorial information. They appear at the foot of the relevant provision or under the associated heading. Annotations are categorised by annotation type, such as F-notes for textual amendments and I-notes for commencement information (a full list can be found in the Editorial Practice Guide). Each annotation is identified by a sequential reference number. For F-notes, M-notes and X-notes, the number also appears in bold superscript at the relevant location in the text. All annotations contain links to the affecting legislation.

Amendments (Textual)

F121Sch. 1 paras. 16A-16E substituted for Sch. 1 para. 16A (6.4.2008) by The Companies Act 2006 (Consequential Amendments etc) Order 2008 (S.I. 2008/948), art. 2(2), Sch. 1 para. 202(3) (with arts. 6, 11, 12)

16B.(1)The report required for the purposes of paragraph 16A(2) must be prepared by a person (“the reporting accountant”) who is eligible under paragraph 16C.E+W+S

(2)The report must state whether in the opinion of the reporting accountant making it—

(a)the accounts of the company for the financial year in question are in agreement with the accounting records kept by the company under section 386 of the Companies Act 2006, and

(b)having regard only to, and on the basis of, the information contained in those accounting records, those accounts have been drawn up in a manner consistent with the provisions of Part 15 of that Act, so far as applicable to the company.

(3)The report must also state that in the opinion of the reporting accountant, having regard only to, and on the basis of, the information contained in the accounting records kept by the company under section 386 of the Companies Act 2006, the company is entitled to exemption from audit under section 477 of that Act (small companies’ exemption) for the financial year in question.

(4)The report must state the name of the reporting accountant and be signed and dated.

(5)The report must be signed—

(a)where the reporting accountant is an individual, by that individual;

(b)where the reporting accountant is a firm, for and on behalf of the firm by an individual authorised to do so.

16C.(1)The reporting accountant must be either—E+W+S

(a)a member of a body listed in sub-paragraph (4) who, under the rules of the body—

(i)is entitled to engage in public practice, and

(ii)is not ineligible for appointment as a reporting accountant, or

(b)any person (whether or not a member of any such body) who—

(i)is subject to the rules of any such body in seeking appointment or acting as a statutory auditor under Part 42 of the Companies Act 2006, and

(ii)under those rules, is eligible for such appointment.

(2)In sub-paragraph (1), references to the rules of a body listed in sub-paragraph (4) are to the rules (whether or not laid down by the body itself) which the body has power to enforce and which are relevant for the purposes of Part 42 of the Companies Act 2006 (statutory auditors) or this paragraph.

This includes rules relating to the admission and expulsion of members of the body, so far as relevant for the purposes of that Part or this paragraph.

(3)An individual or a firm may be appointed as a reporting accountant, and section 1216 of the Companies Act 2006 (effect of appointment of partnership) applies to the appointment as reporting accountant of a partnership constituted under the law of England and Wales or Northern Ireland, or under the law of any other country or territory in which a partnership is not a legal person.

(4)The bodies referred to in sub-paragraphs (1) and (2) are—

(a)the Institute of Chartered Accountants in England and Wales,

(b)the Institute of Chartered Accountants of Scotland,

(c)the Institute of Chartered Accountants in Ireland,

(d)the Association of Chartered Certified Accountants,

(e)the Association of Authorised Public Accountants,

(f)the Association of Accounting Technicians,

(g)the Association of International Accountants,

(h)the Chartered Institute of Management Accountants, and

(i)the Institute of Chartered Secretaries and Administrators.

(5)The Secretary of State may by order amend sub-paragraph (4) by adding or removing a body to or from the list in that sub-paragraph or by varying any entry for the time being included in that list.

(6)An order under sub-paragraph (5) shall be made by statutory instrument which shall be subject to annulment in pursuance of a resolution of either House of Parliament.

(7)A person may not be appointed by a company as reporting accountant if he would be prohibited from acting as auditor of that company by virtue of section 1214 of the Companies Act 2006 (independence requirement).

16D.(1)The provisions of the Companies Act 2006 listed in sub-paragraph (2) apply to the reporting accountant and a reporting accountant’s report as they apply to an auditor of the company and an auditor’s report on the company’s accounts, subject to any necessary modifications.E+W+S

(2)The provisions are—

(a)sections 423 to 425 (duty to circulate copies of annual accounts);

(b)sections 431 and 432 (right of member or debenture holder to demand copies of accounts);

(c)sections 434 to 436 (requirements in connection with publication of accounts);

(d)sections 437 and 438 (public companies: laying of accounts before general meeting);

(e)sections 441 to 444 (duty to file accounts with registrar of companies);

(f)section 454(4)(b) and regulations made under that provision (functions of auditor in relation to revised accounts);

(g)sections 499 to 501 (auditor’s right to information);

(h)sections 505 and 506 (name of auditor to be stated in published copies of report).

(3)In sections 505 and 506 as they apply by virtue of this paragraph in a case where the reporting accountant is a firm, any reference to the senior statutory auditor shall be read as a reference to the person who signed the report on behalf of the firm.

16E.In paragraphs 16A to 16D—E+W+S

  • “company” means a company registered under the Companies Act 1985;

  • “financial year” has the meaning given by section 390 of the Companies Act 2006;

  • “firm” has the meaning given by section 1173(1) of that Act;

  • “individual accounts” has the meaning given by section 394 of that Act;

  • “qualified auditor”, in relation to a company, means a person who—

    (a)

    is eligible for appointment as a statutory auditor of the company under Part 42 of that Act, and

    (b)

    is not prohibited from acting as statutory auditor of the company by virtue of section 1214 of that Act (independence requirement).]

[F122[F123Registered societies] exempt from audit requirements: accountant’s reportE+W+S

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Amendments (Textual)

F122Sch. 1 para. 17 and cross-heading substituted (18.1.2005) by Housing Act 2004 (c. 34), s. 270(3)(c), Sch. 11 para. 19

F123Words in Sch. 1 para. 17 heading substituted (1.8.2014) by Co-operative and Community Benefit Societies Act 2014 (c. 14), s. 154, Sch. 4 para. 65(11) (with Sch. 5)

17(1)This paragraph applies to registered social landlords which are [F124registered societies].E+W+S

[F125(2)Section 85 of the Co-operative and Community Benefit Societies Act 2014 (“the 2014 Act”) (duty to obtain accountant's report) has effect, in its application to such a landlord, with the omission of subsection (1)(b) (accountant's report required only where turnover exceeds a specified sum).]

(3)The Relevant Authority may, in respect of any relevant year of account of such a landlord, give a direction to the landlord requiring it—

(a)to appoint a qualified auditor to audit its accounts and balance sheet for that year, and

(b)to furnish to the Relevant Authority a copy of the auditor’s report by such date as is specified in the direction.

(4)For the purposes of sub-paragraph (3), a year of account of a landlord is a “relevant year of account”if—

(a)it precedes that in which the direction is given, and

[F126(b)section 83 of the 2014 Act (duty to appoint auditors) did not apply for the year because of a resolution under section 84 of that Act (power to disapply auditing requirements).]

[F127(5)In this paragraph “qualified auditor” and “year of account” have the same meaning as in Part 7 of the 2014 Act (for “year of account” see sections 77 and 78 of that Act).]]

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Annotations are used to give authority for changes and other effects on the legislation you are viewing and to convey editorial information. They appear at the foot of the relevant provision or under the associated heading. Annotations are categorised by annotation type, such as F-notes for textual amendments and I-notes for commencement information (a full list can be found in the Editorial Practice Guide). Each annotation is identified by a sequential reference number. For F-notes, M-notes and X-notes, the number also appears in bold superscript at the relevant location in the text. All annotations contain links to the affecting legislation.

Amendments (Textual)

F124Words in Sch. 1 para. 17(1) substituted (1.8.2014) by Co-operative and Community Benefit Societies Act 2014 (c. 14), s. 154, Sch. 4 para. 65(12)(a) (with Sch. 5)

Accounting and audit [F128 or reporting ] requirements for charitiesE+W

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Amendments (Textual)

F128Words in Sch. 1 para. 18 cross-heading inserted (18.1.2005) by Housing Act 2004 (c. 34), s. 270(3)(c), Sch. 11 para. 20(2)

18(1)A registered social landlord which is a registered charity shall, in respect of its housing activities (and separately from its other activities, if any), be subject to the following provisions F129...E+W

F129...

(2)The charity shall in respect of its housing activities—

(a)cause to be kept properly books of account showing its transactions and its assets and liabilities, and

(b)establish and maintain a satisfactory system of control of its books of accounts, its cash holdings and all its receipts and remittances.

The books of account must be such as to enable a true and fair view to be given of the state of affairs of the charity in respect of its housing activities, and to explain its transactions in the course of those activities.

(3)The charity shall for each period of account prepare—

(a)a revenue account giving a true and fair view of the charity’s income and expenditure in the period, so far as arising in connection with its housing activities, and

(b)a balance sheet giving a true and fair view as at the end of the period of the state of the charity’s affairs.

The revenue account and balance sheet must be signed by at least two directors or trustees of the charity.

[F130[F131(4)The charity must appoint a qualified auditor (“the auditor”) to audit the accounts prepared in accordance with sub-paragraph (3) in respect of each period of account in which—

(a)the charity's gross income arising in connection with its housing activities exceeds the sum for the time being specified in section 144(1)(a) of the Charities Act 2011, or

(b)the charity's gross income arising in that connection exceeds the accounts threshold and at the end of that period the aggregate value of its assets (before deduction of liabilities) in respect of its housing activities exceeds the sum for the time being specified in section 144(1)(b) of that Act;

and in this sub-paragraph “gross income” and “accounts threshold” have the same meanings as in section 144 of that Act.]

(4A)Where sub-paragraph (4) does not apply in respect of a period of account, the charity must appoint a qualified auditor (“the reporting accountant”) to make such a report as is mentioned in paragraph 18A(1) in respect of the period of account.

[F132(4B)In sub-paragraphs (4) and (4A) “qualified auditor” means a person who—

(a)is eligible for appointment as a statutory auditor under Part 42 of the Companies Act 2006, and

(b)if the appointment were an appointment as a statutory auditor, would not be prohibited from acting by virtue of section 1214 of that Act (independence requirement).]]

(5)The auditor shall make a report to the charity on the accounts audited by him, stating whether in his opinion—

(a)the revenue account gives a true and fair view of the state of income and expenditure of the charity in respect of its housing activities and of any other matters to which it relates, and

(b)the balance sheet gives a true and fair view of the state of affairs of the charity as at the end of the period of account.

(6)The auditor in preparing his report shall carry out such investigations as will enable him to form an opinion as to the following matters—

(a)whether the association has kept, in respect of its housing activities, proper books of account in accordance with the requirements of this paragraph,

(b)whether the charity has maintained a satisfactory system of control over its transactions in accordance with those requirements, and

(c)whether the accounts are in agreement with the charity’s books;

and if he is of opinion that the charity has failed in any respect to comply with this paragraph, or if the accounts are not in agreement with the books, he shall state that fact in his report.

(7)The auditor—

(a)has a right of access at all times to the books, deeds and accounts of the charity, so far as relating to its housing activities, and to all other documents relating to those activities, and

(b)is entitled to require from officers of the charity such information and explanations as he thinks necessary for the performance of his duties;

and if he fails to obtain all the information and explanations which, to the best of his knowledge and belief, are necessary for the purposes of his audit, he shall state that fact in his report.

(8)A period of account for the purposes of this paragraph is twelve months or such other period not less than six months or more than 18 months as the charity may, with the consent of the [F133Relevant Authority], determine.

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Amendments (Textual)

F129Words in Sch. 1 para. 18(1) repealed (18.1.2005) by Housing Act 2004 (c. 34), s. 270(3)(c), Sch. 11 para. 20(3), Sch. 16

F130Sch. 1 para. 18(4)-(4B) substituted for Sch. 1 para. 18(4) (18.1.2005) by Housing Act 2004 (c. 34), s. 270(3)(c), Sch. 11 para. 20(4)

F131Sch. 1 para. 18(4) substituted (14.3.2012) by Charities Act 2011 (c. 25), s. 355, Sch. 7 para. 72(3) (with s. 20(2), Sch. 8)

F133Words in Pt. I substituted (1.11.1998) by 1998 c. 38, s. 140, Sch. 16 para. 82(1)(2) (with ss. 139(2), 141(1), 143(2)); S.I. 1998/2244, art.5.

[F134Charities exempt from audit requirements: accountant’s reportE+W+S

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Amendments (Textual)

F134 Sch. 1 para. 18A and cross-heading inserted (18.1.2005) by Housing Act 2004 (c. 34), s. 270(3)(c), Sch. 11 para. 21

18A(1)The report referred to in paragraph 18(4A) is a report—E+W+S

(a)relating to the charity’s accounts prepared in accordance with paragraph 18(3) in respect of the period of account in question, and

(b)complying with sub-paragraphs (2) and (3) below.

(2)The report must state whether, in the opinion of the reporting accountant—

(a)the revenue account or accounts and the balance sheet are in agreement with the books of account kept by the charity under paragraph 18(2),

(b)on the basis of the information contained in those books of account, the revenue account or accounts and the balance sheet comply with the requirements of [F135the Charities Act 2011], and

(c)on the basis of the information contained in those books of account, paragraph 18(4A) applied to the charity in respect of the period of account in question.

(3)The report must also state the name of the reporting accountant and be signed by him.

(4)Paragraph 18(7) applies to the reporting accountant and his functions under this paragraph as it applies to an auditor and his functions under paragraph 18.

(5)The Relevant Authority may, in respect of a relevant period of account of a charity, give a direction to the charity requiring it—

(a)to appoint a qualified auditor to audit its accounts for that period, and

(b)to furnish to the Relevant Authority a copy of the auditor’s report by such date as is specified in the direction;

and paragraph 18(5) to (7) apply to an auditor so appointed as they apply to an auditor appointed under paragraph 18.

(6)For the purposes of sub-paragraph (5), a period of account of a charity is a relevant period of account if—

(a)it precedes that in which the direction is given; and

(b)paragraph 18(4A) applied in relation to it.

(7)In this paragraph “period of account” and “qualified auditor” have the same meaning as in paragraph 18(4A).]

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Amendments (Textual)

F135Words in Sch. 1 para. 18A(2)(b) substituted (14.3.2012) by Charities Act 2011 (c. 25), s. 355, Sch. 7 para. 72(4) (with s. 20(2), Sch. 8)

Responsibility for securing compliance with accounting requirementsE+W

19(1)Every responsible person, that is to say, every person who—E+W

(a)is directly concerned with the conduct and management of the affairs of a registered social landlord, and

(b)is in that capacity responsible for the preparation and audit of accounts,

shall ensure that paragraph 16 (general requirements as to accounts and audit) and, where applicable, paragraph 18 (accounting and audit requirements for charities) are complied with by the registered social landlord.

(2)If—

(a)paragraph 16(5) (furnishing of accounts and auditor’s report) is not complied with,

(b)the accounts furnished to the [F136Relevant Authority] under that provision do not comply with the accounting requirements laid down under paragraph 16(1),

(c)paragraph 18 (accounting and audit [F137 or reporting ] requirements for charities), where applicable, is not complied with,

F138(d). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(e)any notice under section 26 (information relating to disposal proceeds fund) is not complied with,

every responsible person, and the registered social landlord itself, commits a summary offence and is liable on conviction to a fine not exceeding [F139 level 5 ] on the standard scale.

(3)In proceedings for an offence under this paragraph it is a defence—

(a)for a responsible person to prove that he did everything that could reasonably have been expected of him by way of discharging the relevant duty;

(b)for a registered social landlord to prove that every responsible person did everything that could reasonably have been expected of him by way of discharging the relevant duty in relation to the registered social landlord.

(4)Proceedings for an offence under this paragraph may be brought only by or with the consent of the [F136Relevant Authority] or the Director of Public Prosecutions.

[F140(5)Where any of paragraphs (a) to (e) of sub-paragraph (2) applies in respect of any default on the part of a registered social landlord, the High Court may, on the application of the Relevant Authority, make such order as the court thinks fit for requiring the default to be made good.

Any such order may provide that all the costs or expenses of and incidental to the application shall be borne by the registered social landlord or by any of its officers who are responsible for the default.]

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Amendments (Textual)

F136Words in Pt. I substituted (1.11.1998) by 1998 c. 38, s. 140, Sch. 16 para. 82(1)(2) (with ss. 139(2), 141(1), 143(2)); S.I. 1998/2244, art.5.

F137Words in Sch. 1 para. 19(2)(c) inserted (18.1.2005) by Housing Act 2004 (c. 34), s. 270(3)(c), Sch. 11 para. 22(2)(a)

F138Sch. 1 para. 19(2)(d) repealed (18.1.2005) by Housing Act 2004 (c. 34), s. 270(3)(c), Sch. 11 para. 22(2)(b), Sch. 16

F139Words in Sch. 1 para. 19(2) substituted (18.1.2005) by Housing Act 2004 (c. 34), s. 270(3)(c), Sch. 11 para. 22(2)(c) (with Sch. 11 para. 22(3))

F140Sch. 1 para. 19(5) inserted (18.1.2005) by Housing Act 2004 (c. 34), s. 270(3)(c), Sch. 11 para. 22(4)

[F141Disclosure of information by auditors etc. to the Relevant AuthorityE+W+S

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Amendments (Textual)

F141 Sch. 1 para. 19A and cross-heading inserted (18.1.2005) by Housing Act 2004 (c. 34), s. 270(3)(c), Sch. 11 para. 23

19A(1)A person who is, or has been, an auditor of a registered social landlord does not contravene any duty to which he is subject merely because he gives to the Relevant Authority —E+W+S

(a)information on a matter of which he became aware in his capacity as auditor of the registered social landlord, or

(b)his opinion on such a matter,

if he is acting in good faith and he reasonably believes that the information or opinion is relevant to any functions of the Relevant Authority.

(2)Sub-paragraph (1) applies whether or not the person is responding to a request from the Relevant Authority.

(3)This paragraph applies to a person who is, or has been, a reporting accountant as it applies to a person who is, or has been, an auditor.

(4)A “reporting accountant” means a person appointed as mentioned in paragraph 16(7)(b).]]

[F142PART 3AE+WINSPECTION

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Amendments (Textual)

F142Sch. 1 Pt. 3A and Sch. 1 para. 19B inserted (18.10.2011) by Housing (Wales) Measure 2011 (nawm 5), ss. 43, 90(2); S.I. 2011/2475, arts. 1(2), 2(g)

Overview and applicationE+W

19B(1)This Part provides for the inspection of a registered social landlord's affairs.

(2)But this Part does not apply in relation to affairs relating only to the provision of housing in England.]

InspectionE+W

[F14319C(1)The Welsh Ministers—

(a)may inspect a registered social landlord's affairs, or

(b)may arrange for another person to do so.

(2)An inspection may be general or specific.

(3)If the Welsh Ministers arrange for a person to carry out an inspection, they may direct that person to discontinue it.

(4)If the Welsh Ministers arrange for a person to carry out an inspection, the arrangements may include (among other things) provision about payments.]

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Amendments (Textual)

Inspection: supplementalE+W

[F14419D(1)The person carrying out the inspection must produce a written report.

(2)The Welsh Ministers—

(a)must give the registered social landlord a copy of the report, and

(b)may publish the report and related information.

(3)If the Welsh Ministers have arranged for a person to carry out the inspection, that person may publish the report and related information (whether or not the Welsh Ministers have done so).

(4)If a registered social landlord is inspected, the Welsh Ministers may charge a fee.

(5)A registered social landlord must pay any fee charged to—

(a)the person with whom the Welsh Ministers have made an arrangement to carry out an inspection (if any), or

(b)the Welsh Ministers.

(6)The Welsh Ministers may direct a registered social landlord to pay the fee to one of those persons.

(7)If a fee is paid to a person other than the Welsh Ministers, that person must notify the Welsh Ministers about the payment.]

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Amendments (Textual)

Inspector's powers to require provision of documents or informationE+W

[F14519E(1)An inspector may by notice require a person to provide specified documents or information.

(2)A requirement may specify—

(a)the form and manner in which a document or information is to be provided (which may include the provision of a legible copy of information stored electronically);

(b)when and where it is to be provided.

(3)The inspector may copy or record documents or information provided.

(4)Failure to comply with a requirement without reasonable excuse is an offence.

(5)Intentionally altering, suppressing or destroying a document or information to which a requirement relates is an offence.

(6)If a person fails to comply with a requirement the High Court may, on an application by the inspector, make an order for the purpose of remedying the failure.

(7)In this paragraph “inspector” means—

(a)the Welsh Ministers, or

(b)a person authorised in writing by the Welsh Ministers to exercise the powers under this paragraph for the purpose of an inspection under paragraph 19C.]

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Amendments (Textual)

Inspector's powers to require provision of documents or information: supplementalE+W

[F14619F(1)A requirement does not require a person to disclose anything which the person would be entitled to refuse to disclose on grounds of legal professional privilege in proceedings in the High Court.

(2)A requirement does not require a banker to breach a duty of confidentiality owed to a person who is not—

(a)the registered social landlord to whose affairs or activities the document or information relates,

(b)a subsidiary of that landlord, or

(c)an associate of that landlord.

(3)A person guilty of an offence under paragraph 19E(4) is liable on summary conviction to a fine not exceeding level 5 on the standard scale.

(4)A person guilty of an offence under paragraph 19E(5) is liable—

(a)on summary conviction, to a fine not exceeding the statutory maximum;

(b)on conviction on indictment, to—

(i)imprisonment for a term not exceeding two years,

(ii)a fine, or

(iii)both.

(5)Proceedings for an offence under paragraph 19E(4) or (5) may be brought only by or with the consent of—

(a)the Welsh Ministers, or

(b)the Director of Public Prosecutions.]

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Amendments (Textual)

Inspector's powers of entry and inspectionE+W

[F14719G(1)An inspector may at any reasonable time—

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

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

(2)But the inspector may not enter residential accommodation (whether the residential accommodation is the whole of, or only part of, premises occupied by the registered social landlord).

(3)The reference to documents found on the premises includes (but is not limited to)—

(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.

(4)The power to inspect documents includes (but is not limited to) the power to inspect any computer or electronic storage device on which they have been created or stored.

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

(6)For the purposes of sub-paragraphs (3) and (4) an inspector may require any person having charge of a computer to provide any assistance that the inspector reasonably requests.

(7)It is an offence for a person without reasonable excuse to obstruct an inspector exercising the powers conferred by sub-paragraphs (1) to (6).

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

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

(a)the Welsh Ministers, or

(b)the Director of Public Prosecutions.

(10)In this paragraph—

  • inspector” means—

    (a)

    the Welsh Ministers, or

    (b)

    a person authorised in writing by the Welsh Ministers to exercise the powers under this paragraph for the purpose of an inspection under paragraph 19C;

  • residential accommodation” means accommodation of any description (including, but not limited to, a dwelling or residential accommodation in a hostel) that is occupied by one or more persons as a permanent or temporary place of residence (whether or not it is also occupied by any person for any other purpose).]

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Amendments (Textual)

Part IVE+W Inquiry into affairs of registered social landlords

InquiryE+W

20(1)The [F148Relevant Authority] may direct an inquiry into the affairs of a registered social landlord if it appears to the [F148Relevant Authority] that there may have been misconduct or mismanagement.E+W

F149...

(2)Any such inquiry shall be conducted by one or more persons appointed by the [F148Relevant Authority].

F150(3). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(4)If the [F148Relevant Authority] so directs, or if during the course of the inquiry the person or persons conducting the inquiry consider it necessary, the inquiry shall extend to the affairs of any other body which at any material time is or was a subsidiary or associate of the registered social landlord.

[F151(4A)The person or persons conducting the inquiry may determine the procedure to be followed in connection with the inquiry.]

(5)The person or persons conducting the inquiry may, if they think fit during the course of the inquiry, make one or more interim reports on such matters as appear to them to be appropriate.

(6)On completion of the inquiry the person or persons conducting the inquiry shall make a final report on such matters as the [F148Relevant Authority] may specify.

(7)An interim or final report shall be in such form as the [F148Relevant Authority] may specify. [F152 , and the Relevant Authority may arrange for the whole or part of an interim or final report to be published in such manner as it considers appropriate. ]

[F153(8)A local authority may, if they think fit, contribute to the expenses of the Relevant Authority in connection with any inquiry under this paragraph.]

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Amendments (Textual)

F148Words in Pt. I substituted (1.11.1998) by 1998 c. 38, s. 140, Sch. 16 para. 82(1)(2) (with ss. 139(2), 141(1), 143(2)); S.I. 1998/2244, art.5.

F149Words in Sch. 1 para. 20(1) omitted (18.10.2011) by virtue of Housing (Wales) Measure 2011 (nawm 5), s. 90(2), Sch. para. 18; S.I. 2011/2475, arts. 1(2), 2(v)

F151Sch. 1 para. 20(4A) inserted (18.1.2005) by Housing Act 2004 (c. 34), s. 270(3)(c), Sch. 11 para. 24(2)

F152Words in Sch. 1 para. 20(7) added (18.1.2005) by Housing Act 2004 (c. 34), s. 270(3)(c), Sch. 11 para. 24(3)

F153Sch. 1 para. 20(8) inserted (18.1.2005) by Housing Act 2004 (c. 34), s. 270(3)(c), Sch. 11 para. 24(4)

Modifications etc. (not altering text)

[F154EvidenceE+W

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Amendments (Textual)

F154 Sch. 1 para. 20A and cross-heading inserted (18.1.2005) by Housing Act 2004 (c. 34), s. 270(3)(c), Sch. 11 para. 25

20A(1)For the purposes of an inquiry the person or persons conducting it may serve a notice on an appropriate person directing him to attend at a specified time and place and do either or both of the following, namely—E+W

(a)give evidence;

(b)produce any specified documents, or documents of a specified description, which are in his custody or under his control and relate to any matter relevant to the inquiry.

(2)The person or persons conducting such an inquiry—

(a)may take evidence on oath and for that purpose administer oaths, or

(b)instead of administering an oath, require the person examined to make and subscribe a declaration of the truth of the matters about which he is examined.

(3)In this paragraph—

  • appropriate person” means a person listed in section 30(2);

  • document” has the same meaning as in section 30;

  • inquiry” means an inquiry under paragraph 20.

(4)A person may not be required under this paragraph to disclose anything that, by virtue of section 30(4), he could not be required to disclose under section 30.

(5)Section 31 (enforcement of notice to provide information, &c) applies in relation to a notice given under this paragraph by the person or persons conducting an inquiry as it applies in relation to a notice given under section 30 by the Relevant Authority, but subject to sub-paragraph (6).

(6)A person guilty of an offence under section 31(1) as it applies in accordance with sub-paragraph (5) is liable—

(a)on summary conviction, to a fine not exceeding the statutory maximum;

(b)on conviction on indictment, to imprisonment for a term not exceeding two years or to a fine, or both.

(7)Any person who, in purported compliance with a notice given under this paragraph by the person or persons conducting an inquiry, knowingly or recklessly provides any information which is false or misleading in a material particular commits an offence and is liable to the penalties mentioned in sub-paragraph (6).

(8)Proceedings for an offence under sub-paragraph (7) may be brought only by or with the consent of the Relevant Authority or the Director of Public Prosecutions.]

Power of appointed person to obtain informationE+W

21(1)A person appointed by the [F155Relevant Authority] under paragraph 20 to conduct an inquiry (or, if more than one person is so appointed, each of those persons) has, for the purposes of the inquiry, the same powers as are conferred on the [F155Relevant Authority] by section 30 (general power to obtain information).E+W

(2)Where by virtue of a notice under that section given by an appointed person any documents are produced to any person, the person to whom they are produced may take copies of or make extracts from them.

(3)Section 31 (enforcement of notice to provide information, &c.) applies in relation to a notice given under this paragraph by an appointed person as it applies in relation to a notice given under section 30 by the [F155Relevant Authority]. [F156 , but subject to sub-paragraph (4). ]

[F157(4)A person guilty of an offence under section 31(1) as it applies in accordance with sub-paragraph (3) is liable—

(a)on summary conviction, to a fine not exceeding the statutory maximum;

(b)on conviction on indictment, to imprisonment for a term not exceeding two years or to a fine, or both.

(5)Any person who, in purported compliance with a notice given under this paragraph by an appointed person, knowingly or recklessly provides any information which is false or misleading in a material particular commits an offence and is liable to the penalties mentioned in sub-paragraph (4).

(6)Proceedings for an offence under sub-paragraph (5) may be brought only by or with the consent of the Relevant Authority or the Director of Public Prosecutions.]

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Amendments (Textual)

F155Words in Pt. I substituted (1.11.1998) by 1998 c. 38, s. 140, Sch. 16 para. 82(1)(2) (with ss. 139(2), 141(1), 143(2)); S.I. 1998/2244, art.5.

F156Words in Sch. 1 para. 21(3) added (18.1.2005) by Housing Act 2004 (c. 34), s. 270(3)(c), Sch. 11 para. 26(2) (with Sch. 11 para. 26(4))

F157Sch. 1 para. 21(4)-(6) inserted (18.1.2005) by Housing Act 2004 (c. 34), s. 270(3)(c), Sch. 11 para. 26(3) (with Sch. 11 para. 26(4))

Extraordinary audit for purposes of inquiryE+W

22(1)For the purposes of an inquiry under paragraph 20 the [F158Relevant Authority] may require the accounts and balance sheet of the registered social landlord concerned, or such of them as the [F158Relevant Authority] may specify, to be audited by a qualified auditor appointed by the [F158Relevant Authority].E+W

(2)A person is a qualified auditor for this purpose if he would be eligible for appointment as auditor of the ordinary accounts of the registered social landlord.

(3)On completion of the audit the appointed auditor shall make a report to the [F158Relevant Authority] on such matters and in such form as the [F158Relevant Authority] may specify.

(4)The expenses of the audit, including the remuneration of the auditor, shall be paid by the [F158Relevant Authority].

(5)An audit under this paragraph is additional to, and does not affect, any audit made or to be made under any other enactment.

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Amendments (Textual)

F158Words in Pt. I substituted (1.11.1998) by 1998 c. 38, s. 140, Sch. 16 para. 82(1)(2) (with ss. 139(2), 141(1), 143(2)); S.I. 1998/2244, art.5.

Powers exercisable on interim basisE+W

23(1)The [F159Relevant Authority] may make an order under this paragraph—E+W

(a)where an inquiry has been directed under paragraph 20 and the [F159Relevant Authority] has reasonable grounds to believe—

(i)that there has been misconduct or mismanagement in the affairs of the registered social landlord, and

(ii)that immediate action is needed to protect the interests of the tenants of the registered social landlord or to protect the assets of the landlord; or

(b)where an interim report has been made under paragraph 20(5) as a result of which the [F159Relevant Authority] is satisfied that there has been misconduct or mismanagement in the affairs of a registered social landlord.

(2)The orders that may be made under this paragraph are—

(a)an order suspending any officer, employee or agent of the registered social landlord who appears to the [F159Relevant Authority] to have been responsible for or privy to the misconduct or mismanagement or by his conduct to have contributed to or facilitated it;

(b)an order directing any bank or other person who holds money or securities on behalf of the registered social landlord not to part with the money or securities without the approval of the [F159Relevant Authority];

(c)an order restricting the transactions which may be entered into, or the nature or amount of the payments which may be made, by the registered social landlord without the approval of the [F159Relevant Authority].

[F160(2A)Before making an order under sub-paragraph (2)(b) or (c) the Welsh Ministers must take all reasonable steps to give notice to the registered social landlord and, in the case of an order under sub-paragraph (2)(b), to the person to whom the order is directed.]

(3)An order under this paragraph, if not previously revoked by the [F159Relevant Authority], shall cease to have effect six months after the making of the final report under paragraph 20(6) unless the [F159Relevant Authority] renews it, which it may do for a further period of up to six months.

(4)A person suspended by an order under sub-paragraph (2)(a) may appeal against the order to the High Court.

(5)Where a person is suspended by such an order, the [F159Relevant Authority] may give directions with respect to the performance of his functions and otherwise as to matters arising from his suspension.

The [F159Relevant Authority] may, in particular, appoint a named person to perform his functions.

(6)A person who contravenes an order under sub-paragraph (2)(b) commits an offence and is liable on summary conviction to a fine not exceeding level 5 on the standard scale or imprisonment for a term not exceeding three months, or both.

Proceedings for such an offence may be brought only by or with the consent of the [F159Relevant Authority] or the Director of Public Prosecutions.

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Amendments (Textual)

F159Words in Pt. I substituted (1.11.1998) by 1998 c. 38, s. 140, Sch. 16 para. 82(1)(2) (with ss. 139(2), 141(1), 143(2)); S.I. 1998/2244, art.5.

F160Sch. 1 para. 23(2A) inserted (18.10.2011) by Housing (Wales) Measure 2011 (nawm 5), ss. 79, 90(2); S.I. 2011/2475, arts. 1(2), 2(r)

Powers exercisable as a result of final report or auditE+W

24(1)Where the [F161Relevant Authority] is satisfied, as the result of an inquiry under paragraph 20 or an audit under paragraph 22, that there has been misconduct or mismanagement in the affairs of a registered social landlord, it may make an order under this paragraph.E+W

(2)The orders that may be made under this paragraph are—

(a)an order removing any officer, employee or agent of the registered social landlord who appears to the [F161Relevant Authority] to have been responsible for or privy to the misconduct or mismanagement or by his conduct to have contributed to or facilitated it;

(b)an order suspending any such person for up to six months, pending determination whether he should be removed;

(c)an order directing any bank or other person who holds money or securities on behalf of the registered social landlord not to part with the money or securities without the approval of the [F161Relevant Authority];

(d)an order restricting the transactions which may be entered into, or the nature or amount of the payments which may be made, by the registered social landlord without the approval of the [F161Relevant Authority].

(3)Before making an order under sub-paragraph (2)(a) the [F161Relevant Authority] shall give at least 14 days’ notice of its intention to do so—

(a)to the person it intends to remove, and

(b)to the registered social landlord concerned.

Notice under this sub-paragraph may be given by post, and if so given to the person whom the [F161Relevant Authority] intends to remove may be addressed to his last known address in the United Kingdom.

[F162(3A)Before making an order under sub-paragraph (2)(c) or (d) the Welsh Ministers must take all reasonable steps to give notice to the registered social landlord and, in the case of an order under sub-paragraph (2)(c), to the person to whom the order is directed.]

(4)A person who is ordered to be removed under sub-paragraph (2)(a) or suspended under sub-paragraph (2)(b) may appeal against the order to the High Court.

(5)Where a person is suspended under sub-paragraph (2)(b), the [F161Relevant Authority] may give directions with respect to the performance of his functions and otherwise as to matters arising from the suspension.

The [F161Relevant Authority] may, in particular, appoint a named person to perform his functions.

(6)A person who contravenes an order under sub-paragraph (2)(c) commits an offence and is liable on summary conviction to a fine not exceeding level 5 on the standard scale or imprisonment for a term not exceeding three months, or both.

Proceedings for such an offence may be brought only by or with the consent of the [F161Relevant Authority] or the Director of Public Prosecutions.

[F163(7)An order under sub-paragraph (2)(c) or (d) has effect until revoked by the Welsh Ministers.]

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Amendments (Textual)

F161Words in Pt. I substituted (1.11.1998) by 1998 c. 38, s. 140, Sch. 16 para. 82(1)(2) (with ss. 139(2), 141(1), 143(2)); S.I. 1998/2244, art.5.

Disqualification as officer of registered social landlord.E+W

25[F164(1)A person is disqualified from acting as an officer of a registered social landlord if the person has been removed under—E+W

(a)paragraph 24(2)(a) (removal for misconduct or mismanagement), or

(b)section 260 of the Housing and Regeneration Act 2008, section 30(1)(a) of the Housing Associations Act 1985 or section 20(1)(a) of the Housing Act 1974 (other similar provisions).]

(2)The [F165Relevant Authority] may, on the application of any such person, waive his disqualification either generally or in relation to a particular registered social landlord or particular class of registered social landlord.

(3)Any waiver shall be notified in writing to the person concerned.

(4)For the purposes of this paragraph the [F165Relevant Authority] shall keep, in such manner as it thinks fit, a register of all persons who have been removed from office by the [F165Relevant Authority] under the provisions mentioned in sub-paragraph (1).

[F166(4A)The register must show details of any waivers.]

(5)The register shall be available for public inspection at all reasonable times.

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Amendments (Textual)

F165Words in Pt. I substituted (1.11.1998) by 1998 c. 38, s. 140, Sch. 16 para. 82(1)(2) (with ss. 139(2), 141(1), 143(2)); S.I. 1998/2244, art.5.

Persons acting as officer while disqualified.E+W

26(1)A person who acts as an officer of a registered social landlord while he is disqualified under paragraph 25(1) commits an offence.E+W

A person guilty of such an offence is liable—

(a)on summary conviction, to imprisonment for a term not exceeding [F16712 months] or to a fine not exceeding the statutory maximum, or both;

(b)on conviction on indictment, to imprisonment for a term not exceeding two years or to a fine, or both.

[F168(1A)In relation to an offence committed before the commencement of section 282 of the Criminal Justice Act 2003 (short sentences) the reference in sub-paragraph (1)(a) to 12 months has effect as if it were a reference to 6 months.]

(2)Proceedings for an offence under sub-paragraph (1) may be brought only by or with the consent of the [F169Relevant Authority] or the Director of Public Prosecutions.

(3)Acts done as an officer of a registered social landlord by a person who is disqualified under paragraph 25(1) are not invalid by reason only of that disqualification.

(4)Where the [F169Relevant Authority] is satisfied—

(a)that a person has acted as an officer of a registered social landlord while disqualified under paragraph 25(1), and

(b)that while so acting he has received from the registered social landlord any payments or benefits in connection with his so acting,

it may by order direct him to repay to the registered social landlord the whole or part of any such sums or, as the case may be, to pay to it the whole or part of the monetary value (as determined by it) of any such benefit.

[F170(5)If a person fails to comply with an order directing repayment, the registered social landlord or the Welsh Ministers (as the case may be) may recover the sum or specified amount as a debt.]

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Amendments (Textual)

F167Words in Sch. 1 para. 26(1)(a) substituted (18.10.2011) by Housing (Wales) Measure 2011 (nawm 5), ss. 82(2), 90(2); S.I. 2011/2475, arts. 1(2), 2(r)

F169Words in Pt. I substituted (1.11.1998) by 1998 c. 38, s. 140, Sch. 16 para. 82(1)(2) (with ss. 139(2), 141(1), 143(2)); S.I. 1998/2244, art.5.

Power to direct transfer of landE+W

27(1)Where as a result of an inquiry under paragraph 20 or an audit under paragraph 22 the [F171Relevant Authority] is satisfied as regards a registered social landlord—E+W

(a)that there has been misconduct or mismanagement in its administration, or

(b)that the management of its land would be improved if its land were transferred in accordance with the provisions of this paragraph,

the [F171Relevant Authority] may, F172. . . direct the registered social landlord to make such a transfer . F173...

(2)Where the registered social landlord concerned is a charity, the [F171Relevant Authority] may only direct a transfer to be made to another registered social landlord—

(a)which is also a charity, and

(b)the objects of which appear to the [F171Relevant Authority] to be, as nearly as practicable, akin to those of the registered social landlord concerned.

(3)In any other case the [F171Relevant Authority] may direct a transfer to be made to the [F171Relevant Authority] or to another registered social landlord.

(4)The transfer shall be on such terms as the [F171Relevant Authority] may direct on the basis of principles determined by it.

F174...

(5)The price shall not be less than the amount certified by the district valuer to be the amount the property would command if sold by a willing seller to another registered social landlord.

(6)The terms shall include provision as to the payment of debts and liabilities (including debts and liabilities secured on the land).

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Amendments (Textual)

F171Words in Pt. I substituted (1.11.1998) by 1998 c. 38, s. 140, Sch. 16 para. 82(1)(2) (with ss. 139(2), 141(1), 143(2)); S.I. 1998/2244, art.5.

F172Words in Sch. 1 para. 27(1) repealed (1.11.1998) by 1998 c. 38, ss. 140, 152, Sch. 16 para. 96(6)(a), Sch. 18 Pt.VI (with ss. 137(1), 139(2), 141(1), 143(2)); S.I. 1998/2244, art.5.

Modifications etc. (not altering text)

Commencement Information

I4Sch. 1 para. 27 wholly in force at 1.10.1996; Sch. 1 para. 27 not in force at Royal Assent see s. 232(3); Sch. 1 para. 27(4) in force for certain purposes at 1.8.1996 by S.I. 1996/2048, art. 3; Sch. 1 para. 27 in force at 1.10.1996 to the extent that it is not already in force, by S.I. 1996/2402, art. 3 (subject to the transitional provisions and savings in the Sch. of that S.I.)

Availability of powers in relation to registered charities.E+W

28(1)The [F175Relevant Authority] may exercise its powers under paragraphs 20 to 26 in relation to a registered charity only if the charity has [F176 received public assistance]F177...E+W

F178(2). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3)In relation to a registered charity paragraphs 20 to 26 have effect with the following adaptations—

(a)references to its affairs are confined to its housing activities and such other activities (if any) as are incidental to or connected with its housing activities;

(b)references to its accounts do not include revenue accounts which do not relate to its housing activities, except so far as such accounts are necessary for the auditing of revenue accounts which do so relate or of the balance sheet;

(c)a person is a qualified auditor for the purpose of paragraph 22 (extraordinary audit) only if he is an auditor qualified for the purposes of paragraph 18 (accounting and audit requirements for charities).

(4)The [F175Relevant Authority] shall notify the [F179Charity Commission] upon the exercise in relation to a registered charity of its powers under—

(a)paragraph 20(1) (inquiry into affairs of registered social landlord),

(b)paragraph 23(2)(a) (interim suspension of person in connection with misconduct or mismanagement), or

(c)paragraph 24(2)(a) or (b) (removal of person in connection with misconduct or mismanagement or suspension with a view to removal).

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Amendments (Textual)

F175Words in Pt. I substituted (1.11.1998) by 1998 c. 38, s. 140, Sch. 16 para. 82(1)(2) (with ss. 139(2), 141(1), 143(2)); S.I. 1998/2244, art.5.

F177Words in Sch. 1 para. 28(1) omitted (18.10.2011) by virtue of Housing (Wales) Measure 2011 (nawm 5), s. 90(2), Sch. para. 20(a)(ii); S.I. 2011/2475, arts. 1(2), 2(v)

F178Sch. 1 para. 28(2) omitted (18.10.2011) by virtue of Housing (Wales) Measure 2011 (nawm 5), s. 90(2), Sch. para. 20(b); S.I. 2011/2475, arts. 1(2), 2(v)

F179Words in Sch. 1 para. 28(4) substituted (27.2.2007) by Charities Act 2006 (c. 50), s. 79(2), Sch. 8 para. 192(5); S.I. 2007/309, art. 2, Sch.

29The [F180Relevant Authority] may not exercise its powers under paragraph 27 in relation to a registered charity.E+W

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Amendments (Textual)

F180Words in Pt. I substituted (1.11.1998) by 1998 c. 38, s. 140, Sch. 16 para. 82(1)(2) (with ss. 139(2), 141(1), 143(2)); S.I. 1998/2244, art.5.

Section 51.

SCHEDULE 2E+W Social rented sector: housing complaints

Social landlords required to be member of approved schemeE+W

1(1)A social landlord[F181, other than a local housing authority,] must be a member of an approved scheme covering, or more than one approved scheme which together cover, all his housing activities.E+W

[F182(1A)A social landlord which is a local housing authority must be a member of an approved scheme covering, or more than one scheme which together cover—

(a)action which—

(i)is taken by or on behalf of the authority in its capacity as a registered provider of social housing, and

(ii)is action in connection with its housing activities so far as they relate to the provision or management of social housing (and here “social housing” has the same meaning as in Part 2 of the Housing and Regeneration Act 2008), and

(b)action taken by or on behalf of the authority in connection with the management of dwellings owned by the authority and let on a long lease (and here “long lease” has the meaning given by section 59(3) of the Landlord and Tenant Act 1987).]

(2)If a social landlord fails to comply with the duty imposed by this paragraph, the Secretary of State may apply to the High Court for an order directing him to comply within a specified period and the High Court may, if it thinks fit, make such an order.

(3)Nothing in this Schedule shall be construed as restricting membership of an approved scheme to social landlords.

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Amendments (Textual)

F181Words in Sch. 2 para. 1(1) inserted (1.4.2013 for E.) by Localism Act 2011 (c. 20), ss. 181(4)(a), 240(2) (with s. 181(11)); S.I. 2013/722, art. 2(c)

F182Sch. 2 para. 1(1A) inserted (1.4.2013 for E.) by Localism Act 2011 (c. 20), ss. 181(4)(b), 240(2) (with s. 181(11)); S.I. 2013/722, art. 2(c)

Commencement Information

I5Sch. 2 para. 1 wholly in force at 1.4.1997 see s. 232(1)-3) and S.I. 1997/618, art. 2 (subject to the limitation in (2) of that art.)

Matters for which scheme must provideE+W

2(1)A scheme shall not be approved for the purposes of this Schedule unless it makes provision for—E+W

1.The establishment or appointment of an independent person to administer the scheme.

2.The criteria for membership for—

(a)social landlords under a duty to be members of an approved scheme, and

(b)other persons.

3.The manner of becoming or ceasing to be a member.

4.The matters about which complaints may be made under the scheme.

5.The grounds on which a matter may be excluded from investigation, including that the matter is the subject of court proceedings or was the subject of court proceedings where judgment on the merits was given.

6.The descriptions of individual who may make a complaint under the scheme.

7.The appointment of an independent individual to be the housing ombudsman under the scheme.

8.The appointment of staff to administer the scheme and to assist the housing ombudsman and the terms upon which they are appointed.

9.A duty of the housing ombudsman to investigate any complaint duly made and not withdrawn, and a power to investigate any complaint duly made but withdrawn, and where he investigates to make a determination.

10.A power of the housing ombudsman to propose alternative methods of resolving a dispute.

11.The powers of the housing ombudsman for the purposes of his investigations, and the procedure to be followed in the conduct of investigations.

12.The powers of the housing ombudsman on making a determination.

13.The making and publication of annual reports by the housing ombudsman on the discharge of his functions.

14.The manner in which determinations are to be—

(a)communicated to the complainant and the person against whom the complaint was made, and

(b)published.

15.The manner in which the expenses of the scheme are to be defrayed by the members.

16.[F183In the case of a scheme relating to Wales, the] keeping and auditing of accounts and the submission of accounts to the Secretary of State.

[F184 16A. In the case of a scheme relating to England, the keeping of accounts.]

17.The making of annual reports on the administration of the scheme.

18.The manner of amending the scheme.

(2)The Secretary of State may by order amend sub-paragraph (1) by adding to or deleting from it any item or by varying any item for the time being contained in it.

(3)An order under sub-paragraph (2) shall be made by statutory instrument which shall be subject to annulment in pursuance of a resolution of either House of Parliament.

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Amendments (Textual)

Commencement Information

I6Sch. 2 para. 2 wholly in force at 1.8.1996 see s. 232(1)-(3) and S.I. 1996/2048, art. 2 (subject to the limitation in (2) of that art.)

Approval of scheme, or amendment, and withdrawal of approvalE+W

3(1)An application to the Secretary of State for approval of a scheme shall be made in such manner as the Secretary of State may determine, and shall be accompanied by such information as the Secretary of State may require.E+W

(2)If it appears to the Secretary of State that the scheme—

(a)provides for the matters specified in paragraph 2, and

(b)is a satisfactory scheme for the purposes of this Schedule,

he shall approve the scheme.

(3)An amendment of an approved scheme is not effective unless approved by the Secretary of State.

Sub-paragraph (1) applies in relation to an application for approval of an amendment as it applies to an application for approval of a scheme; and the Secretary of State shall approve the amendment if it appears to him that the scheme as amended meets the conditions in sub-paragraph (2).

(4)The Secretary of State may withdraw his approval of a scheme.

(5)If the Secretary of State proposes to withdraw his approval of a scheme, he shall serve on the person administering the scheme and on the housing ombudsman under the scheme, a notice stating—

(a)that he proposes to withdraw his approval,

(b)the grounds for the proposed withdrawal of his approval, and

(c)that the person receiving the notice may make representations with respect to the proposed withdrawal of approval within such period of not less than 14 days as is specified in the notice;

and he shall, before reaching a decision on whether to withdraw approval, consider any representations duly made to him.

(6)The Secretary of State shall give notice of his decision on a proposal to withdraw approval of a scheme, together with his reasons, to every person on whom he served a notice under sub-paragraph (5).

(7)Withdrawal of approval by the Secretary of State has effect from such date as is specified in the notice of his decision.

(8)Where the person administering a scheme is given notice of a decision to withdraw approval of the scheme, he shall give notice of the decision to every member of the scheme.

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Commencement Information

I7Sch. 2 para. 3 wholly in force at 1.8.1996 see s. 232(1)-(3) and S.I. 1996/2048, art. 2 (subject to the limitation in (2) of that art.)

Notice to be given of becoming a member of an approved schemeE+W

4(1)A social landlord who—E+W

(a)becomes a member of an approved scheme, or

(b)is a member of a scheme which becomes an approved scheme,

shall, within the period of 21 days beginning with the date of becoming a member or, as the case may be, of being informed of the Secretary of State’s approval of the scheme, give notice of that fact to the [F185Regulator of Social Housing] .

(2)The [F185Regulator of Social Housing], on receiving the notice, shall record his membership of an approved scheme.

(3)A person who fails to comply with sub-paragraph (1) commits an offence and is liable on summary conviction to a fine not exceeding level 4 on the standard scale.

Proceedings for such an offence may be brought only by or with the consent of the [F185Regulator of Social Housing] or the Director of Public Prosecutions.

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Amendments (Textual)

F185Words in Sch. 2 substituted (1.4.2010) by Housing and Regeneration Act 2008 (c. 17), ss. 124(1), 325(1); S.I. 2010/862, art. 2 (with Sch.)

Commencement Information

I8Sch. 2 para. 4 wholly in force at 1.8.1996 see s. 232(1)-(3) and S.I. 1996/2048, art. 2 (subject to the limitation in (2) of that art.)

Withdrawal from approved schemeE+W

5(1)A social landlord wishing to withdraw from membership of an approved scheme shall send notice of his proposed withdrawal to the [F185Regulator of Social Housing] .E+W

(2)The notice shall specify—

(a)the housing activities in relation to which he is subject to investigation under the scheme,

(b)the approved scheme or schemes of which he is also a member or will, on his withdrawal, become a member, and

(c)under which scheme or schemes the housing activities mentioned in paragraph (a) will be subject to investigation after his withdrawal.

(3)If the [F185Regulator of Social Housing] is satisfied that withdrawal by the landlord from the scheme will not result in a failure to comply with his duty under paragraph 1, it shall confirm the landlord’s withdrawal from the scheme.

(4)If the [F185Regulator of Social Housing] is not so satisfied, it shall withhold confirmation of the landlord’s withdrawal from the scheme; and the landlord shall continue to be a member of the scheme and bound and entitled under the scheme accordingly.

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Commencement Information

I9Sch. 2 para. 5 wholly in force at 1.8.1996 see s. 232(1)-(3) and S.I. 1996/2048, art. 2 (subject to the limitation in (2) of that art.)

Register of approved schemesE+W

6(1)The [F185Regulator of Social Housing] shall maintain a register of schemes approved by the Secretary of State for the purposes of this Schedule and of the social landlords who are members of those schemes.E+W

(2)The Secretary of State shall give notice to the [F186Housing Corporation]

(a)when he grants or withdraws his approval of a scheme, and

(b)when he approves an amendment of a scheme,

and he shall supply the [F186Housing Corporation] with copies of any approved scheme or any amendment to a scheme.

(3)A member of the public shall be entitled, upon payment of such fees as the [F185Regulator of Social Housing] may determine, to receive a copy of an approved scheme and a list of the social landlords who are members of it.

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Amendments (Textual)

F186Words in Sch. 2 para. 6(2) substituted (1.11.1998) by 1998 c. 38, s. 140, Sch. 16 para. 97(2) (with ss. 139(2), 141(1), 143(2)); S.I. 1998/2244, art.5.

Modifications etc. (not altering text)

Commencement Information

I10Sch. 2 para. 6 wholly in force at 1.8.1996 see s. 232(1)-(3) and S.I. 1996/2048, art. 2 (subject to the limitation in (2) of that art.)

Determinations by housing ombudsmanE+W

7(1)A housing ombudsman under an approved scheme shall investigate any complaint duly made to him and not withdrawn, and may investigate any complaint duly made but withdrawn, and where he investigates a complaint he shall determine it by reference to what is, in his opinion, fair in all the circumstances of the case.E+W

(2)He may in his determination—

(a)order the member of a scheme against whom the complaint was made to pay compensation to the complainant, and

(b)order that the member or the complainant shall not exercise or require the performance of any of the contractual or other obligations or rights existing between them.

(3)If the member against whom the complaint was made fails to comply with the determination within a reasonable time, the housing ombudsman may order him to publish in such manner as the ombudsman sees fit that he has failed to comply with the determination.

(4)Where the member is not a social landlord, the housing ombudsman may also order that the member—

(a)be expelled from the scheme, and

(b)publish in such manner as the housing ombudsman sees fit that he has been expelled and the reasons for his expulsion.

(5)If a person fails to comply with an order under sub-paragraph (3) or (4)(b), the housing ombudsman may take such steps as he thinks appropriate to publish what the member ought to have published and recover from the member the costs of doing so.

(6)A member who is ordered by the housing ombudsman to pay compensation or take any other steps has power to do so, except that a member which is also a charity shall not do anything contrary to its trusts.

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Commencement Information

I11Sch. 2 para. 7 wholly in force at 1.4.1997 see s. 232(1)-(3) and S.I. 1997/618, art. 2 (subject to the limitation in (2) of that art.)

[F187Complaints must be referred by designated person unless paragraph 7B appliesE+W

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Amendments (Textual)

F187Sch. 2 paras. 7A-7D and cross-headings inserted (1.4.2013 for E. for the insertion of Sch. 2 paras. 7A-7C) by Localism Act 2011 (c. 20), ss. 180(1), 240(2) (with s. 180(3)(4)); S.I. 2013/722, art. 2(a) (with art. 3)

7A(1)A complaint against a social landlord is not “duly made” to a housing ombudsman under an approved scheme unless it is made in writing to the ombudsman by a designated person by way of referral of a complaint made to the designated person.E+W

(2)Sub-paragraph (1) is subject to paragraph 7B (complaints that need not be made by way of referral).

(3)For the purposes of this paragraph “designated person” means—

(a)a member of the House of Commons,

(b)a member of the local housing authority for the district in which the property concerned is located, or

(c)a designated tenant panel (see paragraph 7C(1)) for the social landlord.

(4)Before making a referral under sub-paragraph (1), a designated person must obtain written consent from the complainant or the complainant's representative.

(5)Sub-paragraphs (6) and (7) apply if under sub-paragraph (1) a designated person refers a complaint to a housing ombudsman.

(6)If the ombudsman decides—

(a)not to investigate the complaint, or

(b)to discontinue investigation of the complaint,

the ombudsman must prepare a statement of reasons for that decision and send a copy of the statement to the designated person.

(7)If the ombudsman completes investigation of the complaint, the ombudsman must inform the designated person of—

(a)the results of the investigation, and

(b)any determination made.

(8)In sub-paragraph (3)(b) “district” in relation to a local housing authority has the same meaning as in the Housing Act 1985.

Complaints that need not be made by way of referral by designated personE+W

7B(1)Paragraph 7A(1) does not apply in relation to a complaint against a social landlord made to a housing ombudsman under an approved scheme if the ombudsman is satisfied that—E+W

(a)the social landlord has procedures for considering complaints against the social landlord,

(b)the matter that forms the subject of the complaint has been submitted to those procedures,

(c)those procedures have been exhausted, and

(d)the complaint has been made to the ombudsman after the end of the eight weeks beginning with the day on which those procedures were exhausted.

(2)Paragraph 7A(1) does not apply in relation to a complaint against a social landlord made to a housing ombudsman under an approved scheme if—

(a)the ombudsman is satisfied that a designated person—

(i)has refused to refer the complaint to a housing ombudsman under an approved scheme, or

(ii)has agreed to the complaint being made otherwise than by way of a referral by a designated person, and

(b)the refusal, or agreement, is in writing or the ombudsman is satisfied that it has been confirmed in writing.

(3)Paragraph 7A(3) (meaning of “designated person”) applies also for the purposes of sub-paragraph (2).

Designated tenant panelsE+W

7C(1)In paragraph 7A(3)(c) “designated tenant panel” means a group of tenants which is recognised by a social landlord for the purpose of referring complaints against the social landlord.E+W

(2)There may be more than one designated tenant panel for a social landlord.

(3)Where a social landlord becomes a member of an approved scheme, the social landlord must give to the person administering the scheme contact details for any designated tenant panel for the social landlord.

(4)Where a group becomes a designated tenant panel for a social landlord, the social landlord must, as respects each approved scheme of which the social landlord is a member, give to the person administering the scheme contact details for the panel.

(5)Where a group ceases to be a designated tenant panel for a social landlord, the social landlord must inform the person administering each approved scheme of which the social landlord is a member.

(6)A complaint referred to a housing ombudsman under an approved scheme by a designated tenant panel for a social landlord is not affected by the group concerned ceasing to be a designated tenant panel for the social landlord.

Enforcement of a housing ombudsman's determinationsE+W

7D(1)The Secretary of State may by order make provision for, or in connection with, authorising a housing ombudsman under an approved scheme to apply to a court or tribunal for an order that a determination made by the ombudsman may be enforced as if it were an order of a court.E+W

(2)Before the Secretary of State makes an order under sub-paragraph (1), the Secretary of State must consult—

(a)one or more bodies appearing to the Secretary of State to represent the interests of social landlords,

(b)one or more bodies appearing to the Secretary of State to represent the interests of other members of approved schemes,

(c)one or more bodies appearing to the Secretary of State to represent the interests of tenants, and

(d)such other persons as the Secretary of State considers appropriate.

(3)The Secretary of State's power to make an order under sub-paragraph (1) is exercisable by statutory instrument.

(4)A statutory instrument containing an order made by the Secretary of State under sub-paragraph (1) is subject to annulment in pursuance of a resolution of either House of Parliament.]

Publication of determinations, &c.E+W

8(1)A housing ombudsman under an approved scheme may publish—E+W

(a)his determination on any complaint, and

(b)such reports as he thinks fit on the discharge of his functions.

(2)He may include in any such determination or report statements, communications, reports, papers or other documentary evidence obtained in the exercise of his functions.

(3)In publishing any determination or report, a housing ombudsman shall have regard to the need for excluding so far as practicable—

(a)any matter which relates to the private affairs of an individual, where publication would seriously and prejudicially affect the interests of that individual, and

(b)any matter which relates specifically to the affairs of a member of an approved scheme, where publication would seriously and prejudicially affect its interests, unless the inclusion of that matter is necessary for the purposes of the determination or report.

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Commencement Information

I12Sch. 2 para. 8 wholly in force at 1.4.1997 see s. 232(1)-(3) and S.I. 1997/618, art. 2 (subject to the limitation in (2) of that art.)

Absolute privilege for communications, &c.E+W

9For the purposes of the law of defamation absolute privilege attaches to—E+W

(a)any communication between a housing ombudsman under an approved scheme and any person by or against whom a complaint is made to him,

(b)any determination by such an ombudsman, and

(c)the publication of such a determination or any report under paragraph 8.

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Commencement Information

I13Sch. 2 para. 9 wholly in force at 1.4.1997 see s. 232(1)-(3) and S.I. 1997/618, art. 2 (subject to the limitation in (2) of that art.)

Appointment and status of housing ombudsmanE+W

10(1)Where an approved scheme provides that it shall be administered by a body corporate, that body shall appoint on such terms as it thinks fit the housing ombudsman for the purposes of the scheme and the appointment and its terms shall be subject to the approval of the Secretary of State.E+W

(2)Where an approved scheme does not so provide—

(a)the housing ombudsman for the purposes of the scheme shall be appointed by the Secretary of State on such terms as the Secretary of State thinks fit,

(b)the Secretary of State may by order provide that the housing ombudsman for the purposes of the scheme shall be a corporation sole, and

(c)the staff to administer the scheme and otherwise assist the ombudsman in the discharge of his functions shall be appointed and employed by him.

(3)The Secretary of State may at any time remove from office a housing ombudsman (whether appointed by him or otherwise).

(4)A housing ombudsman appointed by the Secretary of State or otherwise shall not be regarded as the servant or agent of the Crown or as enjoying any status, privilege or immunity of the Crown or as exempt from any tax, duty, rate, levy or other charge whatsoever, whether general or local, and any property held by him shall not be regarded as property of, or held on behalf of, the Crown.

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Commencement Information

I14Sch. 2 para. 10 wholly in force at 1.8.1996 see s. 232(1)-(3) and S.I. 1996/2048, art. 2 (subject to the limitation in (2) of that art.)

[F188Collaborative working with Local CommissionersE+W

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Amendments (Textual)

F188Sch. 2 para. 10A and cross-heading inserted (1.4.2013 for E.) by Localism Act 2011 (c. 20), ss. 182(8), 240(2); S.I. 2013/722, art. 2(d)

10A(1)If at any stage in the course of conducting an investigation under this Act a housing ombudsman forms the opinion that the complaint relates partly to a matter within the jurisdiction of a Local Commissioner, the ombudsman may, subject to sub-paragraph (2), conduct an investigation under this Act jointly with that Commissioner.E+W

(2)A housing ombudsman must obtain the consent of the complainant or the complainant's representative before agreeing to a joint investigation referred to in sub-paragraph (1).

(3)If a housing ombudsman forms the opinion that a complaint which is being investigated by a Local Commissioner relates partly to a matter within the jurisdiction of the ombudsman, the ombudsman may conduct an investigation jointly with that Commissioner.

(4)If a housing ombudsman conducts an investigation jointly with a Local Commissioner, the requirements of paragraph 7 may be satisfied by a report made jointly with that person.

(5)A joint report made under this paragraph must distinguish determinations of a housing ombudsman from other findings or recommendations.]

Subscriptions payable in respect of approved schemesE+W

11(1)Members of an approved scheme shall pay a subscription, calculated as set out in the scheme, to the person administering the scheme.E+W

[F189(1A)If a change in the method of calculation under sub-paragraph (1) would result in a member's subscription being more than it would otherwise be, the change may be made only if the Secretary of State approves it.

(1B)An approved scheme's total defrayable expenses for a period may be more than the scheme's total defrayable expenses for the immediately-preceding corresponding period only if the Secretary of State approves the increase.

(1C)In sub-paragraph (1B) “defrayable expenses”, in relation to a scheme, means expenses of the scheme that are to be defrayed by subscriptions from members of the scheme.]

(2)If a social landlord fails to comply with his duty under paragraph 1, the Secretary of State may determine—

(a)which approved scheme or schemes he should have joined, and

(b)what sums by way of subscription he should have paid,

and may require him to pay those amounts to the person administering the scheme or schemes.

(3)The person administering an approved scheme may recover sums payable under sub-paragraph (1) or (2) as if they were debts due to him.

(4)The Secretary of State F190... may pay grant and provide other financial assistance to—

(a)a body corporate administering an approved scheme, or

(b)in a case where paragraph 10(2) applies, to the housing ombudsman under an approved scheme,

for such purposes and upon such terms as the Secretary of State F191... thinks fit.

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Amendments (Textual)

F190Words in Sch. 2 para. 11(4) repealed (20.5.2009 for specified purposes, 7.9.2009 for E. for specified purposes, 1.4.2010 in so far as not already in force) by Housing and Regeneration Act 2008 (c. 17), ss. 124(4)(a), 325(1), Sch. 16; S.I. 2009/1261, art. 4; S.I. 2009/2096, art. 2(2)(c) (with art. 3(1)(2)); S.I. 2010/862, arts. 2, 3 (with Sch.)

F191Words in Sch. 2 para. 11(4) repealed (20.5.2009 for specified purposes, 7.9.2009 for E. for specified purposes, 1.4.2010 in so far as not already in force) by Housing and Regeneration Act 2008 (c. 17), ss. 124(4)(b), 325(1), Sch. 16; S.I. 2009/1261, art. 4; S.I. 2009/2096, art. 2(2)(c) (with art. 3(1)(2)); S.I. 2010/862, arts. 2, 3 (with Sch.)

Modifications etc. (not altering text)

Commencement Information

I15Sch. 2 para. 11 wholly in force 1.4.1997; Sch. 2 para. 11 not in force at Royal Assent see s. 232(1)-(3); Sch. 2 para. 11(1)(3)(4) in force at 1.8.1996 by S.I. 1996/2048, art. 2 (subject to the limitation in (2) of that art.); Sch. 2 para. 11 in force at 1.4.1997 so far as not already in force by S.I. 1997/618, art. 2 (subject to the limitation in (2) of that art.)

[F192General provision about ordersE+W

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Amendments (Textual)

F192Sch. 2 para. 12 and cross-heading added (1.4.2010) by Housing and Regeneration Act 2008 (c. 17), ss. 124(5), 325(1); S.I. 2010/862, art. 2 (with Sch.)

12Section 52 shall apply to an order of the Secretary of State under this Schedule (with any necessary modifications).]E+W

Section 51A(7)

F193SCHEDULE 2AE+W+S+N.I.Further Provision About The Social Housing Ombudsman For Wales

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

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Amendments (Textual)

Section 55.

SCHEDULE 3E+W+S+N.I. Social rented sector: minor amendments

Finance Act 1981 (c.35)E+W+S+N.I.

1(1)Section 107 of the Finance Act 1981 (stamp duty payable upon sale of houses at a discount) is amended as follows.E+W+S+N.I.

(2)After subsection (3)(e) insert—

(ea)a registered social landlord within the meaning of Part I of the Housing Act 1996;.

(3)In subsection (3)(f) for the words from “registered” to the end substitute registered—

(i)in Scotland, under the Housing Associations Act 1985, or

(ii)in Northern Ireland, under Part II of the Housing (Northern Ireland) Order 1992;.

(4)In subsection (3A) (exclusion of certain sub-sales), for “subsection (3)(f)” substitute “ subsection (3)(ea) or (f) ”.

(5)After subsection (3B) insert—

(3C)A grant under section 20 or 21 of the Housing Act 1996 (purchase grants in respect of disposals at a discount by registered social landlords) shall not be treated as part of the consideration for a conveyance or transfer to which this section applies made by a body falling within subsection (3)(ea) above..

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Commencement Information

I16Sch. 3 para. 1 wholly in force 1.4.1997: Sch. 3 para. 1 not in force at Royal Assent, see s. 232(1)-(3); Sch. 3 para. 1(1)-(4) in force at 1.10.1996 by S.I. 1996/2402, art. 3 (subject to the transitional provisions and savings in Sch. para. 1 of that S.I.) and Sch. 3 para. 1 in force at 1.4.1997 so far as not already in force by S.I. 1997/618, art. 2 (subject to the limitation in (2) of that art.)

E+W+S+N.I.

Local Government Finance Act 1982 (c.32)

F1942. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .E+W+S+N.I.

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Amendments (Textual)

F194Sch. 3 para. 2 repealed (11.9.1998) by 1998 c. 18, ss. 54(3), 55(2), Sch.5.

Housing Associations Act 1985 (c.69)E+W+S

3Section 33 of the Housing Associations Act 1985 (recognition of central association) shall cease to have effect.E+W+S

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Extent Information

E1Sch. 3 para. 3:the extent of amendments/repeals of Housing Associations Act 1985 is as mentioned in s. 231(1)(4)(a)

Modifications etc. (not altering text)

C10Sch. 3 para. 3 extended (16.9.1996) by S.I. 1996/2402, art. 3, Sch. para. 1

4In section 69(1) of the Housing Associations Act 1985 (power to vary or terminate certain agreements with housing associations: agreements to which the section applies), omit paragraphs (e) and (g).E+W+S

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Extent Information

E2Sch. 3 para. 4: the extent of amendments/repeals of Housing Associations Act 1985 is as mentioned in s. 231(1)(4)(a)

Modifications etc. (not altering text)

C11Sch. 3 para. 4 extended (16.9.1996) by S.I. 1996/2402, art. 3,Sch. para. 1

5In section 75(1) of the Housing Associations Act 1985 (general functions of the Corporation) for paragraphs (a) to (c) substitute—E+W+S

(a)to facilitate the proper performance of the functions of registered social landlords;

(b)to maintain a register of social landlords and to exercise supervision and control over such persons;

(c)to promote and assist the development of self-build societies (other than registered social landlords) and to facilitate the proper performance of the functions, and to publicise the aims and principles, of such societies;.

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Extent Information

E3Sch. 3 para. 5: the extent of amendments/repeals of Housing Associations Act 1985 is as mentioned in s. 231(1)(4)(a)

Modifications etc. (not altering text)

C12Sch. 3 para. 5 extended (16.9.1996) by S.I. 1996/2402, art. 3,Sch. para. 1

F1956. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .E+W+S

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Amendments (Textual)

7In section 87 of the Housing Associations Act 1985 (financial assistance for formation, management, &c. of housing associations), for subsection (1) substitute—E+W+S

(1)The Corporation may give financial assistance to any person to facilitate the proper performance of the functions of registered social landlords or co-operative housing associations..

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Extent Information

E4Sch. 3 para. 7: the extent of amendments/repeals of Housing Associations Act 1985 is as mentioned in s. 231(1)(4)(a)

Commencement Information

I17Sch. 3 para. 7 wholly in force 1.10.1996; Sch. 3 para. 7 not in force at Royal Assent see s. 232(1)-(3); Sch. 3 para. 7 in force for certain purposes at 1.8.1996 by S.I. 1996/2048, art. 4 and in force at 1.10.1996 to the extent not already in force by S.I. 1996/2402, art. 3, Sch. para. 1

Income and Corporation Taxes Act 1988 (c.1)E+W+S+N.I.

F1968. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .E+W+S+N.I.

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Amendments (Textual)

F196Sch. 3 para. 8 repealed (with effect in accordance with s. 1184(1) of the amending Act) by Corporation Tax Act 2010 (c. 4), s. 1184(1), Sch. 3 Pt. 1 (with Sch. 2)

Housing (Scotland) Act 1988 (c.43)S

F1979. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .S

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Amendments (Textual)

F197Sch. 3 para. 9 repealed (1.11.2001) by 2001 asp 10, s. 112, Sch. 10 para. 24; S.S.I. 2001/397, art. 2(2), Sch. Table (subject to transitional provisions in arts. 3-6)

Housing Act 1988 (c.50)E+W

10Section 58 of the Housing Act 1988 (application of Housing Acts to certain transactions) shall cease to have effect.E+W

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Extent Information

E5For extent of Sch. 3 para. 10, see s. 231(4)(b)

Modifications etc. (not altering text)

C13Sch. 3 para. 10 extended (16.9.1996) by S.I. 1996/2402, art. 3,Sch. para. 1

11In section 79(2) of the Housing Act 1988 (permitted disposals of land by housing action trusts) for paragraph (a) and the word “or” at the end of the paragraph substitute—E+W

(a)to a registered social landlord (within the meaning of Part I of the Housing Act 1996), or.

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Modifications etc. (not altering text)

C14Sch. 3 para. 11 extended (16.9.1996) by S.I. 1996/2402, art. 3,Sch. para. 1

Section 84.

SCHEDULE 4E+W Rights exercisable by surveyor appointed by tenants’ association

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Annotations are used to give authority for changes and other effects on the legislation you are viewing and to convey editorial information. They appear at the foot of the relevant provision or under the associated heading. Annotations are categorised by annotation type, such as F-notes for textual amendments and I-notes for commencement information (a full list can be found in the Editorial Practice Guide). Each annotation is identified by a sequential reference number. For F-notes, M-notes and X-notes, the number also appears in bold superscript at the relevant location in the text. All annotations contain links to the affecting legislation.

Modifications etc. (not altering text)

C15Sch. 4 (except para. 7) modified (30.9.2003 for E., 30.3.2004 for W.) by Commonhold and Leasehold Reform Act 2002 (c. 15), s. 181(1), Sch. 7 para. 15(1); S.I. 2003/1986, art. 2(a); S.I. 2004/669, art. 2(a) (with Sch. 2)

C16Sch. 4 extended to Crown Land (30.9.2003 for E. for specified purposes, 30.3.2004 for W. for specified purposes, 28.2.2005 for E. for specified purposes, 31.5.2005 for W. for specified purposes) by Commonhold and Leasehold Reform Act 2002 (c. 15), ss. 172, 181(1); S.I. 2003/1986, art. 2(c)(ii) (with Sch. 2); S.I. 2004/669, art. 2(c)(ii) (with Sch. 2); S.I. 2004/3056, art. 3(h) (with art. 4); S.I. 2005/1353, art. 2(h)

IntroductoryE+W

1(1)A surveyor appointed for the purposes of section 84 has the rights conferred by this Schedule.E+W

(2)In this Schedule—

(a)the tenants’ association” means the association by whom the surveyor was appointed, and

(b)the surveyor’s “functions” are his functions in connection with the matters in respect of which he was appointed.

Appointment of assistantsE+W

2(1)The surveyor may appoint such persons as he thinks fit to assist him in carrying out his functions.E+W

(2)References in this Schedule to the surveyor in the context of—

(a)being afforded any such facilities as are mentioned in paragraph 3, or

(b)carrying out an inspection under paragraph 4,

include a person so appointed.

Right to inspect documents, &c.E+W

3(1)The surveyor has a right to require the landlord or any other relevant person—E+W

(a)to afford him reasonable facilities for inspecting any documents sight of which is reasonably required by him for the purposes of his functions, and

(b)to afford him reasonable facilities for taking copies of or extracts from any such documents.

(2)In sub-paragraph (1) “other relevant person” means a person other than the landlord who is or, in relation to a future service charge, will be—

(a)responsible for applying the proceeds of the service charge, or

(b)under an obligation to a tenant who pays the service charge in respect of any matter to which the charge relates.

(3)The rights conferred on the surveyor by this paragraph are exercisable by him by notice in writing given by him to the landlord or other person concerned.

Where a notice is given to a person other than the landlord, the surveyor shall give a copy of the notice to the landlord.

(4)The landlord or other person to whom notice is given shall, within the period of one week beginning with the date of the giving of the notice or as soon as reasonably practicable thereafter, either—

(a)afford the surveyor the facilities required by him for inspecting and taking copies or extracts of the documents to which the notice relates, or

(b)give the surveyor a notice stating that he objects to doing so for reasons specified in the notice.

(5)Facilities for the inspection of any documents required under sub-paragraph (1)(a) shall be made available free of charge.

This does not mean that the landlord cannot treat as part of his costs of management any costs incurred by him in connection with making the facilities available.

(6)A reasonable charge may be made for facilities for the taking of copies or extracts required under sub-paragraph (1)(b).

(7)A notice is duly given under this paragraph to the landlord of a tenant if it is given to a person who receives on behalf of the landlord the rent payable by that tenant.

A person to whom such a notice is so given shall forward it as soon as may be to the landlord.

Right to inspect premisesE+W

4(1)The surveyor also has the right to inspect any common parts comprised in relevant premises or any appurtenant property.E+W

(2)In sub-paragraph (1)—

  • “common parts”, in relation to a building or part of a building, includes the structure and exterior of the building or part and any common facilities within it;

  • relevant premises” means so much of—

    (i)

    the building or buildings containing the dwellings let to members of the tenants’ association, and

    (ii)

    any other building or buildings,

    as constitute premises in relation to which management functions are discharged in respect of the costs of which service charges are payable by members of the association; and

  • appurtenant property” means so much of any property not contained in relevant premises as constitutes property in relation to which any such management functions are discharged.

For the purposes of the above definitions “management functions” includes functions with respect to the provision of services, or the repair, maintenance or insurance of property.

(3)On being requested to do so, the landlord shall afford the surveyor reasonable access for the purposes of carrying out an inspection under this paragraph.

(4)Such reasonable access shall be afforded to the surveyor free of charge.

This does not mean that the landlord cannot treat as part of his costs of management any costs incurred by him in connection with affording reasonable access to the surveyor.

(5)A request is duly made under this paragraph to the landlord of a tenant if it is made to a person appointed by the landlord to deal with such requests or, if no such person has been appointed, to a person who receives on behalf of the landlord the rent payable by that tenant.

A person to whom such a request is made shall notify the landlord of the request as soon as may be.

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Modifications etc. (not altering text)

C17Sch. 4 para. 4(2): power to amend conferred (prosp.) by 2002 c. 15, ss. 102(1), 181(1), Sch. 7 para. 13

C18Sch. 4 para. 4(5) applied (with modifications) (30.9.2003 for E., 30.3.2004 for W.) by Commonhold and Leasehold Reform Act 2002 (c. 15), s. 181(1), Sch. 7 para. 15(2); S.I. 2003/1986, art. 2(a); S.I. 2004/669, art. 2(a)

Enforcement of rights by the courtE+W

5(1)If the landlord or other person to whom notice was given under paragraph 3 has not, by the end of the period of one month beginning with the date on which notice was given, complied with the notice, the court may, on the application of the surveyor, make an order requiring him to do so within such period as is specified in the order.E+W

(2)If the landlord does not, within a reasonable period after the making of a request under paragraph 4, afford the surveyor reasonable access for the purposes of carrying out an inspection under that paragraph, the court may, on the application of the surveyor, make an order requiring the landlord to do so on such date as is specified in the order.

(3)An application for an order under this paragraph must be made before the end of the period of four months beginning with the date on which notice was given under paragraph 3 or the request was made under paragraph 4.

(4)An order under this paragraph may be made in general terms or may require the landlord or other person to do specific things, as the court thinks fit.

Documents held by superior landlordE+W

6(1)Where a landlord is required by a notice under paragraph 3 to afford the surveyor facilities for inspection or taking copies or extracts in respect of any document which is in the custody or under the control of a superior landlord—E+W

(a)the landlord shall on receiving the notice inform the surveyor as soon as may be of that fact and of the name and address of the superior landlord, and

(b)the surveyor may then give the superior landlord notice in writing requiring him to afford the facilities in question in respect of the document.

(2)Paragraphs 3 and 5(1) and (3) have effect, with any necessary modifications, in relation to a notice given to a superior landlord under this paragraph.

Effect of disposal by landlordE+W

7(1)Where a notice under paragraph 3 has been given or a request under paragraph 4 has been made to a landlord, and at a time when any obligations arising out of the notice or request remain to be discharged by him—E+W

(a)he disposes of the whole or part of his interest as landlord of any member of the tenants’ association, and

(b)the person acquiring that interest (“the transferee”) is in a position to discharge any of those obligations to any extent,

that person shall be responsible for discharging those obligations to that extent, as if he had been given the notice under paragraph 3 or had received the request under paragraph 4.

(2)If the landlord is, despite the disposal, still in a position to discharge those obligations, he remains responsible for doing so.

Otherwise, the transferee is responsible for discharging them to the exclusion of the landlord.

(3)In connection with the discharge of such obligations by the transferee, paragraphs 3 to 6 apply with the substitution for any reference to the date on which notice was given under paragraph 3 or the request was made under paragraph 4 of a reference to the date of the disposal.

(4)In this paragraph “disposal” means a disposal whether by the creation or transfer of an estate or interest, and includes the surrender of a tenancy; and references to the transferee shall be construed accordingly.

Effect of person ceasing to be a relevant personE+W

8Where a notice under paragraph 3 has been given to a person other than the landlord and, at a time when any obligations arising out of the notice remain to be discharged by him, he ceases to be such a person as is mentioned in paragraph 3(2), then, if he is still in a position to discharge those obligations to any extent he remains responsible for discharging those obligations, and the provisions of this Schedule continue to apply to him, to that extent.E+W

Prospective

Section 87.

SCHEDULE 5E+W Text of Part II of the Landlord and Tenant Act 1987, as amended

Part IIE+W Appointment of Managers by Leasehold Valuation Tribunal

21 Tenant’s right to apply to tribunal for appointment of manager.

(1)The tenant of a flat contained in any premises to which this Part applies may, subject to the following provisions of this Part, apply to a leasehold valuation tribunal for an order under section 24 appointing a manager to act in relation to those premises.

(2)Subject to subsection (3), this Part applies to premises consisting of the whole or part of a building if the building or part contains two or more flats.

(3)This Part does not apply to any such premises at a time when—

(a)the interest of the landlord in the premises is held by an exempt landlord or a resident landlord, or

(b)the premises are included within the functional land of any charity.

(4)An application for an order under section 24 may be made—

(a)jointly by tenants of two or more flats if they are each entitled to make such an application by virtue of this section, and

(b)in respect of two or more premises to which this Part applies;

and, in relation to any such joint application as is mentioned in paragraph (a), references in this Part to a single tenant shall be construed accordingly.

(5)Where the tenancy of a flat contained in any such premises is held by joint tenants, an application for an order under section 24 in respect of those premises may be made by any one or more of those tenants.

(6)An application to the court for it to exercise in relation to any premises any jurisdiction to appoint a receiver or manager shall not be made by a tenant (in his capacity as such) in any circumstances in which an application could be made by him for an order under section 24 appointing a manager to act in relation to those premises.

(7)References in this Part to a tenant do not include references to a tenant under a tenancy to which Part II of the M6Landlord and Tenant Act 1954 applies.

22 Preliminary notice by tenant.

(1)Before an application for an order under section 24 is made in respect of any premises to which this Part applies by a tenant of a flat contained in those premises, a notice under this section must (subject to subsection (3)) be served on the landlord by the tenant.

(2)A notice under this section must—

(a)specify the tenant’s name, the address of his flat and an address in England and Wales (which may be the address of his flat) at which the landlord may serve notices, including notices in proceedings, on him in connection with this Part;

(b)state that the tenant intends to make an application for an order under section 24 to be made by a leasehold valuation tribunal in respect of such premises to which this Part applies as are specified in the notice, but (if paragraph (d) is applicable) that he will not do so if the landlord complies with the requirement specified in pursuance of that paragraph;

(c)specify the grounds on which the tribunal would be asked to make such an order and the matters that would be relied on by the tenant for the purpose of establishing those grounds;

(d)where those matters are capable of being remedied by the landlord, require the landlord, within such reasonable period as is specified in the notice, to take such steps for the purpose of remedying them as are so specified; and

(e)contain such information (if any) as the Secretary of State may by regulations prescribe.

(3)A leasehold valuation tribunal may (whether on the hearing of an application for an order under section 24 or not) by order dispense with the requirement to serve a notice under this section in a case where it is satisfied that it would not be reasonably practicable to serve such a notice on the landlord, but the tribunal may, when doing so, direct that such other notices are served, or such other steps are taken, as it thinks fit.

(4)In a case where—

(a)a notice under this section has been served on the landlord, and

(b)his interest in the premises specified in pursuance of subsection (2)(b) is subject to a mortgage,

the landlord shall, as soon as is reasonably practicable after receiving the notice, serve on the mortgagee a copy of the notice.

23 Application to tribunal for appointment of manager.

(1)No application for an order under section 24 shall be made to a leasehold valuation tribunal unless—

(a)in a case where a notice has been served under section 22, either—

(i)the period specified in pursuance of paragraph (d) of subsection (2) of that section has expired without the landlord having taken the steps that he was required to take in pursuance of that provision, or

(ii)that paragraph was not applicable in the circumstances of the case; or

(b)in a case where the requirement to serve such a notice has been dispensed with by an order under subsection (3) of that section, either—

(i)any notices required to be served, and any other steps required to be taken, by virtue of the order have been served or (as the case may be) taken, or

(ii)no direction was given by the tribunal when making the order.

(2)Procedure regulations shall make provision—

(a)for requiring notice of an application for an order under section 24 in respect of any premises to be served on such descriptions of persons as may be specified in the regulations; and

(b)for enabling persons served with any such notice to be joined as parties to the proceedings.

24 Appointment of manager by the tribunal.

(1)A leasehold valuation tribunal may, on an application for an order under this section, by order (whether interlocutory or final) appoint a manager to carry out in relation to any premises to which this Part applies—

(a)such functions in connection with the management of the premises, or

(b)such functions of a receiver,

or both, as the tribunal thinks fit.

(2)A leasehold valuation tribunal may only make an order under this section in the following circumstances, namely—

(a)where the tribunal is satisfied—

(i)that the landlord either is in breach of any obligation owed by him to the tenant under his tenancy and relating to the management of the premises in question or any part of them or (in the case of an obligation dependent on notice) would be in breach of any such obligation but for the fact that it has not been reasonably practicable for the tenant to give him the appropriate notice, and

(ii)that it is just and convenient to make the order in all the circumstances of the case;

(ab)where the tribunal is satisfied—

(i)that unreasonable service charges have been made, or are proposed or likely to be made, and

(iii)that it is just and convenient to make the order in all the circumstances of the case;

(ac)where the tribunal is satisfied—

(i)that the landlord has failed to comply with any relevant provision of a code of practice approved by the Secretary of State under section 87 of the M7Leasehold Reform, Housing and Urban Development Act 1993 (codes of management practice), and

(ii)that it is just and convenient to make the order in all the circumstances of the case; or

(b)where the tribunal is satisfied that other circumstances exist which make it just and convenient for the order to be made.

(2A)For the purposes of subsection (2)(ab) a service charge shall be taken to be unreasonable—

(a)if the amount is unreasonable having regard to the items for which it is payable,

(b)if the items for which it is payable are of an unnecessarily high standard, or

(c)if the items for which it is payable are of an insufficient standard with the result that additional service charges are or may be incurred.

In that provision and this subsection “service charge” means a service charge within the meaning of section 18(1) of the M8Landlord and Tenant Act 1985, other than one excluded from that section by section 27 of that Act (rent of dwelling registered and not entered as variable).

(3)The premises in respect of which an order is made under this section may, if the tribunal thinks fit, be either more or less extensive than the premises specified in the application on which the order is made.

(4)An order under this section may make provision with respect to—

(a)such matters relating to the exercise by the manager of his functions under the order, and

(b)such incidental or ancillary matters,

as the tribunal thinks fit; and, on any subsequent application made for the purpose by the manager, the tribunal may give him directions with respect to any such matters.

(5)Without prejudice to the generality of subsection (4), an order under this section may provide—

(a)for rights and liabilities arising under contracts to which the manager is not a party to become rights and liabilities of the manager;

(b)for the manager to be entitled to prosecute claims in respect of causes of action (whether contractual or tortious) accruing before or after the date of his appointment;

(c)for remuneration to be paid to the manager by the landlord, or by the tenants of the premises in respect of which the order is made or by all or any of those persons;

(d)for the manager’s functions to be exercisable by him (subject to subsection (9)) either during a specified period or without limit of time.

(6)Any such order may be granted subject to such conditions as the tribunal thinks fit, and in particular its operation may be suspended on terms fixed by the tribunal.

(7)In a case where an application for an order under this section was preceded by the service of a notice under section 22, the tribunal may, if it thinks fit, make such an order notwithstanding—

(a)that any period specified in the notice in pursuance of subsection (2)(d) of that section was not a reasonable period, or

(b)that the notice failed in any other respect to comply with any requirement contained in subsection (2) of that section or in any regulations applying to the notice under section 54(3).

(8)The M9Land Charges Act 1972 and the M10Land Registration Act 1925 shall apply in relation to an order made under this section as they apply in relation to an order appointing a receiver or sequestrator of land.

(9)A leasehold valuation tribunal may, on the application of any person interested, vary or discharge (whether conditionally or unconditionally) an order made under this section; and if the order has been protected by an entry registered under the Land Charges Act 1972 or the Land Registration Act 1925, the tribunal may by order direct that the entry shall be cancelled.

(9A)The court shall not vary or discharge an order under subsection (9) on a landlord’s application unless it is satisfied—

(a)that the variation or discharge of the order will not result in a recurrence of the circumstances which led to the order being made, and

(b)that it is just and convenient in all the circumstances of the case to vary or discharge the order.

(10)An order made under this section shall not be discharged by a leasehold valuation tribunal by reason only that, by virtue of section 21(3), the premises in respect of which the order was made have ceased to be premises to which this Part applies.

(11)References in this section to the management of any premises include references to the repair, maintenance or insurance of those premises.

24A Jurisdiction of leasehold valuation tribunal.

(1)The jurisdiction conferred by this Part on a leasehold valuation tribunal is exercisable by a rent assessment committee constituted in accordance with Schedule 10 to the Rent Act 1977 which when so constituted for the M11purposes of exercising any such jurisdiction shall be known as a leasehold valuation tribunal.

(2)The power to make regulations under section 74(1)(b) of the Rent Act 1977 (procedure of rent assessment committees) extends to prescribing the procedure to be followed in connection with any proceedings before a leasehold valuation tribunal under this Part.

Such regulations are referred to in this Part as “procedure regulations”.

(3)Any order made by a leasehold valuation tribunal under this Part may, with the leave of the court, be enforced in the same way as an order of the county court.

(4)No costs incurred by a party in connection with proceedings under this Part before a leasehold valuation tribunal shall be recoverable by order of any court.

(5)Paragraphs 2, 3 and 7 of Schedule 22 to the M12Housing Act 1980 (supplementary provisions relating to leasehold valuation tribunals: appeals and provision of information) apply to a leasehold valuation tribunal constituted for the purposes of this section.

(6)No appeal shall lie to the [F198Upper Tribunal] from a decision of a leasehold valuation tribunal under this Part without the leave of the leasehold valuation tribunal concerned or the [F198Upper Tribunal] .

(7)On an appeal to the [F198Upper Tribunal] from a decision of a leasehold valuation tribunal under this Part—

(a)the [F198Upper Tribunal] may exercise any power available to the leasehold valuation tribunal in relation to the original matter, and

(b)an order of the [F198Upper Tribunal] may be enforced in the same way as an order of the leasehold valuation tribunal.

24B Leasehold valuation tribunal: applications and fees.

(1)The Secretary of State may make provision by order as to the form of, or the particulars to be contained in, an application made to a leasehold valuation tribunal under this Part.

(2)The Secretary of State may make provision by order—

(a)requiring the payment of fees in respect of any such application, or in respect of any proceedings before, a leasehold valuation tribunal under this Part; and

(b)empowering a leasehold valuation tribunal to require a party to proceedings before it to reimburse any other party the amount of any fees paid by him.

(3)The fees payable shall be such as may be specified in or determined in accordance with the order subject to this limit, that the fees payable in respect of any one application or reference by the court together with any proceedings before the tribunal arising out of that application or reference shall not exceed £500 or such other amount as may be specified by order of the Secretary of State.

(4)An order under this section may make different provision for different cases or classes of case or for different areas.

(5)An order may, in particular, provide for the reduction or waiver of fees by reference to the financial resources of the party by whom they are to be paid or met.

Any such order may apply, subject to such modifications as may be specified in the order, any other statutory means-testing regime as it has effect from time to time.

(6)An order under this section shall be made by statutory instrument.

(7)No order altering the limit under subsection (3) shall be made unless a draft of the order has been laid before and approved by a resolution of each House of Parliament.

(8)Any other order under this section, unless it contains only such provision as is mentioned in subsection (1), shall be subject to annulment in pursuance of a resolution of either House of Parliament.

.

Section 92(1).

SCHEDULE 6E+W Amendments of Part I of the Landlord and Tenant Act 1987

Part IE+W Rights of first refusal

The following sections are substituted for sections 5 to 10 of the M13Landlord and Tenant Act 1987—

Rights of first refusalE+W

5 Landlord required to serve offer notice on tenants.

(1)Where the landlord proposes to make a relevant disposal affecting premises to which this Part applies, he shall serve a notice under this section (an “offer notice”) on the qualifying tenants of the flats contained in the premises (the “constituent flats”).

(2)An offer notice must comply with the requirements of whichever is applicable of the following sections—

  • section 5A (requirements in case of contract to be completed by conveyance, &c.),

  • section 5B (requirements in case of sale at auction),

  • section 5C (requirements in case of grant of option or right of pre-emption),

  • section 5D (requirements in case of conveyance not preceded by contract, &c.);

and in the case of a disposal to which section 5E applies (disposal for non-monetary consideration) shall also comply with the requirements of that section.

(3)Where a landlord proposes to effect a transaction involving the disposal of an estate or interest in more than one building (whether or not involving the same estate or interest), he shall, for the purpose of complying with this section, sever the transaction so as to deal with each building separately.

(4)If, as a result of the offer notice being served on different tenants on different dates, the period specified in the notice as the period for accepting the offer would end on different dates, the notice shall have effect in relation to all the qualifying tenants on whom it is served as if it provided for that period to end with the latest of those dates.

(5)A landlord who has not served an offer notice on all of the qualifying tenants on whom it was required to be served shall nevertheless be treated as having complied with this section—

(a)if he has served an offer notice on not less than 90% of the qualifying tenants on whom such a notice was required to be served, or

(b)where the qualifying tenants on whom it was required to be served number less than ten, if he has served such a notice on all but one of them.

5A Offer notice: requirements in case of contract to be completed by conveyance, &c.

(1)The following requirements must be met in relation to an offer notice where the disposal consists of entering into a contract to create or transfer an estate or interest in land.

(2)The notice must contain particulars of the principal terms of the disposal proposed by the landlord, including in particular—

(a)the property, and the estate or interest in that property, to which the contract relates,

(b)the principal terms of the contract (including the deposit and consideration required).

(3)The notice must state that the notice constitutes an offer by the landlord to enter into a contract on those terms which may be accepted by the requisite majority of qualifying tenants of the constituent flats.

(4)The notice must specify a period within which that offer may be so accepted, being a period of not less than two months which is to begin with the date of service of the notice.

(5)The notice must specify a further period of not less than two months within which a person or persons may be nominated by the tenants under section 6.

(6)This section does not apply to the grant of an option or right of pre-emption (see section 5C).

5B Offer notice: requirements in case of sale by auction.

(1)The following requirements must be met in relation to an offer notice where the landlord proposes to make the disposal by means of a sale at a public auction held in England and Wales.

(2)The notice must contain particulars of the principal terms of the disposal proposed by the landlord, including in particular the property to which it relates and the estate or interest in that property proposed to be disposed of.

(3)The notice must state that the disposal is proposed to be made by means of a sale at a public auction.

(4)The notice must state that the notice constitutes an offer by the landlord, which may be accepted by the requisite majority of qualifying tenants of the constituent flats, for the contract (if any) entered into by the landlord at the auction to have effect as if a person or persons nominated by them, and not the purchaser, had entered into it.

(5)The notice must specify a period within which that offer may be so accepted, being a period of not less than two months beginning with the date of service of the notice.

(6)The notice must specify a further period of not less than 28 days within which a person or persons may be nominated by the tenants under section 6.

(7)The notice must be served not less than four months or more than six months before the date of the auction; and—

(a)the period specified in the notice as the period within which the offer may be accepted must end not less than two months before the date of the auction, and

(b)the period specified in the notice as the period within which a person may be nominated under section 6 must end not less than 28 days before the date of the auction.

(8)Unless the time and place of the auction and the name of the auctioneers are stated in the notice, the landlord shall, not less than 28 days before the date of the auction, serve on the requisite majority of qualifying tenants of the constituent flats a further notice stating those particulars.

5C Offer notice: requirements in case of grant or option or right of pre-emption.

(1)The following requirements must be met in relation to an offer notice where the disposal consists of the grant of an option or right of pre-emption.

(2)The notice must contain particulars of the principal terms of the disposal proposed by the landlord, including in particular—

(a)the property, and the estate or interest in that property, to which the option or right of pre-emption relates,

(b)the consideration required by the landlord for granting the option or right of pre-emption, and

(c)the principal terms on which the option or right of pre-emption would be exercisable, including the consideration payable on its exercise.

(3)The notice must state that the notice constitutes an offer by the landlord to grant an option or right of pre-emption on those terms which may be accepted by the requisite majority of qualifying tenants of the constituent flats.

(4)The notice must specify a period within which that offer may be so accepted, being a period of not less than two months which is to begin with the date of service of the notice.

(5)The notice must specify a further period of not less than two months within which a person or persons may be nominated by the tenants under section 6.

5D Offer notice: requirements in case of conveyance not preceded by contract, &c.

(1)The following requirements must be met in relation to an offer notice where the disposal is not made in pursuance of a contract, option or right of pre-emption binding on the landlord.

(2)The notice must contain particulars of the principal terms of the disposal proposed by the landlord, including in particular—

(a)the property to which it relates and the estate or interest in that property proposed to be disposed of, and

(b)the consideration required by the landlord for making the disposal.

(3)The notice must state that the notice constitutes an offer by the landlord to dispose of the property on those terms which may be accepted by the requisite majority of qualifying tenants of the constituent flats.

(4)The notice must specify a period within which that offer may be so accepted, being a period of not less than two months which is to begin with the date of service of the notice.

(5)The notice must specify a further period of not less than two months within which a person or persons may be nominated by the tenants under section 6.

5E Offer notice: disposal for non-monetary consideration.

(1)This section applies where, in any case to which section 5 applies, the consideration required by the landlord for making the disposal does not consist, or does not wholly consist, of money.

(2)The offer notice, in addition to complying with whichever is applicable of sections 5A to 5D, must state—

(a)that an election may made under section 8C (explaining its effect), and

(b)that, accordingly, the notice also constitutes an offer by the landlord, which may be accepted by the requisite majority of qualifying tenants of the constituent flats, for a person or persons nominated by them to acquire the property in pursuance of sections 11 to 17.

(3)The notice must specify a period within which that offer may be so accepted, being a period of not less than two months which is to begin with the date of service of the notice.

6 Acceptance of landlord’s offer: general provisions.

(1)Where a landlord has served an offer notice, he shall not during—

(a)the period specified in the notice as the period during which the offer may be accepted, or

(b)such longer period as may be agreed between him and the requisite majority of the qualifying tenants of the constituent flats,

dispose of the protected interest except to a person or persons nominated by the tenants under this section.

(2)Where an acceptance notice is duly served on him, he shall not during the protected period (see subsection (4) below) dispose of the protected interest except to a person duly nominated for the purposes of this section by the requisite majority of qualifying tenants of the constituent flats (a “nominated person”).

(3)An “acceptance notice” means a notice served on the landlord by the requisite majority of qualifying tenants of the constituent flats informing him that the persons by whom it is served accept the offer contained in his notice.

An acceptance notice is “duly served” if it is served within—

(a)the period specified in the offer notice as the period within which the offer may be accepted, or

(b)such longer period as may be agreed between the landlord and the requisite majority of qualifying tenants of the constituent flats.

(4)The “protected period” is the period beginning with the date of service of the acceptance notice and ending with—

(a)the end of the period specified in the offer notice as the period for nominating a person under this section, or

(b)such later date as may be agreed between the landlord and the requisite majority of qualifying tenants of constituent flats.

(5)A person is “duly nominated” for the purposes of this section if he is nominated at the same time as the acceptance notice is served or at any time after that notice is served and before the end of—

(a)the period specified in the offer notice as the period for nomination, or

(b)such longer period as may be agreed between the landlord and the requisite majority of qualifying tenants of the constituent flats.

(6)A person nominated for the purposes of this section by the requisite majority of qualifying tenants of the constituent flats may be replaced by another person so nominated if, and only if, he has (for any reason) ceased to be able to act as a nominated person.

(7)Where two or more persons have been nominated and any of them ceases to act without being replaced, the remaining person or persons so nominated may continue to act.

7 Failure to accept landlord’s offer or to make nomination.

(1)Where a landlord has served an offer notice on the qualifying tenants of the constituent flats and—

(a)no acceptance notice is duly served on the landlord, or

(b)no person is nominated for the purposes of section 6 during the protected period,

the landlord may, during the period of 12 months beginning with the end of that period, dispose of the protected interest to such person as he thinks fit, but subject to the following restrictions.

(2)Where the offer notice was one to which section 5B applied (sale by auction), the restrictions are—

(a)that the disposal is made by means of a sale at a public auction, and

(b)that the other terms correspond to those specified in the offer notice.

(3)In any other case the restrictions are—

(a)that the deposit and consideration required are not less than those specified in the offer notice, and

(b)that the other terms correspond to those specified in the offer notice.

(4)The entitlement of a landlord, by virtue of this section or any other corresponding provision of this Part, to dispose of the protected interest during a specified period of 12 months extends only to a disposal of that interest, and accordingly the requirements of section 1(1) must be satisfied with respect to any other disposal by him during that period of 12 months (unless the disposal is not a relevant disposal affecting any premises to which at the time of the disposal this Part applies).

8 Landlord’s obligations in case of acceptance and nomination.

(1)This section applies where a landlord serves an offer notice on the qualifying tenants of the constituent flat and—

(a)an acceptance notice is duly served on him, and

(b)a person is duly nominated for the purposes of section 6,

by the requisite majority of qualifying tenants of the constituent flats.

(2)Subject to the following provisions of this Part, the landlord shall not dispose of the protected interest except to the nominated person.

(3)The landlord shall, within the period of one month beginning with the date of service of notice of nomination, either—

(a)serve notice on the nominated person indicating an intention no longer to proceed with the disposal of the protected interest, or

(b)be obliged to proceed in accordance with the following provisions of this Part.

(4)A notice under subsection (3)(a) is a notice of withdrawal for the purposes of section 9B(2) to (4) (consequences of notice of withdrawal by landlord).

(5)Nothing in this section shall be taken as prejudicing the application of the provisions of this Part to any further offer notice served by the landlord on the qualifying tenants of the constituent flats.

8A Landlord’s obligation: general provisions.

(1)This section applies where the landlord is obliged to proceed and the offer notice was not one to which section 5B applied (sale by auction).

(2)The landlord shall, within the period of one month beginning with the date of service of the notice of nomination, send to the nominated person a form of contract for the acquisition of the protected interest on the terms specified in the landlord’s offer notice.

(3)If he fails to do so, the following provisions of this Part apply as if he had given notice under section 9B (notice of withdrawal by landlord) at the end of that period.

(4)If the landlord complies with subsection (2), the nominated person shall, within the period of two months beginning with the date on which it is sent or such longer period beginning with that date as may be agreed between the landlord and that person, either—

(a)serve notice on the landlord indicating an intention no longer to proceed with the acquisition of the protected interest, or

(b)offer an exchange of contracts, that is to say, sign the contract and send it to the landlord, together with the requisite deposit.

In this subsection “the requisite deposit” means a deposit of an amount determined by or under the contract or an amount equal to 10 per cent of the consideration, whichever is the less.

(5)If the nominated person—

(a)serves notice in pursuance of paragraph (a) of subsection (4), or

(b)fails to offer an exchange of contracts within the period specified in that subsection,

the following provisions of this Part apply as if he had given notice under section 9A (withdrawal by nominated person) at the same time as that notice or, as the case may be, at the end of that period.

(6)If the nominated person offers an exchange of contracts within the period specified in subsection (4), but the landlord fails to complete the exchange within the period of seven days beginning with the day on which he received that person’s contract, the following provisions of this Part apply as if the landlord had given notice under section 9B (withdrawal by landlord) at the end of that period.

8B Landlord’s obligation: election in case of sale at auction.

(1)This section applies where the landlord is obliged to proceed and the offer notice was one to which section 5B applied (sale by auction).

(2)The nominated person may, by notice served on the landlord not less than 28 days before the date of the auction, elect that the provisions of this section shall apply.

(3)If a contract for the disposal is entered into at the auction, the landlord shall, within the period of seven days beginning with the date of the auction, send a copy of the contract to the nominated person.

(4)If, within the period of 28 days beginning with the date on which such a copy is so sent, the nominated person—

(a)serves notice on the landlord accepting the terms of the contract, and

(b)fulfils any conditions falling to be fulfilled by the purchaser on entering into the contract,

the contract shall have effect as if the nominated person, and not the purchaser, had entered into the contract.

(5)Unless otherwise agreed, any time limit in the contract as it has effect by virtue of subsection (4) shall start to run again on the service of notice under that subsection; and nothing in the contract as it has effect by virtue of a notice under this section shall require the nominated person to complete the purchase before the end of the period of 28 days beginning with the day on which he is deemed to have entered into the contract.

(6)If the nominated person—

(a)does not serve notice on the landlord under subsection (2) by the time mentioned in that subsection, or

(b)does not satisfy the requirements of subsection (4) within the period mentioned in that subsection,

the following provisions of this Part apply as if he had given notice under section 9A (withdrawal by nominated person) at the end of that period.

8C Election in case of disposal for non-monetary consideration.

(1)This section applies where an acceptance notice is duly served on the landlord indicating an intention to accept the offer referred to in section 5E (offer notice: disposal for non-monetary consideration).

(2)The requisite majority of qualifying tenants of the constituent flats may, by notice served on the landlord within—

(a)the period specified in the offer notice for nominating a person or persons for the purposes of section 6, or

(b)such longer period as may be agreed between the landlord and the requisite majority of qualifying tenants of the constituent flats,

elect that the following provisions shall apply.

(3)Where such an election is made and the landlord disposes of the protected interest on terms corresponding to those specified in his offer notice in accordance with section 5A, 5B, 5C or 5D, sections 11 to 17 shall have effect as if—

(a)no notice under section 5 had been served;

(b)in section 11A(3) (period for serving notice requiring information, &c.), the reference to four months were a reference to 28 days; and

(c)in section 12A(2) and 12B(3) (period for exercise of tenants’ rights against purchaser) each reference to six months were a reference to two months.

(4)For the purposes of sections 11 to 17 as they have effect by virtue of subsection (3) so much of the consideration for the original disposal as did not consist of money shall be treated as such amount in money as was equivalent to its value in the hands of the landlord.

The landlord or the nominated person may apply to have that amount determined by a leasehold valuation tribunal.

8D Disposal in pursuance of option or right of pre-emption.

(1)Where—

(a)the original disposal was the grant of an option or right of pre-emption, and

(b)in pursuance of the option or right, the landlord makes another disposal affecting the premises (“the later disposal”) before the end of the period specified in subsection (2),

sections 11 to 17 shall have effect as if the later disposal, and not the original disposal, were the relevant disposal.

(2)The period referred to in subsection (1)(b) is the period of four months beginning with the date by which—

(a)notices under section 3A of the M14Landlord and Tenant Act 1985 (duty of new landlord to inform tenants of rights) relating to the original disposal, or

(b)where that section does not apply, documents of any other description—

(i)indicating that the original disposal has taken place, and

(ii)alerting the tenants to the existence of their rights under this Part and the time within which any such rights must be exercised,

have been served on the requisite majority of qualifying tenants of the constituent flats.

8E Covenant, &c affecting landlord’s power to dispose.

(1)Where the landlord is obliged to proceed but is precluded by a covenant, condition or other obligation from disposing of the protected interest to the nominated person unless the consent of some other person is obtained—

(a)he shall use his best endeavours to secure that the consent of that person to that disposal is given, and

(b)if it appears to him that that person is obliged not to withhold his consent unreasonably but has nevertheless so withheld it, he shall institute proceedings for a declaration to that effect.

(2)Subsection (1) ceases to apply if a notice of withdrawal is served under section 9A or 9B (withdrawal of either party from transaction) or if notice is served under section 10 (lapse of landlord’s offer: premises ceasing to be premises to which this Part applies).

(3)Where the landlord has discharged any duty imposed on him by subsection (1) but any such consent as is there mentioned has been withheld, and no such declaration as is there mentioned has been made, the landlord may serve a notice on the nominated person stating that to be the case.

When such a notice has been served, the landlord may, during the period of 12 months beginning with the date of service of the notice, dispose of the protected interest to such person as he thinks fit, but subject to the following restrictions.

(4)Where the offer notice was one to which section 5B applied (sale by auction), the restrictions are—

(a)that the disposal is made by means of a sale at a public auction, and

(b)that the other terms correspond to those specified in the offer notice.

(5)In any other case the restrictions are—

(a)that the deposit and consideration required are not less than those specified in the offer notice or, if higher, those agreed between the landlord and the nominated person (subject to contract), and

(b)that the other terms correspond to those specified in the offer notice.

(6)Where notice is given under subsection (3), the landlord may recover from the nominated party and the qualifying tenants who served the acceptance notice any costs reasonably incurred by him in connection with the disposal between the end of the first four weeks of the nomination period and the time when that notice is served by him.

Any such liability of the nominated person and those tenants is a joint and several liability.

9A Notice of withdrawal by nominated person.

(1)Where the landlord is obliged to proceed, the nominated person may serve notice on the landlord (a “notice of withdrawal”) indicating his intention no longer to proceed with the acquisition of the protected interest.

(2)If at any time the nominated person becomes aware that the number of the qualifying tenants of the constituent flats desiring to proceed with the acquisition of the protected interest is less than the requisite majority of qualifying tenants of those flats, he shall forthwith serve a notice of withdrawal.

(3)Where notice of withdrawal is given by the nominated person under this section, the landlord may, during the period of 12 months beginning with the date of service of the notice, dispose of the protected interest to such person as he thinks fit, but subject to the following restrictions.

(4)Where the offer notice was one to which section 5B applied (sale by auction), the restrictions are—

(a)that the disposal is made by means of a sale at a public auction, and

(b)that the other terms correspond to those specified in the offer notice.

(5)In any other case the restrictions are—

(a)that the deposit and consideration required are not less than those specified in the offer notice or, if higher, those agreed between the landlord and the nominated person (subject to contract), and

(b)that the other terms correspond to those specified in the offer notice.

(6)If notice of withdrawal is served under this section before the end of the first four weeks of the nomination period specified in the offer notice, the nominated person and the qualifying tenants who served the acceptance notice are not liable for any costs incurred by the landlord in connection with the disposal.

(7)If notice of withdrawal is served under this section after the end of those four weeks, the landlord may recover from the nominated person and the qualifying tenants who served the acceptance notice any costs reasonably incurred by him in connection with the disposal between the end of those four weeks and the time when the notice of withdrawal was served on him.

Any such liability of the nominated person and those tenants is a joint and several liability.

(8)This section does not apply after a binding contract for the disposal of the protected interest—

(a)has been entered into by the landlord and the nominated person, or

(b)has otherwise come into existence between the landlord and the nominated person by virtue of any provision of this Part.

9B Notice of withdrawal by landlord.

(1)Where the landlord is obliged to proceed, he may serve notice on the nominated person (a “notice of withdrawal”) indicating his intention no longer to proceed with the disposal of the protected interest.

(2)Where a notice of withdrawal is given by the landlord, he is not entitled to dispose of the protected interest during the period of 12 months beginning with the date of service of the notice.

(3)If a notice of withdrawal is served before the end of the first four weeks of the nomination period specified in the offer notice, the landlord is not liable for any costs incurred in connection with the disposal by the nominated person and the qualifying tenants who served the acceptance notice.

(4)If a notice of withdrawal is served after the end of those four weeks, the nominated person and the qualifying tenants who served the acceptance notice may recover from the landlord any costs reasonably incurred by them in connection with the disposal between the end of those four weeks and the time when the notice of withdrawal was served.

(5)This section does not apply after a binding contract for the disposal of the protected interest—

(a)has been entered into by the landlord and the nominated person, or

(b)has otherwise come into existence between the landlord and the nominated person by virtue of any provision of this Part.

10 Lapse of landlord’s offer.

(1)If after a landlord has served an offer notice the premises concerned cease to be premises to which this Part applies, the landlord may serve a notice on the qualifying tenants of the constituent flats stating—

(a)that the premises have ceased to be premises to which this Part applies, and

(b)that the offer notice, and anything done in pursuance of it, is to be treated as not having been served or done;

and on the service of such a notice the provisions of this Part cease to have effect in relation to that disposal.

(2)A landlord who has not served such a notice on all of the qualifying tenants of the constituent flats shall nevertheless be treated as having duly served a notice under subsection (1)—

(a)if he has served such a notice on not less than 90% of those tenants, or

(b)where those qualifying tenants number less than ten, if he has served such a notice on all but one of them.

(3)Where the landlord is entitled to serve a notice under subsection (1) but does not do so, this Part shall continue to have effect in relation to the disposal in question as if the premises in question were still premises to which this Part applies.

(4)The above provisions of this section do not apply after a binding contract for the disposal of the protected interest—

(a)has been entered into by the landlord and the nominated person, or

(b)has otherwise come into existence between the landlord and the nominated person by virtue of any provision of this Part.

(5)Where a binding contract for the disposal of the protected interest has been entered into between the landlord and the nominated person but it has been lawfully rescinded by the landlord, the landlord may, during the period of 12 months beginning with the date of the rescission of the contract, dispose of that interest to such person (and on such terms) as he thinks fit..

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Marginal Citations

M141985 c 70.

Part IIE+W Enforcement by tenants of rights against purchaser

The following sections are substituted for sections 11 to 15 of the M15Landlord and Tenant Act 1987—

Enforcement by tenants of rights against purchaserE+W

11 Circumstances in which tenants’ rights enforceable against purchaser

(1)The following provisions of this Part apply where a landlord has made a relevant disposal affecting premises to which at the time of the disposal this Part applied (“the original disposal”), and either—

(a)no notice was served by the landlord under section 5 with respect to that disposal, or

(b)the disposal was made in contravention of any provision of sections 6 to 10,

and the premises are still premises to which this Part applies.

(2)In those circumstances the requisite majority of the qualifying tenants of the flats contained in the premises affected by the relevant disposal (the “constituent flats”) have the rights conferred by the following provisions—

  • section 11A (right to information as to terms of disposal, &c.),

  • section 12A (right of qualifying tenants to take benefit of contract),

  • section 12B (right of qualifying tenants to compel sale, &c. by purchaser), and

  • section 12C (right of qualifying tenants to compel grant of new tenancy by superior landlord).

(3)In those sections the transferee under the original disposal (or, in the case of the surrender of a tenancy, the superior landlord) is referred to as “the purchaser”.

This shall not be read as restricting the operation of those provisions to disposals for consideration.

11A Right to information as to terms of disposal, &c.

(1)The requisite majority of qualifying tenants of the constituent flats may serve a notice on the purchaser requiring him—

(a)to give particulars of the terms on which the original disposal was made (including the deposit and consideration required) and the date on which it was made, and

(b)where the disposal consisted of entering into a contract, to provide a copy of the contract.

(2)The notice must specify the name and address of the person to whom (on behalf of the tenants) the particulars are to be given, or the copy of the contract provided.

(3)Any notice under this section must be served before the end of the period of four months beginning with the date by which—

(a)notices under section 3A of the M16Landlord and Tenant Act 1985 (duty of new landlord to inform tenants of rights) relating to the original disposal, or

(b)where that section does not apply, documents of any other description—

(i)indicating that the original disposal has taken place, and

(ii)alerting the tenants to the existence of their rights under this Part and the time within which any such rights must be exercised,

have been served on the requisite majority of qualifying tenants of the constituent flats.

(4)A person served with a notice under this section shall comply with it within the period of one month beginning with the date on which it is served on him.

12A Right of qualifying tenants to take benefit of contract.

(1)Where the original disposal consisted of entering into a contract, the requisite majority of qualifying tenants of the constituent flats may by notice to the landlord elect that the contract shall have effect as if entered into not with the purchaser but with a person or persons nominated for the purposes of this section by the requisite majority of qualifying tenants of the constituent flats.

(2)Any such notice must be served before the end of the period of six months beginning—

(a)if a notice was served on the purchaser under section 11A (right to information as to terms of disposal, &c.), with the date on which the purchaser complied with that notice;

(b)in any other case, with the date by which documents of any description—

(i)indicating that the original disposal has taken place, and

(ii)alerting the tenants to the existence of their rights under this Part and the time within which any such rights must be exercised,

have been served on the requisite majority of qualifying tenants of the constituent flats.

(3)The notice shall not have effect as mentioned in subsection (1) unless the nominated person—

(a)fulfils any requirements as to the deposit required on entering into the contract, and

(b)fulfils any other conditions required to be fulfilled by the purchaser on entering into the contract.

(4)Unless otherwise agreed, any time limit in the contract as it has effect by virtue of a notice under this section shall start to run again on the service of that notice; and nothing in the contract as it has effect by virtue of a notice under this section shall require the nominated person to complete the purchase before the end of the period of 28 days beginning with the day on which he is deemed to have entered into the contract.

(5)Where the original disposal related to other property in addition to premises to which this Part applied at the time of the disposal—

(a)a notice under this section has effect only in relation to the premises to which this Part applied at the time of the original disposal, and

(b)the terms of the contract shall have effect with any necessary modifications.

In such a case the notice under this section may specify the subject-matter of the disposal, and the terms on which the disposal is to be made (whether doing so expressly or by reference to the original disposal), or may provide for that estate or interest, or any such terms, to be determined by a leasehold valuation tribunal.

12B Right of qualifying tenants to compel sale, &c. by purchaser.

(1)This section applies where—

(a)the original disposal consisted of entering into a contract and no notice has been served under section 12A (right of qualifying tenants to take benefit of contract), or

(b)the original disposal did not consist of entering into a contract.

(2)The requisite majority of qualifying tenants of the constituent flats may serve a notice (a “purchase notice”) on the purchaser requiring him to dispose of the estate or interest that was the subject-matter of the original disposal, on the terms on which it was made (including those relating to the consideration payable), to a person or persons nominated for the purposes of this section by any such majority of qualifying tenants of those flats.

(3)Any such notice must be served before the end of the period of six months beginning—

(a)if a notice was served on the purchaser under section 11A (right to information as to terms of disposal, &c.), with the date on which the purchaser complied with that notice;

(b)in any other case, with the date by which—

(i)notices under section 3A of the M17Landlord and Tenant Act 1985 (duty of new landlord to inform tenants of rights) relating to the original disposal, or

(ii)where that section does not apply, documents of any other description indicating that the original disposal has taken place, and alerting the tenants to the existence of their rights under this Part and the time within which any such rights must be exercised,

have been served on the requisite majority of qualifying tenants of the constituent flats.

(4)A purchase notice shall where the original disposal related to other property in addition to premises to which this Part applied at the time of the disposal—

(a)require the purchaser only to make a disposal relating to those premises, and

(b)require him to do so on the terms referred to in subsection (2) with any necessary modifications.

In such a case the purchase notice may specify the subject-matter of the disposal, and the terms on which the disposal is to be made (whether doing so expressly or by reference to the original disposal), or may provide for those matters to be determined by a leasehold valuation tribunal.

(5)Where the property which the purchaser is required to dispose of in pursuance of the purchase notice has since the original disposal become subject to any charge or other incumbrance, then, unless the court by order directs otherwise—

(a)in the case of a charge to secure the payment of money or the performance of any other obligation by the purchaser or any other person, the instrument by virtue of which the property is disposed of by the purchaser to the person or persons nominated for the purposes of this section shall (subject to the provisions of Part I of Schedule 1) operate to discharge the property from that charge; and

(b)in the case of any other incumbrance, the property shall be so disposed of subject to the incumbrance but with a reduction in the consideration payable to the purchaser corresponding to the amount by which the existence of the incumbrance reduces the value of the property.

(6)Subsection (5)(a) and Part I of Schedule 1 apply, with any necessary modifications, to mortgages and liens as they apply to charges; but nothing in those provisions applies to a rentcharge.

(7)Where the property which the purchaser is required to dispose of in pursuance of the purchase notice has since the original disposal increased in monetary value owing to any change in circumstances (other than a change in the value of money), the amount of the consideration payable to the purchaser for the disposal by him of the property in pursuance of the purchase notice shall be the amount that might reasonably have been obtained on a corresponding disposal made on the open market at the time of the original disposal if the change in circumstances had already taken place.

12C Right of qualifying tenants to compel grant of new tenancy by superior landlord

(1)This section applies where the original disposal consisted of the surrender by the landlord of a tenancy held by him (“the relevant tenancy”).

(2)The requisite majority of qualifying tenants of the constituent flats may serve a notice on the purchaser requiring him to grant a new tenancy of the premises which were subject to the relevant tenancy, on the same terms as those of the relevant tenancy and so as to expire on the same date as that tenancy would have expired, to a person or persons nominated for the purposes of this section by any such majority of qualifying tenants of those flats.

(3)Any such notice must be served before the end of the period of six months beginning—

(a)if a notice was served on the purchaser under section 11A (right to information as to terms of disposal, &c.), with the date on which the purchaser complied with that notice;

(b)in any other case, with the date by which documents of any description—

(i)indicating that the original disposal has taken place, and

(ii)alerting the tenants to the existence of their rights under this Part and the time within which any such rights must be exercised,

have been served on the requisite majority of qualifying tenants of the constituent flats.

(4)If the purchaser paid any amount to the landlord as consideration for the surrender by him of that tenancy, the nominated person shall pay that amount to the purchaser.

(5)Where the premises subject to the relevant tenancy included premises other than premises to which this Part applied at the time of the disposal, a notice under this section shall—

(a)require the purchaser only to grant a new tenancy relating to the premises to which this Part then applied, and

(b)require him to do so on the terms referred to in subsection (2) subject to any necessary modifications.

(6)The purchase notice may specify the subject-matter of the disposal, and the terms on which the disposal is to be made (whether doing so expressly or by reference to the original disposal), or may provide for those matters to be determined by a leasehold valuation tribunal.

12D Nominated persons: supplementary provisions.

(1)The person or persons initially nominated for the purposes of section 12A, 12B or 12C shall be nominated in the notice under that section.

(2)A person nominated for those purposes by the requisite majority of qualifying tenants of the constituent flats may be replaced by another person so nominated if, and only if, he has (for any reason) ceased to be able to act as a nominated person.

(3)Where two or more persons have been nominated and any of them ceases to act without being replaced, the remaining person or persons so nominated may continue to act.

(4)Where, in the exercise of its power to award costs, the court or the Lands Tribunal makes, in connection with any proceedings arising under or by virtue of this Part, an award of costs against the person or persons so nominated, the liability for those costs is a joint and several liability of that person or those persons together with the qualifying tenants by whom the relevant notice was served.

13 Determination of questions by leasehold valuation tribunal.

(1)A leasehold valuation tribunal has jurisdiction to hear and determine—

(a)any question arising in relation to any matters specified in a notice under section 12A, 12B or 12C, and

(b)any question arising for determination as mentioned in section 8C(4), 12A(5) or 12B(4) (matters left for determination by tribunal).

(2)On an application under this section the interests of the persons by whom the notice was served under section 12A, 12B or 12C shall be represented by the nominated person; and accordingly the parties to any such application shall not include those persons.

14 Withdrawal of nominated person from transaction under s.12B or 12C.

(1)Where notice has been duly served on the landlord under—

  • section 12B (right of qualifying tenants to compel sale, &c by purchaser), or

  • section 12C (right of qualifying tenants to compel grant of new tenancy by superior landlord),

the nominated person may at any time before a binding contract is entered into in pursuance of the notice, serve notice under this section on the purchaser (a “ notice of withdrawal”) indicating an intention no longer to proceed with the disposal.

(2)If at any such time the nominated person becomes aware that the number of qualifying tenants of the constituent flats desiring to proceed with the disposal is less than the requisite majority of those tenants, he shall forthwith serve a notice of withdrawal.

(3)If a notice of withdrawal is served under this section the purchaser may recover from the nominated person any costs reasonably incurred by him in connection with the disposal down to the time when the notice is served on him.

(4)If a notice of withdrawal is served at a time when proceedings arising under or by virtue of this Part are pending before the court or the Lands Tribunal, the liability of the nominated person for any costs incurred by the purchaser as mentioned in subsection (3) shall be such as may be determined by the court or (as the case may be) by the Tribunal.