Legalize / United Kingdom / Public General Act

Housing Act 1996

Type Public General Act

Publication 1996-07-24

Last updated 2025-12-27

State In force

Department Statute Law Database

Source legislation.gov.uk

articles Not indexed

Reform history JSON API

(6) Where property transferred to the Relevant Authority by virtue of this paragraph includes land subject to an existing mortgage or charge (whether in favour of the Relevant Authority or not), the Relevant Authority may, in exercise of its powers under Part III of the Housing 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 Relevant Authority securing such amount as appears to the Relevant Authority to be appropriate in the circumstances.

Transfer of net assets on termination of charity not within paragraph 15(1)

15A

(1) The 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)—

(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 the National Assembly for Wales .

Management etc

Management tender

15B

(1) This paragraph applies if the Welsh Ministers are satisfied that a registered social landlord has failed to comply with a requirement imposed by or under an enactment.

(2) But this paragraph does not apply if the failure 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

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

(ii) resources).

Management tender: supplemental

15C

(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

(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

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

Management transfer

15D

(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 registered social landlord has failed to comply with a requirement imposed by or under an enactment.

(2) But this paragraph does not apply if the failure relates only to the registered social landlord's 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).

Management transfer: supplemental

15E

(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

(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

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

15F

(1) This paragraph applies if the Welsh Ministers are satisfied that a registered social landlord has failed to comply with a requirement imposed by or under an enactment.

(2) But this paragraph does not apply if the failure 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).

Appointment of manager: supplemental

15G

(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

(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).

Amalgamation

15H

(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 registered social landlord which is a registered society has failed to comply with a requirement imposed by or under an enactment.

(2) But this paragraph does not apply if the failure relates only to the registered social landlord's 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 another 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 section 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 Financial 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.

Part III — Accounts and audit

General requirements as to accounts and audit

16

(1) The Relevant 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—

(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 Relevant 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.

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

(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.

Companies exempt from audit requirements: accountant’s report

16A

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

(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

(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 accountsfor 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.

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.

(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—

(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,

(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.

(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);

(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—

“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—is eligible for appointment as a statutory auditor of the company under Part 42 of that Act, andis not prohibited from acting as statutory auditor of the company by virtue of section 1214 of that Act (independence requirement).

Registered societies exempt from audit requirements: accountant’s report

17

(1) This paragraph applies to registered social landlords which are registered societies.

(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

(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).

(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).

Accounting and audit or reporting requirements for charities

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 ...

...

(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.

(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.

(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

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 Relevant Authority, determine.

Charities exempt from audit requirements: accountant’s report

18A

(1) The report referred to in paragraph 18(4A) is a report—

(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 the 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).

Responsibility for securing compliance with accounting requirements

19

(1) Every responsible person, that is to say, every person who—

(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 Relevant Authority under that provision do not comply with the accounting requirements laid down under paragraph 16(1),

(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 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 Relevant Authority or the Director of Public Prosecutions.

(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.

Disclosure of information by auditors etc. to the Relevant Authority

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 —

(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).

PART 3A — INSPECTION

Overview and application

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.

Inspection

19C

(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.

Inspection: supplemental

19D

(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.

Inspector's powers to require provision of documents or information

19E

(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.

Inspector's powers to require provision of documents or information: supplemental

19F

(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

(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.

Inspector's powers of entry and inspection

19G

(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—the Welsh Ministers, ora 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).

Inquiry

20

(1) The Relevant Authority may direct an inquiry into the affairs of a registered social landlord if it appears to the Relevant Authority that the registered social landlord may have failed to comply with a requirement imposed by or under an enactment.

...

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

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

(4) If the Relevant 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.

(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 Relevant Authority may specify.

(7) An interim or final report shall be in such form as the Relevant Authority may specify. , 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.

(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.

Evidence

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—

(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 information

21

(1) A person appointed by the Relevant 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 Relevant Authority by section 30 (general power to obtain information).

(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 Relevant Authority. , but subject to sub-paragraph (4).

(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.

Extraordinary audit for purposes of inquiry

22

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

(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 Relevant Authority on such matters and in such form as the Relevant Authority may specify.

(4) The expenses of the audit, including the remuneration of the auditor, shall be paid by the Relevant 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.

Powers exercisable on interim basis

23

(1) The Relevant Authority may make an order under this paragraph—

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

(i) that a registered social landlord has failed to comply with a requirement imposed by or under an enactment, 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 Relevant Authority is satisfied that a registered social landlord has failed to comply with a requirement imposed by or under an enactment.

(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 Relevant Authority to have been responsible for or privy to the failure 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 Relevant 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 Relevant Authority.

(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 Relevant Authority, shall cease to have effect six months after the making of the final report under paragraph 20(6) unless the Relevant 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 Relevant Authority may give directions with respect to the performance of his functions and otherwise as to matters arising from his suspension.

The Relevant 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 Relevant Authority or the Director of Public Prosecutions.

Powers exercisable as a result of final report or audit

24

(1) Where the Relevant Authority is satisfied, as the result of an inquiry under paragraph 20 or an audit under paragraph 22, that a registered social landlord has failed to comply with a requirement imposed by or under an enactment, it may make an order under this paragraph.

(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 Relevant Authority to have been responsible for or privy to the failure 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 Relevant 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 Relevant Authority.

(3) Before making an order under sub-paragraph (2)(a) the Relevant 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 Relevant Authority intends to remove may be addressed to his last known address in the United Kingdom.

(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 Relevant Authority may give directions with respect to the performance of his functions and otherwise as to matters arising from the suspension.

The Relevant 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 Relevant Authority or the Director of Public Prosecutions.

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

25

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

(a) paragraph 24(2)(a) (removal ...), 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 Relevant 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 Relevant Authority shall keep, in such manner as it thinks fit, a register of all persons who have been removed from office by the Relevant Authority under the provisions mentioned in sub-paragraph (1).

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

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

Persons acting as officer while disqualified.

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.

A person guilty of such an offence is liable—

(a) on summary conviction, to imprisonment for a term not exceeding the general limit in a magistrates’ court 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.

(1A) In relation to an offence committed before 2 May 2022 the reference in sub-paragraph (1)(a) to the general limit in a magistrates’ court 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 Relevant 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 Relevant 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.

(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.

Power to direct transfer of land

27

(1) Where as a result of an inquiry under paragraph 20 or an audit under paragraph 22 the Relevant Authority is satisfied as regards a registered social landlord—

(a) that it has failed to comply with a requirement imposed by or under an enactment, and

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

the Relevant Authority may, . . . direct the registered social landlord to make such a transfer . ...

(2) Where the registered social landlord concerned is a charity, the Relevant 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 Relevant Authority to be, as nearly as practicable, akin to those of the registered social landlord concerned.

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

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

...

(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).

Availability of powers in relation to registered charities.

28

(1) The Relevant Authority may exercise its powers under paragraphs 20 to 26 in relation to a registered charity only if the charity has received public assistance...

(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 Relevant Authority shall notify the Charity 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 ...), or

29

The Relevant Authority may not exercise its powers under paragraph 27 in relation to a registered charity.

SCHEDULE 2

1

(1) A social landlord, 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.

(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.

Matters for which scheme must provide

2

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

(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.

(11A.) A power of the housing ombudsman to issue a code of practice about the procedures members of the scheme should have in place for considering complaints against them.

(11B.) A duty of the housing ombudsman to consult—

(a) the Regulator of Social Housing,

(b) members of the scheme, and

before issuing, revising or replacing any such code.

(11C.) A duty of the housing ombudsman to monitor compliance with a code of practice described in item 11A that it has issued.

(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 costs of the person administering the scheme and the scheme’s housing ombudsman are to be defrayed by the members.

(16) In the case of a scheme relating to Wales, the keeping and auditing of accounts and the submission of accounts to the Secretary of State.

(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.

Approval of scheme, or amendment, and withdrawal of approval

3

(1) An application to the Secretary of State for approval of a scheme

(a) may only be made after the applicant has consulted the Regulator of Social Housing,

(b) shall be made in such manner as the Secretary of State may determine, and

(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.

Notice to be given of becoming a member of an approved scheme

4

(1) A social landlord who—

(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 Regulator of Social Housing .

(2) The Regulator 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 Regulator of Social Housing or the Director of Public Prosecutions.

Withdrawal from approved scheme

5

(1) A social landlord wishing to withdraw from membership of an approved scheme shall send notice of his proposed withdrawal to the Regulator of Social Housing .

(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 Regulator 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 Regulator 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.

Register of approved schemes

6

(1) The Regulator 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.

(2) The Secretary of State shall give notice to the Housing 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 Housing 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 Regulator 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.

Determinations by housing ombudsman

7

(1) A housing ombudsman under an approved scheme shall , in accordance with the scheme, investigate any complaint duly made to him under the scheme, 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.

(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.

(2A) Sub-paragraph (2B) applies where during an investigation of a complaint against a member of the scheme, a housing ombudsman identifies that the member’s policies or practices in relation to a matter may give rise to further complaints about that matter.

(2B) The housing ombudsman may, in the ombudsman’s determination of the complaint, order the member to review their policy or practice on that matter.

(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.

Complaints must be referred by designated person unless paragraph 7B applies

7A

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

Complaints that need not be made by way of referral by designated person

7B

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

Designated tenant panels

7C

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

Enforcement of a housing ombudsman's determinations

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.

(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,

(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.

8

(1) A housing ombudsman under an approved scheme may publish—

(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.

Absolute privilege for communications, &c.

9

For the purposes of the law of defamation absolute privilege attaches to—

(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

Appointment and status of housing ombudsman

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.

(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.

Collaborative working with Local Commissioners

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.

(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 schemes

11

(1) Members of an approved scheme shall pay a subscription, calculated as set out in the scheme, to the person administering the scheme.

(1ZA) The amount of a subscription payable by a member may be calculated by reference to costs incurred, or likely to be incurred, by the person administering the scheme and the scheme’s housing ombudsman in carrying out any of their functions, including costs unconnected with the member and costs unconnected with the operation of the scheme.

(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 costs for a period may be more than the scheme's total defrayable costs for the immediately-preceding corresponding period only if the Secretary of State approves the increase.

(1C) In sub-paragraph (1B) “defrayable costs”, in relation to a scheme, means costs 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 ... 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 ... thinks fit.

General provision about orders

12

Section 52 shall apply to an order of the Secretary of State under this Schedule (with any necessary modifications).

SCHEDULE 2A

Status

1

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

Remuneration, etc.

2

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

Remuneration, etc.

3

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

Staff and advisers

4

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

Delegation of functions

5

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

Reports and determinations

6

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

Reports and determinations

7

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

Reports and determinations

8

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

Expenses

9

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

Absolute privilege for communications etc.

10

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

Disclosure of information

11

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

Disclosure of information

12

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

Accounts and audit

13

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

Accounts and audit

14

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

Accounting officer

15

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

Examinations into use of resources

16

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

Examinations into use of resources

17

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

SCHEDULE 3

Finance Act 1981 (c.35)

1

(1) Section 107 of the Finance Act 1981 (stamp duty payable upon sale of houses at a discount) is amended as follows.

(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.

Local Government Finance Act 1982 (c.32)

2

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

Housing Associations Act 1985 (c.69)

3

Section 33 of the Housing Associations Act 1985 (recognition of central association) shall cease to have effect.

4

In 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).

5

In section 75(1) of the Housing Associations Act 1985 (general functions of the Corporation) for paragraphs (a) to (c) substitute—

(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;

6

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

7

In section 87 of the Housing Associations Act 1985 (financial assistance for formation, management, &c. of housing associations), for subsection (1) substitute—

(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.

Income and Corporation Taxes Act 1988 (c.1)

8

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

Housing (Scotland) Act 1988 (c.43)

9

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

Housing Act 1988 (c.50)

10

Section 58 of the Housing Act 1988 (application of Housing Acts to certain transactions) shall cease to have effect.

11

In 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—

(a) to a registered social landlord (within the meaning of Part I of the Housing Act 1996), or

SCHEDULE 4

Introductory

1

(1) A surveyor appointed for the purposes of section 84 has the rights conferred by this Schedule.

(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 assistants

2

(1) The surveyor may appoint such persons as he thinks fit to assist him in carrying out his functions.

(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.

3

(1) The surveyor has a right to require the landlord or any other relevant person—

(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).

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Housing Act 1996

Transfer of net assets on termination of charity not within paragraph 15(1)

15A

Management etc

Management tender

15B

Management tender: supplemental

15C

Management transfer

15D

Management transfer: supplemental

15E

Appointment of manager of registered social landlord

15F

Appointment of manager: supplemental

15G

Amalgamation

15H

Part III — Accounts and audit

General requirements as to accounts and audit

16

Companies exempt from audit requirements: accountant’s report

16A

16B

16C

16D

16E

Registered societies exempt from audit requirements: accountant’s report

17

Accounting and audit or reporting requirements for charities

18

Charities exempt from audit requirements: accountant’s report

18A

Responsibility for securing compliance with accounting requirements

19

Disclosure of information by auditors etc. to the Relevant Authority

19A

PART 3A — INSPECTION

Overview and application

19B

Inspection

19C

Inspection: supplemental

19D

Inspector's powers to require provision of documents or information

19E

Inspector's powers to require provision of documents or information: supplemental

19F

Inspector's powers of entry and inspection

19G

Part IV — Inquiry into affairs of registered social landlords

Inquiry

20

Evidence

20A

Power of appointed person to obtain information

21

Extraordinary audit for purposes of inquiry

22

Powers exercisable on interim basis

23

Powers exercisable as a result of final report or audit

24

Disqualification as officer of registered social landlord.

25

Persons acting as officer while disqualified.

26

Power to direct transfer of land

27

Availability of powers in relation to registered charities.

28

29

SCHEDULE 2

Social landlords required to be member of approved scheme

1

Matters for which scheme must provide

2

Approval of scheme, or amendment, and withdrawal of approval

3

Notice to be given of becoming a member of an approved scheme