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Housing Bill


Housing Bill
Schedule 8 — Registered social landlords

204

 

      (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)   

at the end of it there is in force in relation to it a

disapplication under section 4A(1) of the Friendly and

5

Industrial and Provident Societies Act 1968.

      (5)  

In this paragraph—

“qualified auditor” means a person who is a qualified

auditor for the purposes of the Friendly and Industrial

and Provident Societies Act 1968;

10

“year of account” has the meaning given by section 21(1) of

that Act.”

20    (1)  

Paragraph 18 of Schedule 1 (accounting and audit requirements for

charities) is amended as follows.

      (2)  

In the cross-heading preceding the paragraph, after “and audit” insert “or

15

reporting”.

      (3)  

In sub-paragraph (1) (application of provisions to registered social landlord

which is a registered charity) omit the words from “(which impose”

onwards.

      (4)  

For sub-paragraph (4) substitute—

20

     “(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 (within the meaning of the

Charities Act 1993) arising in connection with its housing

25

activities, or

(b)   

its total expenditure arising in connection with those

activities,

           

exceeds the sum for the time being specified in section 43(1) of the

Charities Act 1993 (audit required for charities where gross

30

income or total income exceeds the specified sum).

     (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.

35

     (4B)  

In sub-paragraphs (4) and (4A) “qualified auditor” means a person

who is eligible for appointment as auditor of the charity under

Part 2 of the Companies Act 1989 or who would be so eligible if the

charity were a company registered under the Companies Act

1985.”

40

21         

After paragraph 18 of Schedule 1 insert—

“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

45

question, and

(b)   

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

 

 

Housing Bill
Schedule 8 — Registered social landlords

205

 

      (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),

5

(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

1993, and

(c)   

on the basis of the information contained in those books of

10

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

15

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

20

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.

25

      (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

30

the same meaning as in paragraph 18(4A).”

22    (1)  

Paragraph 19 of Schedule 1 (responsibility for securing compliance with

accounting requirements) is amended as follows.

      (2)  

In sub-paragraph (2)—

(a)   

in paragraph (c), after “and audit” insert “or reporting”;

35

(b)   

omit paragraph (d) (but not the “or” at the end); and

(c)   

for “level 3” substitute “level 5”.

      (3)  

The amendment made by sub-paragraph (2)(c) does not apply in relation to

any offence committed before the day on which that sub-paragraph comes

into force.

40

      (4)  

After sub-paragraph (4) insert—

     “(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

45

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

 

 

Housing Bill
Schedule 8 — Registered social landlords

206

 

landlord or by any of its officers who are responsible for the

default.”

23         

After paragraph 19 of Schedule 1 insert—

“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

5

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,

10

           

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.

15

      (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).”

24    (1)  

Paragraph 20 of Schedule 1 (inquiry into affairs of registered social landlord)

20

is amended as follows.

      (2)  

After sub-paragraph (4) insert—

         

“(4A) The person or persons conducting the inquiry may determine the

procedure to be followed in connection with the inquiry.”

      (3)  

At the end of sub-paragraph (7) add “, and the Relevant Authority may

25

arrange for the whole or part of an interim or final report to be published in

such manner as it considers appropriate.”

      (4)  

After sub-paragraph (7) insert—

     “(8)  

A local authority may, if they think fit, contribute to the expenses

of the Relevant Authority in connection with any inquiry under

30

this paragraph.”

25         

After paragraph 20 of Schedule 1 insert—

“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

35

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

40

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

 

 

Housing Bill
Schedule 8 — Registered social landlords

207

 

(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);

5

“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.

10

     (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).

15

      (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

20

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

25

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.”

26    (1)  

Paragraph 21 of Schedule 1 (power of appointed person to obtain

30

information) is amended as follows.

      (2)  

At the end of sub-paragraph (3) (application of section 31 to notice under

paragraph 20) add “, but subject to sub-paragraph (4).”

      (3)  

After sub-paragraph (3) add—

     “(4)  

A person guilty of an offence under section 31(1) as it applies in

35

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.

40

     (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).

45

      (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.”

 

 

Housing Bill
Schedule 9 — New Schedule 2A to the Housing Act 1996

208

 

      (4)  

The amendments made by this paragraph do not apply in relation to any

offence committed or other thing done before the day on which this

paragraph comes into force.

Schedule 9

Section 189(3)

 

New Schedule 2A to the Housing Act 1996

5

“Schedule 2A

Section 51A(7)

 

Further Provision About The Social Housing Ombudsman For Wales

Status

1          

The Social Housing Ombudsman for Wales (“the Ombudsman”)

shall be a corporation sole.

10

Remuneration, etc.

2          

The National Assembly for Wales may pay to or in respect of the

Ombudsman such amounts, by way of remuneration, pensions,

allowances or gratuities or by way of provision for any such

benefits, as it considers appropriate.

15

3          

If a person ceases to be the Ombudsman and it appears to the

National Assembly for Wales that there are special circumstances

which make it right that the person should receive compensation,

the National Assembly for Wales may pay to that person a sum of

such amount as it considers appropriate.

20

Staff and advisers

4     (1)  

The Ombudsman may appoint such staff as he considers

necessary for assisting him in the exercise of his functions.

      (2)  

The Ombudsman shall include among his staff such persons

having a command of the Welsh language as he considers are

25

needed to enable him to investigate complaints in Welsh.

      (3)  

To assist him in the exercise of his functions, the Ombudsman may

obtain advice from any person who, in his opinion, is qualified to

give it.

      (4)  

The Ombudsman may pay to any person from whom he obtains

30

advice under sub-paragraph (3) such fees or allowances as he may

determine.

Delegation of functions

5     (1)  

Any function of the Ombudsman may be exercised by—

(a)   

a member of his staff, or

35

(b)   

a member of the staff of the Commission for Local

Administration in Wales,

           

if authorised by the Ombudsman for that purpose.

 

 

Housing Bill
Schedule 9 — New Schedule 2A to the Housing Act 1996

209

 

      (2)  

The Ombudsman may, with the approval of the National

Assembly for Wales, make arrangements with persons under

which they, or members of their staff, may perform functions of

the Ombudsman.

      (3)  

References in any provision made by or under an enactment to a

5

member of staff of the Ombudsman include any person exercising

any function of his by virtue of sub-paragraph (1)(b).

Reports and determinations

6     (1)  

The Ombudsman—

(a)   

shall annually prepare and lay before the National

10

Assembly for Wales a general report on the performance of

his functions; and

(b)   

may from time to time prepare and lay before the National

Assembly for Wales such other reports with respect to his

functions as he thinks fit.

15

      (2)  

The National Assembly for Wales shall, and the Ombudsman

may, publish reports laid before the National Assembly for Wales

under sub-paragraph (1).

7          

The Ombudsman may, subject to any provision made by

regulations under section 51B, publish his determination on any

20

complaint.

8     (1)  

The Ombudsman may include in any report or determination

published under paragraph 6 or 7 statements, communications,

reports, papers or other documentary evidence obtained in the

exercise of his functions.

25

      (2)  

In publishing any report or determination, the 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

30

(b)   

any matter which relates specifically to a social landlord in

Wales, where publication would seriously and

prejudicially affect its interests;

           

unless inclusion of the matter concerned is necessary for the

purposes of the report or determination.

35

Expenses

9     (1)  

The expenses of the Ombudsman shall, so far as they cannot be

met out of income received by him, be met by the National

Assembly for Wales.

      (2)  

Those expenses include any sums payable by the Ombudsman in

40

consequence of a breach, in the course of the performance of any

of his functions, of any contractual or other duty (whether that

breach occurs by reason of his act or omission or that of a member

of his staff or any other person assisting him in the exercise of his

functions).

45

 

 

Housing Bill
Schedule 9 — New Schedule 2A to the Housing Act 1996

210

 

Absolute privilege for communications etc.

10         

For the purposes of the law of defamation absolute privilege

attaches to—

(a)   

any communication between the Ombudsman and any

person by or against whom a complaint is made to him;

5

(b)   

any determination by the Ombudsman; and

(c)   

the publication by him of any report or such a

determination under paragraph 6, 7 or 8.

Disclosure of information

11    (1)  

Information obtained by the Ombudsman in the course of or for

10

the purposes of an investigation of a complaint must not be

disclosed except—

(a)   

for the purposes of the investigation, of any determination

made in respect of the complaint or of the publication of a

determination under paragraph 7;

15

(b)   

as provided in paragraph 12 or 17 or any regulations under

section 51B;

(c)   

for the purposes of any proceedings for an offence of

perjury alleged to have been committed in the course of an

investigation of a complaint by the Ombudsman; or

20

(d)   

for the purposes of an inquiry with a view to the taking of

any proceedings as mentioned in paragraph (c).

      (2)  

The Ombudsman shall not be called upon to give evidence in any

proceedings (other than proceedings within sub-paragraph (1)(c))

of matters coming to his knowledge in the course of an

25

investigation of a complaint.

      (3)  

Information obtained from the Information Commissioner by

virtue of section 76 of the Freedom of Information Act 2000 shall

be treated for the purposes of sub-paragraph (1) as obtained for

the purposes of an investigation and, in relation to such

30

information, the reference in paragraph (a) of that sub-paragraph

to the investigation shall have effect as a reference to any

investigation.

12         

The Ombudsman may disclose to the Information Commissioner

any information obtained by, or furnished to, the Ombudsman by

35

virtue of or for the purposes of section 51A or 51B if the

information appears to him to relate to—

(a)   

a matter in respect of which the Information

Commissioner could exercise any power conferred by—

(i)   

Part V of the Data Protection Act 1998

40

(enforcement),

(ii)   

section 48 of the Freedom of Information Act 2000

(practice recommendations), or

(iii)   

Part IV of that Act (enforcement), or

(b)   

the commission of an offence under—

45

(i)   

any provision of the Data Protection Act 1998 other

than paragraph 12 of Schedule 9 (obstruction of

execution of warrant), or

 

 

 
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