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(1) | Before giving a penalty notice to a registered provider the regulator must give |
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the provider a notice (a “pre-penalty warning”)— |
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(a) | specifying grounds on which the regulator thinks a penalty could be |
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(b) | warning the provider that the regulator is considering imposing a |
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(c) | including any indication that the regulator is able to give of the likely |
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amount of any penalty, and |
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(d) | explaining the effect of sections 218 to 222. |
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(2) | If the regulator gives a pre-penalty warning it must send a copy to— |
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(b) | any other persons it thinks appropriate. |
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(3) | For the purposes of subsection (2)(b) the regulator shall consider, in particular, |
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any person who provided information as a result of which the pre-penalty |
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(4) | A pre-penalty warning must— |
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(a) | refer to section 125 (voluntary undertaking), and |
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(b) | indicate whether or to what extent the regulator would accept a |
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voluntary undertaking instead of, or in mitigation of, a penalty. |
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(5) | A pre-penalty warning may be combined with notice under one or more of |
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(1) | A pre-penalty warning must specify a period during which the registered |
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provider may make representations to the regulator. |
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(a) | be a period of at least 28 days, and |
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(b) | begin with the date on which the registered provider receives the pre- |
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(3) | Representations may concern— |
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(a) | whether a penalty should be imposed; |
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(b) | the amount of any penalty that may be imposed. |
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(4) | After the end of the period specified under subsection (1) the regulator shall— |
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(a) | consider any representations made, and |
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(b) | decide whether to impose a penalty. |
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If the regulator imposes a penalty it must send a copy of the penalty notice to |
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(1) | This section applies where the regulator receives money by way of penalty. |
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(2) | The regulator may deduct a sum which represents— |
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(a) | the direct costs to the regulator of imposing and enforcing the penalty, |
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(b) | a reasonable share of expenditure by the regulator which is indirectly |
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referable to the imposition and enforcement of the penalty. |
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(3) | Any excess shall be paid to the HCA, to be used for purposes which appear to |
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it to amount to investment in social housing. |
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(1) | A penalty shall be treated as a debt owed to the regulator. |
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(2) | The Treasury may make regulations authorising the regulator— |
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(a) | to charge interest on penalty not paid during the period specified under |
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(b) | to impose one or more additional penalties where a penalty is not paid |
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(3) | Interest and additional penalty shall be treated as penalty (and may have the |
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effect of increasing the penalty above a limit set by section 216). |
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(4) | Regulations under subsection (2)(a) may provide for an interest rate to be— |
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(a) | set by a specified person, or |
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(b) | determined in accordance with the regulations. |
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(5) | A penalty notice may include provision allowing a discount if the penalty is |
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paid on or before a date specified in the notice (falling within the period |
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specified under section 215(2)(d)). |
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(6) | A person to whom a penalty notice is given on the ground in Case 6 of section |
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214 may not be prosecuted for the offence by reference to which the penalty |
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A registered provider who is given a penalty notice may appeal to the High |
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(a) | the imposition of the penalty, |
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This group of sections allows the regulator to award compensation to a victim |
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of a failure on the part of a registered provider. |
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(1) | The regulator may require a registered provider to pay compensation if the |
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regulator is satisfied that— |
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(a) | either of the following cases applies, and |
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(b) | the award of compensation is appropriate (whether or not as part of a |
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response including other action). |
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(2) | Case 1 is where the registered provider has failed to meet a standard under |
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(3) | Case 2 is where the registered provider has given an undertaking under section |
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125 and failed to comply with it. |
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(1) | Compensation in respect of a failure may be awarded to one or more persons |
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who have suffered as a result of the failure. |
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(2) | But an award may be made only to— |
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(a) | a specified tenant or occupier of social housing provided by the |
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(b) | each member of a specified class of tenants or occupiers of social |
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housing provided by the registered provider, or |
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(c) | each member of the class of tenants and occupiers of social housing |
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provided by the registered provider. |
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226 | Social housing ombudsman compensation |
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(1) | The regulator may not award compensation to a person in respect of a matter |
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if an ombudsman appointed by virtue of section 124 has awarded |
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compensation to the person in respect of the matter. |
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(2) | But if compensation awarded by an ombudsman by virtue of section 124 has |
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not been paid as required, the regulator may award compensation. |
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(1) | Compensation is awarded by the regulator giving notice (a “compensation |
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(a) | the registered provider, and |
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(b) | the person to be compensated. |
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(2) | The notice must specify— |
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(a) | the grounds on which the compensation is awarded, |
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(b) | the amount of the compensation, |
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(c) | the person to be compensated, |
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(d) | any interest or additional compensation which, by virtue of section |
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231(2), is payable in the event of late payment, and |
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(e) | a period within which it must be paid. |
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(3) | The notice may require the registered provider to publish information about |
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the compensation award in a specified manner. |
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(4) | The notice must explain the effect of sections 231(1) and (3) and 232. |
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(5) | The Secretary of State— |
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(a) | shall make regulations about the period under subsection (2)(e), |
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(b) | may make other regulations about the form and content of a |
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(c) | may make regulations about the manner in which a compensation |
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(1) | This section applies when the regulator is considering— |
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(a) | whether to award compensation, or |
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(b) | the amount of compensation to award. |
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(2) | The regulator must take account of any information available to it about the |
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financial situation of the registered provider. |
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(3) | The regulator must consider the likely impact of the compensation on the |
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registered provider’s ability to provide services. |
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(4) | In particular, the regulator must aim to avoid— |
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(a) | jeopardising the financial viability of the registered provider, |
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(b) | preventing the registered provider from honouring financial |
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(c) | preventing the registered provider from taking action to remedy the |
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matters on the grounds of which the compensation might be awarded. |
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(1) | Before giving a compensation notice to a registered provider the regulator |
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must give the provider a notice (a “pre-compensation warning”)— |
| |
(a) | specifying grounds on which the regulator thinks compensation could |
| 20 |
| |
(b) | warning the provider that the regulator is considering awarding |
| |
compensation to a specified person, |
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(c) | including any indication that the regulator is able to give of the likely |
| |
amount of any compensation, and |
| 25 |
(d) | explaining the effect of sections 230 to 232. |
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(2) | Before giving a pre-compensation warning the regulator must consult the |
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person appointed by virtue of section 124 as the ombudsman for the scheme of |
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which the registered provider is a member. |
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(3) | If the regulator gives a pre-compensation warning it must send a copy to— |
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(b) | any other persons it thinks appropriate. |
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(4) | For the purposes of subsection (3)(b) the regulator shall consider, in particular, |
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any person who provided information as a result of which the pre- |
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compensation warning is given. |
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(5) | A pre-compensation warning must— |
| |
(a) | refer to section 125 (voluntary undertaking), and |
| |
(b) | indicate whether or to what extent the regulator would accept a |
| |
voluntary undertaking instead of, or in mitigation of, awarding |
| |
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(6) | A pre-compensation warning may be combined with notice under one or more |
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