Investigating suspected serious failings and our approach to taking action
How we investigate suspected serious failings and how we approach taking action
Applies to England
Investigating suspected serious failings
We assess issues of potential regulatory concern that come to our attention through, for example, referrals (including self-referrals), regulatory returns, notifications or inspections. Where we suspect there are serious failings in a landlord delivering the outcomes of our standards or issues of serious regulatory concern, we will investigate and may add the landlord to our gradings under review list.
When we are investigating a landlord, we set out in writing to the landlord the areas we are looking at and the outcomes of our standards that we think are most relevant to the issues concerned. We aim to quickly understand the relevant issues and the underlying causes of them. We keep the scope of what we are looking at under review. Where appropriate, we work collaboratively with other regulators and organisations.
In carrying out our work, we expect the landlord to give us the information we ask for in a timely manner. We may decide to use our collection of information power if, for example a landlord or other third parties are uncooperative with us.
An investigation into suspected serious failings or issues of serious regulatory concern may lead to a range of decisions, including decisions to:
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issue a regulatory judgement and (where applicable) grade for the landlord (in which case where the landlord was added to our gradings under review list we will remove it); and/or
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use our enforcement or other regulatory powers.
Interventions
We have a range of regulatory tools we can use to help ensure things are put right when they go wrong. In deciding if and which regulatory tool to use, we take into account the particular circumstances of the landlord, as well as the seriousness of the issues concerned, and the pace with which the issues need to be addressed.
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How we assess regulatory issues, including examples of the factors we may use to help us.
Some of these powers specifically require us to inform a landlord whether we would accept a voluntary undertaking in place of, or in mitigation of, using the power.
Putting things right without using our enforcement powers
Where we have given a regulatory judgement that a landlord needs to improve its delivery of the outcomes of our standards, and we consider that a landlord is sufficiently willing and able to make the required improvement, we will normally work with the landlord as it delivers that improvement. We will consider any reasonable remedial strategies the landlord proposes, including any relevant voluntary undertaking.
However, we have a range of regulatory tools we can use to help ensure things are put right when they go wrong. In deciding if and which regulatory tool to use, we take into account the particular circumstances of the landlord, as well as the seriousness of the issues concerned, and the pace with which the issues need to be addressed.
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In general, we are unlikely to use our enforcement powers where both:
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the landlord is prepared to fix the problems and their underlying causes
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we conclude that the landlord has the capacity, capability and resources it needs to do so.
Using our enforcement powers
We publish statutory guidance about how we use and intend to use our enforcement powers. Our general approach to using our enforcement or other powers is to apply what we consider to be the most appropriate power, or combination of powers available, taking into account the seriousness of the issue(s) under consideration.
De-registering a landlord
We have a duty to maintain a register of providers of social housing, and under section 118 of the Housing and Regeneration Act 2008, we can compulsorily de-register landlords. For landlords that are private registered providers, this includes where we think they have failed to meet a standard (except a standard set under section 194A of that Act.
Voluntary undertakings by landlords
A voluntary undertaking is a means by which a landlord can formally notify us of the actions that it commits to take to ensure that it is delivering the outcomes of our standards.
The circumstances in which a voluntary undertaking can be given are wide ranging; a landlord can give us a voluntary undertaking about any matter concerning social housing.
Although giving a voluntary undertaking will always be a matter for the landlord, we respond when a landlord asks whether a voluntary undertaking would address the matters that we consider to be of regulatory concern. In considering whether a voluntary undertaking would be acceptable, we:
- assess whether or not the terms of a voluntary undertaking are satisfactory, giving reasons for the decision
- consider the landlord’s past behaviour, such as how it has addressed past issues raised by us
- consider the seriousness and urgency of the matter that the voluntary undertaking seeks to address.
We provide feedback during the process. We would normally expect a voluntary undertaking to be supported by a plan that identifies the remedial actions that the landlord intends to carry out, the outcomes that the actions will achieve and how the board and councillors will obtain assurance that the outcomes are being achieved. This should include the timescales for completing the actions.
Where we reject a voluntary undertaking, we give reasons for this. Where we accept a voluntary undertaking, we seek evidence on the landlord’s progress with it. At an appropriate point, we decide whether the landlord has delivered the improvements set out in the voluntary undertaking, giving reasons for the decision.
There may be circumstances where a voluntary undertaking does not prevent further regulatory and enforcement action. This might include circumstances where:
- the landlord does not deliver what it has committed to in its undertaking
- urgent or immediate action is needed.
A landlord’s failure to comply with a voluntary undertaking is one of the grounds for us to use some of our regulatory and enforcement powers.
We must have regard to a voluntary undertaking offered or given when determining whether to use certain regulatory or enforcement powers.
Some of these powers specifically require us to inform a landlord whether we would accept a voluntary undertaking in place of, or in mitigation of, using the power.