Guidance

How we carry out our consumer regulation

Published 19 July 2019

Applies to England

© Crown copyright 2019

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This publication is available at https://www.gov.uk/government/publications/consumer-regulation-process/how-we-carry-out-our-consumer-regulation

Through our Consumer Regulation Review reports, we have set out how we carry out our consumer regulation, and our consumer regulation processes. Below we have set this out in more detail:

Regulator receives referral about a registered provider

Referrals received from: tenants, statutory referrals (including MPs or councillors), directly from registered providers, or through our economic engagement with providers.

Stage 1 – Consideration by Referrals and Regulatory Enquiries team

Are the issues within the regulator’s remit? And does there appear to have been a breach of the standards?

  • Yes - Move to Stage 2

  • No - RRE team reply to referral; explain the conclusion and why the regulator is unable to take further action.

Stage 2 – Consideration by the Consumer Regulation Panel

CRP consider:

  1. is it likely that there has been, or could be, a breach of a consumer standard?

  2. would there be any impact on tenants which would cause serious actual harm or serious potential harm?

  • Yes - Move to Stage 3

  • No - RRE team reply to referral; explain the conclusion and why the regulator is unable to take further action.

Stage 3 – Investigation

We will usually seek information from the individual making the referral and the registered provider, as well as any third parties if necessary. Do the issues raised represent a breach of the standard and serious detriment?

  • Yes - Publish regulatory notice – this sets out the regulator’s conclusions, and is published on our website. The regulator then works with the provider to seek assurance that the issues are remedied. Consider implications for governance – the regulator also considers whether there are implications for our view of the registered provider’s governance.

  • No - Reply to referral; explain the conclusion and why the regulator is unable to take further action.

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