Investigating and taking action on serious failures in landlords
How we investigate and what action we take on serious failures in landlords
Applies to England
We expect landlords to identify any problems they have in delivering the outcomes of our standards. We also expect landlords to tell us at the earliest opportunity of any material issues to them delivering the outcomes of our standards and to take effective action to fix them. We investigate and intervene where we find there are serious failings to deliver the outcomes of our standards. We have a range of regulatory and enforcement powers available to us which we can use.
Investigating serious failures
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 a serious failure to deliver the outcomes of our standards, 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.
At the end of this work, we reach an evidence-based decision about whether there are material failings in the landlord’s delivery of the outcomes of our standards, and the seriousness of those failings. We then share our conclusions with the landlord and may publish a regulatory judgement and where appropriate grading.
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.
Find out more about
How we assess regulatory issues, including examples of the factors we may use to help us.
Putting things right without using our enforcement powers
Where a landlord takes responsibility for improving, we will normally work with the landlord until it has given us evidence which gives us assurance that it has addressed the relevant failures. We will consider any reasonable remedial strategies the landlord proposes, including any relevant voluntary undertaking. See below for more information on voluntary undertakings.
In general, we are unlikely to use our enforcement powers where both:
- the landlord is prepared to fix the problems and their underlying causes
- we conclude that the landlord has the capacity, capability and resources it needs to do so.
Using our enforcement powers
In circumstances where we use our enforcement or other powers, our approach is to apply what we consider to be the most appropriate power, or combination of powers available.
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, including where landlords 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.