Captured statutory text (L5)
15 Landlords etc: financial penalties and offences
In the 1988 Act, after section 16H (inserted by section 14 of this Act) insert—
Landlords etc: financial penalties and offencesFinancial penalties(16I)
(1)A local housing authority may impose a financial penalty on a person if satisfied beyond reasonable doubt—
(a)that the person contravened section 16D or any paragraph of section 16E(1) other than paragraph (e), or
(b)that—
(i)the person contravened paragraph (e) of section 16E(1), and
(ii)the tenant surrendered the tenancy within the period of four months beginning with the date of the contravention, without an order for possession of the dwelling-house being made.
(2)Where a landlord fulfils the requirement in section 16D, a local housing authority may not impose a financial penalty on a person who contravenes section 16D only by virtue of subsection (8) of that section.
(3)More than one penalty may be imposed on the same person in relation to a contravention of section 16D only if—
(a)the contravention continues after the end of 28 days beginning with the day after that on which the previous penalty for the contravention was imposed, unless the person appeals against the decision to impose the penalty within that period, or
(b)if the person appeals against that decision within that period, the contravention continues after the end of 28 days beginning with the day after that on which the appeal is finally determined, withdrawn or abandoned.
(4)Subsection (3) does not enable a penalty to be imposed after the final notice in respect of the previous penalty has been withdrawn or quashed on appeal.
(5)Where a local housing authority has imposed a financial penalty on a person in relation to a contravention of paragraph (b) or (d) of section 16E(1), the local housing authority may not impose a financial penalty in relation to a contravention of the other of those two paragraphs arising from the same conduct.
(6)The amount of a financial penalty imposed under this section is to be determined by the authority imposing it, but must not be more than £7,000.
(7)Where—
(a)a local housing authority is satisfied as mentioned in subsection (1) in relation to two or more persons, and
(b)the contraventions in relation to which the local housing authority is so satisfied arise from the same conduct by one or more of the persons acting on behalf of the others,
the local housing authority may impose a financial penalty under this section on the persons (or some of them) jointly, and if the local housing authority does so, the persons on whom the penalty is imposed are jointly and severally liable to pay it.
(8)No financial penalty may be imposed under this section in respect of any conduct if—
(a)the person has been convicted of an offence under section 16J in respect of the conduct,
(b)criminal proceedings under that section have been instituted against the person in respect of the conduct and the proceedings have not been concluded,
(c)criminal proceedings under that section in respect of the conduct have been concluded and the person has not been convicted of the offence, or
(d)a financial penalty has been imposed under section 16K in respect of that conduct.
(9)The Secretary of State may give guidance to local housing authorities about the exercise of their functions under this section.
(10)Local housing authorities must have regard to any guidance issued under subsection (9).
(11)For the purposes of this section and section 16J—
(a)a financial penalty is imposed under this section or section 16K on the date specified in the final notice as the date on which the notice is given, and
(b)“final notice” has the meaning given by paragraph 6 of Schedule 2ZA.
Offences(16J)
(1)A relevant person is guilty of an offence if, in relation to an assured tenancy—
(a)the person relies on a ground in Schedule 2, knowing that the landlord would not be able to obtain an order for possession on that ground, or being reckless as to whether the landlord would be able to do so, and
(b)the tenant surrenders the tenancy within the period of four months beginning with the date the ground was relied on, without an order for possession of the dwelling-house being made.
(2)A person is guilty of an offence if the person contravenes section 16E(2) or (3) but it is a defence for a person who contravenes section 16E(3) otherwise than as a landlord to show that they took all reasonable steps to avoid contravening it.
(3)A person is guilty of an offence if—
(a)a relevant penalty has been imposed on the person and the final notice imposing the penalty has not been withdrawn, and
(b)the conduct in respect of which the penalty was imposed continues after the end of the period of 28 days beginning with—
(i)the day after that on which the penalty was imposed on the person, or
(ii)if the person appeals against the final notice in respect of the penalty within that period, the day after that on which the appeal is finally determined, withdrawn or abandoned.
(4)A person is guilty of an offence if—
(a)the person conducts themselves in a manner giving rise to liability to a financial penalty under section 16I, and
(b)within the period of five years ending with the day on which the conduct occurs—
(i)a relevant penalty has been imposed on the person for different conduct and the final notice imposing the penalty has not been withdrawn, or
(ii)the person has been convicted of an offence under this section for different conduct.
(5)In subsections (3) and (4) “relevant penalty” means a financial penalty which is imposed under section 16I or 16K where—
(a)the period for bringing an appeal against the penalty under paragraph 10(2) of Schedule 2ZA has expired without an appeal being brought,
(b)an appeal against the financial penalty under that paragraph has been withdrawn or abandoned, or
(c)the final notice imposing the penalty has been confirmed or varied on appeal.
(6)A person may not be convicted of an offence under subsection (1), (2) or (4) in respect of any conduct if a financial penalty has been imposed under section 16I or 16K in respect of that conduct.
(7)Where an offence under this section committed by a body corporate is proved to have been committed with the consent or connivance of an officer of a body corporate, the officer as well as the body corporate commits the offence and is liable to be proceeded against and punished accordingly.
(8)Where an offence under subsection (2) committed by a body corporate is proved to be attributable to any neglect on the part of an officer of a body corporate, the officer as well as the body corporate commits the offence and is liable to be proceeded against and punished accordingly.
(9)Where the affairs of a body corporate are managed by its members, subsections (7) and (8) apply in relation to the acts and defaults of a member in connection with the member’s functions of management as if the member were an officer of the body corporate.
(10)A person guilty of an offence under this section is liable on summary conviction to a fine.
Financial penalties as an alternative to prosecution under section 16J(16K)
(1)A local housing authority may impose a financial penalty on a person if satisfied beyond reasonable doubt that the person is guilty of an offence under section 16J.
(2)No financial penalty may be imposed under this section in respect of any conduct if—
(a)the person has been convicted of an offence under section 16J in respect of the conduct,
(b)criminal proceedings under that section in respect of the conduct have been instituted against the person and the proceedings have not been concluded, or
(c)criminal proceedings under that section in respect of the conduct have been concluded and the person has not been convicted of the offence.
(3)The amount of a financial penalty imposed under this section is to be determined by the authority imposing it, but must not be more than £40,000.
(4)Where—
(a)a local housing authority is satisfied as mentioned in subsection (1) in relation to two or more persons, and
(b)the offences in relation to which the local housing authority is so satisfied arise from the same conduct by one or more of the persons acting on behalf of the others,
the local housing authority may impose a financial penalty under this section on the persons (or some of them) jointly, and if the local housing authority does so, the persons on whom the penalty is imposed are jointly and severally liable to pay it.
(5)The Secretary of State may give guidance to local housing authorities about the exercise of their functions under this section.
(6)Local housing authorities must have regard to any guidance issued under subsection (5).
Financial penalties: supplementary and interpretation(16L)
(1)The Secretary of State may give financial assistance (by way of grant, loan guarantee or in any other form) or make other payments to a local housing authority in respect of the local housing authority’s functions under or by virtue of sections 16I to 16K.
(2)The Secretary of State may by regulations amend the amount specified in section 16I(6) or 16K(3) to reflect changes in the value of money.
(3)Regulations under this section are to be made by statutory instrument.
(4)A statutory instrument containing regulations under this section is subject to annulment in pursuance of a resolution of either House of Parliament.
(5)Schedule 2ZA makes provision about—
(a)the procedure for imposing financial penalties under sections 16I and 16K,
(b)appeals against financial penalties under sections 16I and 16K,
(c)enforcement of financial penalties under sections 16I and 16K, and
(d)how local housing authorities are to deal with the proceeds of financial penalties under sections 16I and 16K.
Full captured verbatim text
In the 1988 Act, after section 16H (inserted by section 14 of this Act) insert— Landlords etc: financial penalties and offencesFinancial penalties(16I) (1) A local housing authority may impose a financial penalty on a person if satisfied beyond reasonable doubt— (a) that the person contravened section 16D or any paragraph of section 16E(1) other than paragraph (e), or (b) that— (i) the person contravened paragraph (e) of section 16E(1), and (ii) the tenant surrendered the tenancy within the period of four months beginning with the date of the contravention, without an order for possession of the dwelling-house being made. (2) Where a landlord fulfils the requirement in section 16D, a local housing authority may not impose a financial penalty on a person who contravenes section 16D only by virtue of subsection (8) of that section. (3) More than one penalty may be imposed on the same person in relation to a contravention of section 16D only if— (a) the contravention continues after the end of 28 days beginning with the day after that on which the previous penalty for the contravention was imposed, unless the person appeals against the decision to impose the penalty within that period, or (b) if the person appeals against that decision within that period, the contravention continues after the end of 28 days beginning with the day after that on which the appeal is finally determined, withdrawn or abandoned. (4) Subsection (3) does not enable a penalty to be imposed after the final notice in respect of the previous penalty has been withdrawn or quashed on appeal. (5) Where a local housing authority has imposed a financial penalty on a person in relation to a contravention of paragraph (b) or (d) of section 16E(1), the local housing authority may not impose a financial penalty in relation to a contravention of the other of those two paragraphs arising from the same conduct. (6) The amount of a financial penalty imposed under this section is to be determined by the authority imposing it, but must not be more than £7,000. (7) Where— (a) a local housing authority is satisfied as mentioned in subsection (1) in relation to two or more persons, and (b) the contraventions in relation to which the local housing authority is so satisfied arise from the same conduct by one or more of the persons acting on behalf of the others, the local housing authority may impose a financial penalty under this section on the persons (or some of them) jointly, and if the local housing authority does so, the persons on whom the penalty is imposed are jointly and severally liable to pay it. (8) No financial penalty may be imposed under this section in respect of any conduct if— (a) the person has been convicted of an offence under section 16J in respect of the conduct, (b) criminal proceedings under that section have been instituted against the person in respect of the conduct and the proceedings have not been concluded, (c) criminal proceedings under that section in respect of the conduct have been concluded and the person has not been convicted of the offence, or (d) a financial penalty has been imposed under section 16K in respect of that conduct. (9) The Secretary of State may give guidance to local housing authorities about the exercise of their functions under this section. (10) Local housing authorities must have regard to any guidance issued under subsection (9). (11) For the purposes of this section and section 16J— (a) a financial penalty is imposed under this section or section 16K on the date specified in the final notice as the date on which the notice is given, and (b) “final notice” has the meaning given by paragraph 6 of Schedule 2ZA. Offences(16J) (1) A relevant person is guilty of an offence if, in relation to an assured tenancy— (a) the person relies on a ground in Schedule 2, knowing that the landlord would not be able to obtain an order for possession on that ground, or being reckless as to whether the landlord would be able to do so, and (b) the tenant surrenders the tenancy within the period of four months beginning with the date the ground was relied on, without an order for possession of the dwelling-house being made. (2) A person is guilty of an offence if the person contravenes section 16E(2) or (3) but it is a defence for a person who contravenes section 16E(3) otherwise than as a landlord to show that they took all reasonable steps to avoid contravening it. (3) A person is guilty of an offence if— (a) a relevant penalty has been imposed on the person and the final notice imposing the penalty has not been withdrawn, and (b) the conduct in respect of which the penalty was imposed continues after the end of the period of 28 days beginning with— (i) the day after that on which the penalty was imposed on the person, or (ii) if the person appeals against the final notice in respect of the penalty within that period, the day after that on which the appeal is finally determined, withdrawn or abandoned. (4) A person is guilty of an offence if— (a) the person conducts themselves in a manner giving rise to liability to a financial penalty under section 16I, and (b) within the period of five years ending with the day on which the conduct occurs— (i) a relevant penalty has been imposed on the person for different conduct and the final notice imposing the penalty has not been withdrawn, or (ii) the person has been convicted of an offence under this section for different conduct. (5) In subsections (3) and (4) “relevant penalty” means a financial penalty which is imposed under section 16I or 16K where— (a) the period for bringing an appeal against the penalty under paragraph 10(2) of Schedule 2ZA has expired without an appeal being brought, (b) an appeal against the financial penalty under that paragraph has been withdrawn or abandoned, or (c) the final notice imposing the penalty has been confirmed or varied on appeal. (6) A person may not be convicted of an offence under subsection (1), (2) or (4) in respect of any conduct if a financial penalty has been imposed under section 16I or 16K in respect of that conduct. (7) Where an offence under this section committed by a body corporate is proved to have been committed with the consent or connivance of an officer of a body corporate, the officer as well as the body corporate commits the offence and is liable to be proceeded against and punished accordingly. (8) Where an offence under subsection (2) committed by a body corporate is proved to be attributable to any neglect on the part of an officer of a body corporate, the officer as well as the body corporate commits the offence and is liable to be proceeded against and punished accordingly. (9) Where the affairs of a body corporate are managed by its members, subsections (7) and (8) apply in relation to the acts and defaults of a member in connection with the member’s functions of management as if the member were an officer of the body corporate. (10) A person guilty of an offence under this section is liable on summary conviction to a fine. Financial penalties as an alternative to prosecution under section 16J(16K) (1) A local housing authority may impose a financial penalty on a person if satisfied beyond reasonable doubt that the person is guilty of an offence under section 16J. (2) No financial penalty may be imposed under this section in respect of any conduct if— (a) the person has been convicted of an offence under section 16J in respect of the conduct, (b) criminal proceedings under that section in respect of the conduct have been instituted against the person and the proceedings have not been concluded, or (c) criminal proceedings under that section in respect of the conduct have been concluded and the person has not been convicted of the offence. (3) The amount of a financial penalty imposed under this section is to be determined by the authority imposing it, but must not be more than £40,000. (4) Where— (a) a local housing authority is satisfied as mentioned in subsection (1) in relation to two or more persons, and (b) the offences in relation to which the local housing authority is so satisfied arise from the same conduct by one or more of the persons acting on behalf of the others, the local housing authority may impose a financial penalty under this section on the persons (or some of them) jointly, and if the local housing authority does so, the persons on whom the penalty is imposed are jointly and severally liable to pay it. (5) The Secretary of State may give guidance to local housing authorities about the exercise of their functions under this section. (6) Local housing authorities must have regard to any guidance issued under subsection (5). Financial penalties: supplementary and interpretation(16L) (1) The Secretary of State may give financial assistance (by way of grant, loan guarantee or in any other form) or make other payments to a local housing authority in respect of the local housing authority’s functions under or by virtue of sections 16I to 16K. (2) The Secretary of State may by regulations amend the amount specified in section 16I(6) or 16K(3) to reflect changes in the value of money. (3) Regulations under this section are to be made by statutory instrument. (4) A statutory instrument containing regulations under this section is subject to annulment in pursuance of a resolution of either House of Parliament. (5) Schedule 2ZA makes provision about— (a) the procedure for imposing financial penalties under sections 16I and 16K, (b) appeals against financial penalties under sections 16I and 16K, (c) enforcement of financial penalties under sections 16I and 16K, and (d) how local housing authorities are to deal with the proceeds of financial penalties under sections 16I and 16K.