Private Sector Housing Civil Penalty Policy

7.1 Failure to comply with an Improvement Notice - Section 30 of the Housing Act 2004

Maximum Court fine following prosecution that can be levied for failure to comply with an Improvement Notice - Unlimited.

An Improvement Notice served under Part 1 Housing Act 2004 specifies repairs and improvements that the recipient should carry out in order to address one or more identified Category 1 and or Category 2 hazards in a property. Category 1 hazards are the most serious hazards, judged to have the highest risk of harm to the occupiers; the Council has a duty to take appropriate action where a dwelling is found to have one or more Category 1 hazards present.

In some cases, the service of an Improvement Notice will have followed an informal stage, where the landlord had been given the opportunity to carry out improvements without the need for formal action. In such cases, an identified failure to comply with an Improvement Notice will represent a continued failure on the part of the landlord to deal appropriately with one or more significant hazards affecting the occupier(s) of the relevant dwelling.

The Council would view the offence of failing to comply with the requirements of an Improvement Notice as a significant issue, exposing the tenant(s) of a dwelling to one or more significant hazards.

The seriousness of the offence is viewed by the Council as being a Severe matter, attracting a financial penalty with a starting level of £22,500.

Under the Council's policy the civil penalty for a landlord controlling, owning, managing one or two dwellings, including no more than one HMO, with no other relevant factors or aggravating features [see below], will reduce by £5,000, attracting a civil penalty of £17,500.

Under the Council's policy, the civil penalty for a landlord controlling, owning, managing a significant property portfolio, being three, four, or five dwellings, and or two HMOs, with no other relevant factors or aggravating features (see below), will attract a civil penalty of £22,500.

Under the Council's policy, the civil penalty for a landlord controlling, owning, managing a large property portfolio, being six or more dwellings, and or three or more HMOs and or has demonstrated experience in the letting or management of property (irrespective of the size of the portfolio), with no other relevant factors or aggravating factors, will increase by £5,000, attracting a civil penalty of £27,500.

Aggravating features and factors specific to non-compliance with an Improvement Notice.

The nature and extent of hazards that are present. Multiple hazards and or severe and extreme hazards that are considered to have a significant impact on the health and or safety of the occupant(s) in the property or their guests would justify an increase in the level of the civil penalty.

Generic aggravating features and factors

The Council will have regard to general factors in determining the final level of the civil penalty including, but not limited to:

• a previous history of non-compliance would justify an increased civil penalty. Non-exhaustive examples of previous non-compliance would include previous successful prosecutions (including recent convictions that were 'spent'), receipt of financial penalties, rent repayment orders, works in default of the landlord and breaches of regulations, obligations, irrespective of whether these breaches had been the subject of separate formal action
• a failure to cooperate with a Council investigation. Non-exhaustive examples of failure to cooperate would include failing to comply with a s.16 Local Government (Miscellaneous Provisions) Act 1976 notice, failing to comply with a s.235 Housing Act 2004 notice, failing to provide a substantive response to a letter of alleged offence
• deliberate intent when committing the offence. Non-exhaustive examples of deliberate intent would include knowledge that the offence was occurring, committing the offence after relevant correspondence was sent by the Council
• the number of residents placed at risk
• offending over an extended period of time, for example, 6 months or longer
• whether any vulnerable residents were in occupation at the time of the offence. Non-exhaustive examples of vulnerable residents include young adults and children, persons vulnerable by virtue of age, persons vulnerable by virtue of disability or sensory impairment, persons with a drug or alcohol addiction, victims of domestic abuse, children in care or otherwise vulnerable by virtue of age, people with complex health conditions, people who do not speak English as their first language, victims of trafficking or sexual exploitation, refugees, asylum seekers

7.2 Failure to Licence offences

Maximum Court fine following prosecution that can be levied for failure to license an HMO or Part 3 House - Unlimited.

Failure to license a Mandatory 'HMO' - Section 72(1) of the Housing Act 2004.

Under Part 2 Housing Act 2004, most higher risk HMOs occupied by 5 or more persons forming 2 or more households are required to hold a property licence issued by the local authority. HMO licensing was introduced to allow local authorities to regulate standards and conditions in high risk, multiply occupied residential premises. Through the property licence regime, local authorities ensure that the HMO has sufficient kitchens, baths/showers and WCs and place a limit on the number of persons permitted to occupy it and the licence holder is required to comply with a set of licence conditions.

The Council would view the offence of failing to license an HMO as a significant failing; Licensing was introduced by the Government in order to regulate management, conditions, standards and safety in the properties considered to represent the highest risk to tenants as regards such matters as fire safety and overcrowding.

This seriousness of the offence is viewed by the Council as being a Very Serious matter, attracting a financial penalty with a starting level of £17,500.

Under the Council's policy the civil penalty for a landlord controlling, owning, managing only one HMO dwelling and no more than one other dwelling that is not an HMO, with no other relevant factors or aggravating features, will reduce by £5,000, attracting a civil penalty of £12,500.

Under the Council's policy, the civil penalty for a landlord controlling, owning, managing a significant property portfolio, being three, four, or five dwellings, and or two HMOs, with no other relevant factors or aggravating features, will attract a civil penalty of £17,500.

Under the Council's policy, the civil penalty for a landlord controlling, owning, managing a large property portfolio, being six or more dwellings, and or three or more HMOs and or has demonstrated experience in the letting and management of property (irrespective of the size of the portfolio), with no other relevant factors or aggravating factors, will increase by £5,000, attracting a civil penalty of £22,500.

Aggravating features and factors specific to failure to licence offences:

• the condition of the unlicensed property. The nature and extent of any significant hazards that are present would justify an increase in the level of the civil penalty. Equally, an HMO that was found to be poorly managed and or lacking amenities, fire safety precautions and or overcrowded would also justify an increased civil penalty
• any demonstrated evidence that the landlord or agent was familiar with the need to obtain a property licence, for example, the fact that they were a named licence holder or manager in respect of an already licensed premises

Generic aggravating features and factors

As set out under 'Failure to comply with an Improvement Notice'.

Failure to licence a property under the Council's Selective Licensing Scheme - Section 95(1) of the Housing Act 2004

The Council has also exercised their powers under section 80 Housing Act 2004 and has designated parts of the wards of Stockton Town Centre, Ropner, Mandale and Victoria and Newtown as selective licensing areas. Under this scheme, which comes into force on 1 November 2024 and expires on 31 October 2029, privately rented homes which are not exempt or do not require licensing under an HMO licensing scheme, are required to have a property licence to operate in the borough. Through the Selective Licensing scheme, which was introduced to combat issues such as low housing demand, high levels of deprivation, high levels of crime and anti-social behaviour, the Council intends to improve the professionalism of private landlords and drive-up property standards.

The Council would view the offence of failing to ensure that a rented home was licensed under its Selective Licensing Scheme as a significant issue, meaning that the tenants and wider community are not protected by the additional regulatory controls afforded by licensing.

This seriousness of the offence is viewed by the Council as being a Serious matter, attracting a financial penalty with a starting level of £12,500.

Under the Council's policy the civil penalty for a landlord controlling, owning, managing one or two dwellings, including no more than one HMO, with no other relevant factors or aggravating features, will reduce by £5,000, attracting a civil penalty of £7,500.

Under the Council's policy, the civil penalty for a landlord controlling, owning, managing a significant property portfolio, being three, four, or five dwellings, and or two HMOs, with no other relevant factors or aggravating features, will attract a civil penalty of £12,500.

Under the Council's policy, the civil penalty for a landlord controlling, owning, managing a large property portfolio, being six or more dwellings, and or three or more HMOs and or has demonstrated experience in the letting and management of property (irrespective of the size of the portfolio), with no other relevant factors or aggravating factors, will increase by £5,000, attracting a civil penalty of £17,500.

Aggravating features and factors specific to non-licensing offences:

• the condition of the unlicensed property. The nature and extent of any significant hazards that are present would justify an increase in the level of the civil penalty. Equally, a property that required a Selective Licence and was found to be poorly managed and or lacking amenities and fire safety precautions and or overcrowded would also justify an increased civil penalty
• any demonstrated evidence that the landlord or agent was familiar with the need to obtain a property licence, for example, the fact that they were a named licence holder or manager in respect of an already licensed premises

Generic aggravating features and factors

As set out under 'Failure to comply with an Improvement Notice'.

7.3 Failure to Comply with an Overcrowding Notice - Section 139 of the Housing Act 2004

Maximum Court fine following prosecution that can be levied for failure to comply with an Overcrowding Notice - Unlimited.

Section 139 Housing Act 2004 allows the Council to serve an Overcrowding Notice in respect of an HMO that is not required to be licensed under Part 2 Housing Act 2004. The notice specifies, on a room-by-room basis, the maximum number of persons allowed to occupy each room as sleeping accommodation or that the room is not considered suitable for that purpose.

The Council would view the offence of failing to comply with the requirements of an Overcrowding Notice as a significant matter, exposing the tenant(s) of an HMO to unacceptably cramped living conditions.

The seriousness of the offence is viewed by the Council as being a Very Serious matter, attracting a financial penalty with a starting level of £17,500.

Under the Council's policy the civil penalty for a landlord controlling, owning, managing one or two dwellings, including no more than one HMO, with no other relevant factors or aggravating features, will reduce by £5,000, attracting a civil penalty of £12,500.

Under the Council's policy, the civil penalty for a landlord controlling, owning, managing a significant property portfolio, being three, four, or five dwellings, and or two HMOs, with no other relevant factors or aggravating features, will attract a civil penalty of £17,500.

Under the Council's policy, the civil penalty for a landlord controlling, owning, managing a large property portfolio, being six or more dwellings, and or three or more HMOs and or has demonstrated experience in the letting and management of property (irrespective of the size of the portfolio), with no other relevant factors or aggravating factors, will increase by £5,000, attracting a civil penalty of £2,2500.

Aggravating features and factors specific to non-compliance with an Overcrowding Notice:

• the level of overcrowding present - breaches that related to over-occupation of multiple rooms or extreme over-occupation of an individual room would justify a higher civil penalty

Generic aggravating features and factors

As set out under 'Failure to comply with an Improvement Notice'.

7.4 Failure to Comply with a Banning Order - Section 21 of the Housing and Planning Act 2016

Maximum Court fine that can be levied for failure to comply with a Banning Order following prosecution - Unlimited. In addition, the Court can also impose a prison sentence for up to 51 weeks.

The Housing and Planning Act 2016 includes provisions and processes for a person to be banned from being involved, for a specified period, in one or more of the following activities:

• letting housing
• engaging in letting agency work
• engaging in property management work

Banning Orders are reserved for what are recognised as being the most serious housing-related offences. In the event that the Council was satisfied that the offence of breaching a Banning Order had occurred, this would normally be the subject of prosecution proceedings. Where it was determined that a civil penalty would be appropriate in respect of a breach of a Banning Order, this would normally be set at the maximum level of £30,000 to reflect the severity of the offence.

7.5 Failure to Comply with The Management of Houses in Multiple Occupation [England] Regulations 2006 and The Licensing and Management of Houses in Multiple Occupation (Additional Provisions) (England) Regulations 2007

Maximum Court fine following prosecution that can be levied for failure to comply with each individual regulation - Unlimited.

The Management of Houses in Multiple Occupation (England) Regulations 2006 impose duties on the persons managing HMOs in respect of:

• providing information to occupiers [Regulation 3]
• taking safety measures, including fire safety measures [Regulation 4]
• maintaining the water supply and drainage [Regulation 5]
• supplying and maintaining gas and electricity, including having these services and appliances regularly inspected [Regulation 6]
• maintaining common parts [Regulation 7]
• maintaining living accommodation [Regulation 8]
• providing sufficient waste disposal facilities [Regulation 9]

The Licensing and Management of Houses in Multiple Occupation (Additional Provisions) (England) Regulations 2007 impose duties on the persons managing HMOs as defined by Section 257 Housing Act 2004 in respect of:

• providing information to occupiers [regulation 4]
• taking safety measures, including fire safety measures [regulation 5]
• maintaining the water supply and drainage [regulation 6]
• supplying and maintaining gas and electricity, including having these services and appliances regularly inspected [regulation 7]
• maintaining common parts [regulation 8]
• maintaining living accommodation [regulation 9]
• providing sufficient waste disposal facilities [regulation 10]

It is important that the manager of an HMO complies with all regulations, but the Council recognises that a failure to comply with certain regulations is likely to have a much bigger impact on the safety and comfort of residents than others.

Failure to comply with the duty of manager to provide information to occupier

The Council would view the seriousness of the offence of failing to comply with the duty of the manager to provide information to occupier as a Mild matter, attracting a financial penalty with a starting level of £2,500.

Under the Council's policy the civil penalty for a landlord controlling, owning, managing only one HMO dwelling and no more than one other dwelling that is not an HMO, with no other relevant factors or aggravating features, will reduce by £2,000, attracting a civil penalty of £500.

Under the Council's policy, the civil penalty for a landlord controlling, owning, managing a significant property portfolio, being three, four, or five dwellings, and or two HMOs, with no other relevant factors or aggravating features, will attract a civil penalty of £2,500.

Under the Council's policy, the civil penalty for a landlord controlling, owning. managing a large property portfolio, being six or more dwellings, and or three or more HMOs and or has demonstrated experience in the letting and management of property (irrespective of the size of the portfolio), with no other relevant factors or aggravating factors, will increase by £2,000, attracting a civil penalty of £4,500.

Aggravating features and factors specific to Management Regulation breach offences:

• the number, and or nature, and or extent of the management regulation breach(es), and or the deficiencies within each regulation

Generic aggravating features and factors

As set out under 'Failure to comply with an Improvement Notice'.

Duty of manager to take safety measures

The Council would view the seriousness of the offence of failing to comply with the duty of the manager to take safety measures as a Very Serious matter, attracting a financial penalty with a starting level of £17,500.

Under the Council's policy the civil penalty for a landlord controlling, owning, managing only one HMO dwelling and no more than one other dwelling that is not an HMO, with no other relevant factors or aggravating features, will reduce by £5,000, attracting a civil penalty of £12,500.

Under the Council's policy, the civil penalty for a landlord controlling, owning, managing a significant property portfolio, being three, four, or five dwellings, and or two HMOs, with no other relevant factors or aggravating features, will attract a civil penalty of £17,500.

Under the Council's policy, the civil penalty for a landlord controlling, owning, managing a large property portfolio, being six or more dwellings, and or three or more HMOs and or has demonstrated experience in the letting and management of property (irrespective of the size of the portfolio), with no other relevant factors or aggravating factors, will increase by £5,000, attracting a civil penalty of £22,500.

Aggravating features and factors specific to Management Regulation breach offences:

As set out under 'Failure to comply with the duty of manager to provide information to occupier'.

Generic aggravating features and factors

As set out under 'Failure to comply with an Improvement Notice'.

Duty of manager to maintain water supply and drainage

The Council would view the seriousness of the offence of failing to comply with the duty of the manager to maintain the water supply and drainage as a Serious matter, attracting a financial penalty with a starting level of £12,500.

Under the Council's policy the civil penalty for a landlord controlling, owning, managing only one HMO dwelling and no more than one other dwelling that is not an HMO, with no other relevant factors or aggravating features, will reduce by £5,000, attracting a civil penalty of £7,500.

Under the Council's policy, the civil penalty for a landlord controlling, owning, managing a significant property portfolio, being three, four, or five dwellings, and or two HMOs, with no other relevant factors or aggravating features, will attract a civil penalty of £12,500.

Under the Council's policy, the civil penalty for a landlord controlling, owning, managing a large property portfolio, being six or more dwellings, and or three or more HMOs and or has demonstrated experience in the letting and management of property (irrespective of the size of the portfolio), with no other relevant factors or aggravating factors, will increase by £5,000, attracting a civil penalty of £17,500.

Aggravating features and factors specific to Management Regulation breach offences

As set out under 'Failure to comply with the duty of manager to provide information to occupier'.

Generic aggravating features and factors

As set out under 'Failure to comply with an Improvement Notice'.

Duty of manager to supply and maintain gas and electricity:

The Council would view the seriousness of the offence of failing to comply with the duty of the manager to maintain the gas and electricity supply as a Serious matter, attracting a financial penalty with a starting level of £12,500.

Under the Council's policy the civil penalty for a landlord controlling, owning, managing only one HMO dwelling and no more than one other dwelling that is not an HMO, with no other relevant factors or aggravating features, will reduce by £5,000, attracting a civil penalty of £7,500.

Under the Council's policy, the civil penalty for a landlord controlling, owning, managing a significant property portfolio, being three, four, or five dwellings, and or two HMOs, with no other relevant factors or aggravating features, will attract a civil penalty of £12,500.

Under the Council's policy, the civil penalty for a landlord controlling, owning, managing a large property portfolio, being six or more dwellings, and or three or more HMOs and or has demonstrated experience in the letting and management of property (irrespective of the size of the portfolio), with no other relevant factors or aggravating factors, will increase by £5,000, attracting a civil penalty of £17,500.

Aggravating features and factors specific to Management Regulation breach offences

As set out under 'Failure to comply with the duty of manager to provide information to occupier'.

Generic aggravating features and factors

As set out under 'Failure to comply with an Improvement Notice'.

Duty of manager to maintain common parts, fixtures, fittings and appliances

The Council would view the seriousness of the offence of failing to comply with the duty of the manager to maintain the common parts, fixture, fittings and appliances as a Moderate matter, attracting a financial penalty with a starting level of £7,500.

Under the Council's policy the civil penalty for a landlord controlling, owning, managing only one HMO dwelling and no more than one other dwelling that is not an HMO, with no other relevant factors or aggravating features, will reduce by £5,000, attracting a civil penalty of £2,500.

Under the Council's policy, the civil penalty for a landlord controlling, owning, managing a significant property portfolio, being three, four, or five dwellings, and or two HMOs, with no other relevant factors or aggravating features, will attract a civil penalty of £7,500.

Under the Council's policy, the civil penalty for a landlord controlling, owning, managing a large property portfolio, being six or more dwellings, and or three or more HMOs and or has demonstrated experience in the letting and management of property (irrespective of the size of the portfolio), with no other relevant factors or aggravating factors, will increase by £5,000, attracting a civil penalty of £12,500.

Aggravating features and factors specific to Management Regulation breach offences

As set out under 'Failure to comply with the duty of manager to provide information to occupier'.

Generic aggravating features and factors

As set out under 'Failure to comply with an Improvement Notice'.

Duty of manager to maintain living accommodation:

The Council would view the seriousness of the offence of failing to comply with the duty of the manager to maintain the living accommodation as a Moderate matter, attracting a financial penalty with a starting level of £7,500.

Under the Council's policy the civil penalty for a landlord controlling, owning, managing only one HMO dwelling and no more than one other dwelling that is not an HMO, with no other relevant factors or aggravating features, will reduce by £5,000, attracting a civil penalty of £2,500.

Under the Council's policy, the civil penalty for a landlord controlling, owning, managing a significant property portfolio, being three, four, or five dwellings, and or two HMOs, with no other relevant factors or aggravating features, will attract a civil penalty of £7,500.

Under the Council's policy, the civil penalty for a landlord controlling, owning, managing a large property portfolio, being six or more dwellings, and or three or more HMOs and or has demonstrated experience in the letting and management of property (irrespective of the size of the portfolio), with no other relevant factors or aggravating factors, will increase by £5,000, attracting a civil penalty of £12,500.

Aggravating features and factors specific to Management Regulation breach offences

As set out under 'Failure to comply with the duty of manager to provide information to occupier'.

Generic aggravating features and factors

As set out under 'Failure to comply with an Improvement Notice'.

Duty to provide waste disposal facilities:

The Council would view the seriousness of the offence of failing to comply with the duty of the manager to provide waste disposal facilities as a Moderate matter, attracting a financial penalty with a starting level of £7,500.

Under the Council's policy the civil penalty for a landlord controlling, owning, managing only one HMO dwelling and no more than one other dwelling that is not an HMO, with no other relevant factors or aggravating features, will reduce by £5,000, attracting a civil penalty of £2,500.

Under the Council's policy, the civil penalty for a landlord controlling, owning, managing a significant property portfolio, being three, four, or five dwellings, and or two HMOs, with no other relevant factors or aggravating features, will attract a civil penalty of £7,500.

Under the Council's policy, the civil penalty for a landlord controlling, owning, managing a large property portfolio, being six or more dwellings, and or three or more HMOs and or has demonstrated experience in the letting and management of property (irrespective of the size of the portfolio), with no other relevant factors or aggravating factors, will increase by £5,000, attracting a civil penalty of £12,500.

Aggravating features and factors specific to Management Regulation breach offences

As set out under 'Failure to comply with the duty of manager to provide information to occupier'.

Generic aggravating features and factors

As set out under 'Failure to comply with an Improvement Notice'.

7.6 Breach of licence conditions - Section 72(3) Housing Act 2004

Maximum Court fine following prosecution that can be levied for failure to comply with a licence condition - unlimited

All granted HMO licences impose a set of conditions on the licence holder. These conditions impose a variety of obligations relating to the letting, management and condition of the rented property.

It is important that the manager of a licensed property complies with all imposed conditions, but the Council recognises that a failure to comply with certain licence conditions is likely to have a much bigger impact on the safety and comfort of residents than others.

Failure to comply with licence conditions related to:

• signage or the provision of information for tenants
• provision of written terms of occupancy for tenants
• procedures regarding complaints
• procedures regarding vetting of incoming tenants
• compliance with deposit protection legislation
• the recording and provision of information regarding rent payments
• the provision of information regarding occupancy of the property
• the provision of information regarding change of managers or licence holder details
• the provision of information related to changes in the property
• requirements relating to the sale of the property
• attending training courses
• requirements to hold insurance
• the provision of insurance documentation
• the installation of locks to windows, doors and gates and the provision of keys for these locks
• payment of some or all of a licence fee

The Council would view the seriousness of the offence of failing to comply with licence conditions relating to the bullet points directly above as a Mild matter, attracting a financial penalty with a starting level of £2,500.

Under the Council's policy the civil penalty for a landlord controlling, owning, managing one or two dwellings, including no more than one HMO, with no other relevant factors or aggravating features, will reduce by £2,000, attracting a civil penalty of £500.

Under the Council's policy, the civil penalty for a landlord controlling, owning, managing a significant property portfolio, being three, four, or five dwellings, and or two HMOs, with no other relevant factors or aggravating features, will attract a civil penalty of £2,500.

Under the Council's policy, the civil penalty for a landlord controlling, owning, managing a large property portfolio, being six or more dwellings, and or three or more HMOs and or has demonstrated experience in the letting and management of property (irrespective of the size of the portfolio), with no other relevant factors or aggravating factors, will increase by £2,000, attracting a civil penalty of £4,500.

Aggravating features and factors specific to Licence Condition breach offences:

• The number and or nature and or extent of the licence condition regulation breach(es) and or the deficiencies within each licence condition breach.

Generic aggravating features and factors

As set out under 'Failure to comply with an Improvement Notice'.

Failure to comply with licence conditions related to:

• procedures and actions regarding Inspections
• procedures regarding Repair issues
• maintenance and use of common parts (including gardens and outbuildings) and living areasSafeguarding occupiers and minimising disruption during works
• providing information regarding alterations and construction works
• procedures regarding emergency issues
• waste and waste receptacles, pests, minor repairs, alterations or decoration
• giving written notice prior to entryAllowing access for inspections
• minimising risk of water contamination
• securing the property when it is unoccupied
• the compliance of furnishings or furniture with fire safety regulations

The Council would view the seriousness of the offence of failing to comply with licence conditions relating to the bullet points directly above as a Moderate matter, attracting a financial penalty with a starting level of £7,500.

Under the Council's policy the civil penalty for a landlord controlling, owning, managing one or two dwellings, including no more than one HMO, with no other relevant factors or aggravating features, will reduce by £5,000, attracting a civil penalty of £2,500.

Under the Council's policy, the civil penalty for a landlord controlling, owning, managing a significant property portfolio, being three, four, or five dwellings, and or two HMOs, with no other relevant factors or aggravating features, will attract a civil penalty of £7,500.

Under the Council's policy, the civil penalty for a landlord controlling, owning, managing a large property portfolio, being six or more dwellings, and or three or more HMOs and or has demonstrated experience in the letting and management of property (irrespective of the size of the portfolio), with no other relevant factors or aggravating factors, will increase by £5,000, attracting a civil penalty of £12,500.

Aggravating features and factors specific to Licence Condition breach offences:

• the number and or nature and or extent of the licence condition regulation breach(es) and or the deficiencies within each licence condition breach

Generic aggravating features and factors

As set out under 'Failure to comply with an Improvement Notice'.

Failure to comply with licence conditions related to:

• the provision of documentation regarding energy performance certificates, fire detection and prevention, emergency lighting, carbon monoxide detection, fire risk assessments, gas installations, electric installations and appliances
• notification of legal proceedings, contraventions and other relevant information that may affect a fit and proper person status
• procedures and actions regarding ASB

The Council would view the seriousness of the offence of failing to comply with licence conditions relating to the bullet points directly above as a Serious matter, attracting a financial penalty with a starting level of £12,500.

Under the Council's policy the civil penalty for a landlord controlling, owning, managing one or two dwellings, including no more than one HMO, with no other relevant factors or aggravating features, will reduce by £5,000, attracting a civil penalty of £7,500.

Under the Council's policy, the civil penalty for a landlord controlling, owning, managing a significant property portfolio, being three, four, or five dwellings, and or two HMOs, with no other relevant factors or aggravating features, will attract a civil penalty of £12,500.

Under the Council's policy, the civil penalty for a landlord controlling, owning, managing a large property portfolio, being six or more dwellings, and or three or more HMOs and or has demonstrated experience in the letting and management of property (irrespective of the size of the portfolio), with no other relevant factors or aggravating factors [see below], will increase by £5,000, attracting a civil penalty of £17,500.

Aggravating features and factors specific to Licence Condition breach offences:

• the number, and or nature, and or extent of the licence condition regulation breach(es), and or the deficiencies within each licence condition breach

Generic aggravating features and factors

As set out under 'Failure to comply with an Improvement Notice'.

Failure to comply with licence conditions related to:

• minimum floor areas
• occupancy rates
• occupancy of rooms that are not to be used as sleeping accommodation
• limits on number of households allowed to occupy the property or part of the property

The Council would view the seriousness of the offence of failing to comply with licence conditions relating to the bullet points directly above as a Very Serious matter, attracting a financial penalty with a starting level of £17,500.

Under the Council's policy the civil penalty for a landlord controlling, owning, managing one or two dwellings, including no more than one HMO, with no other relevant factors or aggravating features, will reduce by £5,000, attracting a civil penalty of £12,500.

Under the Council's policy, the civil penalty for a landlord controlling, owning, managing a significant property portfolio, being three, four, or five dwellings, and or two HMOs, with no other relevant factors or aggravating features, will attract a civil penalty of £17,500.

Under the Council's policy, the civil penalty for a landlord controlling, owning, managing a large property portfolio, being six or more dwellings, and or three or more HMOs and or has demonstrated experience in the letting and management of property (irrespective of the size of the portfolio), with no other relevant factors or aggravating factors, will increase by £5,000, attracting a civil penalty of £22,500.

Aggravating features and factors specific to Licence Condition breach offences:

• the number, and or nature, and or extent of the licence condition regulation breach(es), and or the deficiencies within each licence condition breach

Generic aggravating features and factors

As set out under 'Failure to comply with an Improvement Notice'.

Failure to comply with licence conditions related to:

• the condition or existence of smoke alarms, carbon monoxide alarms, emergency lighting, gas installations, electric installations and appliances, fire detection or other fire safety features or requirements
• the prevention including provision of safe means of escape

The Council would view the seriousness of the offence of failing to comply with licence conditions relating to the bullet points directly above as a Severe matter, attracting a financial penalty with a starting level of £22,500.

Under the Council's policy the civil penalty for a landlord controlling, owning, managing one or two dwellings, including no more than one HMO, with no other relevant factors or aggravating features, will reduce by £5,000, attracting a civil penalty of £17,500.

Under the Council's policy, the civil penalty for a landlord controlling, owning, managing a significant property portfolio, being three, four, or five dwellings, and or two HMOs, with no other relevant factors or aggravating features, will attract a civil penalty of £22,500.

Under the Council's policy, the civil penalty for a landlord controlling, owning, managing a large property portfolio, being six or more dwellings, and or three or more HMOs and or has demonstrated experience in the letting and management of property (irrespective of the size of the portfolio), with no other relevant factors or aggravating factors, will increase by £5,000, attracting a civil penalty of £27,500.

Aggravating features and factors specific to Licence Condition breach offences:

• the number, and or nature, and or extent of the licence condition regulation breach(es), and or the deficiencies within each licence condition breach

Generic aggravating features and factors

As set out under 'Failure to comply with an Improvement Notice'.

7.7 Breach of licence conditions - Section 95(2) Housing Act 2004

Maximum Court fine following prosecution that can be levied for failure to comply with a licence condition - unlimited.

All granted property licences impose a set of conditions on the licence holder. These conditions impose a variety of obligations relating to the letting, management and condition of the rented property.

It is important that the manager of a licensed property complies with all imposed conditions, but the Council recognises that a failure to comply with certain licence conditions is likely to have a much bigger impact on the safety and comfort of residents than others.

Failure to comply with licence conditions related to:

• signage or the provision of information for tenants
• provision of written terms of occupancy for tenants
• procedures regarding complaints
• procedures regarding vetting of incoming tenants
• compliance with deposit protection legislation
• the recording and provision of information regarding rent payments
• the provision of information regarding occupancy of the property
• the provision of information regarding change of managers or licence holder details
• the provision of information related to changes in the property
• requirements relating to the sale of the property
• attending training courses
• requirements to hold insurance
• the provision of insurance documentation
• the installation of locks to windows, doors and gates and the provision of keys for these locks
• payment of some or all of a licence fee

The Council would view the seriousness of the offence of failing to comply with licence conditions relating to the bullet points directly above as a Mild matter, attracting a financial penalty with a starting level of £2,500.

Under the Council's policy the civil penalty for a landlord controlling, owning, managing one or two dwellings, including no more than one HMO, with no other relevant factors or aggravating features, will reduce by £2,000, attracting a civil penalty of £500.

Under the Council's policy, the civil penalty for a landlord controlling, owning, managing a significant property portfolio, being three, four, or five dwellings, and or two HMOs, with no other relevant factors or aggravating features, will attract a civil penalty of £2,500.

Under the Council's policy, the civil penalty for a landlord controlling, owning, managing a large property portfolio, being six or more dwellings, and or three or more HMOs and or has demonstrated experience in the letting and management of property (irrespective of the size of the portfolio), with no other relevant factors or aggravating factors, will increase by £2,000, attracting a civil penalty of £4,500.

Aggravating features and factors specific to Licence Condition breach offences:

• the number, and or nature, and or extent of the licence condition regulation breach(es), and or the deficiencies within each licence condition breach

Generic aggravating features and factors

As set out under 'Failure to comply with an Improvement Notice'.

Failure to comply with licence conditions related to:

• procedures and actions regarding Inspections
• procedures regarding repair issues
• maintenance and use of common parts (including gardens and outbuildings) and living areas
• safeguarding occupiers and minimising disruption during works
• providing information regarding alterations and construction works
• procedures regarding emergency issues
• waste and waste receptacles, pests, minor repairs, alterations or decoration
• giving written notice prior to entry
• allowing access for inspections
• minimising risk of water contamination
• securing the property when it is unoccupied

The Council would view the seriousness of the offence of failing to comply with licence conditions relating to the bullet points directly above as a Moderate matter, attracting a financial penalty with a starting level of £7,500.

Under the Council's policy the civil penalty for a landlord controlling, owning, managing one or two dwellings, including no more than one HMO, with no other relevant factors or aggravating features, will reduce by £5,000, attracting a civil penalty of £2,500.

Under the Council's policy, the civil penalty for a landlord controlling, owning, managing a significant property portfolio, being three, four, or five dwellings, and or two HMOs, with no other relevant factors or aggravating features, will attract a civil penalty of £7,500.

Under the Council's policy, the civil penalty for a landlord controlling, owning, managing a large property portfolio, being six or more dwellings, and or three or more HMOs and or has demonstrated experience in the letting and management of property (irrespective of the size of the portfolio), with no other relevant factors or aggravating factors, will increase by £5,000, attracting a civil penalty of £12,500.

Aggravating features and factors specific to Licence Condition breach offences:

• the number, and or nature, and or extent of the licence condition regulation breach(es), and or the deficiencies within each licence condition breach

Generic aggravating features and factors

As set out under 'Failure to comply with an Improvement Notice'.

Failure to comply with licence conditions related to:

• the provision of documentation regarding energy performance certificates, fire detection and prevention, emergency lighting, carbon monoxide detection, fire risk assessments, gas installations, electric installations and appliances
• notification of legal proceedings, contraventions and other relevant information that may affect a fit and proper person status
• procedures and actions regarding ASB
• minimum floor areas
• occupancy rates
• occupancy of rooms that are not to be used as sleeping accommodation
• limits on number of households allowed to occupy the property or part of the property

The Council would view the seriousness of the offence of failing to comply with licence conditions relating to the bullet points directly above as a Serious matter, attracting a financial penalty with a starting level of £12,500.

Under the Council's policy the civil penalty for a landlord controlling, owning, managing one or two dwellings, including no more than one HMO, with no other relevant factors or aggravating features, will reduce by £5,000, attracting a civil penalty of £7,500.

Under the Council's policy, the civil penalty for a landlord controlling, owning, managing a significant property portfolio, being three, four, or five dwellings, and or two HMOs, with no other relevant factors or aggravating features, will attract a civil penalty of £12,500.

Under the Council's policy, the civil penalty for a landlord controlling, owning, managing a large property portfolio, being six or more dwellings, and or three or more HMOs and or has demonstrated experience in the letting and management of property (irrespective of the size of the portfolio), with no other relevant factors or aggravating factors, will increase by £5000, attracting a civil penalty of £17,500.

Aggravating features and factors specific to Licence Condition breach offences:

• the number, and or nature, and or extent of the licence condition regulation breach(es), and or the deficiencies within each licence condition breach

Generic aggravating features and factors

As set out under 'Failure to comply with an Improvement Notice'.

Failure to comply with licence conditions related to:

• the condition or existence of smoke alarms, carbon monoxide alarms, emergency lighting, gas installations, electric installations and appliances, fire detection or other fire safety features or requirements
• the prevention including provision of safe means of escape

The Council would view the seriousness of the offence of failing to comply with licence conditions relating to the bullet points directly above as a Very Serious matter, attracting a financial penalty with a starting level of £17,500.

Under the Council's policy the civil penalty for a landlord controlling, owning, managing one or two dwellings, including no more than one HMO, with no other relevant factors or aggravating features, will reduce by £5,000, attracting a civil penalty of £12,500.

Under the Council's policy, the civil penalty for a landlord controlling, owning, managing a significant property portfolio, being three, four, or five dwellings, and or two HMOs, with no other relevant factors or aggravating features, will attract a civil penalty of £17,500.

Under the Council's policy, the civil penalty for a landlord controlling, owning, managing a large property portfolio, being six or more dwellings, and or three or more HMOs and or has demonstrated experience in the letting and management of property (irrespective of the size of the portfolio), with no other relevant factors or aggravating factors, will increase by £5,000, attracting a civil penalty of £22,500.

Aggravating features and factors specific to Licence Condition breach offences

• the number, and or nature, and or extent of the licence condition regulation breach(es), and or the deficiencies within each licence condition breach

Generic aggravating features and factors

As set out under 'Failure to comply with an Improvement Notice'.

7.8 Failure to Comply with Regulation 3 of The Electrical Safety Standards in the Private Rented Sector (England) Regulations 2020

Regulation 3 of The Electrical Safety Standards in the Private Rented Sector (England) Regulations 2020 impose duties on private landlords in relation to electrical installations. Regulation 3 is detailed below:

3. Duties of private landlords in relation to electrical installations:

(1) A private landlord who grants or intends to grant a specified tenancy must:

• (a) ensure that the electrical safety standards are met during any period when the residential premises are occupied under a specified tenancy
• (b) ensure every electrical installation in the residential premises is inspected and tested at regular intervals by a qualified person
• (c) ensure the first inspection and testing is carried out:
  • (i) before the tenancy commences in relation to a new specified tenancy
  • (ii) by 1st April 2021 in relation to an existing specified tenancy

(2) For the purposes of sub-paragraph (1)(b) "at regular intervals" means:

• (a) at intervals of no more than 5 years
• (b) where the most recent report under sub-paragraph (3)(a) requires such inspection and testing to be at intervals of less than 5 years, at the intervals specified in that report

(3) Following the inspection and testing required under sub-paragraphs (1)(b) and (c) a private landlord must:

• (a) obtain a report from the person conducting that inspection and test, which gives the results of the inspection and test and the date of the next inspection and test
• (b) supply a copy of that report to each existing tenant of the residential premises within 28 days of the inspection and test
• (c) supply a copy of that report to the local housing authority within 7 days of receiving a request in writing for it from that authority
• (d) retain a copy of that report until the next inspection and test is due and supply a copy to the person carrying out the next inspection and test
• (e) supply a copy of the most recent report to:
  • (i) any new tenant of the specified tenancy to which the report relates before that tenant occupies those premises
  • (ii) any prospective tenant within 28 days of receiving a request in writing for it from that prospective tenant

(4) Where a report under sub-paragraph (3)(a) indicates that a private landlord is or is potentially in breach of the duty under sub-paragraph (1)(a) and the report requires the private landlord to undertake further investigative or remedial work, the private landlord must ensure that further investigative or remedial work is carried out by a qualified person within:

• (a) 28 days
• (b) the period specified in the report if less than 28 days, starting with the date of the inspection and testing

(5) Where paragraph (4) applies, a private landlord must:

• (a) obtain written confirmation from a qualified person that the further investigative or remedial work has been carried out and that:
  • (i) the electrical safety standards are met
  • (ii) further investigative or remedial work is required
• (b) supply that written confirmation, together with a copy of the report under sub-paragraph (3)(a) which required the further investigative or remedial work to each existing tenant of the residential premises within 28 days of completion of the further investigative or remedial work
• (c) supply that written confirmation, together with a copy of the report under sub-paragraph (3)(a) which required the further investigative or remedial work to the local housing authority within 28 days of completion of the further investigative or remedial work

(6) Where further investigative work is carried out in accordance with paragraph (4) and the outcome of that further investigative work is that further investigative or remedial work is required, the private landlord must repeat the steps in paragraphs (4) and (5) in respect of that further investigative or remedial work.

(7) For the purposes of sub-paragraph (3)(e)(ii) a person is a prospective tenant in relation to residential premises if that person:

• (a) requests any information about the premises from the prospective landlord for the purpose of deciding whether to rent those premises
• (b) makes a request to view the premises for the purpose of deciding whether to rent those premises
• (c) makes an offer, whether oral or written, to rent those premises

It is important that a private landlord complies with all aspects of Regulation 3 of The Electrical Safety Standards in the Private Rented Sector (England) Regulations 2020, however, the Council recognises that a failure to comply with certain aspects of Regulation 3 is likely to have a much bigger impact on the safety and comfort of residents than others.

Failure to comply with Regulation 3 of The Electrical Safety Standards in the Private Rented Sector (England) Regulations 2020 sections (3)(b), 3(d), 3(e)
The Council would view the seriousness of the offence of failing to comply with (3)(b), 3(d) or 3(e) of Regulation 3 of The Electrical Safety Standards in the Private Rented Sector (England) Regulations 2020 as a Mild matter, attracting a financial penalty with a starting level of £2,500.

Under the Council's policy the civil penalty for a landlord controlling, owning, managing one or two dwellings, including no more than one HMO, with no other relevant factors or aggravating features, will reduce by £2,000, attracting a civil penalty of £500.

Under the Council's policy, the civil penalty for a landlord controlling, owning, managing a significant property portfolio, being three, four, or five dwellings, and or two HMOs, with no other relevant factors or aggravating features, will attract a civil penalty of £2,500.

Under the Council's policy, the civil penalty for a landlord controlling, owning, managing a large property portfolio, being six or more dwellings, and or three or more HMOs and or has demonstrated experience in the letting and management of property (irrespective of the size of the portfolio), with no other relevant factors or aggravating factors, will increase by £2,000, attracting a civil penalty of £4,500.

Aggravating features and factors specific to Electrical Safety Regulations breaches of duty:

• the number, and or nature, and or extent of the Electrical Safety Regulation breach(es) within each sub-regulation
• using an unqualified person lacking appropriate certification to carry out inspection, testing, investigative or remedial work

Generic aggravating features and factors

As set out under 'Failure to comply with an Improvement Notice'.

Failure to comply with Regulation 3 of The Electrical Safety Standards in the Private Rented Sector (England) Regulations 2020 sections (1)(a), (1)(b), (1)(c), (3)(a), (3)(c), (5)(b), (5)(c)

The Council would view the seriousness of the offence of failing to comply with (1)(a), (1)(b), (1)(c), (3)(a), (3)(c), (5)(b) or (5)(c) of Regulation 3 of The Electrical Safety Standards in the Private Rented Sector (England) Regulations 2020 as a Serious matter, attracting a financial penalty with a starting level of £12,500.

Under the Council's policy the civil penalty for a landlord controlling, owning, managing one or two dwellings, including no more than one HMO, with no other relevant factors or aggravating features, will reduce by £5,000, attracting a civil penalty of £7,500.

Under the Council's policy, the civil penalty for a landlord controlling, owning, managing a significant property portfolio, being three, four, or five dwellings, and or two HMOs, with no other relevant factors or aggravating features, will attract a civil penalty of £12,500.

Under the Council's policy, the civil penalty for a landlord controlling, owning, managing a large property portfolio, being six or more dwellings, and or three or more HMOs and or has demonstrated experience in the letting and management of property (irrespective of the size of the portfolio), with no other relevant factors or aggravating factors, will increase by £5000, attracting a civil penalty of £17500.

Aggravating features and factors specific to Electrical Safety Regulations breaches of duty:

• the number, and or nature, and or extent of the Electrical Safety Regulation breach(es) within each sub-regulation
• using an unqualified person lacking appropriate certification to carry out inspection, testing, investigative or remedial work

Generic aggravating features and factors

As set out under 'Failure to comply with an Improvement Notice'.

Failure to comply with Regulation 3 of The Electrical Safety Standards in the Private Rented Sector (England) Regulations 2020 sections (4), (5a), (6).

The Council would view the seriousness of the offence of failing to comply with (4), (5a) or (6) of Regulation 3 of The Electrical Safety Standards in the Private Rented Sector (England) Regulations 2020 as a Very Serious matter, attracting a financial penalty with a starting level of £17500.

Under the Council's policy the civil penalty for a landlord controlling, owning, managing one or two dwellings, including no more than one HMO, with no other relevant factors or aggravating features, will reduce by £5000, attracting a civil penalty of £12500.

Under the Council's policy, the civil penalty for a landlord controlling, owning, managing a significant property portfolio, being three, four, or five dwellings, and or two HMOs, with no other relevant factors or aggravating features, will attract a civil penalty of £17500.

Under the Council's policy, the civil penalty for a landlord controlling, owning, managing a large property portfolio, being six or more dwellings, and or three or more HMOs and or has demonstrated experience in the letting and management of property (irrespective of the size of the portfolio), with no other relevant factors or aggravating factors, will increase by £5000, attracting a civil penalty of £22500.

Aggravating features and factors specific to Electrical Safety Regulations breaches of duty:

• the number, and or nature, and or extent of the Electrical Safety Regulation breach(es) within each sub-regulation
• using an unqualified person lacking appropriate certification to carry out inspection, testing, investigative or remedial work

Generic aggravating features and factors

As set out under 'Failure to comply with an Improvement Notice'.