Private Rented Sector Housing Civil Penalties Policy

Housing Act 2004 breaches and offences 

Failure by the responsible person to secure the removal of a Category 1 hazard at qualifying residential premises, other than the common parts of a building containing one or more flats, where it would have been reasonably practicable for them to do so - Section 6A of the Housing Act 2004. 

When considering whether removal of the hazard would have been reasonably practicable the Council may consider:

• How long the responsible person has known about the existence of the hazard;
• Whether practical steps could have been taken to remedy the hazard without disproportionate expense or disruption
• What steps the responsible person has taken to remove the hazard or reduce its impact, including any efforts made to secure the services of specialist tradespeople
• Whether permission from other parties is needed to remove the hazard and the steps the responsible person has taken to secure that permission
• Whether tenants have provided access to the property in order for remedial works to be carried out
• Whether any failure by tenants or occupiers to provide access was beyond the responsible person’s control, or whether the responsible person could reasonably have taken further steps to secure access, such as: explaining in writing the existence and seriousness of the Category 1 hazard, the required remedial works, the need for access, the tenants’ or occupiers’ legal obligations, and the potential consequences of continued refusal; offering a reasonable range of dates and times for access; and serving appropriate formal notices where reasonable and lawful

Breach-specific mitigating factors: 

• Access prevented by occupant(s) despite appropriate landlord steps
• Permission from other parties is needed to remove the hazard and the steps the responsible person has taken to secure that permission

Breach-specific aggravating factors: 

• None.

Failure to comply with an improvement notice - Section 30(1) of the Housing Act 2004 

Offence-specific mitigating factors: 

• The nature and extent of hazard(s) that are present once the deadline for compliance has passed. 
• Whether the property is unoccupied once the deadline for compliance has passed. 
• Access to the property was prevented by the actions or refusal of the occupant(s) and a landlord can evidence that they took steps to obtain access to the property for the purpose of carrying out the required works, but those steps fell short of establishing a reasonable excuse for non-compliance. 
• Permission from other parties is needed to remove the hazard and the steps the responsible person has taken to secure that permission

Offence-specific aggravating factors: 

• The nature and extent of hazard(s) that are present once the deadline for compliance has passed. 

Failure to comply with an overcrowding notice - Section 139(7) of the Housing Act 2004 

Offence-specific mitigating factors: 

• None. 

Offence-specific aggravating factors: 

• The level of overcrowding present. 

Failure to obtain an HMO licence - Section 72(1) of the Housing Act 2004 

Offence-specific mitigating factors: 

• None. 

Offence-specific aggravating factors: 

• The landlord has knowledge or experience of licensing requirements. 
• The condition and/or facilities of the unlicensed property. 

Knowingly permitting over-occupation of an HMO - Section 72(2) of the Housing Act 2004 

Offence-specific mitigating factors: 

• There are suitable amenity and space provisions in the HMO.  

Offence-specific aggravating factors: 

• The level of over-occupation present. 

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

All granted HMO licences impose a set of conditions on the licence holder. It is important that the licence holder 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. 

 The starting levels for each different type of licence condition breach is set out below based on the seriousness of the offence. Where a licence condition could be interpreted to fall within two different potential starting levels, the higher starting level will be chosen. 

 Where multiple licence conditions have been breached at a single property, a separate civil penalty will be imposed for each licence condition that has been breached. 

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 
• Procedures relating to rent collection 
• 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 provision of or obtaining of suitable references 
• The provision of keys and alarm codes 
• Security provisions for access to the property 
• The provision of suitable means for occupiers to regulate temperature  
• Carrying out items on a schedule of works not otherwise mentioned in the HMO licence conditions section of this policy, relating to non-compliance with items on a schedule of works 

Offence-specific mitigating factors: 

• The nature and extent of the licence condition breach  

Offence-specific aggravating factors: 

• The nature and extent of the licence condition breach  

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, outbuildings and property exterior) and living areas 
• Safeguarding occupiers and minimising disruption during works 
• The provision of 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 
• The compliance of furnishings or furniture with fire safety regulations 
• Carrying out items on a schedule of works in relation to provision of mechanical extraction or electrical sockets 

Offence-specific mitigating factors: 

• The nature and extent of the licence condition breach  

Offence-specific aggravating factors: 

• The nature and extent of the licence condition breach  

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 
• Carrying out items on a schedule of works in relation to the provision of personal hygiene facilities, kitchen facilities or heating 

Offence-specific mitigating factors: 

• The nature and extent of the licence condition breach  

Offence-specific aggravating factors: 

• The nature and extent of the licence condition breach  

Failure to comply with licence conditions related to: 

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

Offence-specific mitigating factors: 

• The nature and extent of the licence condition breach  

Offence-specific aggravating factors: 

• The nature and extent of the licence condition breach  

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 provision and maintenance of safe means of escape, including requirements to keep escape routes and exits free from obstruction 
• Carrying out items on a schedule of works in relation to fire safety or the provision of a Carbon Monoxide detector 

Offence-specific mitigating factors: 

• The nature and extent of the licence condition breach  

Offence-specific aggravating factors: 

• The nature and extent of the licence condition breach  

Failure to obtain a selective licence - Section 95(1) of the Housing Act 2004 

Offence-specific mitigating factors: 

• None. 

Offence-specific aggravating factors: 

• The landlord has knowledge or experience of licensing requirements. 

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

All granted selective licences impose a set of conditions on the licence holder. It is important that the licence holder 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. 

The starting levels for each different type of licence condition breach is set out below based on the seriousness of the offence. Where a licence condition could be interpreted to fall within two different potential starting levels, the higher starting level will be chosen. 

Where multiple licence conditions have been breached at a single property, a separate civil penalty will be imposed for each licence condition that has been breached. 

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 
• Procedures relating to rent collection 
• 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 provision of keys and alarm codes 
• Security provisions for access to the property 
• The provision of suitable means for occupiers to regulate temperature  
• Carrying out items on a schedule of works not otherwise mentioned in the selective licence conditions section of this policy, relating to non-compliance with items on a schedule of works 

Offence-specific mitigating factors: 

• The nature and extent of the licence condition breach  

Offence-specific aggravating factors: 

• The nature and extent of the licence condition breach  

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, outbuildings and property exterior) and living areas 
• Safeguarding occupiers and minimising disruption during works 
• The provision of 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 

Offence-specific mitigating factors: 

• The nature and extent of the licence condition breach  

Offence-specific aggravating factors: 

• The nature and extent of the licence condition breach  

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 

Offence-specific mitigating factors: 

• The nature and extent of the licence condition breach  

Offence-specific aggravating factors: 

• The nature and extent of the licence condition breach  

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 provision and maintenance of safe means of escape, including requirements to keep escape routes and exits free from obstruction 

Offence-specific mitigating factors: 

• The nature and extent of the licence condition breach  

Offence-specific aggravating factors: 

• The nature and extent of the licence condition breach  

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 – Section 234(3) of the Housing Act 2004 

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/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/appliances regularly inspected [regulation 7] 
• Maintaining common parts [regulation 8] 
• Maintaining living accommodation [regulation 9] 
• Providing sufficient waste disposal facilities [regulation 10] 

Where there are multiple breaches of a single Management Regulation at a single HMO, a single civil penalty will be imposed which will cover all the breaches of that Management Regulation. 

Where multiple Management Regulations have been breached at a single HMO, a separate civil penalty will be imposed for each Management Regulation that has been breached. 

Offence-specific mitigating factors: 

• The nature and extent of offences within the specific regulation 

Offence-specific aggravating factors: 

• The nature and extent of offences within the specific regulation 
• The landlord has refused to provide any outstanding contact information more than 48 hours after it has been requested by an occupant or on behalf of an occupant. 

Offence-specific mitigating factors: 

• The number, nature and extent of offences within the specific regulation 

Offence-specific aggravating factors: 

• The number, nature and extent of offences within the specific regulation 

Offence-specific mitigating factors: 

• The number, nature and extent of offences within the specific regulation 

Offence-specific aggravating factors: 

• The number, nature and extent of offences within the specific regulation 

Offence-specific mitigating factors: 

• The number, nature and extent of offences within the specific regulation 

Offence-specific aggravating factors: 

• The number, nature and extent of offences within the specific regulation 

Offence-specific mitigating factors: 

• The number, nature and extent of offences within the specific regulation 

Offence-specific aggravating factors: 

• The number, nature and extent of offences within the specific regulation 

Offence-specific mitigating factors: 

• The number, nature and extent of offences within the specific regulation 

Offence-specific aggravating factors: 

• The number, nature and extent of offences within the specific regulation 

Offence-specific mitigating factors: 

• The nature and extent of offences within the specific regulation 

Offence-specific aggravating factors: 

• The nature and extent of offences within the specific regulation 
• The lack of sufficient refuse and/or litter containers either inside and/or outside the property has been previously reported 
• The refuse and/or litter that requires disposal includes hazardous materials 

Tenant Fees Act 2019 breaches and offences

Requiring a relevant person to make a prohibited payment under section 1 or section 2 of the Tenant Fees Act 2019

Breach-specific mitigating factors:

• None.

Breach-specific aggravating factors:

• Failure to pay tenant back or the amount paid of the excess fees charged.

Unlawfully retaining a holding deposit under schedule 2 of the Tenant Fees Act 2019

Offence-specific mitigating factors:

• None.

Offence-specific aggravating factors:

• Failure to pay tenant back or the amount paid of the excess fees charged.

Conduct giving rise to liability under section 8, where within the preceding five years the landlord or letting agent has either (i) had a relevant penalty (under s8 for breach of s1 or s2 of the Tenant Fees Act 2019) imposed for a different breach of the same section and the final notice has not been withdrawn, or (ii) been convicted under s12 of an offence in respect of such a breach, under section 12 of the Tenant Fees Act 2019

Offence-specific mitigating factors:

• None.

Offence-specific aggravating factors:

• Failure to pay tenant back or the amount paid of the excess fees charged.

Smoke and Carbon Monoxide Alarm (England) Regulations 2015 (as amended) breaches

Failing to comply with a remedial notice under Regulation 6 of the Smoke and Carbon Monoxide Alarm (England) Regulations 2015 (as amended)

Breach-specific mitigating factors:

• Access to the property was prevented by the actions or refusal of the occupant(s) and a landlord can evidence that they took steps to obtain access to the property for the purpose of carrying out the required works, but those steps fell short of establishing a reasonable excuse for non-compliance.

Breach-specific aggravating factors:

• The number of alarms not working or missing.

Energy Efficiency (Private Rented Property) (England and Wales) Regulations 2015 breaches

Privately rented properties must meet minimum energy efficiency standards as determined by the Energy Performance Certificate (EPC). These regulations allow the Council to issue civil penalties and/or impose a “publication penalty” which means publishing details of the breach on the PRS exemption register for a minimum period of 12 months. Where the Council imposes civil penalties on a landlord in relation to multiple regulation breaches at the same time, the total penalty must not exceed £5,000.

Letting a substandard property under Regulation 23 of the Energy Efficiency (Private Rented Property) (England and Wales) Regulations 2015 for less than three months

Breach-specific mitigating factors:

• How far below the minimum energy efficiency standard the property fell.

Breach-specific aggravating factors:

• How far below the minimum energy efficiency standard the property fell.

Letting a substandard property under Regulation 23 of the Energy Efficiency (Private Rented Property) (England and Wales) Regulations 2015 for three months or more

Breach-specific mitigating factors:

• How far below the minimum energy efficiency standard the property fell.

Breach-specific aggravating factors:

• How far below the minimum energy efficiency standard the property fell.

Registering false or misleading information on the PRS exemptions register under Regulation 36(2) of the Energy Efficiency (Private Rented Property) (England and Wales) Regulations 2015

Breach-specific mitigating factors:

• None.

Breach-specific aggravating factors:

• None.

Failing to comply with a Compliance Notice under Regulation 37(4)(a) of the Energy Efficiency (Private Rented Property) (England and Wales) Regulations 2015

Breach-specific mitigating factors:

• None.

Breach-specific aggravating factors:

• None.

Redress Schemes for Lettings Agency Work and Property Management Work (Requirement to Belong to a Scheme etc) (England) Order 2014 breaches

Failing to belong to a redress scheme for lettings agency work under Article 3 of the Redress Schemes for Lettings Agency Work and Property Management Work (Requirement to Belong to a Scheme etc) (England) Order 2014

Breach-specific mitigating factors:

• None.

Breach-specific aggravating factors:

• None.

Failing to belong to a redress scheme for property management work under Article 5 of the Redress Schemes for Lettings Agency Work and Property Management Work (Requirement to Belong to a Scheme etc) (England) Order 2014

Breach-specific mitigating factors:

• None.

Breach-specific aggravating factors:

• None.