APPENDIX A

North Yorkshire Council

Civil penalties under the Renters’ Rights Act 2025 and other housing legislation

This policy should be read in conjunction with The North Yorkshire Council’s Private Housing Standards Enforcement Policy published by the Council.

This policy applies as a means of enforcement by the Council once the council has decided to commence civil penalties action.

In this policy, the term ‘landlord’ should be read as including letting agents, managing agents, licensors, property owners, corporate landlords, directors of corporate landlords, registered providers of social housing and any other person involved in the letting or management of accommodation.

In this policy, the term ‘corporate landlord’ should be read as referring to a body corporate that meets the definition of ‘landlord’ above.

In this policy, the terms ‘House in Multiple Occupation’ or ‘HMO’ are defined by the Housing Act 2004.

The following breaches are subject to a civil penalty with a statutory maximum of £7,000:

· Failure to give a written statement of terms and any other prescribed information under section 16D of the Housing Act 1988.

· Attempting to let a property for a fixed terms under section 16E of the Housing Act 1988.

· Attempting to end a tenancy by service of a notice to quit under section 16E of the Housing Act 1988.

· Attempting to end a tenancy orally or requiring that it is ended orally under section 16E of the Housing Act 1988.

· Serving an eviction notice that attempts to end a tenancy outside the prescribed section 8 process under section 16E of the Housing Act 1988.

· Relying on a ground where the landlord does not reasonably believe that the landlord is / will be able to obtain possession under section 16E of the Housing Act 1988.

· Failing to provide a tenant with prior notice that a ground which requires it may be used under section 16E of the Housing Act 1988.

· Failure to give an existing tenant prescribed information about changes made by the Renter’s Rights Act 2025 in the prescribed form and timeframe under paragraph 7(2) of schedule 6 to the Renters’ Rights Act 2025.

· Discrimination relating to children in the lettings process under section 33 of the Renters’ Rights Act 2025.

· Discrimination relating to benefits in the lettings process under section 34 of the Renters’ Rights Act 2025.

· Failure to specify proposed rent within a written advertisement or offer under section 56 of the Renters’ Rights Act 2025.

· Inviting, encouraging or accepting any offer of rent greater than the stated rate under section 56 of the Renters’ Rights Act 2025.

The following breaches are subject to a civil penalty with a statutory maximum of £40,000:

· Breach of duty under Regulation 3, 3B, 3C and 3D of The Electrical Safety Standards in the Private Rented Sector and Social Rented Sector (England Regulations 2020.

· The following offences are subject to a civil penalty with a statutory maximum of £40,000:

· Unlawful eviction and harassment of occupier under section 1 of the Protection from Eviction Act 1977.

· Continuation of conduct subject to a relevant penalty (under s.16l or s.16K Housing Act 1988) after the 28-day period (or, if appealed, after conclusion of the appeal) where the final notice has not been withdrawn under section 16J of the Housing Act 1988.

· Conduct giving rise to liability under s.16I, where within the preceding five years the landlord has either (i) had a relevant penalty (under s.16I or s.16K Housing Act 1988) imposed for different conduct and the final notice has not been withdrawn, or (ii) been convicted under s.16J for different conduct under section 16(J) of the Housing Act 1988.

· Relying on a ground knowingthe landlord would not be able to obtain possession or being reckless as to whether they would under section 16J of the Housing Act 1988.

· Breach of restrictions relating to reletting (s16(E)(2) Housing Act 1988) or remarketing (s16(E)(3) HousingAct 1988) a property withinrestricted period afterusing Grounds 1 or 1A of Schedule 2 Housing Act 1988 under section 16J of the Housing Act 1988.

· Breach of a banning order under section 21 of the Housing and Planning Act 2016.

· Failure to comply with an Improvement Notice under section 30 of the Housing Act 2004.

· Contravention of an overcrowding notice under section 139 of the Housing Act 2004.

· Failure to obtain a selective licence under section 95 of the Housing Act 2004.

· Failure to obtain an HMO licence under section 72 of the Housing Act 2004.

· Knowingly permitting over-occupation of an HMO under section 72 of the Housing Act 2004.

· Failure to comply with management regulations in respect of HMOs under section 234 of the Housing Act 2004.

· Failure to comply with HMO licence conditions under section 72 of the Housing Act 2004.

· Failure to comply with selective licence conditions under section 95 of the Housing Act 2004.

When determining the amount of a civil penalty the Council will take into account all relevant factors, particularly but not limited to, the severity of the offence, culpability and track record of a landlord and harm/risk of harm caused/likely to be caused. Whilst the overriding principle is that the landlord should not make any financial gain from their failure to comply with the relevant legislation, the imposition of a civil penalty should also, in a way that is fair, punish the landlord and act as a deterrent to prevent future offending by the landlord and by others. Therefore, the level of the penalty is set at a level that is likely to have a significant deterrent effect. 

If a landlord has committed multiple breaches or offences, a separate civil penalty can, and usually will, be imposed for each breachand offence. In each case, the level of any civil penalty imposedwill be determined in accordance with this policy.

If multiple landlords have committed the same breach or offence at the same property, a separate civil penalty can, and usuallywill, be imposedon each offender. In each case, the level of civil penalty imposed on each offender will be in accordance with this policy.

This policy outlinesthe Council’s methodology and mechanism for assessing and setting the level of a civil penalty at all stages where a civil penalty is under consideration, including the preparation of a notice of intent, and where a final decision has been made to impose a civil penalty.

When applying the civilpenalties matrix, interimcalculations at individual stages may resultin figures that exceed the statutory maximum.Where the final amount reachedfollowing application of all relevant steps exceeds the statutory maximum, the civil penalty will be reduced to the applicable statutory maximum.

The Council considers the need for transparency and consistency to be of primary importance to ensure fairness in the discharge of its functions. The general objective of this policyis, therefore, to promote both transparency and consistency in the imposition of financial penalties so that those involved in the letting or management of accommodation (a) know how the Council will generally penalise relevant breaches and offences and (b) are assured that, generally, like cases will be penalised similarly, and different cases penalised differently.

The Council recognises that, despite its best efforts, landlords may operate unlawfully for a significant period without detection, and that only a proportion of those committing relevant breaches and offenceswill be identified. Accordingly, the Councilseeks to ensurethat civil penalties are set at a level that makes it clear to the landlord concerned and to others that operating unlawfully as a landlordis financially disadvantageous when compared to operating lawfully.

The Council has a duty to act fairly, transparently and consistently when assessing civil penalties. To maintain fairness between all landlords, the Council will not give weight to claims advanced as factors that might reduce the amount of a civil penalty unless those claims are supported by evidence that the Council reasonably considers to be relevant, reliable, credible, and sufficient in scope and detailto enable proper assessment of the claim, having regard to the natureof the claim, the information ordinarily available to the landlord, and the need for consistent and fair decision- making. The onus is on the landlord to provide any information s/he seeks to rely upon to the Council. Allowing inadequately evidenced assertions to influence outcomes would risk rewarding those who provide incomplete or misleading information and would createan unfair advantage over landlords who provide a full and properly evidenced account. Accordingly, the Council expects landlords against whom a civil penalty is being considered to provide all documents and records that would ordinarily exist if their account were accurate. Where such evidence is not provided, and no explanation that the Council considersadequate is given, the Councilmay draw an adverse inference.

Where claims are advanced withoutsufficient supporting evidence,the Council may request specified supporting material before determining whetherto issue a final noticeor whether any mitigation has been sufficiently evidenced so as to justify a lower civil penalty.

The further objectives of using financialpenalties in particular as a means of enforcingthe above breaches and offences are explained below.

Statutory Guidance

The Government has issued statutoryguidance entitled “Civilpenalties under the Renters' RightsAct 2025 and other housing legislation”. The Council has regard to this guidance in the exercise of their functions in respect of civil penalties.

The Council has considered the following factorsin developing this civil penaltypolicy to help ensure that the civil penalty is set at an appropriate level.

· Severity of the breach or offence.Themore serious the breach or offence, the higher the penalty should be.

· Culpability and trackrecord of the offender.Ahigher penalty will be appropriate where the offender has a history of failing to comply with their obligations and/or their actions were deliberate and/or they knew, or ought to have known,that they were in breachof their legal responsibilities.

· The harm causedto the tenant.This is a very important factorwhen determining the level of penalty. The greater the actual harm or the potential for harm, principally to the tenant but also potentially the local community, the higher the penalty should be.

· Punishment of the offender.Thepenalty should, in a way that is fair, both punish the offender and demonstrate the consequences of not complyingwith their responsibilities.

· Deter the offenderfrom repeating breachesor offences.Theultimate goal is to preventany further offending and help ensure that the offender fully complies with all of their legal responsibilities in future. The level of the penalty should therefore be set at a level that it is likely to have a very significant deterrent effect.

· Deter others from committing similar breaches or offences. While the fact that someone has received a civil penalty may not be in the public domain, the civilpenalty policy itself will be and local authorities should consider how their formal enforcement activity can be effectively publicised.

An important part of deterrence is the realisation on the part of landlords that the local housing authority is proactive in levying civil penalties where the need to do so existsand the civil penalty will be set at a high enough level such that operating lawfully will be the sensible financial choice.

Remove any financial benefit the offender may have obtained as a result of committing the breach or offence.  The principle here is that it should not be in the offender’s financial interest to commit a breach or offence rather than comply, for example that the penalty for breaching licensing conditions in respect of occupancy of a property is less than the additional rent received as a result of the over crowding.  The absence of any financial benefit to the landlord does not mean though that the penalty should be reduced.

Civil Penalties Matrix

In determining the level of a civil penalty, officerswill have regardto the matrix set out below. The matrix consists of the following sequential steps:

1. Determining the starting point based on theseriousness of the breach or offence.

2. Adjustment for factors relatingto the type of landlord; size and type of portfoliocontrolled, owned or managed; experience of the landlord (“Landlord Type”)

3. Mitigating and aggravating factorsthe Council deems significant including, but not limitedto, factors relating to the track record and culpability of the landlord and the actual or potential harm to the occupants.

4. Financial considerations.

5. Applying the totality principle.

Step 1 - Starting point based on seriousness of the breach or offence

The Ministry of Housing, Communities & Local Government has provided statutory guidancethat prescribes starting pointsfor all breachesand offences based on the seriousness of the breachor offence. The exception to this prescription is for breachesof licensing conditions under sections 72(3) and 95(2) of the Housing Act 2004, where the Council has determined its own starting levels based on the seriousness of the specific licence condition or type of licence condition that has not been complied with.

Step 2 - Adjustment for factors relating to the type of landlord, size and type of portfolio controlled, owned or managed, experience of the landlord (“Landlord Type”)

While all landlords are expected to comply fully with their legal obligations, the Council considers that a higher standard of professionalism and regulatory awareness is reasonably expected of landlords who operateat greater scale,who have greaterexperience, or who are involvedin more complex forms of letting. Where such landlords fail to comply with their obligations, this will ordinarily justify a higher civil penalty.

In particular, a higher degreeof professionalism is expected of landlords who:

· Control, own, or manage a significant portfolio of properties;

· Have significant experience in the lettingor management of property;

· Are or have been involvedin the letting or management of Houses in Multiple Occupation (HMOs);

· Are corporate landlords; or

· Are or have been directors of corporate landlords.

An upward adjustment of 20% of the applicable starting point will be appliedwhere the landlord meets any one or more of the following criteria:

· The landlord has, at any point in time, controlled, owned, or managedsix or more properties. These properties need not have been held concurrently or at the time civil penalty proceedings are brought.

· The landlord has, at any point in time, controlled, owned, or managedthree or more properties that operated as HMOs, whether or not concurrently.

· The landlord is, or has previously been,a director of a corporatelandlord.

· The landlord is a corporate landlord.

· The landlord has, in the Council’s assessment and by referenceto the available evidence, significant experience in the letting or management of property.

A downward adjustment of 20% of theapplicable starting pointwill be applied only where all of the following criteria are met:

· The landlord has, at any point in time, controlled, owned, or managedno more than two properties.

· The landlord has controlled, owned,or managed no more than one propertythat has operated as an HMO, at any point in time.

· The landlord has, in the Council’s assessment and by referenceto the available evidence, very limited experience in the letting or management of property.

Step 3 - Mitigating and aggravating factors the Council deems significant including, but not limited to, factors relating to the track record and culpability of the landlords and the actual or potential harm to the occupants

To promote fairnessand consistency in the administration of civil penalties, the Council will apply a structured and consistent framework when determining the extent to which mitigating and aggravating factorsaffect the quantumof any civil penalty.

General approach

Each breach or offence may have offence-specific mitigating and/or aggravating factors, which will be considered alongside the generic factors set out below.

Where multiple civil penalties are issued under this policyagainst the same landlord at the same time, and except where expressly stated otherwise, mitigating and aggravating factors will be considered and applied separately to each civil penalty when determining the quantum of each penalty.

Mitigating factors

The Council may reduce the level of a civil penaltyby up to 20% of the applicable starting point to reflect the presence of mitigating factors.

Only in exceptional circumstances may the Council depart from the application of this policy in respect of mitigating factorsand apply a reduction in excess of 20%. Exceptional circumstances are rare and unusual and are not established merely by the presence of multiple mitigating factors.

Within the framework of this policy,the Council has not soughtto provide an exhaustive list of mitigating factors, recognising that a wide range of circumstances may potentially give rise to mitigation. However, the following generic mitigating factorswill be considered in respectof each breach or offence.

Steps taken to remedy the basis of the breach or offence

Non-exhaustive examples include:

· Promptly remedying all elements of the breachor offence afterreceiving communication from the Council.

· Promptly remedying all the significant elements of the breach or offence leavingonly less significant elements of the breach or offence.

A high level of cooperation

Non-exhaustive examples include:

· Proactive provision of significant information the Council reasonably considers relevant beyond that required by statutory notice.

· Acceptance of liability

· Non-exhaustive examples include:

· Accepting liability beforeor within the period for representations.

Where a landlord relieson a reasonable excuse defenceor otherwise contestsliability, this mitigating factor will not usually apply.

Health circumstances

Non-exhaustive examples include:

· A serious healthcondition or medicalincident experienced by the landlordduring, or in the period immediately preceding, the breach or offence, where there is clear and reliable evidence that the condition had a direct and material impact on the landlord’s ability to comply with the relevant legal obligation. Examplesmay include, but are not limited to, a heart attack, stroke, cancer diagnosis, or other acute or serious medical event causing significant incapacity or impairment.

Diminished culpability (limited responsibility)

Non-exhaustive examples include:

· A joint landlordwho has evidenced that compliance arrangements for the subject property were directed and controlled by another joint landlord, and not by them.

· A landlord who became involvedonly after an unforeseen changein circumstances (such as the death of the previous landlord) and who committed the breach or offence only for a limited period while putting their affairs in order.

The instruction of a managingor letting agent,or reliance on an agent’sactions or omissions, will not of itself constitute diminished culpability.

Aggravating factors

The Council may increase the level of a civil penalty by up to 20% of the applicable starting point to reflect the presence of aggravating factors.

Only in exceptional circumstances may the Council depart from the application of this policy in respect of aggravating factors and apply an increase in excess of 20%. Exceptional circumstances are rare and unusual and are not established merely by the presence of multiple aggravating factors.

The following genericaggravating factors will be considered in respect of each breachor offence:

Previous history of non-compliance

Non-exhaustive examples include:

· Previous successful prosecutions (including relevant spent convictions), previous civil penalties, previousrent repayment orders,previous works in default, previoussimple cautions.

· Concurrent investigations or proceedings relatingto other civil penalties, prosecutions, or rent repayment orders will not be treated as previous non-compliance.

Non-cooperation with the Council

Non-exhaustive examples include:

· Failure to complywith notices issuedunder section 16 of the Local Government (Miscellaneous Provisions) Act 1976, section235 of the Housing Act 2004, or section 114 of the Renters’ Rights Act 2025.

· Failing to providea substantive responseto a letter of allegedoffence.

· Failing to attendpreviously agreed meetings.

Where the Councilhas prosecuted, or is pursuinga prosecution, in respect of the same act or omission involving failure to providelegally required information (including failure to comply with a statutory notice), that conductwill not also be treated as an aggravating factorfor the purposes of setting the civil penalty, in order to avoid double counting.

Where multiple civil penaltiesare imposed againstthe same landlordat the same time, this

aggravating factor will be applied only to the civil penaltywith the higheststarting point, unlessthere is a clear and reasoned basis for applying it differently.

Deliberate intent or negligence when committing the offence

Non-exhaustive examples include:

· Knowledge that the breach or offence was occurring.

· Continuation of offendingafter communication from the Council.

· Premeditation or planning, including steps taken to preventdetection or effective investigation.

· Providing false or misleading information to the Council.

· Applying pressure to occupants to deter cooperation with the Council.

The number of occupantsaffected

Non-exhaustive examples include:

3-5 occupants affected.

Duration of non-compliance

Non-exhaustive examples include:

The offence or breach occurredover a 3–6 month period.

Vulnerability of occupants

Non-exhaustive examples include:

Children and young adults, persons vulnerable by reason of age, disability or sensory impairment, persons with drug or alcohol dependency, victims of domestic abuse, childrenin care, personswith complex health needs, personswho do not speak Englishas a first language,victims of trafficking or sexual exploitation, refugees, asylumseekers, and pregnant women.

Step 4 - Financial Considerations

The Council will review the quantum of thecivil penalty and consider whetherit is sufficient to act as an effective deterrent to future non-compliance. Where the Councilhas evidence that it considers to be sufficiently reliable regarding rental income and/or asset value from the landlord’s, it may determine that an increasein the level of the penalty is appropriate in order to achieve effective deterrence.

It is essential that, as an absolute minimum,landlords do not financially benefitfrom their offending behaviour.

Financial circumstances will ordinarily be considered afterany written representations have been received and as part of the determination by the council of any final notice.

Where a landlordseeks to rely on a strained or limited financial position as a basis for reducing the level of a civil penalty, that position must be supported by appropriate and verifiable evidence sufficient to enable the Council to assess the landlord’s financial position consistently, objectively, and transparently. Unsupported assertions, partial disclosure, or selective provision of information will not be given weight.

At a minimum,and where such information exists,and where the landlord seeks to rely on a strained or limited financial position as a basis for seeking a reduction in the level of the civil penalty, the following should be providedas part of any written representations:

The last three full tax years full self-assessment tax returns filed with HMRC, including all additional and supplemental pages;

· The last three full tax years’ SA302 documents & tax year overviews;

· The last threemonths’ payslips;

· The last three years P60 certificates;

· The last twelvemonths’ Universal Creditpayment statements;

· A list of all propertyassets owned or jointly owned(not limited to rental properties), together with corresponding Land Registry title documentation;

· A list of all propertyassets owned, or held on a long lease, by any corporate entity in which the landlord has a beneficial interest, together with corresponding Land Registry documentation;

· The most recentannual mortgage statementfor each property, or the last twelve months’ mortgage statements where the mortgage has been in place for less than twelve months;

· Valuation statements for all ISAs held;

· Statements from any cryptoasset exchangeaccounts showing balancesand valuations;

· A list of all shareholdings;

· Recent bank statements for any accountholding a balancein excess of £5,000;

· Recent statements for all securedand unsecured loans;

· Bankruptcy orders and official notifications of bankruptcy.

Where the Councilis not satisfied that it has been provided with sufficiently reliable, complete, and accurate information to assess the landlord’s financial position, the Councilmay draw the inference that the landlord is able to pay the civil penalty as imposed.

A claimed inability to pay will not, of itself, outweighthe need to ensure effective deterrence or to remove any financial benefit obtained as a result of the breach or offence.

Step 5 - The Totality Principle

The Council will have regard to the totalityprinciple to ensure that the overall outcomeof its enforcement actionis just and proportionate. A civil penalty should be fair and proportionate but, in all instances, should act as a deterrent and remove any gain as a result of the offence. If issuing a financial penalty for more than one offence, or where the offender/landlord has already been issued with a financial penalty, the Council will consider whether the total penalties are just and proportionate to the offending behaviour.

In exceptional cases,and having regard to the particular circumstances of the case,the Council may take accountof totality at an earlierstage by deciding not to pursue a civil penaltyin respect of a specificbreach or offencewhere doing so would render the overall outcome disproportionate.

In general, however,the application of the totalityprinciple will form the final step in the Council’s decision-making process,undertaken after any written representations have been considered and before final notices are issued, once the level of each individual civil penalty has been assessed in accordance with this policy.

As a final step beforeissuing final notices,the Council will consider whethermultiple civil penalties being imposed under this policy against the same landlord at the same time result in an aggregate amount that is just and proportionate. Where the Council concludes that the aggregate amount would not be just and proportionate, it will consider whether a proportionate reduction of the penalties is appropriate.

The totality principledoes not operateacross different legal persons who are separately liable in law, nor does it operate across civil penalties imposed at different times. In general, it applies only to multiple civil penalties imposed under this policy on the same person at the same time. Where, however, legislation provides that an officer of a body corporate, or a person concerned in its management, may be separately liable in relationto the same conduct as the body corporate, and that officer also holds a shareholding interest in the body corporate, the Council will, where civil penalties are imposed at the same time on both the body corporate and the officerarising from that same conduct, consider whether the combined outcome results in punitive duplication and is therefore not just and proportionate.

If the aggregate total is not just and proportionate the Council may consider how to reach a just and proportionate civil penalty. There are a number of ways in which this can be achieved.

For example:

Where an offender is to be penalised for two or more offences that arose out of the same incident or where there are multiple offences of a repetitive kind, especially when committed against the same person, it will often be appropriate to impose for the most serious offence a civil penalty. This should reflect the totality of the offending where this can be achieved within the maximum penalty for that offence. No separate penalty should be imposed for the other offences.

Where an offender is to be penalised for two or more offences that arose out of different incidents, it will often be appropriate to impose a separate civil penalty for each of the offences. The Council should add up the financial penalties for each offence and consider if they are just and proportionate. If the aggregate amount is not just and proportionate the Council should consider whether all of the civil penalties can be proportionately reduced. Separate civil penalties should then be issued.

This approach reflects the statutory guidance on the application of the totality principle and is intended to promote consistency, transparency, and proportionality, while avoiding arbitraryor selective adjustment of individual penalties.

In accordance with the statutory guidance, any rent repayment orders made in respect of the same breach or offence will be disregarded for the purposes of assessing the totality of civil penalties under this policy.

Offences and breaches where a civil penalty may be levied and relevant considerations as to the level of that penalty

Protection from Eviction Act 1977 offences

Unlawful eviction and harassment of occupier - section1 of the Protection from Eviction Act 1977

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£35,000	£40,000	£28,000	£35,000	£42,000

Offence-specific mitigating factors:

None.

Offence-specific aggravating factors:

Violence or threatsof violence.

Disposal of possessions or threats to dispose of possessions.

Breach or evasionof an injunction or undertaking.

Loss of home.

Housing Act 1988 breaches and offences

Failure to give a written statement of terms and any other prescribed information - section 16D of the Housing Act 1988

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£4,000	£7,000	£3,200	£4,000	£4,800

Offence-specific mitigating factors:

Provision of some of the required terms and prescribed information within the required period.

Offence-specific aggravating factors:

None

Attempting to let a property for a fixed term - section 16E(1)(a) of the HousingAct 1988

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£4,000	£7,000	£3,200	£4,000	£4,800

Offence-specific mitigating factors:

None.

Offence-specific aggravating factors:

None.

Attempting to end a tenancy by service of a noticeto quit - section16E(1)(b) of the Housing Act 1988

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£6,000	£7,000	£4,800	£6,000	£7,200

Offence-specific mitigating factors:

None.

Offence-specific aggravating factors:

Tenant vacates propertywithin four monthsof the date of vacationor equivalent specified in the notice to quit.

Attempting to end a tenancyorally or requiringthat it is ended orally - section16E(1)(c) of the Housing Act 1988

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£6,000	£7,000	£4,800	£6,000	£7,200

Offence-specific mitigating factors:

None.

Offence-specific aggravating factors:

Tenant vacates propertywithin four monthsof the date of vacationor equivalent specified in the notice to quit.

Serving a possession notice that attemptsto end a tenancy outsidethe prescribed section8 process - section 16E(1)(d) of the Housing Act 1988

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£6,000	£7,000	£4,800	£6,000	£7,200

Offence-specific mitigating factors:

None.

Offence-specific aggravating factors:

Tenant vacates propertywithin four monthsof the date of vacationor equivalent specified in the notice to quit.

Relying on a ground where the person does not reasonably believe that the landlord is, will, or may be able to obtain possession on that ground and the tenant(s) surrendered the tenancywithin the period of four months beginning with the date of the contravention, without an order for possession of the dwelling-house being made - section 16E(1)(e) of the Housing Act 1988

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£6,000	£7,000	£4,800	£6,000	£7,200

Offence-specific mitigating factors:

None.

Offence-specific aggravating factors:

None.

Failing to provide a tenant with prior notice that a ground which requires it may be used - section 16E(1)(f) of the Housing Act 1988

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£3,000	£7,000	£2,400	£3,000	£3,600

Offence-specific mitigating factors:

None.

Offence-specific aggravating factors:

None.

Failure to give an existing tenantprescribed information about changes made by the Renters’ Rights Act 2025 in the prescribed form and timeframe - paragraph 7(2) of schedule 6 to the Renters’ Rights Act 2025

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£4,000	£7,000	£3,200	£4,000	£4,800

Offence-specific mitigating factors:

Provision of some of the required prescribed information within the required period.

Provision of prescribed information but not in the prescribed form.

Offence-specific aggravating factors:

None.

Continuation of conduct subjectto a relevant penalty (under s.16I or s.16K Housing Act 1988) after the 28-day period (or, if appealed, after conclusion of the appeal) where the final notice has not been withdrawn — section 16J(3) of the Housing Act 1988

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
Double the starting level for the two constituent breaches added together	£40,000	Dependent on the constituent breaches	Dependent on the constituent breaches	Dependent on the constituent breaches

Offence-specific mitigating factors:

None.

Offence-specific aggravating factors:

None.

Conduct giving rise to liability under s.16I, where within the preceding five years the person has either (i) had a relevant penalty (under s.16I or s.16K Housing Act 1988) imposed for different conduct and the final notice has not been withdrawn, or (ii) been convicted under s.16J for different conduct – section 16J(4) of the Housing Act 1988

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
Double the starting level for the two constituent breaches added together	£40,000	Dependent on the constituent breaches	Dependent on the constituent breaches	Dependent on the constituent breaches

Offence-specific mitigating factors:

Dependent on the most recent conduct giving rise to liability to a civilpenalty under section 16I of the Housing Act 1988.

Offence-specific aggravating factors:

Dependent on the most recent conduct giving rise to liability to a civilpenalty under section 16I of the Housing Act 1988.

Relying on a ground where the person knows that the landlord would not be able to obtain an order for possession on that ground,or being recklessas to whether the landlordwould be able to do so and the tenant(s) surrendered 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 – section 16J(1) of the Housing Act 1988

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£30,000	£40,000	£24,000	£30,000	£36,000

Offence-specific mitigating factors:

None.

Offence-specific aggravating factors:

None.

Breach of restrictions relatingto reletting (s16(E)(2) Housing Act 1988) or remarketing (s16(E)(3) Housing Act 1988) a propertywithin restricted period after using Grounds 1 or 1A of Schedule2 Housing Act 1988 - section 16J(2) of the Housing Act 1988

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£25,000	£40,000	£20,000	£25,000	£30,000

Offence-specific mitigating factors:

None.

Offence-specific aggravating factors:

None.

Housing and PlanningAct 2016 offences

Breach of a banningorder - section 21(1) of the Housingand Planning Act2016

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£35,000	£40,000	£28,000	£35,000	£42,000

Offence-specific mitigating factors:

A single, isolatedincident.

Offence-specific aggravating factors:

Concealment or evasion.

Renters Rights Act 2025 breaches

Discrimination relating to childrenin the lettings process – section 33(1) of the Renters’ RightsAct 2025

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£6,000	£7,000	£4,800	£6,000	£7,200

Offence-specific mitigating factors:

None.

Offence-specific aggravating factors:

None.

Discrimination relating to benefitsin the lettings process – section 34(1) of the Renters’ RightsAct 2025

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£6,000	£7,000	£4,800	£6,000	£7,200

Offence-specific mitigating factors:

None.

Offence-specific aggravating factors:

None.

Failure to specify proposedrent within a written advertisement or offer – section56(2) of the Renters’ Rights Act 2025

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£3,000	£7,000	£2,400	£3,000	£3,600

Offence-specific mitigating factors:

None.

Offence-specific aggravating:

None.

Inviting, encouraging or acceptingany offer of rent greaterthan the stated rate – section56(3) of the Renters’ Rights Act 2025

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£4,000	£7,000	£3,200	£4,000	£4,800

Offence-specific mitigating factors:

None.

Offence-specific aggravating factors:

None.

The Electrical Safety Standards in the Private Rented Sector and Social RentedSector (England) Regulations 2020 breach of duties

Failure to comply with The Electrical Safety Standards in the PrivateRented Sector and Social Rented Sector (England) Regulations 2020 Regulation 3: (3)(b), (3)(d),(3)(e). Regulation 3D: (a), (b), (c), (f)

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£5,000	£40,000	£4,000	£5,000	£6,000

Offence-specific mitigating factors:

The report or record evidences that the electrical installations were compliant at all points.

Offence-specific aggravating factors:

The number or nature or severity of the issuesobserved on the report or record.

Failure to comply with The Electrical Safety Standards in the Private Rented Sector and Social Rented Sector(England) Regulations 2020 Regulation 3: (1)(a), (1)(b),(1)(c), (3)(a), (3)(c),(3)(ca), (5)(b), (5)(c).Regulation 3B: (1)(a), (1)(b),(1)(c). Regulation 3C: (1), (2)(a).Regulation 3D: (d),(e)

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£12,500	£40,000	£10,000	£12,500	£15,000

Offence-specific mitigating factors:

The report or record evidences that the electrical installations were compliantat all points.

Offence-specific aggravating factors:

The number or nature or severity of the issuesobserved on the report or record.

Failure to comply with The Electrical Safety Standards in the Private Rented Sector and Social Rented Sector(England) Regulations 2020 Regulation 3: (4), (5a),(6). Regulation 3C: (2)(b), (4)

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£20,000	£40,000	£16,000	£20,000	£24,000

Offence-specific mitigating factors:

None.

Offence-specific aggravating factors:

The number or nature or severity of the issuesobserved on the report or record.

Housing Act 2004 offences

Failure to comply with an improvement notice - section30(1) of the Housing Act 2004

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£25,000	£40,000	£20,000	£25,000	£30,000

Offence-specific mitigating factors:

The nature and extent of hazard(s) that are presentonce the deadlinefor compliance has passed.

Whether the propertyis unoccupied once the deadlinefor compliance has passed.

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

Offence-specific aggravating factors:

The nature and extent of hazard(s) that are presentonce the deadlinefor compliance has passed.

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

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£20,000	£40,000	£16,000	£20,000	£24,000

Offence-specific mitigating factors:

None.

Offence-specific aggravating factors:

The level of overcrowding present.

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

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£12,000	£40,000	£9,600	£12,000	£14,400

Offence-specific mitigating factors:

None.

Offence-specific aggravating factors:

The landlord has knowledge or experience of licensing requirements.

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

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£17,000	£40,000	£13,600	£17,000	£20,400

Offence-specific mitigating factors:

None.

Offence-specific aggravating factors:

The landlord has knowledge or experience of licensing requirements.

The condition of the unlicensed property.

Knowingly permitting over-occupation of an HMO - section72(2) of the Housing Act 2004

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£20,000	£40,000	£16,000	£20,000	£24,000

Offence-specific mitigating factors:

There are suitableamenity and spaceprovisions in the HMO.

Offence-specific aggravating factors:

The level of over-occupation present.

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 Housesin Multiple Occupation (England) Regulations 2006 impose dutieson 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 dutieson the persons managing HMOs as definedby 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 watersupply 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 wastedisposal facilities [regulation 10]

Where there are multiplebreaches 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 breachedat a single HMO, a separate civil penalty will be imposed for each Management Regulation that has been breached.

Name of Management Regulation	Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
Duty of manager to provide information to occupier	£3,000	£40,000	£2,400	£3,000	£3,600

Offence-specific mitigating factors:

The nature and extent of offences withinthe specific regulation

Offence-specific aggravating factors:

The nature and extent of offences withinthe specific regulation

The landlord has refused to provide any outstanding contactinformation more than 48 hours after it has been requested by an occupant or on behalf of an occupant.

Name of Management Regulation	Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
Duty of manager to take safety measures	£20,000	£40,000	£16,000	£20,000	£24,000

Offence-specific mitigating factors:

The number, natureand extent of offences withinthe specific regulation

Offence-specific aggravating factors:

The number, natureand extent of offences withinthe specific regulation

Name of Management Regulation	Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
Duty of manager to maintain water supply and drainage	£10,000	£40,000	£8,000	£10,000	£12,000

Offence-specific mitigating factors:

The number, natureand extent of offences withinthe specific regulation

Offence-specific aggravating factors:

The number, natureand extent of offences withinthe specific regulation

Name of Management Regulation	Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
Duty of manager to supply and maintain gas and electricity	£12,000	£40,000	£9,600	£12,000	£14,400

Offence-specific mitigating factors:

The number, natureand extent of offences withinthe specific regulation.

Offence-specific aggravating factors:

The number, natureand extent of offences withinthe specific regulation.

Name of Management Regulation	Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
Duty of manager to maintain common parts, fixtures, fittings and appliances	£7,000	£40,000	£5,600	£7,000	£8,400

Offence-specific mitigating factors:

The number, natureand extent of offences withinthe specific regulation

Offence-specific aggravating factors:

The number, natureand extent of offences withinthe specific regulation

Name of Management Regulation	Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
Duty of manager to maintain living accommodation	£7,000	£40,000	£5,600	£7,000	£8,400

Offence-specific mitigating factors:

The number, natureand extent of offences withinthe specific regulation

Offence-specific aggravating factors:

The number, natureand extent of offences withinthe specific regulation

Name of Management Regulation	Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
Duty to provide waste disposal facilities	£7,000	£40,000	£5,600	£7,000	£8,400

Offence-specific mitigating factors:

The nature and extent of offences withinthe specific regulation

Offence-specific aggravating factors:

The nature and extent of offences withinthe specific regulation

The lack of sufficient refuseand/or litter containers either inside and/or outside the property has been previously reported

The refuse and/orlitter that requiresdisposal includes hazardousmaterials.

Breach of licence conditions – Section 72(3) HousingAct 2004

All granted HMO licencesimpose a set of conditions on the licenceholder. 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 licencecondition could be interpreted to fall withintwo different potential starting levels, the higher starting level will be chosen.

Where multiple licenceconditions have been breached at a singleproperty, a separatecivil 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 writtenterms of occupancy for tenants

· Procedures regarding complaints

· Procedures regarding veFng of incomingtenants

· Compliance with depositprotection legislation

· The recording and provision of information regardingrent payments

· Procedures relating to rent collection

· The provision of information regarding occupancy of the property

· The provision of information regardingchange of managersor licence holderdetails

· The provision of information relatedto 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 occupiersto regulate temperature

· Carrying out items on a schedule of works not otherwise mentionedin the HMO licence conditions section of this policy, relatingto non-compliance with items on a scheduleof works

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£4,000	£40,000	£3,200	£4,000	£4,800

Offence-specific mitigating factors:

The nature and extent of thelicence condition breach

Offence-specific aggravating factors:

The nature and extent of thelicence condition breach

Failure to comply with licence conditions related to:

· Procedures and actionsregarding 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 regardingalterations and construction works

· Procedures regarding emergency issues

· Waste and wastereceptacles, pests, minor repairs, alterations or decoration.

· Giving written noticeprior to entry.

· Allowing access for inspections

· Minimising risk of water contamination

· The compliance of furnishings or furniture with fire safetyregulations

· Carrying out items on a schedule of works in relation to provision of mechanical extraction or electrical sockets

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£7,000	£40,000	£5,600	£7,000	£8,400

Offence-specific mitigating factors:

The nature and extent of thelicence condition breach

Offence-specific aggravating factors:

The nature and extent of thelicence 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 monoxidedetection, fire risk assessments, gas installations, electric installations and appliances

· Notification of legal proceedings, contraventions and other relevantinformation that may affect a fit and proper person status

· Procedures and actionsregarding ASB

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

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£12,500	£40,000	£10,000	£12,500	£15,000

Offence-specific mitigating factors:

The nature and extent of thelicence condition breach

Offence-specific aggravating factors:

The nature and extent of thelicence condition breach

Failure to comply with licence conditions related to:

· Minimum floor areas

· Occupancy rates

· Occupancy of roomsor areas that are not to be used as sleeping accommodation

· Limits on numberof households allowedto occupy the property or part of the property

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£20,000	£40,000	£16,000	£20,000	£24,000

Offence-specific mitigating factors:

The nature and extent of thelicence condition breach

Offence-specific aggravating factors:

The nature and extent of thelicence 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

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£25,000	£40,000	£20,000	£25,000	£30,000

Offence-specific mitigating factors:

The nature and extent of thelicence condition breach

Offence-specific aggravating factors:

The nature and extent of thelicence condition breach

Breach of licence conditions – Section 95(2) HousingAct 2004

All granted selectivelicences impose a set of conditions on the licenceholder. 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 licencecondition could be interpreted to fall withintwo different potential starting levels, the higher starting level will be chosen.

Where multiple licenceconditions have been breached at a singleproperty, a separatecivil 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 writtenterms of occupancy for tenants

· Procedures regarding complaints

· Procedures regarding vettingof incoming tenants

· Compliance with depositprotection legislation

· The recording and provision of information regardingrent payments

· Procedures relating to rent collection

· The provision of information regarding occupancy of the property

· The provision of information regardingchange of managersor licence holderdetails

· The provision of information relatedto 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 occupiersto regulate temperature

· Carrying out items on a schedule of works not otherwise mentionedin the selective licence conditions section of this policy, relating to non-compliance with items on a schedule of works

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£3,000	£40,000	£2,400	£3,000	£3,600

Offence-specific mitigating factors:

The nature and extent of the licencecondition breach

Offence-specific aggravating factors:

The nature and extent of the licencecondition breach

Failure to comply with licence conditions related to:

· Procedures and actionsregarding Inspections

· Procedures regarding Repairissues

· Maintenance and use of commonparts (including gardens,outbuildings and property exterior) and living areas

· Safeguarding occupiers and minimising disruption during works

· The provision of information regardingalterations and construction works,

· Procedures regarding emergency issues

· Waste and wastereceptacles, pests, minor repairs, alterations or decoration.

· Giving written noticeprior to entry

· Allowing access for inspections

· Minimising risk of water contamination

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£5,250	£40,000	£4,200	£5,250	£6,300

Offence-specific mitigating factors:

The nature and extent of the licencecondition breach

Offence-specific aggravating factors:

The nature and extent of the licencecondition breach

Failure to comply with licence conditions related to:

· The provision of documentation regarding energy performance certificates, fire detection and prevention, emergency lighting, carbon monoxidedetection, fire risk assessments, gas installations, electric installations and appliances

· Notification of legal proceedings, contraventions and other relevantinformation that may affect a fit and proper person status

· Procedures and actionsregarding ASB

· Minimum floor areas

· Occupancy rates

· Occupancy of rooms that are not to be used as sleeping accommodation

· Limits on numberof households allowedto occupy the property or part of the property

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£9,375	£40,000	£7,500	£9,375	£11,250

Offence-specific mitigating factors:

The nature and extent of the licencecondition breach

Offence-specific aggravating factors:

The nature and extent of the licencecondition 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

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£15,000	£40,000	£12,000	£15,000	£18,000

Offence-specific mitigating factors:

The nature and extent of the licencecondition breach

Offence-specific aggravating factors:

The nature and extent of the licencecondition breach

Process for imposinga civil penalty and the right to make written representations

Notice of intent

Before imposing a civil penaltyon a landlord, the Councilwill give the landlord a notice of intent. The notice of intent will set out:

· The amount of the proposed civil penalty

· The reasons for proposing to impose the civil penalty

· Information about their right to make writtenrepresentations

Right to make writtenrepresentations

A landlord who is given a noticeof intent may make writtenrepresentations to the Council about the proposal to impose a civil penalty. Any representations must be made within a period of 28 days beginning with the day afterthe date on which the notice of intent was given.

Decision after the representations period

After the end of the period for representations the Council will:

· Decide whether to impose a civil penaltyon the landlord; and

· If it decidesto impose a civilpenalty, decide the amount of the penalty.This amount can be higher or lower than the amount stated in the notice of intent.

A landlord’s rectification of the identified breach or offenceduring the representations period will rarely, of itself, lead the Councilto conclude that the imposition of a civil penalty is inappropriate. However, compliance at that stage will usuallybe relevant to the assessment of mitigating factors that may reduce the level of any civil penalty imposed.

Similarly, an admission of liability will rarely, of itself, lead the Councilto conclude that the imposition of a civil penalty is inappropriate. An admission of liability will, however, usually be relevant to the assessment of mitigating factors that may reduce the level of any civil penalty imposed.

Final notice

If, following the receipt of written representations and/or the expiry of the time period to make written representations, the Councildecides to impose a civil penalty on the landlord, it will give the landlord a final notice imposing that penalty.

The final notice will set out:

· The amount of the civil penalty

· The reasons for imposing the penalty

· Information about how to pay the penalty

· The period for payment of the penalty

· Information about rights of appeal

· The consequences of failure to comply with the notice

Discount for promptpayment

Where the council has issued a notice of intent to a landlord for a civil penalty and the landlord has made representations to the council evidencing that all breaches and/or offences have been remedied, which is accepted by the council, the council will apply a discount of one third to the amount of the civil penalty, provided following the issue of a final notice the discounted amount of the civil penalty is paid in full within the period specifiedin that notice (normally 28 days beginning with the day after the final notice is given).

The availability of the discount is conditional upon full payment being received within the specified period. The discount period will not be extended or suspended by the bringing of an appeal. A landlord who chooses to appeal may still benefitfrom the discountby paying the civil penaltyin full within the specified period; however, where payment is not made within that period, the discount will not apply.

Appeals

A landlord who is given a final notice may appeal to the First-tier Tribunal (Property Chamber)against the decision to impose a civil penalty and/or the amount of the civil penalty. Any appeal must be made within 28 days beginning with the day after the date on which the final notice was given.

Where an appealis brought, the final noticeis suspended untilthe appeal is finally determined or withdrawn.

An appeal to the First-tier Tribunal is by way of a re-hearing of the Council’s decision. In determining an appeal, the Tribunal may have regard to mattersof which the Council was unaware at the time the decision to impose the civil penalty was made.

The Tribunal may dismiss an appeal if it is satisfied that the appealis frivolous, vexatious, an abuse of process, or has no reasonable prospect of success.

The First-tier Tribunal may invite the parties to consider mediation or another form of alternative dispute resolution. The Council will not generally agree to mediationin relation to thelevel of a civil penalty, as civil penalties are determined by reference to this Policyto promote fair, consistent, and proportionate outcomes. Agreeing reductions outside the Policy framework would risk undermining consistency and the Council’s enforcement objectives.

On determination of an appeal,the Tribunal may:

· Confirm the civilpenalty

· Vary the amountof the civil penalty (whetherby increase orreduction)

· Cancel the civilpenalty

Where the Tribunal varies a civil penalty by increasing its amount, it may do so only up to the applicable statutory maximumfor the relevantbreach or offence(£7,000 or £40,000,as applicable).

A party to the appealmay apply for permission to appeal the decision of the First-tier Tribunal to the Upper Tribunal (Lands Chamber).

Reviewing the policy

This policy will be reviewed in line with any significant changes in legislation, guidance or case law. Separate to this it will be reviewed every three years.

Minor alterations to the Private Housing Standards Civil Penalty Policy can be made by the Assistant Director of Housing in consultation with the portfolio holder.