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CYNGOR SIR CEREDIGION COUNTY COUNCIL
GUIDANCE NOTE: HOUSING ENFORCEMENT OPTIONS
GUIDANCE
Scope
This guidance details the general enforcement actions that may be employed
to deal with unacceptable housing conditions under Housing Health and
Safety Rating System (HHSRS).
Legislation
Housing Act 2004 (c 34)/Part 1
Housing Health and Safety Rating System (Wales)
Regulations 2006 SI (1702 (W.164)).
Summary
The Housing Act 2004 (HA04) has given Local Housing
Authorities (LHAs) powers to take various forms of
action whenever they are dealing with unacceptable housing conditions.
Following an inspection of a dwelling any identified hazards contained therein
are classed as either category 1 or 2 hazards derived from calculations using
the Housing Health and Safety Rating System (HHSRS).
The HA04 places a duty on the LHA that if a category 1 hazard is identified
enforcement action shall be taken. If the hazard being dealt with is classed as
category 2, then the LHA has the discretionary power to take enforcement
action.
The HHSRS is used to assess hazards for the potential class of occupiers
who are most vulnerable in respect of the hazard being assessed.
For example, for damp and mould hazards the vulnerable
group of persons should be considered when undertaking
the HHSRS survey assessment, such as those under 14
years of age. This is regardless of anyone under that age
actually living at the premises now, or is likely to do so
within the next 12 months.
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Once a hazard has been assessed and categorised, the LHA must decide on
the most appropriate form of action to take; either formal or informal. At this
stage regard must be taken of the HHSRS Enforcement Guidance,
Enforcement Concordat and the LHAs enforcement policy(ies) in order to
establish the appropriate course of action.
Scope of enforcement options
There are certain restrictions on what actions can be used:

When dealing with a category 1 hazard more than one action cannot
be taken simultaneously. E.g. It is not possible to serve a Prohibition
Order alongside an Improvement Notice unless it is in response to an
emergency measure. A properly served Emergency Remedial Action
Notice with a subsequent Improvement Notice or Prohibition Order
would be considered a single course of action.

Emergency Measures cannot be used to deal with category 2 hazards.

Multiple, different hazards cannot be combined. That is each hazard
must be assessed and rated separately. For example
a moderate hazard of falls on the outside steps and
falls on the internal staircase, can be rated together
as one hazard. But they cannot be combined with the
moderate hazard of a broken kitchen worktop to
produce an overall category 1 hazard for all three
issues.
Selecting the appropriate action
When deciding which is the most appropriate course of enforcement
action the officer must take into consideration the following:
a) The seriousness of the hazard(s) in question.
b) The ability of the owner or landlord to undertake the required
remedial action.
c) The willingness of the owner or landlord to undertake the required
remedial action within an agreed time period.
d) When dealing with Registered Social Landlords (RSL), their
programme of works.
e) For Houses in Multiple Occupation (HMO), whether the HMO is
occupied by vulnerable occupants.
f) The wishes of the current occupier(s).
g) The LHAs enforcement policy, HHSRS Enforcement Guidance and
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application of the Enforcement Concordat.
h) For Prohibition Orders (including Emergency Prohibition Orders) and
Demolition Orders; that compensation payments may become
relevant in accordance with the Housing Act 1985 S584A & S584B
Regardless of which of the following options are chosen the officer must
complete a statement of reasons in accordance with S.8 of the HA04. This
statement must detail the reason why a particular enforcement option was
selected and a copy of the statement must accompany all notices, orders,
declarations and their copies.
Enforcement options
Hazard Awareness Notice
A Hazard Awareness Notice (HAN) may be an appropriate response to a less
serious hazard where the authority wishes to draw attention to the desirability
of remedial action. A HAN can also be used as a response to a category 1
hazard provided that no Management Order is in place. The notice is not a
local land charge and serves only to bring the presence of the hazard to the
attention of the person responsible. There is no appeal against a HAN and
they can be used where the responsible person has agreed to take action and
the Council are confident the work will be done within a reasonable period of
time.
A HAN may also be used to advise of a hazard which may be difficult reduce.
For example a very steep (above 42° ) staircase in a listed building and it is
not possible to install a staircase with a lower pitch without demolishing the
building. The service of a HAN does not preclude further formal action at a
later date.
Improvement Notice
Improvement Notices are intended to deal with different category hazards
over a range of different time frames within which action should be taken.
They are to be served in respect of a category 1 or 2 hazard. If an
Improvement Notice is served in respect of a category 1 hazard, the required
remedial action must be sufficient to reduce it to a category 2 hazard.
Improvement Notices are treated as a local land charge.
Any works required to mitigate a hazard must be carried out to a standard
that prevents building elements deteriorating for at least a further 12 months.
Any appeal to an Improvement Notice must be made to a Residential
Property Tribunal (RPT) within 21 days of its service date and remedial works
cannot be required to start before 28 days. The RPT and the LHA can revoke,
vary or suspend an Improvement Notice, either in part, (i.e. for some hazards)
or as a whole (i.e. for all hazards).
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Carrying out works in default and prosecution are
eventual options.
Prohibition Order
A Prohibition Order can be used to prohibit the use of part
or all of a premises in respect of a category 1 or 2 hazard.
Prohibition orders can be used where the conditions in a
property present a serious risk to health or safety but where remedial action is
considered unreasonable or impracticable.
Other uses for Prohibition Orders include specifying the numbers of
occupants or preventing occupation by a specified group of people.
Contravention of a prohibition order is an offence for which prosecution may
ensue. Prohibition orders can be suspended if so desired.
As with an Improvement Notice a Prohibition Order becomes operative 28
days after it is made unless an appeal is lodged with the RPT. The time
allowed for any appeal is 28 days. The Prohibition Order can be varied by the
LHA or by the RPT.
The Order must be revoked if the hazard in question is reduced to an
acceptable level. Any request for an Order to be revoked must be determined
and the decision communicated to the person making the request within 7
days.
Emergency Remedial Action
When a category 1 hazard exists that is an imminent risk of serious harm to
health or safety, the LHA may enter premises at anytime, in order to take
whatever remedial action is considered necessary to remove that risk. This
entry may be affected by use of a warrant issued by a Justice of the Peace if
considered appropriate.
The HA04 does not define exactly the word "imminent". However a recent
Residential Property Tribunal decision with regard to emergency remedial
action takes the word to mean that it conveys a sense of urgency and that
there is a good chance that harm is about to occur unless preventative action
is taken. (Patel v Bolton Council, 10 March 2009 RPT
ref:/MAN/008L/HER/2008/0001)
The LHA must serve a notice of emergency remedial action within 7 days of
taking the action. The person on whom it is served can appeal against the
decision to serve an emergency action notice within 28 days of its service.
Emergency Prohibition Order
When a category 1 hazard exists that is an imminent risk to health or safety
(see RPT decision above regarding imminent) the LHA may enter premises at
anytime, in order to make an Emergency Prohibition Order (EPO) prohibiting
the use of all or any part of the premises with immediate effect. An EPO takes
effect on the day it is served.
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Subsequent action by the owner of the property may allow the authority to
revoke or vary the order. The person on whom it is served can appeal to the
RPT against the decision to serve an EPO within 28 days of its service.
Contravention of an emergency prohibition order is an offence for which
prosecution may ensue.
Demolition Order
This option is available under Part 9 of the Housing Act 1985 as amended,
and can only be used to deal with category 1 and 2 hazards unless the
premises in question is a listed building.
Before embarking on this course of action the officer must take into
consideration:
a)
The availability of local accommodation for re-housing purposes.
b)
If the hazard were to be remedied, the demand for and sustainability of
the accommodation.
c)
If the site were to be cleared, its subsequent use.
d)
The possible impact on the local environment.
e)
Proposals which, if made, could make it possible to
substitute a demolition order with a prohibition
order.
Clearance Area Declaration
This option is also available under Part 9 of the Housing Act 1985 as
amended and can only be used to deal with category 1 and 2 hazards. Before
embarking on this course of action the officer must take into consideration:
a) That each of the buildings in the proposed area contains a category 1
hazard.
b) The concentration and density of such buildings in the area.
c) The probable long-term demand for residential accommodation in the
area.
d) If any properties free from hazards would have to be included in order to
arrive at a suitable site.
e) If any other adjoining land needs to be acquired.
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f) The presence of any listed buildings.
g) Arrangements for re-housing any displaced occupants.
h) The impact on any commercial premises.
i) The socio-economic benefits.
Enforcement Options
Category 1 and 2 Hazards
Service of an Improvement Notice (Housing Act 2004 section 11)
Make a Prohibition Order (Housing Act 2004 section 20)
Serve a Hazard Awareness Notice (Housing Act 2004 section 28)
Make a Demolition Order (Housing Act 1985 section 265)
Declare a Clearance Area (Housing Act 1985 section 289 as amended)
Category 1 Hazards only
Make an Emergency Prohibition Order (Housing Act 2004 section 43)
Take Emergency Remedial Action (Housing Act 2004 section 40)
The final two above are not available where the hazard is a Category 2
hazard.
Powers of Entry
Housing Act 2004 section 239 may assist in gaining entry to specific
properties provided the Officer was duly authorised for the purpose under
Housing Act 2004 section 243.
There is a provision to obtain a warrant to enter premises under Housing Act
2004 section 240
Further Guidance
Enforcement Guidance Housing Act 2004: Part 1 - Housing, Health and
Safety Rating System (Welsh Assembly Government, June 2006)
Housing Health and Safety Rating System: Operating Guidance (Housing Act
2004: Part 1) Guidance about inspections and assessment of hazards given
under Section 9 (Welsh Assembly Government, June 2006)
Housing Health and Safety Rating System (Wales) Regulations 2006 [SI
1702 (W.164)].
Enforcement Concordat, DTI June 2003
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