Housing (Regulation of Approved Housing Bodies) Act 2019

An Act to provide for the regulation of approved housing bodies for the purposes of protecting certain housing assets provided or managed by such bodies; to establish a body to be known in the Irish language as An tÚdarás Rialála Comhlachtaí Tithíochta Ceadaithe or, in the English language, as the Approved Housing Bodies Regulatory Authority and to confer functions on it; to provide for the registration of certain persons as approved housing bodies; to provide for the setting of standards for approved housing bodies relating to governance, financial management, property and asset management and tenancy management and compliance with those standards; to provide for the carrying out of standards assessments and the monitoring of the implementation of compliance plans; to provide for the carrying out of investigations; to make provision in relation to the protection of approved housing bodies; to provide for the application, with modification, of certain provisions of the Companies Act 2014 to approved housing bodies; to provide for the cancellation of registration of approved housing bodies; to provide for the establishment of an Appeals Panel to hear appeals from certain decisions of the Approved Housing Bodies Regulatory Authority; for those purposes to amend the Housing (Miscellaneous Provisions) Act 1992; and to provide for related matters. [23rd December, 2019]

Be it enacted by the Oireachtas as follows:

PART 1 Preliminary and General

1. Short title, collective citation and commencement

1. (1) This Act may be cited as the Housing (Regulation of Approved Housing Bodies) Act 2019.

• (2) The Housing Acts 1966 to 2014 and section 67 and this subsection may be cited together as the Housing Acts 1966 to 2019.

• (3) This Act shall come into operation on such day or days as the Minister may appoint by order or orders either generally or with reference to any particular purpose or provision, and different days may be so appointed for different purposes or different provisions.

2. Interpretation

2. In this Act—

“Act of 1992” means the Housing (Miscellaneous Provisions) Act 1992;

“Act of 2009” means the Housing (Miscellaneous Provisions) Act 2009;

“Act of 2014” means the Companies Act 2014;

“AHB” means an approved housing body;

“Appeals Board” means an Appeals Board appointed under section 62(3);

“Appeals Panel” means the Appeals Panel established under section 61;

F1["approved housing body" means a person registered in the register in accordance with section 28(2)(a) as an approved housing body;]

“approved standards” means standards approved and published under section 37;

“charitable trust” means—

• (a) a charitable trust within the meaning of the Charities Act 2009, or

• (b) the Iveagh Trustees (also referred to as the Iveagh Trust) within the meaning of the Iveagh Trust Acts 1899 to 1961;

“chief executive” means the chief executive officer of the Regulator appointed under section 11;

“common areas, structures, works and services” means, F1[in relation to dwellings provided for the purpose of alleviating a housing need], areas, structures, works and services that are, or are intended to be, common to such dwellings and enjoyed therewith, including, where relevant, access and side roads, architectural features, circulation areas, footpaths, internal common stairways, open spaces, parking areas, utility rooms and that portion of the roof or exterior of any building not intended to form or not forming part of any individual dwelling;

“communal facilities and amenities” means, F1[in relation to dwellings provided for the purpose of alleviating a housing need], areas, structures, works and services that are, or are intended to be, common to such dwellings and enjoyed therewith and used for the common benefit or enjoyment of tenants of those dwellings, including, but not limited to, facilities for sanitation, heating, refuse, food preparation, dining, storage, laundry, child care and recreation;

“company” means a company formed and registered under the Act of 2014 or an existing company within the meaning of that Act;

“compliance plan” has the meaning given to it by section 39(1);

“constitution” means the rules, in writing, that govern the administration and control of an AHB and regulate its activities, and includes—

• (a) in the case of a company, the constitution (within the meaning of section 2 of the Act of 2014) of the company,

• (b) in the case of a charitable trust (within the meaning of paragraph (a) of the definition in this section of “charitable trust”), the deed of trust establishing the charitable trust,

• (c) in the case of a charitable trust (within the meaning of paragraph (b) of the definition in this section of “charitable trust”), the Iveagh Trustees (also referred to as the Iveagh Trust) within the meaning of the Iveagh Trust Acts 1899 to 1961,

• (d) in the case of a registered society, the rules of the registered society, and

• (e) in the case of a friendly society (within the meaning of the Friendly Societies Acts 1896 to 2018), the rules of the friendly society,

but does not include any other enactment or rule of law applicable to the carrying on of the activities of the AHB;

“dwelling” has the same meaning as it has in the Act of 2009;

“eligibility criteria” has the meaning given to it by section 25;

“enactment” means—

• (a) an Act of the Oireachtas,

• (b) a statute that was in force in Saorstát Éireann immediately before the date of the coming into operation of the Constitution and which continued in force by virtue of Article 50 of the Constitution, or

• (c) an instrument made under an Act of the Oireachtas or a statute referred to in paragraph (b);

“establishment day” means the day appointed, by order, under section 7;

“financial year”, in relation to the Regulator, means a period of 12 months ending on 31 December in any year and, in the case of the first financial year of the Regulator, means the period commencing on the establishment day and ending on 31 December in the year in which the establishment day falls;

“functional area”, in relation to a housing authority, has the same meaning as it has in section 23(1) of the Act of 1992;

“housing authority” has the same meaning as it has in the Act of 1992;

“Minister” means Minister for Housing, Planning and Local Government;

“notice of non-compliance” has the meaning given to it by section 39(2);

“notice of non-implementation” has the meaning given to it by section 42(1);

F2["purpose of alleviating a housing need" shall be construed in accordance with section 2A;]

“record” includes, in addition to any record in writing—

• (a) a book or other written or printed material in any form (including in any electronic device or in machine readable form),

• (b) a map, plan or drawing,

• (c) a disc, tape or other mechanical or electronic device in which data other than visual images are embodied so as to be capable, with or without the aid of some other mechanical or electronic equipment, of being reproduced from the disc, tape or other device,

• (d) a film, disc, tape or other mechanical or electronic device in which visual images are embodied so as to be capable, with or without the aid of some other mechanical or electronic equipment, of being reproduced from the film, disc, tape or other device, and

• (e) a copy or part of any thing which falls within paragraph (a), (b), (c) or (d);

“register” has the meaning given to it by section 26, and “registered” shall be construed accordingly;

“registered charitable organisation” has the same meaning as it has in the Charities Act 2009;

“registered society” means a society registered under the Industrial and Provident Societies Acts 1893 to 2018;

“Regulator” has the meaning given to it by section 8;

“standards assessment” has the meaning given to it by section 38.

2A. F3[Dwellings provided or managed by approved housing body for purpose of alleviating housing need

2A. In this Act—

• (a) a dwelling designated as a cost rental dwelling under Part 3 of the Affordable Housing Act 2021 provided or managed by an AHB, and

• (b) a dwelling provided or managed by an AHB in relation to which the AHB received or is receiving assistance from a housing authority under section 6 of the Housing (Miscellaneous Provisions) Act 1992,

shall each be deemed to be a dwelling provided or, as the case may be, managed by an AHB for the purpose of alleviating a housing need.]

3. Expenses

3. The expenses incurred by the Minister in the administration of this Act shall, to such extent as may be sanctioned by the Minister for Public Expenditure and Reform, be paid out of moneys provided by the Oireachtas.

4. Review of Act

4. (1) The Minister shall, not later than 5 years after the establishment day, conduct a review of the operation and effectiveness of this Act and shall, not later then 6 months after the end of that period of 5 years, or on the completion of the review, whichever is the earlier, prepare a report, in writing, of the findings of the review and of the conclusions drawn from those findings and cause copies of the report to be laid before each House of the Oireachtas.

• (2) In conducting a review under this section, the Minister shall consult with the Regulator and such other persons as the Minister considers appropriate for the purpose of the review.

5. Giving of documents

5. (1) Subject to subsections (2) and (3), a notice, direction or other document that is required to be given to a person under this Act shall be in writing and addressed to the person concerned by name, and may be so given to the person in one or more than one of the following ways:

• (a) by delivering it to the person;

• (b) by leaving it at the address at which the person carries on business or ordinarily resides or, in a case in which an address for service has been furnished, at that address;

• (c) by sending it by post in a prepaid letter to the address at which the person carries on business or ordinarily resides or, in a case in which an address for service has been furnished, to that address;

• (d) by electronic means, in a case in which the person (in this paragraph referred to as “the first named person”) has given notice in writing to the person giving the notice, direction or document concerned of the first named person’s consent to the notice, direction or document (or notices, directions or documents of a class to which the notice, direction or document belongs) being given to the first named person in that manner.

• (2) Where a notice, direction or document under this Act is to be given to a person who is the owner or occupier of land or property and the name of the person cannot be ascertained by reasonable inquiry, it may be addressed to the person by using the words “the owner” or, as the case may require, “the occupier”.

• (3) For the purposes of this section, a company or a registered society, as the case may be, shall be deemed to be ordinarily resident at its registered office, and every other body corporate and every unincorporated body of persons shall be deemed to be ordinarily resident at its principal office or place of business.

6. Offences and penalties

6. (1) A person guilty of an offence under section 35(3), 55(3) or 65(3) shall be liable—

• (a) on summary conviction to a class A fine or to imprisonment for a term not exceeding 12 months or to both,

• (b) on conviction on indictment to a fine not exceeding €300,000 or to imprisonment for a term not exceeding 10 years or to both.

• (2) A person guilty of an offence under section 35(1), 36(6), 38(9), 45(6) or 51 shall be liable—

• (a) on summary conviction to a class A fine or to imprisonment for a term not exceeding 12 months or to both,

• (b) on conviction on indictment to a fine not exceeding €100,000 or to imprisonment for a term not exceeding 5 years or to both.

• (3) Where an offence under this Act is committed by a body corporate and is proved to have been so committed with the consent or connivance of or to be attributable to any neglect on the part of a person, being a director, manager, secretary or other officer of the body corporate, or a person who was purporting to act in that capacity, that person, as well as the body corporate, shall be guilty of an offence and shall be liable to be proceeded against and punished as if he or she were guilty of the first-mentioned offence.

• (4) Where the affairs of a body corporate are managed by its members, subsection (3) applies in relation to the acts and defaults of a member in connection with such member’s functions of management as if he or she were a director or manager of the body corporate.

• (5) Summary proceedings for an offence under this Act may be brought and prosecuted by the Regulator.

• (6) Where a person is convicted of an offence under this Act, the court shall order the person to pay to the Regulator the costs and expenses, measured by the court, incurred by the Regulator in relation to the investigation, detection and prosecution of the offence, unless the court is satisfied that there are special and substantial reasons for not so doing.

PART 2 Approved Housing Bodies Regulatory Authority

7. Establishment day

7. The Minister shall, by order, appoint a day to be the establishment day for the purposes of this Act.

8. Establishment of Approved Housing Bodies Regulatory Authority

8. (1) There shall stand established on the establishment day a body, which shall be known, subject to subsection (2), in the Irish language, as An tÚdarás Rialála Comhlachtaí Tithíochta Ceadaithe or, in the English language, as the Approved Housing Bodies Regulatory Authority (in this Act referred to as the “Regulator”), to perform the functions conferred on it by this Act.

• (2) The Regulator may, for operational purposes, describe itself in the Irish language as Rialálaí na gComhlachtaí Tithíochta Ceadaithe or, in the English language, as the Approved Housing Bodies Regulator.

• (3) The provisions of the Schedule shall have effect in relation to the Regulator.

9. Functions of Regulator

9. (1) The general functions of the Regulator shall be to—

• (a) establish and maintain a register of AHBs,

• (b) register persons as AHBs,

• (c) prepare draft standards for approval by the Minister under section 37 and publish the approved standards,

• (d) monitor and assess compliance by AHBs with this Act, in particular the approved standards,

• (e) carry out investigations under Part 5,

• (f) under Part 6, protect tenants and AHBs and cancel the registration of AHBs,

• (g) encourage and facilitate the better governance, administration and management, including corporate governance and financial management, of AHBs by the provision of such information and advice, in such form and manner, as the Regulator considers appropriate,

• (h) with a view to promoting awareness and understanding of this Act, make available such information as appears to the Regulator to be expedient to give to the public about the operation of this Act, in such form and manner, as the Regulator considers appropriate,

• (i) collect such information concerning AHBs as the Regulator considers necessary and appropriate for the purposes of the performance of the Regulator’s functions, and

• (j) publish such information (including statistical information) concerning AHBs as the Regulator considers appropriate.

• (2) In performing its functions the Regulator shall have regard to—

• (a) the policies and objectives of the Government or any Minister of the Government in so far as they affect or may relate to the functions of the Regulator,

• (b) the need to cooperate with and coordinate its activities with other public authorities, the performance of whose functions may affect or relate to the functions of the Regulator (other than the functions referred to in subsection (1)(d), (e) and (f)), and

• (c) the resources available to the Regulator.

• (3) The Regulator shall have all such powers as are necessary or expedient for the performance of its functions.

• (4) Subject to this Act, the Regulator shall be independent in the performance of its functions.

• (5) The Regulator may perform any of its functions through or by any member of the staff of the Regulator duly authorised in that behalf by the Regulator.

10. Grants to Regulator

10. In each financial year, the Minister may advance to the Regulator out of moneys provided by the Oireachtas such sums as the Minister, with the consent of the Minister for Public Expenditure and Reform, may determine for the purposes of expenditure by the Regulator in the performance of its functions.

11. Chief executive

11. (1) There shall be a chief executive officer of the Regulator (in this Act referred to as the “chief executive”).

• (2) The chief executive (other than a chief executive reappointed under subsection (6)) shall, subject to subsection (4), be appointed by the Regulator from among persons in respect of whom a recommendation for the purposes of this section has been made by the Public Appointments Service after a competition for that purpose under section 47 of the Public Service Management (Recruitment and Appointments) Act 2004 has been held.

• (3) The Public Appointments Service shall not, in relation to a competition referred to in subsection (2), make a recommendation for the purposes of that subsection in respect of more than 3 persons.

• (4)
• (a) Where a competition to appoint a chief executive is held before the establishment day, the successful candidate may be appointed by the Minister as the chief executive designate of the Regulator.

• (b) Notwithstanding subsection (2), the chief executive designate shall be appointed chief executive on the establishment of the Regulator.

• (c) For the purposes of subsection (5), the date of the person’s appointment under paragraph (a) shall be deemed to be the date of his or her appointment under this section.

• (5) The chief executive shall hold office for such period not exceeding 5 years from the date of his or her appointment as the Regulator may determine with the prior approval of the Minister given with the consent of the Minister for Public Expenditure and Reform.

• (6) The Regulator may reappoint a person whose term of office as chief executive expires by the passage of time to be the chief executive.

• (7) A person who is reappointed to be the chief executive under subsection (6) shall not hold office for periods the aggregate of which, including the period for which he or she was first appointed to be chief executive, exceeds 10 years.

• (8) The chief executive shall hold office upon and subject to such terms and conditions (including terms and conditions relating to remuneration, allowances and superannuation) as may be determined by the Regulator with the prior approval of the Minister given with the consent of the Minister for Public Expenditure and Reform.

• (9) The chief executive shall not hold any other office or employment or carry on any business without the consent of the Regulator given with the prior approval of the Minister.

• (10) The chief executive shall not be a member of the Regulator or of any committee of the Regulator, but he or she may, in accordance with procedures established by the Regulator or a committee of the Regulator, as the case may be, attend meetings of the Regulator or the committee, as the case may be, and shall be entitled to speak at and advise such meetings.

• (11) The chief executive may, with the prior approval of the Minister, be removed from office by the Regulator for stated reasons.

12. Functions of chief executive

12. (1) The chief executive shall carry on and manage, and control generally, the administration and business of the Regulator and perform such other functions (if any) as may be determined by the Regulator.

• (2) The chief executive shall perform his or her functions subject to such policies as may be determined from time to time by the Regulator and shall be accountable to the Regulator for the efficient and effective management of the Regulator and for the due performance of his or her functions.

• (3) The chief executive may make proposals to the Regulator on any matter relating to its functions.

• (4) The Regulator may designate a member of the staff of the Regulator to perform the functions of chief executive in the absence of the chief executive or where the position of chief executive is vacant and a member of staff so designated shall, in such absence or upon such position being vacant, perform those functions.

13. Delegation of functions of chief executive

13. (1) The chief executive may, with the consent of the Regulator in writing, delegate any of his or her functions to a specified member of staff of the Regulator, and that member of staff shall be accountable to the chief executive for the performance of the functions so delegated.

• (2) The chief executive shall be accountable to the Regulator for the performance of functions delegated by him or her in accordance with subsection (1).

• (3) The chief executive may, with the consent of the Regulator in writing, revoke a delegation made in accordance with this section.

• (4) In this section “functions” does not include a function delegated by the Regulator to the chief executive subject to a condition that the function shall not be delegated by the chief executive to anyone else.

14. Appearance of chief executive before Committee of Public Accounts

14. (1) The chief executive shall, whenever required in writing to do so by the Committee of Dáil Éireann established under the Standing Orders of Dáil Éireann to examine and report to Dáil Éireann on the appropriation accounts and reports of the Comptroller and Auditor General (in this section referred to as the “Committee”), give evidence to that Committee in relation to—

• (a) the regularity and propriety of the transactions recorded or required to be recorded in any book or other record of account subject to audit by the Comptroller and Auditor General that the Regulator is required by or under an enactment to prepare,

• (b) the economy and efficiency of the Regulator in the use of its resources,

• (c) the systems, procedures and practices employed by the Regulator for the purpose of evaluating the effectiveness of its operations, and

• (d) any matter affecting the Regulator referred to in a special report of the Comptroller and Auditor General under section 11(2) of the Comptroller and Auditor General (Amendment) Act 1993, or in any other report of the Comptroller and Auditor General (in so far as it relates to a matter specified in paragraph (a), (b) or (c)) that is laid before Dáil Éireann.

• (2) In the performance of his or her duties under this section, the chief executive shall not question or express an opinion on the merits of—

• (a) any policy of the Government or of a Minister of the Government, or

• (b) the objectives of such a policy.

15. Accountability of chief executive to other Oireachtas Committees

15. (1) In this section “Committee” means a Committee appointed by either House of the Oireachtas or jointly by both Houses of the Oireachtas (other than the Committee referred to in section 14 or a Committee on Members’ Interests of Dáil Éireann or a Committee on Members’ Interests of Seanad Éireann) or a subcommittee of such a Committee.

• (2) Subject to subsection (3), the chief executive shall, at the request in writing of a Committee, attend before it to give account for the general administration of the Regulator.

• (3) The chief executive shall not be required to give account before a Committee for any matter which is or has been or may at a future time be the subject of proceedings before a court or tribunal in the State.

• (4) Where the chief executive is of the opinion that a matter in respect of which he or she is requested to give account before a Committee is a matter to which subsection (3) applies, he or she shall inform the Committee of that opinion and the reasons for the opinion and, unless the information is conveyed to the Committee at a time when the chief executive is before it, the information shall be so conveyed in writing.

• (5) Where the chief executive has informed a Committee of his or her opinion in accordance with subsection (4) and the Committee does not withdraw the request referred to in subsection (2) in so far as it relates to a matter the subject of that opinion—

• (a) the chief executive may, not later than 21 days from the date of being informed by the Committee of its decision not to do so, apply to the High Court in a summary manner for determination of the question whether the matter is one to which subsection (3) applies, or

• (b) the Chairperson of the Committee may, on behalf of the Committee, make such an application,

and the High Court shall determine the matter.

• (6) Pending the determination of an application under subsection (5), the chief executive shall not attend before the Committee to give account for the matter the subject of the application.

• (7) If the High Court determines that the matter concerned is one to which subsection (3) applies, the Committee shall withdraw the request referred to in subsection (2) but if the High Court determines that subsection (3) does not apply, the chief executive shall attend before the Committee to give account for the matter.

• (8) In the performance of his or her duties under this section, the chief executive shall not question or express an opinion on the merits of—

• (a) any policy of the Government or of a Minister of the Government, or

• (b) the objectives of such a policy.

16. Consultants and advisers

16. (1) The Regulator may engage such consultants and advisers as it considers necessary for the performance of its functions.

• (2) The Regulator shall comply with any directions concerning the appointment of consultants and advisers which may from time to time be given to it by the Minister with the consent of the Minister for Public Expenditure and Reform.

• (3) Any fees due to a consultant or adviser engaged under this section shall, having regard to guidelines issued from time to time by the Minister or by the Minister for Public Expenditure and Reform, be paid by the Regulator out of moneys at its disposal.

17. Transfer of employees of Housing Agency to Regulator

17. (1) In this section “Housing Agency” means the Housing and Sustainable Communities Agency.

• (2) The chief executive officer of the Housing Agency, in consultation with the Regulator and with the consent of the Minister, may designate for employment by the Regulator a person who, immediately before the establishment day, was an employee of the Housing Agency.

• (3) Any employee of the Housing Agency transferred to the Regulator under this section shall, on the date of transfer, become and be a member of the staff of the Regulator.

• (4) Save in accordance with a collective agreement negotiated with a recognised trade union or association of employees, a person transferred under this section is entitled, while in the employment of the Regulator, to terms and conditions of employment no less favourable than those to which the person was entitled immediately before the date of his or her transfer to the Regulator.

• (5) Until the terms and conditions of employment to which a person transferred under this section was entitled immediately before the date of his or her transfer to the Regulator are varied by the Regulator after consulting and reaching a collective agreement with the recognised trade union or association of employees concerned, they continue to apply to the person transferred to the Regulator.

• (6) The previous service of a person transferred under this section is to be counted as service for the purposes of, but subject to any exceptions or exclusions in, the following Acts:

• (a) the Redundancy Payments Acts 1967 to 2014;

• (b) the Protection of Employees (Part-Time Work) Act 2001;

• (c) the Protection of Employees (Fixed-Term Work) Act 2003;

• (d) the Organisation of Working Time Act 1997;

• (e) the Minimum Notice and Terms of Employment Acts 1973 to 2005;

• (f) the Unfair Dismissals Acts 1977 to 2015;

• (g) the Terms of Employment (Information) Acts 1994 to 2014;

• (h) the Maternity Protection Acts 1994 and 2004;

• (i) the Parental Leave Acts 1998 to 2019;

• (j) the Adoptive Leave Acts 1995 and 2005;

• (k) the Carer’s Leave Act 2001;

• (l) the Paternity Leave and Benefit Act 2016.

• (7) The pension payments and other superannuation liabilities of the Housing Agency in respect of its former employees transferred in accordance with this section become, on the date of transfer of each employee concerned to the Regulator, the liabilities of the Regulator.

18. Staff of Regulator

18. (1) The Regulator shall, with the consent of the Minister given with the consent of the Minister for Public Expenditure and Reform, appoint such and so many persons to be members of the staff of the Regulator as it may from time to time determine.

• (2) The terms and conditions of service of a member of the staff of the Regulator shall be such as may be determined from time to time by the Regulator with the consent of the Minister given with the consent of the Minister for Public Expenditure and Reform.

• (3) There shall be paid by the Regulator to the members of its staff such remuneration and allowances as, from time to time, the Regulator, with the consent of the Minister given with the consent of the Minister for Public Expenditure and Reform, determines.

19. Superannuation

19. (1) Subject to subsection (2), the Regulator may, with the approval of the Minister and the consent of the Minister for Public Expenditure and Reform, make a scheme or schemes for the granting of superannuation benefits to or in respect of the members of the staff (including the chief executive) of the Regulator.

• (2) A scheme prepared and submitted under this section shall not provide for the granting of superannuation benefits to or in respect of any person where the Single Public Service Pension Scheme applies to that person by virtue of Chapter 2 of Part 2 of the Public Service Pensions (Single Scheme and Other Provisions) Act 2012.

• (3) A scheme under this section shall fix the time and conditions of retirement of all persons to or in respect of whom superannuation benefits are payable under the scheme or schemes and different times and conditions may be fixed in respect of different classes of persons.

• (4) The Regulator may, with the approval of the Minister and the consent of the Minister for Public Expenditure and Reform, make a scheme amending a scheme under this section including a scheme under this subsection.

• (5) A scheme under this section shall be carried out by the Regulator in accordance with its terms.

• (6) A scheme under this section shall include provision for appeals from a decision relating to a superannuation benefit under the scheme.

• (7) No superannuation benefits shall be granted by the Regulator to or in respect of a person on ceasing to be a member of the staff (including the chief executive) of the Regulator otherwise than—

• (a) in accordance with a scheme or schemes under this section, or

• (b) with the approval of the Minister and the consent of the Minister for Public Expenditure and Reform.

• (8) A scheme under this section shall be laid before each House of the Oireachtas as soon as practicable after it is made and, if a resolution annulling the scheme is passed by either such House within the next 21 days on which that House has sat after the scheme is laid before it, the scheme shall be annulled accordingly, but without prejudice to the validity of anything previously done thereunder.

• (9) S ubsection (8) shall, with all necessary modifications, apply to an amendment to a scheme under this section as it applies to a scheme under this section.

• (10) In this section—

“amending”, in relation to a scheme under this section, includes revoking the scheme;

“superannuation benefit” means a pension, gratuity or other allowance payable on retirement, resignation or death.

20. Strategy statement

20. (1) The Regulator shall prepare and submit to the Minister for the Minister’s approval, with or without amendment, a strategy statement in respect of the period of 3 years immediately following the year in which the strategy statement is so submitted—

• (a) not later than 6 months after the establishment day, and

• (b) thereafter not earlier than 6 months before, and not later than, the expiration of each subsequent period of 3 years following the establishment day.

• (2)
• (a) The Regulator shall, in the preparation of a strategy statement, have regard to the need to ensure the most effective and efficient use of the resources available to it.

• (b) A strategy statement shall include—

• (i) a statement setting out the approach to be taken in respect of each of the Regulator’s functions referred to in section 9,

• (ii) a statement specifying the key objectives, outputs and related strategies, including use of resources, of the Regulator,

• (iii) human resources activities (including training and development) to be undertaken for the staff of the Regulator,

• (iv) the organisational structure of the Regulator, including corporate support and information technology and the improvements proposed to promote efficiency of operation and customer service and in general to support the strategy statement,

• (v) except in the case of the strategy statement first prepared under this section, a review of the implementation of the immediately preceding strategy statement,

• (vi) specification of the manner in which the Regulator proposes to assess the effectiveness of the implementation of the strategy statement, and

• (vii) any other matters that the Minister may from time to time direct.

• (3) A strategy statement shall be prepared in a form and manner that is in accordance with any directions issued from time to time by the Minister.

• (4) As soon as practicable after approving a strategy statement, the Minister shall cause a copy of it to be laid before each House of the Oireachtas.

• (5) The Regulator shall ensure that the strategy statement is published on its website as soon as practicable after copies of the strategy statement are laid before both Houses of the Oireachtas in accordance with subsection (4).

21. Accounts of Regulator

21. (1) The Regulator shall keep in such form as may be approved by the Minister, with the consent of the Minister for Public Expenditure and Reform, all proper and usual accounts of—

• (a) all moneys received or expended by the Regulator, and

• (b) all property, assets and liabilities of the Regulator,

including an income and expenditure account and a balance sheet and, in particular, shall keep in such form as aforesaid such special accounts (if any) as the Minister may, with the consent of the Minister for Public Expenditure and Reform, from time to time direct.

• (2) Accounts, signed by the chief executive, shall be submitted by the Regulator to the Comptroller and Auditor General for audit not later than 1 March in the year immediately following the financial year to which the accounts relate or on such earlier date as the Minister may, from time to time, specify.

• (3) When audited, as referred to in subsection (2), a copy of the accounts and a copy of the report of the Comptroller and Auditor General on the accounts shall be presented by the Regulator to the Minister who shall, as soon as practicable, cause copies of them to be laid before each House of the Oireachtas.

• (4) In this section “accounts” means accounts kept in accordance with subsection (1).

22. Reports to Minister

22. (1) Subject to subsection (2), the Regulator shall, not later than 30 June in each year, prepare and submit to the Minister a report (in this section referred to as the “annual report”) in writing on its activities during the immediately preceding year.

• (2) The first annual report shall be prepared in respect of the period beginning on the establishment day and ending on 31 December in the next following year.

• (3) The annual report shall contain information in relation to—

• (a) progress regarding implementation of the strategy statement published under section 20, and

• (b) such other matters as the Minister may specify.

• (4) The annual report may, in respect of the period to which the report relates, include a summary from which AHBs cannot be identified of—

• (a) assessment reports by the Regulator under section 38,

• (b) compliance plans approved by the Regulator under section 39(5)(a), (6)(a) or section 40, as the case may be, and

• (c) the results of any investigations under Part 5.

• (5) The Minister shall cause a copy of the annual report to be laid before each House of the Oireachtas as soon as practicable after it has been submitted to him or her in accordance with this section.

• (6) The Regulator may, from time to time, prepare and submit to the Minister such other reports in relation to the activities of the Regulator as the Regulator considers appropriate.

• (7) The Minister may give a direction, in writing, to the Regulator to prepare and submit to him or her a report, in writing, not later than such date as the Minister specifies in the direction, in relation to any particular matter relating to the functions of the Regulator as the Minister considers appropriate.

• (8) The Regulator shall comply with a direction under subsection (7).

• (9) This section shall not operate to require the Regulator to include information in the annual report or other report referred to in this section that, in its opinion, would prejudice the performance by the Regulator of any of its functions under Parts 4, 5 and 6.

23. Administrative cooperation on regulatory matters

23. (1) The Regulator shall, in so far as is consistent with the proper performance of its functions, endeavour to secure administrative cooperation between the Regulator and relevant regulators and, for that purpose, may enter into one or more than one arrangement (whether in the form of a memorandum of understanding or otherwise) from time to time with one or more of those relevant regulators for the purposes of—

• (a) facilitating administrative cooperation between the Regulator and relevant regulators in the performance of their respective functions in so far as they relate to the regulation of AHBs,

• (b) avoiding duplication of activities by the Regulator and any relevant regulator, or

• (c) ensuring, as far as practicable, consistency between decisions made or measures taken by the Regulator and relevant regulators in so far as any part of those decisions or measures consists of, or relates to, a determination of any matters concerning the regulation of AHBs.

• (2) The parties to an arrangement under this section may vary the terms of the arrangement.

• (3) An arrangement under this section, or any variation of such an arrangement, shall be in writing.

• (4) An arrangement under this section shall not operate to bind the Regulator or a relevant regulator.

• (5) The Regulator shall provide the Minister and any relevant Minister in relation to a relevant regulator concerned with a copy of each arrangement under this section and any variation thereof.

• (6)
• (a) An arrangement under this section shall not operate to require the Regulator to provide information to any relevant regulator if the disclosure of that information by the Regulator is prohibited by law.

• (b) An arrangement under this section shall not operate to require a relevant regulator to provide information to the Regulator if the disclosure of that information by the relevant regulator is prohibited by law.

• (7) In this section—

“relevant Minister” means, in relation to a relevant regulator, any Minister of the Government who performs functions in relation to the relevant regulator;

“relevant regulator” means—

• (a) the Charities Regulatory Authority,

• (b) the Director of Corporate Enforcement,

• (c) the Registrar of Companies,

• (d) the Registrar of Friendly Societies,

• (e) the Residential Tenancies Board,

• (f) the Health Information and Quality Authority, or

• (g) any other body, or holder of an office, in whom functions are vested—

• (i) relating to the regulation of activities or persons for purposes other than the purposes of this Act (where the body or office is established by or under an enactment and is prescribed by order of the Minister for the purposes of this section), or

• (ii) under the law of a state (other than the State) relating to the regulation of activities or persons in that state for any purpose (where the body or office is prescribed by order of the Minister for the purposes of this section).

• (8) The Minister may, by order, prescribe a body or office referred to in subsection (7)(g)(i) or (ii), as the case may be, for the purposes of this section.

• (9) An order made under subsection (8) shall be laid before each House of the Oireachtas as soon as may be after it is made and, if a resolution annulling the order is passed by either such House within the next 21 days on which that House sits after the order is laid before it, the order shall be annulled accordingly, but without prejudice to the validity of anything previously done thereunder.

24. Information relating to offences, etc.

24. (1) Notwithstanding any rule of law, information that, in the opinion of a person to whom this section applies, may relate to—

• (a) the commission of an offence under this Act, or

• (b) the contravention of this Act,

may be disclosed by that person to the Regulator or a member of or a member of staff of the Regulator.

• (2) Notwithstanding section 65, the Regulator may provide to a person to whom this section applies any information—

• (a) obtained by the Regulator in the performance of its functions, and

• (b) that causes the Regulator to suspect that an offence has been committed by any person.

• (3) Information provided under subsection (2) may be used by the person to whom it has been provided for the purpose only of the detection, investigation or prosecution of an offence.

• (4) Information obtained by the Regulator, in the performance of its functions, that causes it to suspect that an offence under the law of a state (other than the State) has been committed by an AHB, may be provided by the Regulator to a person charged under the law of that state with the detection, investigation or prosecution of offences, if the person to whom the information is provided gives an undertaking, in writing, to the Regulator that the information will be used only for the purpose of the detection, investigation or prosecution of the offence concerned.

• (5) In this section “person to whom this section applies” means—

• (a) the Garda Síochána,

• (b) the Revenue Commissioners,

• (c) the Director of Corporate Enforcement,

• (d) the Residential Tenancies Board,

• (e) the Charities Regulatory Authority,

• (f) the Health Information and Quality Authority, or

• (g) any other person charged by law with the detection, investigation or prosecution of offences.

PART 3 Regulation of AHBs

Chapter 1 Registration

25. Eligibility criteria for application to register as AHB

25. (1) A person shall be eligible to apply under section 27 for registration as an AHB if the person meets the criteria (in this Act referred to as the “eligibility criteria”) in subsection (2).

• (2) The eligibility criteria are that the person—

• (a) is—

• (i) a company, with at least 5 directors, that is—

• (I) a company limited by guarantee within the meaning of Part 18 of the Act of 2014, or

• (II) a designated activity company falling within paragraph (b) of the definition of “designated activity company” in section 963 of the Act of 2014,

• (ii) a registered society,

• (iii) a friendly society within the meaning of the Friendly Societies Acts 1896 to 2018, or

• (iv) a charitable trust, with at least 5 trustees, that is a registered charitable organisation,

and

• (b) includes in its constitution—

• (i) either or both of the following as its primary object or primary objects:

• (I) the provision of dwellings for the purpose of the alleviation of housing need;

• (II) the management of dwellings provided for the purpose of the alleviation of housing need, whether or not it provides those dwellings,

and

• (ii) provisions—

• (I) prohibiting the distribution of any surplus, profit, bonus or dividend to members or directors or other persons, and

• (II) requiring that all of its property (both real and personal) be applied solely in furtherance of its primary object or primary objects specified in subparagraph (i), except for moneys expended in the operation and maintenance of the person, including moneys paid in remuneration and superannuation of members of its staff.

• (3) F4[…]

26. Register of AHBs

26. (1) The Regulator shall, as soon as practicable after the commencement of this section, establish and maintain in such form as it considers appropriate (including in electronic form) a register of AHBs to be known as the Approved Housing Bodies Register (in this Act referred to as “the register”).

• (2) The register shall be—

• (a) kept at the office of the Regulator,

• (b) made available for inspection by members of the public free of charge during normal business hours, and

• (c) made available for inspection on the internet and by any other means that the Regulator considers appropriate.

• (3) The Regulator shall make a copy of an entry in the register available, on request, on payment of such fee (if any) as may be determined by the Regulator.

26A. F5[Regulator to ensure certain persons are entered on register in accordance with section 28(2)(a)

26A. (1) The Regulator shall, on the date of the coming into operation of this section, register as an AHB in accordance with section 28(2)(a) each of the persons that was, immediately before that date, deemed to be registered as an AHB by virtue of section 34(1) and give to each such person notice of confirmation of registration and a registration number.

• (2) The Regulator may require a person referred to in subsection (1) to provide the Regulator with the information that the person would be required to so provide if it were an applicant for registration under section 27 and the person shall comply with the requirement.]

27. Application for registration

27. (1) A person who meets the eligibility criteria and seeks to register as an AHB shall make an application for registration to the Regulator.

• (2) An application under subsection (1) shall—

• (a) be in writing,

• (b) be in a form and manner specified by the Regulator,

• (c) state the name of the applicant,

• (d) specify the principal place of business in the State of the applicant, and

• (e) include all of the following information:

• (i) where the applicant is a company, the names of the directors of the company and the address at which each director normally resides;

• (ii) where the applicant is a registered society, the names of the members of the committee of management or other directing body of the society and the address at which each member normally resides;

• (iii) where the applicant is a friendly society within the meaning of the Friendly Societies Acts 1896 to 2018, the names of the members of the committee of management of the society and the address at which each such member normally resides;

• (iv) where the applicant is a charitable trust, the names of the trustees of the trust and the address at which each trustee normally resides;

• (v) in relation to each of the directors, members and trustees referred to in subparagraphs (i) to (iv), as the case may be, details of his or her qualifications and experience relevant to the primary object or primary objects of the applicant specified in section 25(2)(b)(i);

• (vi) a current tax clearance certificate;

• (vii) details of the kinds of activities carried on or intended to be carried on by the applicant in furtherance of its primary object or primary objects specified in section 25(2)(b)(i);

• (viii) copies of—

• (I) all audited accounts of the applicant together with the auditor’s report on the accounts in respect of the financial year of the applicant immediately preceding the making of the application, or

• (II) where the applicant was established or formed after the commencement of the period of 12 months immediately preceding the making of the application, all accounts of the applicant in respect of the period since its establishment or formation;

• (ix) in a case where the applicant is, on the date of the application, providing or managing dwellings for the purpose specified in section 25(2)(b)(i), details of—

• (I) the number of dwellings so provided or managed, or both, as the case may be,

• (II) the number of such dwellings which are—

• (A) owned by the applicant, or

• (B) leased by the applicant,

• (III) in the case where dwellings are leased by the applicant, the duration of the term of each lease, and

• (IV) such other matters in respect of the provision or management, or both, of such dwellings as the Regulator reasonably requires to enable it to perform its functions;

• (x) a copy of the constitution of the applicant;

• (xi) any other information which the Regulator reasonably requires to enable it to perform its functions.

• (3) In this section “tax clearance certificate” means a tax clearance certificate issued to the applicant in accordance with section 1095 of the Taxes Consolidation Act 1997.

28. Grant or refusal of registration

28. (1) The Regulator shall grant an application for registration under section 27 where the Regulator is satisfied that—

• (a) the applicant meets the eligibility criteria,

• (b) the application complies with the requirements under that section, and

• (c) the applicant complies with any requirement which may be imposed by the Regulator—

• (i) to verify anything contained in the application,

• (ii) to supply further information in relation to the application, or

• (iii) to supply the information requested under subparagraph (ii) by means of a statutory declaration,

and if not so satisfied shall, subject to section 29, refuse to grant the application.

• (2) On granting the application for registration, the Regulator shall—

• (a) register the person in the register as an AHB by entering in the register—

• (i) the name of the AHB and the principal place of business in the State of the AHB,

• (ii) the registration number issued to the AHB,

• (iii) the date of registration,

• (iv) the activity to which the registration relates,

• (v) in the case of a company, the names of the directors of the company,

• (vi) in the case of a registered society, the names of the members of the committee of management or other directing body of the society,

• (vii) in the case of a friendly society within the meaning of the Friendly Societies Acts 1896 to 2018, the names of the members of the committee of management of the society,

• (viii) in the case of an AHB that is a charitable trust, the names of the trustees of the trust, and

• (ix) any other particulars as the Regulator considers appropriate,

and

• (b) give to the person notice of confirmation of registration and a registration number.

29. Notice of proposed decision of Regulator to refuse application

29. Where the Regulator proposes under section 28 to refuse to grant an application for registration it shall give the applicant notice of the proposed decision, stating the reasons.

30. Right to respond to notice of proposed decision

30. (1) A notice given under section 29 shall state that, not later than 28 days from the date of the notice, the applicant for registration may make representations, in writing, to the Regulator in relation to the proposed decision to refuse to grant the application.

• (2) Where a notice has been given under section 29, the Regulator shall not make a decision whether to grant or refuse to grant the application for registration until—

• (a) it has considered the representations, if any, made by the applicant in accordance with the notice, or

• (b) the period referred to in subsection (1) has elapsed and no representations are made by the applicant.

31. Notice of decision of Regulator

31. (1) Where the Regulator, having considered the representations, if any, made in accordance with the notice given under section 29, decides to refuse to grant the application for registration, the Regulator shall give the applicant notice of—

• (a) the decision and the reasons for the decision, and

• (b) the applicant's entitlement to appeal the decision to the Appeals Panel under Part 7 not later than 21 days from the date of the notice.

• (2) A decision referred to in subsection (1) shall take effect—

• (a) where no appeal against the decision is brought under Part 7, on the expiration of the period specified in subsection (1)(b) for bringing an appeal under that Part, or

• (b) in the case where an appeal is brought under Part 7, on the date on which the decision is confirmed on appeal or the appeal is withdrawn, abandoned or otherwise not proceeded with, as the case may be.

32. Correction of register

32. (1) An AHB to whom an entry in the register relates shall give notice to the Regulator of—

• (a) any error that the AHB knows of in the entry, and

• (b) any change in circumstances that is likely to have a bearing on the accuracy of the entry,

as soon as practicable after the AHB becomes aware of that error or change in circumstances, as the case may be.

• (2) The Regulator shall, from time to time, review each entry in the register and, if the Regulator becomes aware that any particular in the register is incorrect or has ceased to be correct, it shall make such alterations to the register as it considers necessary and give notice to the AHB concerned of any such alteration.

33. Evidential value of entries in register

33. (1) Every document purporting to be a copy of an entry in the register and purporting to be certified by an officer of the Regulator to be a true copy of the entry shall, without proof of the signature of the person purporting so to certify or that he or she was that officer, be received in evidence in any legal proceedings and shall, unless the contrary is proved, be deemed to be a true copy of the entry and to be evidence of the terms of the entry.

• (2) Evidence of an entry in the register may be given by production of a copy of it certified under this section and it shall not be necessary to produce the register itself.

• (3) If the register is kept otherwise than in legible form, references in this section to a copy of an entry in the register shall be construed as including references to a legible copy or reproduction of an entry in the register.

34. Certain persons deemed to be registered as AHBs

34. (1) F6[…]

• (2) Notwithstanding any enactment or rule of law, the Minister shall, when requested by the Regulator, provide to the Regulator all such information in the possession or procurement of the Minister, held by the Minister for the purposes of section 6 of the Act of 1992, relating to a person who is deemed to be registered as an AHB by virtue of subsection (1), as the person would be required to provide to the Regulator were it making an application for registration under section 27.

• (3) Information provided to the Regulator by the Minister under subsection (2) may be used only by the Regulator in the performance of the Regulator’s functions and shall not be disclosed by the Regulator to any other person for any other purpose.

• (4) F6[…]

• (5) F6[…]

• (6) F6[…]

• (7) F6[…]

• (8) F6[…]

• (9) F6[…]

• (10) F6[…]

35. Prohibited conduct in relation to registration

35. (1) A person who, in purported compliance with section 27 or 34, as the case may be, knowingly or recklessly provides information or a particular to the Regulator that is false or misleading in a material respect, or who believes any such information or particular when provided by that person, in purported compliance with section 27 or 34, not to be true, shall be guilty of an offence.

• (2) A person, other than an AHB, shall not—

• (a) describe himself, herself or itself as an AHB, or

• (b) so hold himself, herself or itself out as to indicate, or be reasonably understood to indicate, that he, she or it is an AHB.

• (3) A person who contravenes subsection (2) shall be guilty of an offence.

Chapter 2 Information and records

36. Power of Regulator to require information and records

36. (1) Where the Regulator is of the opinion that it is necessary to do so for the purpose of the performance of its functions, the Regulator may give a direction to an AHB requiring it—

• (a) to provide to the Regulator the information specified in the direction,

• (b) to provide to the Regulator the records so specified, or

• (c) to prepare, as necessary, and provide to the Regulator any plans, accounts or other documents so specified.

• (2) An AHB to whom a direction is given under subsection (1) shall comply with the direction at such time or times, or within such period, as may be specified in the direction.

• (3) The Regulator may require that information, records or other documents provided in compliance with a direction under subsection (1) be certified or attested as to their authenticity or correctness in such manner as the Regulator may reasonably require, including by statutory declaration.

• (4) The Regulator may make copies of any records or other documents provided in compliance with a direction under subsection (1).

• (5) Information, records or other documents provided in compliance with a direction under subsection (1) shall be provided in such form and manner as the Regulator may reasonably require.

• (6) A person who, in purported compliance with a direction under subsection (1), knowingly or recklessly provides to the Regulator any information, record, plan, account or other document specified in the direction that is false or misleading in a material respect, or who believes any such information, record, plan, account or other document when provided by that person, in purported compliance with a direction under subsection (1), not to be true, shall be guilty of an offence.

• (7) This section does not limit any other power of the Regulator to require the provision of information or records or the preparation and provision of documents.

Chapter 3 Standards

37. Standards for AHBs

37. (1) Subject to subsection (2), the Regulator shall, not later than 6 months from the date of coming into operation of this section, and thereafter as the Regulator considers necessary, or as the Minister may direct, prepare and submit to the Minister for the Minister’s approval, with or without amendment, draft standards relating to—

• (a) the governance of AHBs,

• (b) the financial management of, and financial reporting by, AHBs,

• (c) property and asset management by AHBs, and

• (d) tenancy management by AHBs.

• (2) Draft standards prepared under subsection (1) may, in particular, provide for—

• (a) in the case of the governance of an AHB—

• (i) the membership and governance structure and the roles and responsibilities of the board, committee of management or the trustees, as the case may be, of an AHB,

• (ii) the procedures for decision-making to ensure control and oversight of an AHB,

• (iii) the management of conflicts of interest including a register of interests of the members of the board or committee of management, or of the trustees, as the case may be, of an AHB, and

• (iv) a code of conduct for the board, committee of management or trustees, as the case may be, of an AHB,

• (b) in the case of the financial management of, and financial reporting by, an AHB—

• (i) the requirements for financial and risk control,

• (ii) the procedures for monitoring and assuring the financial viability of the AHB,

• (iii) the keeping of proper books of account that—

• (I) correctly record and explain the transactions of the AHB,

• (II) enable the financial position of an AHB to be determined with reasonable accuracy at any time, and

• (III) enable the accounts of the AHB to be readily and properly audited,

• (iv) the requirements for internal control and audit,

• (v) the requirements for strategic planning, including the preparation of financial and business plans,

• (vi) the procedures for monitoring performance, and

• (vii) the requirements for the confirmation and verification of compliance with statutory obligations including, in particular, obligations arising under the Charities Act 2009 and the Act of 2014,

and

• (c) in the case of property and asset management and tenancy management by AHBs, policies and procedures relating to—

• (i) nominations to dwellings of tenants, and allocations of dwellings to tenants, by AHBs,

• (ii) the management of dwellings by AHBs, and

• (iii) communication by AHBs with their tenants.

• (3) Draft standards prepared under subsection (1) may make different provision for different categories of AHBs and for that purpose shall have regard to at least the following matters:

• (a) the nature, scale and complexity of the activities of each category of AHB, including the types of dwellings provided or managed, or both, as the case may be, by each category of AHB to meet the different accommodation needs of different categories of tenants;

• (b) the number of dwellings provided or managed, or both, by each category of AHB;

• (c) the level of borrowings of each category of AHB;

• (d) the level of financial risk associated with each category of AHB.

• (4)
• (a) The Regulator shall publish on its website and by such other means as the Regulator considers appropriate the draft standards proposed to be submitted to the Minister under subsection (1) and shall allow persons to make representations, in writing, to the Regulator in relation thereto.

• (b) Representations may be made under paragraph (a) not more than 28 days from the date of their publication, or within such further period, not exceeding 28 days, as the Regulator thinks fit.

• (c) The Regulator shall consider the representations (if any) made to it in accordance with paragraph (b) and may amend the proposed draft standards before they are submitted to the Minister under subsection (1).

• (5) The Minister may give a direction to the Regulator to amend the draft standards submitted to the Minister in accordance with this section in the manner specified in the direction, and the Regulator shall comply with the direction and resubmit to the Minister the draft standards as so amended.

• (6) When the Minister approves the draft standards submitted or resubmitted to the Minister in accordance with this section, the Regulator shall publish the approved standards on its website and by such other means as the Regulator considers appropriate.

• (7) Standards standing approved and published under this section shall be admissible in evidence in any proceedings under this Act before a court or the Appeals Panel and, if any provision of the approved standard concerned appears to be relevant to any question arising in the proceedings it shall be taken into account in determining that question.

• (8) An AHB shall comply with the approved standards.

• (9)
• (a) The Regulator shall review the approved standards from time to time or as the Minister may direct and, as the Regulator considers necessary or as the Minister may direct, prepare amendments to the approved standards.

• (b) This section shall, with all necessary modifications, apply to amendments to an approved standard, following a review under paragraph (a), as it applies to a draft standard.

• (10) The Regulator shall publish any amendments approved by the Minister, to an approved standard, on its website and by such other means as the Regulator considers appropriate.

PART 4 Standards Assessment and Compliance Plans

38. Making a standards assessment

38. (1) The Regulator may, for the purpose of monitoring compliance with the approved standards, carry out an assessment (in this Act referred to as a “standards assessment”) of compliance by an AHB with the approved standards.

• (2) The Regulator may, for the purposes of carrying out a standards assessment, by notice given to an AHB, require it to give to the Regulator such information relating to the approved standards as is specified in the notice (in this section referred to as “the specified information”).

• (3) A notice under subsection (2) shall—

• (a) state the date on which it is given,

• (b) state that the purpose of the standards assessment is to monitor compliance by the AHB with the approved standards,

• (c) specify the form and manner in which the specified information shall be given, and

• (d) specify a reasonable period, having regard to the circumstances in which the information is being sought, before the end of which the specified information shall be given.

• (4) An AHB shall comply with a notice given to it under subsection (2).

• (5) The Regulator shall prepare a report in writing (in this section referred to as an “assessment report”) of its standards assessment, setting out its findings and recommendations, having regard to the specified information (if any) given to it by the AHB and to any other information available to the Regulator.

• (6) The Regulator shall send a draft of the assessment report to the AHB concerned together with a notice that representations on the draft may be made to the Regulator, in writing, before the end of the period specified in the notice.

• (7) The Regulator shall consider any representations made to it in accordance with the notice given to it under subsection (6) and shall send a copy of the assessment report to the AHB concerned, with or without any amendments.

• (8) The Regulator may extend the period referred to in a notice given under subsection (3) or (6), as the case may be, on application to it in that behalf, in writing, by the AHB concerned, where the Regulator is satisfied that there is good and sufficient reason for the extension.

• (9) A person who, in purported compliance with this section, knowingly or recklessly provides information to the Regulator that is false or misleading in a material respect, or who believes any such information when provided by that person, in purported compliance with this section, not to be true, shall be guilty of an offence.

39. Compliance plan

39. (1) The Regulator, in consequence of the findings of a standards assessment that an AHB is failing to comply with an approved standard, as set out in an assessment report under section 38, may, by notice given to the AHB, require it to submit to the Regulator a plan (in this Act referred to as a “compliance plan”), in the form and manner and within the period specified in the notice, setting out the measures taken or proposed to be taken by the AHB to rectify the failure concerned.

• (2) A notice given under subsection (1) shall state that failure to submit a compliance plan in accordance with the notice may result in the AHB being given a notice of non-compliance with the approved standard (in this Act referred to as a “notice of non-compliance”).

• (3) The Regulator may extend the period specified in a notice given under subsection (1), on application to it in that behalf, in writing, by the AHB concerned, where the Regulator is satisfied that there is good and sufficient reason for the extension.

• (4) Where an AHB fails to submit a compliance plan within the period specified in a notice under subsection (1) or any extension of that period under subsection (3), the Regulator may give a notice of non-compliance to the AHB.

• (5) Where an AHB submits a compliance plan within the period specified in a notice under subsection (1) or any extension of that period under subsection (3), the Regulator may, give a notice to the AHB—

• (a) approving the compliance plan, with or without modifications or subject to any conditions it considers appropriate, as the case may be, or

• (b) stating that—

• (i) it proposes to reject the compliance plan, setting out its reasons, and

• (ii) the AHB may make representations to the Regulator within the period specified in the notice.

• (6) The Regulator having considered the representations, if any, made to it in accordance with a notice under subsection (5), may give a notice to the AHB—

• (a) approving the compliance plan, with or without modifications or subject to any conditions it considers appropriate, as the case may be, or

• (b) stating that it proposes to give a notice of non-compliance to the AHB and informing the AHB of the matters referred to in subsection (8).

• (7) Where a compliance plan is approved under subsection (5)(a) or (6)(a), as the case may be—

• (a) it shall be implemented in accordance with its terms by the AHB, and

• (b) the Regulator shall, as soon as may be after the compliance plan has been so approved make an entry on the register that the plan has been so approved, including the details (in summary form) of the measures taken or proposed to be taken by the AHB pursuant to the plan.

• (8) Where an AHB is given a notice under subsection (6)(b), the AHB may appeal the notice to the Appeals Panel under Part 7 not later than 21 days from the date of the notice.

40. Notice of non-compliance

40. (1) The Regulator may give a notice of non-compliance to an AHB—