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2003 No. 2099

LANDLORD AND TENANT, ENGLAND

Leasehold Valuation Tribunals (Procedure) (England) Regulations 2003

  Made 7th August 2003 
  Laid before Parliament 18th August 2003 
  Coming into force
  For all purposes other than paragraph 2(a) of Schedule 1 30th September 2003 
  For the purposes of paragraph 2(a) of Schedule 1 31st October 2003 

The First Secretary of State, in exercise of the powers conferred upon him by section 35(5) of the Landlord and Tenant Act 1987[1] and Schedule 12 to the Commonhold and Leasehold Reform Act 2002[2], and after consultation with the Council on Tribunals, hereby makes the following Regulations:

Citation, commencement, and application
     1.  - (1) These Regulations may be cited as the Leasehold Valuation Tribunals (Procedure) (England) Regulations 2003

    (2) These Regulations shall come into force - 

    (3) These Regulations apply in relation to any application made, or proceedings transferred from a court, to a leasehold valuation tribunal[3] in respect of premises in England on or after - 

Interpretation
     2. In these Regulations - 

Particulars of applications
     3.  - (1) The particulars to be included with an application are - 

    (2) Where an application is of a description specified in paragraph 1 of Schedule 1 (enfranchisement and extended leases) the particulars and documents listed in paragraph 1 of Schedule 2 shall be included with the application.

    (3) Where an application is of a description specified in paragraph 2 of Schedule 1 (service charges, administration charges and estate charges) the particulars and documents listed in paragraph 2 of Schedule 2 shall be included with the application.

    (4) Where an application is of a description specified in paragraph 3 of Schedule 1 (estate management schemes) the particulars and documents listed in paragraph 3 of Schedule 2 shall be included with the application.

    (5) Where an application is of a description specified in paragraph 4 of Schedule 1 (right to manage) the particulars and documents listed in paragraph 4 of Schedule 2 shall be included with the application.

    (6) Where an application is of a description specified in paragraph 5 of Schedule 1 (appointment of manager) the particulars and documents listed in paragraph 5 of Schedule 2 shall be included with the application.

    (7) Where an application is of a description specified in paragraph 6 of Schedule 1 (variation of leases) the particulars and documents listed in paragraph 6 of Schedule 2 shall be included with the application.

    (8) Any of the requirements in the preceding paragraphs may be dispensed with or relaxed if the tribunal is satisfied that - 

Notice of application under Part 4 of the 1987 Act
    
4.  - (1) The applicant shall give notice of an application under Part 4 of the 1987 Act (variation of leases) to the respondent and to any person who the applicant knows, or has reason to believe, is likely to be affected by any variation specified in the application.

    (2) On receipt of the notice under paragraph (1) the respondent shall give notice of the application to any person not already notified under that paragraph, who the respondent knows, or has reason to believe, is likely to be affected by any variation specified in the application.

Notice of application by tribunal
    
5.  - (1) On receipt of an application, other than an application made under Part 4 of the 1987 Act, the tribunal shall send a copy of the application and each of the documents accompanying it to each person named in it as a respondent.

    (2) On receipt of an application of a description specified in paragraph 2 of Schedule 1 (service charges, administration charges and estate charges), the tribunal shall give notice of the application to - 

    (3) On receipt of an application the tribunal may give notice to any other person it considers appropriate.

    (4) Any notice given under paragraph (2) or (3) shall include a statement that any person may make a request to the tribunal under regulation 6 to be joined as a party to the proceedings with details as to how such a request can be made.

    (5) Any notice given under paragraph (2) or (3) may be given by local advertisement.

    (6) In this regulation, "local advertisement" means publication of the notice in two newspapers (at least one of which should be a freely distributed newspaper) circulating in the locality in which the premises to which the application relates is situated.

Request to be treated as an applicant or respondent
    
6.  - (1) Any person may make a request to the tribunal to be joined as a party to the proceedings.

    (2) Any request under paragraph (1) - 

    (3) The tribunal may grant or refuse a request under paragraph (1).

    (4) As soon as possible after reaching its decision on a request under paragraph (1), the tribunal shall - 

    (5) Any person whose request under paragraph (1) is granted shall be treated as an applicant or respondent, as the case may be, for the purposes of regulations 8 to 18, 20 and 24.

    (6) In the regulations mentioned in paragraph (5) any reference to - 

shall be construed as including a person treated as such under this regulation and any reference to a party shall be construed as including any such person.

Non-payment of fees
    
7.  - (1) In any case where a fee which is payable under regulation 4 or 5 of the Leasehold Valuation Tribunals (Fees) (England) Regulations 2003[7] is not paid in accordance with those Regulations, the tribunal shall not proceed further with the application to which the fee relates until the fee is paid.

    (2) Where a fee remains unpaid for a period of one month from the date on which it becomes due, the application shall be treated as withdrawn unless the tribunal is satisfied that there are reasonable grounds not to do so.

Representative applications and other provisions for securing consistency
     8.  - (1) Where it appears to a tribunal that numerous applications - 

the tribunal may propose to determine only one of those applications ("the representative application") as representative of all of the applications on those matters which are the same or substantially the same ("the common matters"), and shall give notice of the proposal to the parties to all such applications.

    (2) A notice under paragraph (1) shall - 

    (3) Where no objection is received on or before the date specified in the notice - 

    (4) Where an objection is received on or before the date specified in the notice  - 

Subsequent applications where notice of the representative application given
    
9.  - (1) If, after a representative application has been determined, a subsequent application is made which includes any of the common matters on which the tribunal has made a decision in its determination of the representative application, and the applicant is a person to whom a notice under regulation 8(1) was given, the tribunal shall give notice to the parties to the subsequent application of - 

    (2) Where no objection is received on or before the date specified in the notice - 

    (3) Where an objection is received to the tribunal's proposal on or before the date specified in the notice - 

Subsequent applications where notice of representative application not given
    
10.  - (1) If, after a representative application has been determined, a subsequent application is made which includes any of the common matters on which the tribunal has made a decision in its determination of the representative application, and the applicant is not a person to whom a notice under regulation 8(1) was given, the tribunal shall give notice to the parties to the subsequent application of - 

    (2) Where no objection is received on or before the date specified in the notice - 

    (3) Where an objection is received to the tribunal's proposal on or before the date specified in the notice the tribunal shall determine the application in accordance with the following provisions of these Regulations.

Dismissal of frivolous etc applications
    
11.  - (1) Subject to paragraph (2), where - 

the tribunal may dismiss the application, in whole or in part.

    (2) Before dismissing an application under paragraph (1) the tribunal shall give notice to the applicant in accordance with paragraph (3).

    (3) Any notice under paragraph (2) shall state - 

    (4) An application may not be dismissed unless - 

Pre-trial review
    
12.  - (1) The tribunal may, whether on its own initiative or at the request of a party, hold a pre-trial review in respect of an application.

    (2) The tribunal shall give the parties not less than 14 days notice (or such shorter notice as the parties agree to) of the date, time and place of the pre-trial review.

    (3) At the pre-trial review the tribunal shall - 

    (4) The functions of the tribunal in relation to, or at, a pre-trial review may be exercised by any single member of the panel provided for in Schedule 10 to the Rent Act 1977[8] who is qualified to exercise them[9].

Determination without a hearing
     13.  - (1) A tribunal may determine an application without an oral hearing, in accordance with the following provisions of this regulation, if - 

    (2) The tribunal shall - 

    (3) At any time before the application is determined - 

    (4) Where a request is made or a notice given under paragraph (3) the application shall be determined in accordance with regulation 14.

    (5) The functions of the tribunal in relation to an application to be determined without an oral hearing may be exercised by a single member of the panel provided for in Schedule 10 to the Rent Act 1977, if he was appointed to that panel by the Lord Chancellor.

Hearings
    
14.  - (1) Subject to regulations 8(3), 9(2) and 10(2), a hearing shall be on the date and at the time and place appointed by the tribunal.

    (2) The tribunal shall give notice to the parties of the appointed date, time and place of the hearing.

    (3) Subject to paragraph (4), notice under paragraph (2) shall be given not less than 21 days (or such shorter period as the parties may agree) before the appointed date.

    (4) In exceptional circumstances the tribunal may, without the agreement of the parties, give less than 21 days notice of the appointed date, time and place of the hearing; but any such notice must be given as soon as possible before the appointed date and the notice must specify what the exceptional circumstances are.

    (5) The tribunal may arrange that an application shall be heard together with one or more other applications.

    (6) A hearing shall be in public unless, in the particular circumstances of the case, the tribunal decide that a hearing or part of a hearing shall be held in private.

    (7) At the hearing - 

    (8) If a party does not appear at a hearing, the tribunal may proceed with the hearing if it is satisfied that notice has been given to that party in accordance with these Regulations.

Postponement and adjournment
    
15.  - (1) Subject to paragraph (2) the tribunal may postpone or adjourn a hearing or pre-trial review either on its own initiative or at the request of a party.

    (2) Where a postponement or adjournment has been requested the tribunal shall not postpone or adjourn the hearing except where it considers it is reasonable to do so having regard to - 

    (3) The tribunal shall give reasonable notice of any postponed or adjourned hearing to the parties.

Documents
    
16.  - (1) Before the date of the hearing, the tribunal shall take all reasonable steps to ensure that each of the parties is given - 

    (2) At a hearing, if a party has not previously received a relevant document or a copy of, or sufficient extracts from or particulars of, a relevant document, then unless - 

the tribunal shall adjourn the hearing for a period which it considers will give that person a sufficient opportunity to deal with those matters.

Inspections
    
17.  - (1) A tribunal may inspect - 

    (2) Subject to paragraph (3), the tribunal shall give the parties an opportunity to attend an inspection.

    (3) The making of, and attendance at, an inspection is subject to any necessary consent being obtained.

    (4) Where an inspection is to be made in the case of an application which is to be determined under regulation 13, the tribunal shall give notice to the parties.

    (5) Where an inspection is to be made before a hearing, the tribunal shall give notice to the parties.

    (6) Where an inspection is to be made during or after the close of a hearing, the tribunal shall give notice to the parties at the hearing.

    (7) A notice under paragraph (4), (5) or (6) shall - 

    (8) Where an inspection is made after the close of a hearing, the tribunal may reopen the hearing on account of any matter arising from the inspection.

    (9) The tribunal shall give reasonable notice of the date, time and place of the reopened hearing to the parties.

    (10) Any of the requirements for notice in the preceding paragraphs may be dispensed with or relaxed - 

Decisions
    
18.  - (1) This regulation applies to a decision on the determination of an application by - 

    (2) If a hearing was held, the decision may be given orally at the end of the hearing.

    (3) A decision shall, in every case, be recorded in a document as soon as possible after the decision has been made.

    (4) A decision given or recorded in accordance with paragraph (2) or (3) need not record the reasons for the decision.

    (5) Where the document mentioned in paragraph (3) does not record the reasons for the decision, they shall be recorded in a separate document as soon as possible after the decision has been recorded.

    (6) A document recording a decision, or the reasons for a decision, shall be signed and dated by an appropriate person.

    (7) An appropriate person may, by means of a certificate signed and dated by him, correct any clerical mistakes in a document or any errors arising in it from an accidental slip or omission.

    (8) In this regulation, "appropriate person" means - 

    (9) A copy of any document recording a decision, or the reasons for a decision, and a copy of any correction certified under paragraph (7) shall be sent to each party.

Enforcement
    
19. Any decision of the tribunal may, with the permission of the county court, be enforced in the same way as orders of such a court.

Permission to appeal
    
20. Where a party makes an application to a tribunal for permission to appeal to the Lands Tribunal - 

Attendance by member of Council on Tribunals
    
21. A member of the Council on Tribunals, who is acting in that capacity, may - 

Information required by tribunal
    
22. Where a tribunal serves a notice requiring information to be given under paragraph 4 of Schedule 12 to the 2002 Act, the notice shall contain a statement to the effect that any person who fails without reasonable excuse to comply with the notice commits an offence and is liable on summary conviction to a fine not exceeding level 3 on the standard scale.

Notices
    
23.  - (1) Where any notice or other document is required under these Regulations to be given or sent to a person by the tribunal, it shall be sufficient compliance with the requirement if - 

    (2) A notice or other document may be sent as mentioned in paragraphs (1) (b) or (c)(ii) only if that person or his agent has given his consent.

    (3) A notice or other document sent as mentioned in paragraphs (1) (b) or (c)(ii) shall be regarded as sent when the text of it is received in legible form.

    (4) This paragraph applies where - 

    (5) Where paragraph (4) applies, the tribunal may - 

Allowing further time
    
24.  - (1) In a particular case, the tribunal may extend any period prescribed by these Regulations, or prescribed by a notice given under these Regulations, within which anything is required or authorised to be done.

    (2) A party may make a request to the tribunal to extend any such period but must do so before that period expires.

Revocation and saving
    
25.  - (1) Subject to paragraph (2) the Rent Assessment Committee (England and Wales) (Leasehold Valuation Tribunal) Regulations 1993[10] ("the 1993 Regulations") are hereby revoked in relation to England.

    (2) The revocation in paragraph (1) shall not have effect in relation to any application made, or proceedings transferred from a court, to a tribunal before 30 September 2003.



Signed by authority of the First Secretary of State


Keith Hill
Minister of State, Office of the Deputy Prime Minister

7th August 2003



SCHEDULE 1

Descriptions of Applications


Enfranchisement and extended leases
     1. Applications under - 

Service Charges, administration charges and estate charges
     2. Applications under - 

Estate management schemes
     3. Applications under Chapter 4 of Part 1 to the 1993 Act.

Right to manage
     4. Applications under - 

Appointment of a manager
     5. Applications under - 

Variation of leases
     6. Applications under Part 4 of the 1987 Act.

Cost of proceedings
     7. Applications under section 20C of the 1985 Act.



SCHEDULE 2

Particulars of Applications


Enfranchisement and extended leases
     1.  - (1) A copy of any notice served in relation to the enfranchisement.

    (2) The name and address of the freeholder and any intermediate landlord.

    (3) The name and address of any person having a mortgage or other charge over an interest in the premises the subject of the application held by the freeholder or other landlord.

    (4) Where an application is made under section 21(2) of the Leasehold Reform Act 1967[
14], the name and address of the sub-tenant, and a copy of any agreement for the sub-tenancy.

    (5) Where an application is made under section 13 of the 1987 Act[15], the date on which the landlord acquired the property and the terms of acquisition including the sums paid.

Service charges, administration charges and estate charges
     2.  - (1) Where an application is made under section 27A of the 1985 Act, the name and address of the secretary of any recognised tenants' association.

    (2) Where an application is made under paragraph 3 of Schedule 11 to the 2002 Act, a draft of the proposed variation.

    (3) A copy of the lease or, where appropriate, a copy of the estate management scheme.

Estate management charges
     3.  - (1) A copy of any estate management agreement or the proposed estate management scheme.

    (2) A statement that the applicant is either - 

    (3) Where an application is made under section 70 of the 1993 Act, a copy of the notice given by the applicant under section 70(4) of that Act.

    (4) Where - 

a description of the area of - 

    (5) Where an application is made under section 70 of the 1993 Act, a copy of any consent given by the Secretary of State under section 72(1) of that Act.

Right to manage
     4.  - (1) The name and address for service of the RTM company (within the meaning of Chapter 1 of Part 2 of the 2002 Act)[16].

    (2) The name and address of the freeholder, any intermediate landlord and any manager.

    (3) A copy of the memorandum and articles of association of the RTM company.

    (4) Where an application is made under section 84(3) of the 2002 Act, a copy of the claim notice and a copy of the counter notice received.

    (5) Where an application is made under section 85(2) of the 2002 Act - 

    (6) Where an application is made under section 94(3) of the 2002 Act an estimate of the amount of the accrued uncommitted service charges.

    (7) Where an application is made under section 99(1) of the 2002 Act, a description of the approval sought and a copy of the relevant lease.

    (8) Where an application is made under paragraph 5 of Schedule 6 to the 2002 Act, the date and circumstances in which the right to exercise the right to manage has ceased within the past four years.

Appointment of manager
     5.  - (1) Other than where an application is made under section 22(3) of the 1987 Act, a copy of the notice served under section 22 of that Act.

    (2) Where an application is made under section 24(9) of that Act, a copy of the management order.

Variation of leases
     6.  - (1) The names and addresses of any person served with a notice in accordance with regulation 4 of these Regulations.

    (2) A draft of the variation sought.



EXPLANATORY NOTE

(This note is not part of the Regulations)


These Regulations regulate the procedure to be followed in connection with applications made to a leasehold valuation tribunal. These Regulations apply to England only.

They replace, with amendments, the Rent Assessment Committee (England and Wales) (Leasehold Valuation Tribunal) Regulations 1993, which are revoked, subject to the saving provision contained in regulation 25.

Regulation 3 provides for general particulars to be included with all applications and specified particulars to be included with specified applications as set out in the Schedules.

Regulation 4 provides for notice to be given by the applicant and respondent where an application is made under Part 4 of the Landlord and Tenant Act 1987, while regulation 5 provides for notice to be given by the tribunal in the case of other applications. Regulation 5 also gives the tribunal the discretion to give notice by local advertisement.

Regulation 6 provides for the procedure to be followed where a person requests to be joined as a party to the proceedings.

Regulation 7 provides that an application may be treated as withdrawn if a fee is not paid for a period of one month from the date on which it becomes due.

Regulations 8-10 provide for securing consistency where numerous applications are or may be brought in respect of the same or substantially the same matters.

Regulation 11 provides for the dismissal of applications which are frivolous, vexatious or otherwise an abuse of process of the tribunal.

Regulation 12 provides for pre-trial reviews and allows the tribunal to give any directions that may be necessary for the expeditious and economical disposal of proceedings.

Regulation 13 provides for the determination of an application without an oral hearing and allows for such determinations to be undertaken by a single member of the panel provided for in Schedule 10 to the Rent Act 1977, who has been appointed by the Lord Chancellor.

Regulation 14 provides for hearings, it allows the tribunal to determine the procedure and gives the tribunal the discretion to give less than 21 days notice of the hearing where there are exceptional circumstances.

Regulation 15 provides for a hearing to be postponed or adjourned.

Regulation 16 ensures that the parties receive copies of the necessary documents.

Regulation 17 provides for the inspection of the house, premises or area which is the subject of the application, or any comparable house, premises or area.

Regulation 18 provides for the recording of decisions in respect of applications and enables the reasons for a decision to be recorded in a separate document after the decision has been recorded. It also makes provision for the correction of a document recording a decision or reasons.

Regulation 19 provides that any decision of the tribunal may, with the permission of the county court, be enforced in the same way as orders of such a court.

Regulation 20 provides for seeking permission to appeal to the Lands Tribunal.

Regulation 21 provides for the attendance at any hearing or inspection by a member of the Council on Tribunals.

Regulation 22 provides that any notice given by the tribunal under paragraph 4 of Schedule 12 to the Commonhold and Leasehold Reform Act 2002 ("the 2002 Act"), shall include a statement that any person who fails without reasonable excuse to comply with the notice commits an offence and is liable on summary conviction to a fine not exceeding level 3 on the standard scale.

Regulation 23 provides for the giving of notices and other documents. It allows such notices and documents to be given electronically with the consent of the recipient.

Regulation 24 gives the tribunal a discretion to extend any time period set out in the Regulations or set out in a notice sent under the Regulations.

Schedule 1 describes the applications which are governed by these Regulations. It includes applications under section 20ZA regarding the requirement on landlords to consult tenants for particular works, applications relating to administration charges and applications relating to the right to manage. These applications have been introduced by the 2002 Act.

Schedule 2 lists the particulars and documents required to be included with an application.


Notes:

[1] 1987 c. 31; section 35(5) amended by section 163(2) of the Commonhold and Leasehold Reform Act 2002 (c. 15) ("the 2002 Act"). The functions of the Secretary of State under section 35(5) were, so far as exercisable in relation to Wales, transferred to the National Assembly for Wales by article 2 of and Schedule 1 to the National Assembly for Wales (Transfer of Functions) Order 1999, S.I. 1999/672. Under section 177 of the 2002 Act, references to the 1987 Act in S.I. 1999/672 are to be treated as references to that Act as amended by Part 2 of the 2002 Act.back

[2] 2002 c. 15; see section 179 (1) for the definition of "the appropriate national authority" as respects England.back

[3] See, section 173 of the 2002 Act.back

[4] 1985 c. 70.back

[5] 1993 c. 28.back

[6] Amended by paragraph 10 of Schedule 2 to the Landlord and Tenant Act 1987.back

[7] S.I. 2003/[ ].back

[8] 1977 c. 42; to which there are amendments not relevant to these Regulations.back

[9] For who is qualified, see paragraph 5(3) of Schedule 12 to the 2002 Act.back

[10] S.I. 1993/2408, as amended by S.I. 1996/2305, S.I. 1997/74 and S.I. 1997/1854.back

[11] Inserted by section 151 of the 2002 Act from 31 October 2003 (S.I. 2003/1986 (c. 82)).back

[12] Inserted by section 155 of the 2002 Act from 30 September 2003 (S.I. 2003/1986 (c. 82)).back

[13] Amended by sections 165 and 180 of and Schedule 14 to the 2002 Act from 30 September 2003 (S.I. 2003/1986 (c. 82)).back

[14] Amended by section 142 and Schedule 22 to the Housing Act 1980.back

[15] Substituted by section 92(1) and Schedule 6 to the Housing Act 1996 (c. 52).back

[16] See, section 73 of the 2002 Act.back



ISBN 0 11 047329 9


  Prepared 18 August 2003


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