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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 -
(b) for the purposes of paragraph 2(a) of Schedule 1, on 31st October 2003.
(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 -
(b) in any other case, 30th September 2003.
Interpretation
(b) the person who is the claimant or applicant in proceedings before a court which are transferred by order of the court to a tribunal;
(b) a transferred application;
(b) the person who is the defendant or respondent in proceedings before a court which are transferred by order of the court to a tribunal;
Particulars of applications
(b) the name and address of the respondent; (c) the name and address of any landlord or tenant of the premises to which the application relates; (d) the address of the premises to which the application relates; and (e) a statement that the applicant believes that the facts stated in the application are true.
(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.
(b) no prejudice will, or is likely to, be caused to any party to the application.
Notice of application under Part 4 of the 1987 Act
(b) any person, whose name and address the tribunal has, who the tribunal considers is likely to be significantly affected by the application.
(3) On receipt of an application the tribunal may give notice to any other person it considers appropriate.
(b) shall specify whether the person making the request wishes to be treated as -
(ii) a respondent
to the application.
(3) The tribunal may grant or refuse a request under paragraph (1).
(b) send a copy of the notification to the applicant and the respondent.
(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.
(b) a respondent
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.
(b) include some matters which are the same or substantially the same,
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.
(b) specify the application which the tribunal proposes to determine as the representative application; (c) explain that the tribunal's decision on the common matters in the representative application will apply to the common matters in any application made by a person to whom notice has been given under that paragraph; (d) invite objections to the tribunal's proposal to determine the representative application; and (e) specify the address to which objections may be sent and the date (being not less than 21 days after the date that the notice was sent) by which the objections must be received by the tribunal.
(3) Where no objection is received on or before the date specified in the notice -
(b) the tribunal need not determine the matters mentioned in paragraph (1)(a) in any other application made by a person to whom a notice under paragraph (1) has been given; and (c) the decision of the tribunal in respect of the representative application shall be recorded as the decision of the tribunal in respect of the common matters in any such other application.
(4) Where an objection is received on or before the date specified in the notice -
(b) the application in respect of which an objection was made may be determined together with the representative application.
Subsequent applications where notice of the representative application given
(b) the decision recorded in respect of the common matters in the representative application; (c) the date on which notice under regulation 8(1) was given to the applicant; (d) the tribunal's proposal to record the tribunal's decision on the common matters in the subsequent application in identical terms to the decision in the representative application; (e) the address to which objections to the tribunal's proposal may be sent and the date (being not less than 21 days after the date that the notice was sent) by which such objections must be received by the tribunal; and (f) a statement that any objection must include the grounds on which it is made and, in particular, whether it is alleged that the notice under regulation 8(1) was not received by the person making the objection.
(2) Where no objection is received on or before the date specified in the notice -
(b) the decision of the tribunal in respect of the common matters in the representative application shall be recorded as the decision of the tribunal in respect of the common matters in the subsequent application.
(3) Where an objection is received to the tribunal's proposal on or before the date specified in the notice -
(b) if the tribunal dismisses the objection, it may record the decision mentioned in paragraph (1)(b) as the decision of the tribunal in the subsequent application.
Subsequent applications where notice of representative application not given
(b) the decision recorded in respect of those common matters in the representative application; (c) the tribunal's proposal to record its decision on the common matters in the subsequent application in identical terms to the decision in the representative application; and (d) the address to which objections to the tribunal's proposal may be sent and the date (being not less than 21 days after the date that the notice was sent) by which such objections must be received by the tribunal.
(2) Where no objection is received on or before the date specified in the notice -
(b) the decision of the tribunal in respect of the common matters in the representative application shall be recorded as the decision of the tribunal in respect of the common matters in the subsequent application.
(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.
(b) the respondent to an application makes a request to the tribunal to dismiss an application as frivolous or vexatious or otherwise an abuse of the process of the tribunal,
the tribunal may dismiss the application, in whole or in part.
(b) the grounds on which it is minded to dismiss the application; (c) the date (being not less than 21 days after the date that the notice was sent) before which the applicant may request to appear before and be heard by the tribunal on the question whether the application should be dismissed.
(4) An application may not be dismissed unless -
(b) where the applicant makes such a request, the tribunal has heard the applicant and the respondent, or such of them as attend the hearing, on the question of the dismissal of the application.
Pre-trial review
(b) endeavour to secure that the parties make all such admissions and agreements as ought reasonably to be made by them in relation to the proceedings; and (c) record in any order made at the pre-trial review any such admission or agreement or any refusal to make such admission or agreement.
(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].
(b) the respondent withdraws his opposition to the application; or (c) the applicant and respondent so agree in writing.
(2) The tribunal shall -
(b) invite written representations on the application; (c) set time limits for sending any written representations to the tribunal; and (d) set out how the tribunal intends to determine the matter without an oral hearing.
(3) At any time before the application is determined -
(b) the tribunal may give notice to the parties that it intends to determine the application at a hearing in accordance with regulation 14.
(4) Where a request is made or a notice given under paragraph (3) the application shall be determined in accordance with regulation 14.
(b) a person appearing before the tribunal may do so either in person or by a representative authorised by him, whether or not that representative is a barrister or a solicitor; and (c) a person appearing before the tribunal may give evidence on his own behalf, call witnesses, and cross-examine any witnesses called by any other person appearing.
(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.
(b) the time at which the request is made; and (c) the convenience of the other parties.
(3) The tribunal shall give reasonable notice of any postponed or adjourned hearing to the parties.
(b) a copy of any document which embodies the results of any relevant enquiries made by or for the tribunal for the purposes of the proceedings.
(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 -
(b) the tribunal considers that that person has a sufficient opportunity to deal with the matters to which the document relates without an adjournment of the hearing,
the tribunal shall adjourn the hearing for a period which it considers will give that person a sufficient opportunity to deal with those matters.
(b) any comparable house, premises or area to which its attention is directed.
(2) Subject to paragraph (3), the tribunal shall give the parties an opportunity to attend an inspection.
(b) be given not less than 14 days before that date.
(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.
(b) if the tribunal is satisfied that the parties have received sufficient notice.
Decisions
(b) a single member, as mentioned in regulation 13(5).
(2) If a hearing was held, the decision may be given orally at the end of the hearing.
(ii) in the event of his absence or incapacity, another member of the tribunal who was appointed by the Lord Chancellor;
(b) in any other case -
(ii) in the event of his absence or incapacity, another member of the tribunal.
(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.
(b) a copy of the application shall be served by the tribunal on every other party.
Attendance by member of Council on Tribunals
(b) attend any inspection for which any necessary consent has been obtained; (c) be present during, but not take part in, a tribunal's deliberations in respect of an application.
Information required by tribunal
(b) it is sent to that person by fax or other means of electronic communication which produces a text of the document; (c) where that person has appointed an agent or representative to act on his behalf -
(ii) it is sent to the agent or representative by fax or other means of electronic communication which produces a text of the document.
(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.
(ii) has died and has no personal representative; or (iii) is out of the United Kingdom; or
(b) for any other reason a notice or other document cannot readily be given or sent in accordance with these Regulations.
(5) Where paragraph (4) applies, the tribunal may -
(b) may give directions for substituted service in such other form (whether by advertisement in a newspaper or otherwise) or manner as the tribunal think fit.
Allowing further time Enfranchisement and extended leases 1. Applications under -
(b) section 13 of the 1987 Act; (c) section 31 of that Act; (d) section 24 of the 1993 Act; (e) section 25 of that Act; (f) section 27 of that Act; (g) section 48 of that Act; (h) section 51 of that Act; (i) section 88 of that Act; (j) section 91 of that Act; (k) section 94 of that Act; and (l) paragraph 2 of Schedule 14 to that Act.
Service Charges, administration charges and estate charges
(b) section 27A of that Act[12]; (c) paragraph 8 of the Schedule to that Act[13]; (d) section 159 of the 2002 Act; (e) paragraph 3 of Schedule 11 to that Act; and (f) paragraph 5 of Schedule 11 to that Act.
Estate management schemes
(b) section 85 of that Act; (c) section 88 of that Act; (d) section 94 of that Act; (e) section 99 of that Act; and (f) paragraph 5 of Schedule 6 to that Act.
Appointment of a manager
(b) section 24 of that Act.
Variation of leases 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 -
(b) a representative body within the meaning of section 71(3) of the 1993 Act; or (c) a relevant authority within the meaning of section 73(5) of that Act.
(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.
(b) approval is sought to modify the area of an existing scheme; or (c) approval is sought to vary an existing scheme
a description of the area of -
(ii) the proposed modification; or (iii) the proposed variation,
including identification of the area by a map or plan.
(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.
(b) a copy of the notice given under section 85(3) of the 2002 Act together with a statement that such notice has been served on all qualifying tenants; (c) a statement describing the circumstances in which the landlord cannot be identified or traced.
(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. (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 [6] Amended by paragraph 10 of Schedule 2 to the Landlord and Tenant Act 1987.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
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