First-tier Tribunal Grants Dispensation for Window Replacement

OUTCOME: Allowed

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FIRST-TIER TRIBUNAL PROPERTY CHAMBER (RESIDENTIAL PROPERTY) Case reference : LON/00BG/LDC/2023/0088 HMCTS Code : P:PAPERREMOTE Property : 69 [ADDRESS] [POSTCODE] Applicant : [redacted] : [NAME] Respondents : [redacted] Type of [NAME] : An [NAME] for dispensation from the consultation requirements of s.20 Landlord and Tenant Act 1985 Tribunal member : Judge D Brandler Date determination : 17th July 2023

DECISION

2 Covid-19 pandemic: description of hearing This has been a remote hearing on the papers which has not been objected to by the parties. The form of remote hearing was P:PAPERREMOTE. A face-to- face hearing was not held because it was not practicable and no-one requested the same and all issues could be determined on paper. The documents that I was referred to are in an electronic bundle prepared by the applicant containing 58 pages. References in this decision are to page numbers in square brackets. The order made is described at the end of these reasons. Decision

1. The Tribunal grants the Applicant dispensation from the statutory consultation requirements in respect of replacement of the windows and patio doors at flats 12 and 13, 69 [ADDRESS] [POSTCODE].

Background to the [NAME]

2. The Tribunal did not inspect the building as it considered the documentation and information before it in the appeal bundle enabled the Tribunal to proceed with this determination.

3. This has been a paper hearing which has not been objected to by the parties. The Tribunal had before it an electronic bundle prepared by the applicant in accordance with the Tribunal’s directions issued on 21/04/2023.

4. The applicant landlord seeks dispensation under section 20ZA of the Landlord and Tenant Act 1985 (“the 1985 Act”) from the consultation requirements imposed on the landlord by section 20 of the 1985 Act in respect of replacement of windows and patio doors in and around the building.

5. The [NAME] asserts that the works are urgent because “The windows and patio doors are causing a mass health and safety issue and have had to be temporarily sealed. Furthermore, the windows are now causing more damage to the property and there are fears leaks could affect the structure of the building. In the event of a fire, no windows at the property will be able to be opened to the outside. Both sub-tenants and leaseholders are claiming the building is becoming inhabitable (sic)” [21]. Unfortunately, no evidence was provided to support any of these allegations contained in this statement, which appears at paragraph 6 of the witness statement of [NAME], who is a property manager at [COMPANY] (trading as [NAME]), the agents for the property.

6. The only document provided is an order confirmation from Euro Windows (UK) [COMPANY] / Euro Glass (UK). That order is dated 09/03/2023

3 for windows for flats 12 and 13 for a total cost of £16,284.00 inclusive of VAT [32].

7. There are no quotations for the windows or patio doors for the remainder of the flats in the building, and so it is unclear on what basis the danger to health has been caused and why the statement of [NAME] appears to claim that all the windows and doors in the property require replacement.

8. Nor is it known whether the works to the windows and doors of flats 12 and 13 have been completed, in 2023, or previously in 2021.

9. The building is a purpose built block of 13 flats. The leaseholders’ case 10. No objections to this [NAME] have been received by the Tribunal.

Reasons for Decision

11. The only issue for the Tribunal to decide is whether or not it is reasonable to dispense with the statutory consultation requirements. This [NAME] does not concern the issue of whether or not service charges will be reasonable or payable.

12. Having read the evidence and submissions from the applicant and noted that there have been no objections to this [NAME], the Tribunal determines the dispensation issues as follows.

13. Section 20 of the Landlord and Tenant Act 1985 (as amended) and the Service Charges (Consultation Requirements) (England) Regulations 2003 require a landlord planning to undertake major works, where a leaseholder will be required to contribute over £250 towards those works, to consult the leaseholders in a specified form.

14. Should a landlord not comply with the correct consultation procedure, it is possible to obtain dispensation from compliance with these requirements by such an [NAME] as is this one before the Tribunal. Essentially the Tribunal must be satisfied that it is reasonable to do so.

15. The leading authority in relation to s.20ZA dispensation requests is [COMPANY] v Benson [2013] 1 WLR 854 (“Benson”) in which the Supreme Court set out guidance as to the approach to be taken by a tribunal when considering such applications. This was to focus on the extent, if any, to which the lessees were prejudiced in either paying for inappropriate works or paying more than would be appropriate, because of the failure of the landlord to comply with the

4 consultation requirements. In his judgment, Lord [NAME] said as follows;

44. Given that the purpose of the Requirements is to ensure that the tenants are protected from (i) paying for inappropriate works or (ii) paying more than would be appropriate, it seems to me that the issue on which the LVT should focus when entertaining an [NAME] by a landlord under section 20ZA(1) must be the extent, if any, to which the tenants were prejudiced in either respect by the failure of the landlord to comply with the Requirements.

45. Thus, in a case where it was common ground that the extent, quality and cost of the works were in no way affected by the landlord’s failure to comply with the Requirements, I find it hard to see why the dispensation should not be granted (at least in the absence of some very good reason): in such a case the tenants would be in precisely the position that the legislation intended them to be – ie as if the Requirements had been complied with.

16.

Accordingly, the Tribunal had to consider whether there was any prejudice that may have arisen out of the conduct of the applicant and whether it was reasonable for the Tribunal to grant dispensation following the guidance set out above.

17. The Tribunal is of the view that, taking into account that no objection has been received from any of the leaseholders, it could not find prejudice to them by the granting of dispensation relating to the remedial works to windows and doors at flats 12 and 13.

18. However, the Tribunal noted that this is not the first [NAME] in relation to dispensation for windows and patio doors to be installed at flats 12 and 13 in the building. The previous decision made in relation to the installation of windows in those flats at the property was made on 04/05/2021, under case reference LON/00BG/LDC/2021/0065. That [NAME] provided a report dated October 2020 from a Chartered Building Surveyor recommending as follows “It is my recommendation the whole front window and door frames sets to both flats 12 & 13 are replaced with good quality aluminium sliding doors with waterproof sills, set on raised sills 150mm above the level of the patio roof terraces to give sufficient upstand to weatherproof the joint between the sill and the roof….”.

5 19. Further to that [NAME], dispensation was granted for works to windows and door frame sets in flats 12 and 13 and associated works relating to leaks in the flats below. Works at the date of that [NAME] were said not to have been commenced. That decision appears to have been made prior to the existence of the [COMPANY]. The current [NAME] makes no reference to that previous decision, or whether those works were carried out.

20. What is clear in the current [NAME] is that it lacks accuracy or detail about why window works are required, and the quotation refers only to flats 12 and 13, the same flats that were subject of the recommendations detailed above. The Tribunal assumes that the works were not previously carried out as recommended. Such failure appears to have resulted in the same [NAME] having been made to the Tribunal some two years later, without a report supporting the claims made. Nevertheless, no leaseholder has objected to this [NAME] which leads to Tribunal to find that the works were not previously carried out.

21. The leaseholders of the building will have the opportunity to challenge any duplication of works, if so advised, in an [NAME] for liability and reasonableness of service charges. That is not a matter for this [NAME].

22. As stated above, the only issue for the Tribunal to decide is whether or not it is reasonable to dispense with the statutory consultation requirements. This [NAME] does not concern the issue of whether or not service charges will be reasonable or payable.

23. The Tribunal grants the applicant retrospective dispensation from the statutory consultation requirements in respect of remedial works to windows at flats 12 and 13, 69 [ADDRESS] [POSTCODE] ("The building").

24. The Tribunal will serve this decision on all the leaseholders of the flats at the building.

Judge D Brandler 17th July 2023

APPENDIX 1 RIGHTS OF APPEAL

1. If a party wishes to appeal this decision to the Upper Tribunal (Lands Chamber) then a written [NAME] for permission must be made to

6 the First-tier Tribunal at the Regional office which has been dealing with the case.

2. The [NAME] for permission to appeal must arrive at the Regional office within 28 days after the Tribunal sends written reasons for the decision to the [NAME].

3. If the [NAME] is not made within the 28 day time limit, such [NAME] must include a request for an extension of time and the reason for not complying with the 28 day time limit; the Tribunal will then look at such reason(s) and decide whether to allow the [NAME] for permission to appeal to proceed despite not being within the time limit.

4. The [NAME] for permission to appeal must identify the decision of the Tribunal to which it relates (i.e. give the date, the property and the case number), state the grounds of appeal, and state the result the party [NAME] the [NAME] is seeking.

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APPENDIX 2 RELEVANT LEGISLATION

Landlord and Tenant Act 1985

20ZA. Consultation requirements: supplementary (1) Where an [NAME] is made to the appropriate tribunal for a determination to dispense with all or any of the consultation requirements in relation to any qualifying works or qualifying long term agreement, the tribunal may make the determination if satisfied that it is reasonable to dispense with the requirements.

Service Charges (Consultation Requirements) (England) Regulations 2003. Part 2 - consultation requirements for qualifying works for which public notice is not required Notice of intention 1. (1) The landlord shall give notice in writing of his intention to carry out qualifying works— (a) to each tenant; and (b) where a [COMPANY] represents some or all of the tenants, to the association. (2) The notice shall— (a) describe, in general terms, the works proposed to be carried out or specify the place and hours at which a description of the proposed works may be inspected; (b) state the landlord’s reasons for considering it necessary to carry out the proposed works; (c) invite the [NAME], in writing, of observations in relation to the proposed works; and (d) specify—

8 (i) the address to which such observations may be sent; (ii) that they must be delivered within the relevant period; and (iii) the date on which the relevant period ends. (3) The notice shall also invite each tenant and the association (if any) to propose, within the relevant period, the name of a person from whom the landlord should try to obtain an estimate for the carrying out of the proposed works.

Inspection of description of proposed works 2. (1) Where a notice under paragraph 1 specifies a place and hours for inspection— (a) the place and hours so specified must be reasonable; and (b) a description of the proposed works must be available for inspection, free of charge, at that place and during those hours. (2) If facilities to enable copies to be taken are not made available at the times at which the description may be inspected, the landlord shall provide to any tenant, on request and free of charge, a copy of the description. Duty to have regard to observations in relation to proposed works 3. Where, within the relevant period, observations are made, in relation to the proposed works by any tenant or [COMPANY], the landlord shall have regard to those observations.

Estimates and response to observations 4. (1) Where, within the relevant period, a nomination is made by a [COMPANY] (whether or not a nomination is made by any tenant), the landlord shall try to obtain an estimate from the [NAME].

(2) Where, within the relevant period, a nomination is made by only one of the tenants (whether or not a nomination is made by a

9 [COMPANY]), the landlord shall try to obtain an estimate from the [NAME].

(3) Where, within the relevant period, a single nomination is made by more than one tenant (whether or not a nomination is made by a [COMPANY]), the landlord shall try to obtain an estimate— (a) from the person who received the most nominations; or (b) if there is no such person, but two (or more) persons received the same number of nominations, being a number in excess of the nominations received by any other person, from one of those two (or more) persons; or (c) in any other case, from any [NAME].

(4) Where, within the relevant period, more than one nomination is made by any tenant and more than one nomination is made by a [COMPANY], the landlord shall try to obtain an estimate— (a) from at least one person [NAME] by a tenant; and (b) from at least one person [NAME] by the association, other than a person from whom an estimate is sought as mentioned in paragraph (a). (5) The landlord shall, in accordance with this sub-paragraph and sub-paragraphs (6) to (9)— (a) obtain estimates for the carrying out of the proposed works; (b) supply, free of charge, a statement (“the paragraph (b) statement”) setting out— (i) as regards at least two of the estimates, the amount specified in the estimate as the estimated cost of the proposed works; and (ii) where the landlord has received observations to which (in accordance with paragraph 3) he is required to have regard, a summary of the observations and his response to them; and

10 (c) make all of the estimates available for inspection. (6) At least one of the estimates must be that of a person wholly unconnected with the landlord. (7) For the purpose of paragraph (6), it shall be assumed that there is a connection between a person and the landlord— (a) where the landlord is a company, if the person is, or is to be, a director or manager of the company or is a close relative of any such director or manager; (b) where the landlord is a company, and the person is a partner in a [NAME], if any partner in that [NAME] is, or is to be, a director or manager of the company or is a close relative of any such director or manager; (c) where both the landlord and the person are companies, if any director or manager of one company is, or is to be, a director or manager of the other company; (d) where the person is a company, if the landlord is a director or manager of the company or is a close relative of any such director or manager; or (e) where the person is a company and the landlord is a partner in a [NAME], if any partner in that [NAME] is a director or manager of the company or is a close relative of any such director or manager. (8) Where the landlord has obtained an estimate from a [NAME], that estimate must be one of those to which the paragraph (b) statement relates. (9) The paragraph (b) statement shall be supplied to, and the estimates made available for inspection by— (a) each tenant; and (b) the secretary of the [COMPANY] (if any). (10) The landlord shall, by notice in writing to each tenant and the association (if any)—

11 (a) specify the place and hours at which the estimates may be inspected; (b) invite the [NAME], in writing, of observations in relation to those estimates; (c) specify— (i) the address to which such observations may be sent; (ii) that they must be delivered within the relevant period; and (iii) the date on which the relevant period ends.

(11) Paragraph 2 shall apply to estimates made available for inspection under this paragraph as it applies to a description of proposed works made available for inspection under that paragraph.

Duty to have regard to observations in relation to estimates 5. Where, within the relevant period, observations are made in relation to the estimates by a [COMPANY] or, as the case may be, any tenant, the landlord shall have regard to those observations. Duty on entering into contract 6. (1) Subject to sub-paragraph (2), where the landlord enters into a contract for the carrying out of qualifying works, he shall, within 21 days of entering into the contract, by notice in writing to each tenant and the [COMPANY] (if any)— (a) state his reasons for awarding the contract or specify the place and hours at which a statement of those reasons may be inspected; and (b) there he received observations to which (in accordance with paragraph 5) he was required to have regard, summarise the observations and set out his response to them.

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(2) The requirements of sub-paragraph (1) do not apply where the person with whom the contract is made is a [NAME] or submitted the lowest estimate.

(3) Paragraph 2 shall apply to a statement made available for inspection under this paragraph as it applies to a description of proposed works made available for inspection under that paragraph.