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Fire Protection Enforcement Policy

Scope

This policy details the engagement and enforcement made with the businesses of Nottingham and Nottinghamshire, and Nationally through our Primary Authority (PA) partnership. It is to be used and viewed by the public, other enforcing, and consulting bodies, as well as employees of Nottinghamshire Fire and Rescue Service.

Summary

This policy sets out how the Service will enforce the Regulatory Reform (Fire Safety) Order 2005 with businesses under its jurisdiction. Our priority continues to be supporting businesses in accordance with the Better Regulators Delivery Office (BRDO) Regulators Code. This builds on the Services continued support for making businesses in Nottingham and Nottinghamshire safer and improves people’s lives.

Security classification- Official

Author - GM Protection

Department - Prevention & Protection

Approved by - Head of Prevention, Protection & Fire Investigation

Assessments done- EIA not applicable 15/11/2022

Version Date Modified by (job role) Changes
1.0 13.02.20 GM Protection New policy document
2.0 15.12.22 SM Protection Policy Document review to reflect National Competency Framework and progress from HMICFRS report
3.0 27.11.23 SM Protection Policy Document review to reflect changes to fire safety legislation and the new document format
4.0 01.12.23 IG Officer Changed to new template, fixed related document links, added review period, added core code of ethics statement.
5.0 08.02.24 SM Protection Revision made to reflect potential use of Remediation Orders.

Key Information

  1. Introduction
    1. This policy sets out how the Service will enforce the Regulatory Reform (Fire Safety) Order 2005 with businesses under its jurisdiction. Our priority continues to be supporting businesses in accordance with the Better Regulators Delivery Office (BRDO) Regulators Code. This builds on the Services continued support for making businesses in Nottingham and Nottinghamshire safer and improves people’s lives.
  2. Application
    1. This policy is mandatory for all employees taking part in Fire Protection Activity on behalf of Nottinghamshire Fire and Rescue Service.
  3. Policy Statement
    1. The Regulatory Reform (Fire Safety) Order 2005 places a statutory duty on Nottinghamshire Fire and Rescue Service (NFRS) to enforce the Order for premises that do not fall under the regulatory responsibility of the Health & Safety Executive, Defence, Crown, or Local Authority.
    2. The purpose of this Enforcement Policy is to detail the process that all Fire Safety Inspectors or other warranted officers will use when deciding what action to take when carrying out their statutory duties on behalf of the Nottinghamshire Fire & Rescue Service (the Authority).
    3. NFRS’s vision is ‘Creating Safer Communities’ and this is fulfilled through the organisations Community Risk Management Plan (CRMP). The Service’s Annual Business plans outline the core activities and ambitions of the Service in relation to fire protection activities, within Service Delivery.
    4. This Enforcement Policy is based on the principles of ‘Better Regulation’ contained in the Regulators Compliance Code and sets out the approach the NFRS will take in enforcing legislation. It will be used in conjunction with guidance issued by Parliament; Department for Levelling Up, Housing and Community; the Department for Business, Energy and Industrial Strategy, other relevant government departments and agencies; and the Local Better Regulation Office.
    5. Compliance with fire safety legislation will be achieved through engagement and education - by providing advice and guidance to business owners and Responsible Persons - and by formal enforcement action if required. Securing compliance with statutory requirements and proportionate use of enforcement powers, including prosecution, are important parts of this document.
    6. This document has been developed in accordance with the Core Code of Ethics for Fire and Rescue Services in England to support a consistent approach to ethics, including behaviours, by fire and rescue services in England.

Primary information

  1. Definitions
    • BRDO: Better Regulators Delivery Office
    • BEA: Business Education Advocate
    • CFRMIS: Community Risk Management Information System
    • CRMP: Community Risk Management Plan
    • EMM: Enforcement Management Model
    • FSI: Fire Safety Inspector
    • FSM: Fire Safety Manager
    • GM: Group Manager
    • HMICFRS: His Majesty’s Inspectorate for Constabularies, and Fire and Rescue Services
    • HSE: Health and Safety Executive
    • NER: National Enforcement Register
    • NFCC: National Fire Chiefs Council
    • NFRS: Nottinghamshire Fire and Rescue Service
    • PA: Primary Authority (Scheme)
    • RBIP: Risk Based Inspection Program
    • RRO: Regulatory Reform (Fire Safety) Order 2005
    • SM: Station Manager
  2. Advice and Guidance
    1. NFRS regards ‘prevention as better than cure’ and aims to secure compliance, whilst avoiding bureaucracy or imposing excessive cost, by engaging with business owners and responsible persons; offering information and advice to maintain fire safety.
    2. By educating business and commerce on fire safety issues, to ensure that preventative remedial action is taken to protect relevant persons, it seeks to secure compliance with the regulatory system. This action may take the form of engagement or enforcement.
    3. Engagement is the preferred method. Here individuals, businesses and other undertakings are given general advice being encouraged to improve fire safety measures and integrate fire prevention and fire protection requirements into normal working methods. Where applicable and appropriate NFRS will give specific advice on a targeted basis dependent upon the business needs.

      The purpose of engagement is to:

      • Actively engage the business and commercial sector to raise awareness and understanding of responsibilities in respect of fire safety and the regulatory reform framework.
      • Develop effective partnerships and relationships to improve the application of fire safety methodology.
      • Work with interested parties towards the achievement of mutually agreed solutions to fire safety deficiencies.

    4. Enforcement covers a broad range of interactions between NFRS and those with whom we regulate. While it is understood that it is primarily the responsibility of individuals and businesses to ensure compliance with relevant legislation, NFRS will help them, where possible, to understand their legal responsibilities and ensure that preventative remedial action is taken to protect relevant persons.

      The purpose of enforcement is to:

      • Promote and achieve sustained compliance with the law.
      • Promote and achieve the appropriate level of fire safety to protect people from harm.
      • Ensure that the person responsible for the premises subject to fire safety regulation takes action to deal immediately with serious risks to the safety of relevant persons.
      • Ensure those individuals, businesses and other undertakings that breaches in fire safety legislation are dealt with appropriately, which may include criminal proceedings.

    5. Only Fire Safety Inspectors or appropriately warranted personnel, appointed by the Chief Fire Officer, may undertake enforcement duties on behalf of The Authority.
    6. All warranted personnel including Fire Safety Inspectors undertaking enforcement duties, will be suitably trained to ensure they are competent to undertake their enforcement activities in line with the National Fire Chief’s Council (NFCC) Competency Framework for Fire Safety Regulators.
    7. Whilst NFRS recognises that the Competency Framework for Fire Safety Regulators is a beneficial objective which will provide identified benchmarks to confirm competences, NFRS notes the acknowledgement in paragraph 6.3 (within the above document) that it may take time for enforcing authorities to implement the Framework. NFRS’s position is that its fire safety regulators, who are working towards the objectives of the Framework, are not to be regarded as not competent to carry out their respective fire safety duties, if such officers meet all other criteria for competence in the Framework, as fire safety regulators will only be appointed to roles which NFRS considers that its fire safety regulators can competently fulfil.
    8. These competencies will be reviewed on a regular basis along with the training requirements to achieve the necessary level of competence. The standards of a range of Fire Protection activities are quality assured regularly against the expectations set out within the NFCC Competency Framework.
    9. Whilst conducting their duties all warranted staff will strive to explain any non-compliance in ‘plain English’. NFRS will seek to avoid gold plating and where possible allow the Responsible Person to explore the use of alternative solutions, by assessing their suitability. In doing so there may be a need for the Responsible Person to consult with other regulatory bodies for example Building Control Body on measures that require compliance with Building Regulations.
    10. Where applicable Fire Safety Audits completed under the Regulatory Reform (Fire Safety) Order 2005 will be recorded on the Fire Safety Audit and Data Gathering Form and stored securely on the Community Fire Risk Management Information System (CFRMIS) utilising the principles of NFCC Audit Procedures. The use of the Audit form, which is commonly used by most of the Fire and Rescue Services in England and Wales, promotes consistency when assessing the levels of compliance and subsequent enforcement outcomes.
    11. NFRS uses a Risk Based Inspection Program (RBIP) whereby priority will be given to premises that have been assessed as being of higher risk. The greatest audit and inspection effort will be directed to premises where any fire safety deficiencies would pose a serious risk to the safety of relevant persons and NFRS has reason to believe that there is a high likelihood of non-compliance with the law.
    12. Any instances of concerns regarding fire safety and statutory consultations will be actioned within a reasonable time frame according to the risk or within any statutory response period.
    13. Enforcement decisions shall be consistent, balanced, fair and relate to common standards that ensure the public, businesses and employees are adequately protected. In making such decisions the Health and Safety Executive (HSE) Enforcement Management Model (EMM), will be used and is included in the Premises Audit form template. This method is accepted as national best practice by Fire & Rescue Services and Local Authorities having enforcement responsibilities.
    14. In deciding what action to take to secure compliance with the law, the Authority will consider the following:
      • The nature and seriousness of any alleged offence/s
      • The risk of death or serious injury
      • Previous experience and record of compliance of the responsible person
      • Action taken to prevent any recurrence
      • The likely effectiveness of the various enforcement options
      • Any explanation offered and the circumstances and attitude of the responsible person
      • Any statutory defence available.
    15. NFRS will always seek to apply enforcement activity that is proportionate, primarily to the circumstances of the offence and the risk to life. In doing so consideration will also be given to other factors such as the size of the business or undertaking and the nature of its activities.
    16. Possible Engagement or Enforcement action could include:
      • Educate and Inform
      • Letter of Fire Safety Matters
      • Agreed Action Plan
      • Relevant Statutory Notice (Enforcement / Alterations Notice) identifying the action required
      • Prohibition / Restriction of use
      • Remediation Order
      • Undertaking an investigation into potential fire safety breaches in legislation which may result in the offer of a simple caution or prosecution being sought.
      • Referral to other agencies
    17. NFRS will keep its regulatory activities under review through management of its fire safety enforcement function. This will ensure, so far as reasonably practicable, that all actions are proportionate and impose the minimum burden necessary to secure reasonable compliance with the law.
    18. NFRS recognises that the decision to seek a conviction in a Court of Law is significant and could have far reaching consequences for the offender. The decision to prosecute is a serious step. Fair and effective prosecution forms a legitimate element of the Authority’s strategy to reduce the risk of death and injury by enforcing fire safety law. Any prosecution has serious implications for all involved – including the person prosecuted, casualties, witnesses and Service personnel. NFRS will apply the guidance set out below along with guidance produced by the NFCC so that it can make fair and consistent decisions about prosecutions
    19. The decision to prosecute will take account of the evidential test and the relevant public interest factors. No prosecution may go ahead unless the Authority finds there is sufficient evidence to provide a realistic prospect of conviction and decides that prosecution would be in the public interest.
    20. The preferred position of NFRS will be to advise and guide rather than serve notices or prosecute, but the Service absolutely reserves the right to act in the public interest according to the circumstances of each case.
    21. NFRS will consider the following public interest factors (public interest test) in deciding whether or not to prosecute:
      • The nature and seriousness of any alleged offence(s)
      • The risk of death or serious injury
      • Previous experience and record of compliance of the Responsible Person
      • Action taken to prevent recurrence
      • The likely effectiveness of the various enforcement options
      • Any explanation offered and the circumstances and attitude of the Responsible Person
      • Any statutory defence available.
    22. Where there is sufficient evidence (evidential test), NFRS will normally consider prosecution in any of the following circumstances:
      • Breaches of legislation that placed people at risk of death or serious injury
      • Persistent breaches of statutory requirements in relation to the same undertaking
      • Failure to comply with formal remedial requirements
      • Reckless disregard for fire safety requirements
      • Failure to supply information without reasonable excuse or knowingly or recklessly supplying false or misleading information
      • Obstruction of warranted personnel in carrying out their powers. NFRS regards the obstruction of, or assaults on, its warranted personnel while lawfully carrying out their duties as a serious matter.
    23. NFRS will consider publicising any conviction, which could serve to draw attention to the need to comply with fire safety requirements or deter anyone tempted to disregard their duties under fire safety law.
    24. Where any statutory notice is served the Authority will publish the details on its website and will also publish the notices as an entry on the NFCC National Enforcement Register. This will be done in accordance with the Environment and Safety Information Act 1988.
    25. If any person is unhappy with the action taken, the information or advice given by Fire Safety Inspectors or any warranted personnel of NFRS or believe they have not received fair or consistent treatment as outlined in this policy, they will be given the opportunity to discuss the matter in the first instance with the Fire Protection managerial team.
    26. They will listen to their concerns, consider whether the enforcement policy has been breached and give a reply in writing where necessary. This is without prejudice to any formal appeal mechanism. If the problem cannot be resolved, the person will be informed of the NFRS Complaints Procedure
    27. Through Engagement and Enforcement whilst exercising its duty, NFRS will not:
      • Undertake fire risk assessments for regulated persons
      • Appear in court on behalf of regulated persons in any prosecution brought by a third party including another enforcing authority, under health and safety or fire safety legislation, except as an expert or neutral witness to give general mitigating evidence.
      • Draft fire safety policy and procedures on behalf of regulated persons. It is incumbent upon regulated persons to comply with fire safety legislation.
      • Other than in those circumstances, which appear to NFRS to be in the public interest and appropriate to the functions of a best value Service, such as under the Primary Authority Scheme, act as a consultant on fire safety related issues other than as required to meet statutory consultation requirements imposed on other bodies and persons
    28. Comments from regulated entities on style, format and content will be welcomed to assist in the review of guidance used; and to assist in the further development of any guidance that NFRS may produce from time to time.
  3. Adherence to Policy

    The principles of this policy should be followed. Failure to do so has the potential to render the service vulnerable to criticism, incur reputational damage and jeopardise any legal proceedings resulting in financial penalties.

  4. External Standards and Legislation

Support information

  1. Related Documents
    • Risk Based Inspection Procedure
    • Business Fire Safety Competency Policy
    • Fire Safety Audits Procedure
    • Post Incident Inspection Procedure
    • Joint Control Enforcement and Prohibition Procedure
  2. Review Period

    This document will be reviewed in line with the Policy Framework Guidance documentation and the determination of the document owner. This document will be reviewed every 3 years from the point of the last review date.

  3. Compliance Statement

    This document has been drafted to comply with the Equality Act 2010 and the Public Sector Equality Duty; Data Protection Act; Freedom of Information Act; European Convention of Human Rights and Health and Safety legislation.