Enforcement policy

1.  In accordance with the Regulators’ Code, the Authority takes enforcement action to:

1. change the behaviour of the offender
2. change societal attitudes to the risks from fire
3. eliminate financial gain or benefit from putting people at risk in case of fire
4. exercise a proportionate response to the nature of the offence and the harm caused
5. restore safety to premises where fire safety risks were found
6. encourage fire safety to be secured in future
7. impose an appropriate sanction for the particular offender, which can include punishment through the courts

2.  Where it becomes necessary to take action the Authority may:

1. provide advice
2. take informal action
3. take formal action (including enforcement, alterations and prohibition notices)
4. taking samples of dangerous materials or extracts of recorded information
5. securing information to prepare for prosecutions.

3. The enforcement actions listed above are not written in an absolute order of escalation. Enforcement action taken by the Authority is scalable and appropriate to the risk to people in case of fire.

4. When formal enforcement action is necessary, each case will be considered on its merits. All enforcement decisions will be fair, independent and objective. They will not be influenced by issues such as ethnicity or national origin, gender, religious beliefs, political views or the sexual orientation of the suspect, victim, witness or offender. Such decisions will not be affected by improper or undue pressure from any source, including independent fire risk assessors.

5.  All enforcement activities, including investigations and formal actions, will always be conducted in compliance with the statutory powers of the inspector and all other relevant legislation.

We will help responsible persons and duty holders to understand what is expected of them and what they should expect from the Authority. Legal requirements will be clearly distinguished from best practice or non-statutory fire safety advice. We will publish guidance in a clear, accessible, concise, format using media appropriate to the target audience, in plain language mostly on the Authority’s website and through social media channels.

In relation to the Order, the Authority only recognises as definitive guidance the recommendations provided within guidance documents issued under Article 50 of the Fire Safety Order, Fire Safety related British Standards, or nationally recognised best practice guidance documents accepted by the National Fire Chiefs’ Council.

Our integrated risk based engagement and inspection program will focus primarily on those whose premises and activities give rise to the most serious risk to life in case of fire. In making an assessment of risk, we will take into account the fire safety record of those we regulate and the current risks to people in case of fire. We will maintain a strategy that will identify and evaluate risks in premises as well as to the wider community and allocate resources to carry out inspections accordingly. We will publish this assessment as part of the Authority’s Customer and Corporate Plan. If it needs to be fundamentally amended due to for example, a change in legislation we will consult with customers through the publication of a Safety and Wellbeing Plan.

The Authority is accountable to its community for its actions. We have policies and standards against which we can be judged, and an effective and easily accessible mechanism for dealing with comments and for handling complaints, through the Authority’s feedback process.

1.   Educating, informing and advising responsible persons and duty holders about their duties under fire safety legislation will form a fundamental element of our enforcement regime. The Authority will fulfil its obligation, to give on request, advice on fire safety free of charge.

2.  Informal Action: Where the likelihood of fire is low / medium or the consequences of a fire are slight, Informal Action may be taken. Any Informal Action that may be required will be put in writing, advising who is at risk of death or serious injury in case of fire and why. Informal Action may also be considered, if those responsible have displayed clear intentions to undertake the required corrective action. Failure to respond to Informal Action can result in escalation to formal enforcement action.

3.  Alterations Notices: Where changes to the premises or to the use of premises could result in a significant increase in the risks to people in case of fire on the premises, the Authority may serve an Alterations Notice, which requires the responsible person/duty holder to notify us, before making any alterations or changes.

4.  Enforcement Notices: Enforcement Notices require improvements in safety and will point out that people are at risk in case of fire; where in the building they are located; and what has led to them being put at risk, as well as what should be done to provide safety and how to prevent the same danger from recurring. Enforcement Notices include a reasonable period of time for additional control measures to be put in place. Failure to comply with an Enforcement Notice unless exceptional circumstances are present will result in escalation to an investigation for prosecution.

5.  Prohibition Notices: Where immediate action is considered necessary to keep people safe from fire, a Prohibition Notice, which can prohibit or restrict the use of parts or the whole of a premises, can be served. An explanation of why such action is required will be given at the time and confirmed in writing. Whereas a Prohibition Notice requires action to remove imminent and immediate risks in case of fire, an Enforcement Notice might also be served to deal with less imminent risks in case of fire.

6.  Fire safety law gives power to warranted inspectors to take samples of dangerous materials or extracts of recorded safety information and documents. When we take materials or documents we will provide an appropriate receipt. In the most serious of cases we will gather information and conduct an investigation to prepare for a prosecution. Any personal data collected as part of this work will be held in compliance with the Authority’s privacy notices and data protection policy.

7.  All our members of staff that make enforcement decisions will be required to follow the Regulators’ Code and will be appropriately trained to perform their roles.

1. The Authority will clearly explain what works are required to comply with the Order and will distinguish advisory information from required works. The Authority is willing to discuss alternative arrangements that the Responsible Person or their agents propose to ensure those responsible have clarity of what must be done to achieve compliance. Our letters and Notices will provide details regarding how to appeal against our regulatory decisions. Our letters and Notices will also explain what will happen next, including what the next steps are if you do not undertake the required work.
2. We encourage those responsible for providing safety in case of fire to contact us if there are any questions or comments about our regulatory activity.

1. Rights of and routes to appeal will be clearly set out in writing and served with our letters. The failure to comply with an Alterations, Enforcement or Prohibition Notice constitutes an offence under Article 32 and may result in prosecution.
2.  Alterations, Enforcement and Prohibition Notices will remain in force until such time as the notice is complied with, withdrawn or cancelled by the court.

1. There are a number of offences that can be committed as listed in Article 32 of the Order. Among these are failure to comply with a formal Notice and failing to provide safety in case of fire to such extent that one or more people are put at risk of death or serious injury. The Authority can deal with defendants through prosecution or Simple Caution. These actions are important ways to bring to account those responsible for legal offences. Where appropriate, we will use one of these measures in addition to issuing a formal notice.
2. A prosecution can only be taken following full consideration of the facts of the case.
3. A Simple Caution will only be used where a prosecution could be properly brought and there is a realistic prospect of conviction. A Simple Caution includes a written submission from the person responsible that an offence has been committed.
4. A record of a Simple Caution will be kept on the Authority's file for a period not exceeding seven years and, if a conviction for a further offence is brought within that period, the written submission of the previous offence will be introduced to the court for consideration.