Principles of enforcement
We believe in firm but fair enforcement of fire safety law. We follow the principles of:
- proportionality in applying the law and securing compliance
- consistency of approach
- targeting of enforcement action
- transparency about how the regulator operates
- what those regulated may expect
- accountability for the regulator’s actions
Proportionality
Proportionality means relating enforcement action taken to the risk to public safety.
Those whom the law protects and those on whom it places duties (duty holders) expect that our actions will:
- achieve compliance
- bring individuals, businesses or other undertakings to account for non-compliance
These actions should be proportionate to:
- any risks to public safety
- the seriousness of any breach
- any actual or potential harm arising from the breach of the law
In determining the appropriate action to take, we will give consideration to:
- costs
- effectiveness
- perceptions of fairness of regulation
These considerations will be appropriately balanced against public safety. As far as is reasonably practicable, the costs of actions taken are proportionate to the expected benefits.
Targeting
Targeting means ensuring that regulatory effort is directed primarily towards those whose activities give rise to higher levels of risk to public or employee (relevant persons) safety. This can be where the hazards and risks could be better controlled or against deliberate offences.
Through targeting, we aim our regulatory effort to consider the level of risk. Action will be focused on those directly responsible for the risk and who are best placed to control it.
We have systems for prioritising regulatory effort. These include a risk-based inspection programme and localised plans to identify high-risk premises.
Underpinning our approach to regulatory activity are:
- risk assessment
- utilizing methodology and data provided by communities and local government
- local data, intelligence and knowledge
We will seek to identify relevant, good-quality data to continually improve its risk-based audit and inspection programme.
Consistency
Consistency of approach does not mean uniformity. It means taking a similar approach in similar circumstances to achieve similar ends.
Our approach will be consistent regarding:
- the advice tendered
- the use of enforcement powers
- decisions on whether to prosecute
- responses to incidents and complaints
We have arrangements to promote consistency in the exercise of discretion. This includes arrangements for liaison with other enforcing authorities. We will seek to continually improve through internal review, audit and consideration of comments received.
Transparency
Transparency means helping individuals, businesses and other undertakings to understand:
- what is expected of them
- what is not expected of them
- what they should expect from us
This involves distinguishing between statutory requirements and advice or guidance about what is desirable but not compulsory.
This statement sets out the general policy framework within which we operate. Businesses, other undertakings and individuals also need to know:
- what to expect when an officer calls
- what rights of complaint are open to them
The following can be expected when an officer is dealing with you:
- An officer may offer information or advice, either face to face or in writing, including any warning. They will explain what needs to be done to comply with the law and explain why.
- Officers will, if asked, write to confirm any advice and to distinguish legal requirements from best practice advice.
- Unless urgent action is necessary, the option to discuss what is required to comply with the law will be offered before formal enforcement action is taken.
- A written explanation detailing any rights of appeal against formal enforcement action when the action is taken.
- Where examples of good practice are identified, officers will aim to provide positive feedback to encourage and reinforce these good practices. They may share them with others as examples of good practice.
Accountability
Regulators are accountable to the public for their actions. This means that enforcing authorities must have:
- policies and standards against which they can be judged. For example, those outlined in this policy and our Equalities policy.
- an effective and easily accessible mechanism for dealing with comments and handling complaints
Find out about our complaints procedure.
A published complaints procedure demonstrates to the public that we take their comments seriously. These comments highlight potential problems and help us to build on what we do well.