Enforcement options
Our policy on determining the level of enforcement action to take utilises nationally recognised risk assessment-based methodology. In deciding what action to take to ensure compliance with the law, we consider the following:
- the nature and seriousness of any alleged offences
- 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
We will always seek to use proportionate enforcement action. Primarily this is the circumstances of the offence and the risk to life. We will also consider other factors, such as:
- the size of the business or undertaking
- the nature of its activities
Our choices of enforcement are:
- to educate and inform
- agree an action plan
- statutory notice identifying the nature of the corrective action needed
- prohibition or restriction of use
- referral to other agencies
- prosecution through the criminal justice system
We will keep its regulatory activities under review through the management of our fire safety enforcement function. This will ensure, so far as reasonably practicable, that all actions are proportionate. We will impose the minimum burden necessary to secure reasonable compliance with the law.
Educate and inform
When a breach of the law is found, officers may give a verbal or written warning. Officers may also advise on how to comply with the law. Where advice is not mandatory, this will be made clear.
Agreed action plans
Sometimes a fire risk assessment or fire safety audit identifies a need for improvements to premises. The responsible person will often benefit from advice before implementing the necessary works. Inspectors may provide advice to assist the responsible person to plan and prioritise remedial action to achieve best value and maximum benefit. This may be achieved by formulating an action plan.
An action plan aims to focus attention on:
- where a risk is identified
- what preventive and protective measures are necessary to:
- reduce the risk to an acceptable level, or
- eliminate the risk altogether
- the time scale over which remedial action should be taken
The responsible person must fully meet the objectives of an agreed action plan. Failure may result in formal enforcement action being taken over any matters outstanding.
Enforcement and similar notices
Regulatory notices calling for corrective action would generally be used where:
- there is a clear breach of the law
- where the degree of risk or harm from the situation is significant
- where a remedy needs to be identified and secured within a set period
The notices specify the problem and will:
- require a remedy as determined by officers, or
- may allow for other action with an equivalent remedial effect (if the legislation allows)
In most cases, there is a right of appeal against a notice. Where there is a right of appeal, officers will write to the person on whom the notice is served. The letter will set out the appeal mechanism.
Sometimes a notice requires changes to a premise in which another enforcing body has a statutory interest. We will consult with such bodies that can reasonably be identified before serving the notice.
Any such consultation will not release the person on whom the notice is served from their statutory obligation. They must still consult relevant bodies regarding works they will undertake because of a notice. Any failure by us to consult with any particular body or person will not invalidate any notice served under the Regulatory Reform (Fire Safety) Order 2005.
Prohibition and restriction notices
We have powers under Article 31 of the Regulatory Reform (Fire Safety) Order 2005 to:
- prohibit the use of the whole or part of premises
- restrict the use of premises
Such action will be considered where conditions are found that constitute a serious risk to life or injury to persons in the event of a fire.
Officers will explain why any immediate action is required at the time and confirm it in writing. Where there are rights of appeal, these will be clearly set out in writing when the action is taken.
Referral to other agencies
Sometimes other health and safety enforcing authorities have a regulatory interest in a particular premise. Officers will forward details to the appropriate agency. For example, if apparently dangerous conditions or practices (not related to fire) are noted in a workplace.
Prosecution
We will use our discretion in deciding whether to bring a prosecution.
The decision to prosecute is a serious step. Fair and effective prosecution is a legitimate element of our strategy to reduce the risk of death and injury in the workplace by enforcing fire safety laws. Any prosecution has serious implications for all involved – including those prosecuted, casualties, witnesses and our personnel. We will apply the guidance set out below to make fair and consistent decisions about prosecutions.
Criminal proceedings may be taken against those persons responsible for the offence. Where a company is involved, it will be usual practice to prosecute the company where the offence resulted from its activities.
We will also consider any part played in the offence by the officers of the company, including:
- directors
- managers
- company secretary
Where it can be shown that the offence was attributable to neglect or other failings or actions on their part, action may also be considered against:
- staff
- contractors
- any other person (as well as or instead of the company)
The decision on whether to prosecute will consider the evidential test and the relevant public interest factors set down by the Director of Public Prosecutions in the Code for Crown Prosecutors. No prosecution will go ahead unless we:
- find sufficient evidence to provide a realistic prospect of conviction
- decide that prosecution would be in the public interest
We may prosecute without warning or recourse to alternative sanctions where:
- the circumstances warrant it
- evidence to support a case is available
Formal cautions
Formal cautions bring those responsible for alleged breaches of the law to account. Where appropriate, we will use this measure and issue an enforcement or prohibition notice.
A formal caution is a statement by the Service that is accepted in writing by the responsible person. The responsible person will have committed an offence for which there is a realistic prospect of conviction.
A formal caution will only be used where a prosecution could be properly brought. It will be kept on file for five years. If the responsible person is convicted for a further offence in that period, it will be introduced to the court.