In terms of fire safety regulation; for compliance, read safety in case of fire. Page 1 of 6 How FRA s Comply with the Regulators Code 2016

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1 How FRA s Document comply with / Meeting the Regulators Title Preface The Regulators is a statutory of Practice intended to enable regulators to design their service and enforcement policies in a manner that best suits the needs of those they regulate. Introduction Fire and Rescue Authorities (FRAs) must have regard to the when developing policies and procedures that guide their regulatory activity and when setting standards or giving guidance, which will guide the activities of other regulators. FRAs should be able to explain to business (and others) what they are doing to satisfy each element of the Regulators. N.B. in addition to business, FRAs may be called on to explain their activities to the Better Regulation Delivery Office or an audit panel. The table, below shows how CFOA believes FRAs can generally comply with the Regulators. FRAs that do more than is shown in the table should add what they are doing in the appropriate place number. Those that are not undertaking the general compliance should put them in place or edit the table as appropriate with how compliance is being delivered. (If a provision of the is not achieved, FRAs should record that decision and the reasons for it). In terms of fire safety regulation; for compliance, read safety in case of fire. Page 1 of 6 How FRA s Comply with the Regulators 2016

2 Table showing how FRAs comply / can comply with the Regulators Regulators 1 Regulate to support compliance and growth 1.1 Avoid unnecessary burdens and use Both the RR(FS)O 2005, audit methods and associated correspondence are alternatives to enforcement where possible. Be proportionate. scalable. Enforcement activity is selected according to a risk matrix which takes account of likelihood and consequences of fire. FRAs subscribe to BBfA and 1.2 Consider how to support economic growth (for compliant businesses) within policies, procedures and practices. 1.3 Regulating officers to have knowledge and skills to support the regulated (to be proportionate and effective). 1.4 Regulating officers to understand the principles of good regulation. growth duty. All regulatory activities/requirements are linked to the risk to life in case of fire. Although regulated persons are given a choice of how to remedy defects, the most straight-forward is promoted. The CFOA short audit ensures that visits to compliant premises are short in duration. Inspectors work towards the CFOA competence framework. CPD is undertaken. Inspectors use the BRDOs RDNA and GRiP tools. Inspectors use the BRDOs RDNA and GRiP tools. FRAs (and inspectors) subscribe to and support BBfA and the principles of Better Regulation. Page 2 of 6 How FRA s Comply with the Regulators 2016

3 Regulators 2 Have easy ways to engage with the regulated and to hear their views 2.1 Mechanisms to engage with third parties National consultation is undertaken by CFOA with the Business Engagement and for them to help develop policies and Forum. Local consultation is achieved by FRAs engaging with LEPs; Chambers of standards. Engage with them before Commerce; and Federation of Small Business among others. Consultation making changes. involves listening to service users (who are willing to engage) and making appropriate changes to policy / delivery. Consultations are used to help shape and influence service delivery to meet the needs of business. 2.2 Deal with non-compliance but also explain The Schedule (included in the letters and notices) includes the outcome desired, what was wrong; state the advice or action the action required and the reason for it. The management support required to needed; and the reasons for it. Allow for prevent recurrence is also included in the letter. The tone of letters escalates to dialogue and be proportionate and mirror the escalation of regulatory activity. Prohibition notices are maintained for consistent. serious cases. [N.B. this does not apply to circumstances in which immediate enforcement action is required to prevent / respond to a serious failure]. 2.3 Include a route to appeal against regulatory decisions and publicise that route. 2.4 Appeals processes in plain language and clear processes. 2.5 The process for complaining about officer conduct to be made clear and include practical information. 2.6 Have a range of mechanisms to invite and facilitate customer feedback e.g. through customer satisfaction surveys of the regulated. The route to appeal is included in all standard letters, changing from non-statutory to statutory routes to appeal (as the letters escalate). FRAs adopt the CFOA Challenges, Appeals and Complaints procedure and publish prominently on their web-site. FRAs adopt the CFOA model Challenges, Appeals and Complaints procedure and publish prominently on their web-site. FRAs adopt the CFOA model Challenges, Appeals and Complaints procedure and publish prominently on their web-site. FRAs sign up to the LEP Charter and Joint Statement of Commitment. Surveys and Feedback forms are used to collect proactive feedback. Business is engaged in local decision-making. Page 3 of 6 How FRA s Comply with the Regulators 2016

4 Regulators 3 Base regulatory activity on risk 3.1 Take an evidence-based approach to prioritising risks and allocate resources to address them. 3.2 Consider risk at all stages of involvement with the regulated; choose appropriate intervention or way of working with the regulated; target checks on compliance; and take appropriate enforcement action. 3.3 Proactive risk-rated approaches to targeting premises to have mechanisms for consultation with those affected (including regular review). 3.4 When assessing risk, consider the compliance record of the regulated together with available data on compliance, including relevant external verification. 3.5 Review the effectiveness of regulatory activity in relation to desired outcomes. Adjust as necessary. 4 Share information about risk 4.1 Follow the principle of collect once, use many times when requesting information from the regulated. 4.2 When legally permissible, share information with other regulators (securely) about the regulated to target activity and reduce duplication. FRA uses risk-based inspection programme/intelligence-led audit programme and can provide detail. FRA undertakes reactive and proactive work. The CFOA audit methods include a pre-visit check to target resources on high risk. Enforcement action is determined according to a risk-based outcome matrix. The FRA takes non-statutory action in preference to statutory enforcement. Government research provides risk baseline. CFOA (Business Safety strategic priority 6) considers improvements. IRMP considers more than regulatory compliance. FRA listens to service users, and makes appropriate changes accordingly. Compliant premises have shorter inspections and lower inspection frequencies. FRA subscribes to BRDOs IRIS project (data sharing) which considers compliance across a number of regulators and provides a confidence in management output. FRA is outcomes driven and publishes outcomes, based on CFOAs Dashboard Indicators. FRA uses appropriate performance indicators e.g. measuring the number of unsafe premises seen against those made safe, to show effectiveness of regulatory activity. FRA shares data with other regulators and monitors BRDOs progression of the IRIS project, with a view to engaging with it. FRA uses the CFOA Enforcement Register to share enforcement data. [E.g. Leicestershire FRA used BRDO s Intelligent Regulatory Information System (IRIS) and found hundreds of previously unknown guesthouses. Multi-regulator datasharing identified poor compliance history, to target enforcement activity]. Page 4 of 6 How FRA s Comply with the Regulators 2016

5 Regulators 5 Make clear information and guidance available to help the regulated to comply 5.1 Provide guidance and advice (focused on helping the regulated to meet their responsibilities). Distinguish legal obligations from good-will advice and do not impose unnecessary burdens. 5.2 Publish guidance and information. It must be clear accessible and concise. Use plain language and media appropriate to the audience. 5.3 Have mechanisms to consult with the regulated about guidance produced (to ensure that it meets their needs). 5.4 Create an environment where the regulated have confidence in the advice received and are comfortable to seek advice (without fearing that they will trigger enforcement action). 5.5 When responding for requests for advice, provide advice necessary to support compliance and ensure the advice is reliable. 5.6 Work collaboratively to support those regulated across borders. Differences in regulator opinion should be discussed between regulators. CFOA standard letters and notices make clear that the schedule contains requirements and distinguishes good-will advice as Further Recommendations. FRA subscribes to CFOA products (including web pages), which are business-user focussed. CFOA guidance is developed with sector and business stake-holders. FRA adopts CFOA model documents, guidance for FRAs (including guidance for standard letters, audit processes and Enforcer s Guidance etc.) All public facing. National consultation takes place in the Business Engagement Forum and local consultation with the Local Enterprise Partnership, Chambers of Commerce, Federation of Small Businesses, other engaged businesses etc. Local consultation listens to engaged service users (including those mentioned), and makes appropriate changes accordingly. FRA subscribes to the Joint Statement of Commitment and LEP Charter to promote transparency and accessibility. FRA engages in Better Business for All and other local groups. Inspectors promote open discussion and engagement with business. Primary Authority helps to build business confidence to approach and discuss issues with regulators. FRA gives advice with a view to providing safety in case of fire, which is justified at the time. Goodwill advice to support business growth / business continuity as well as wider socio-economic advice (e.g. Health-related issues) is also given and explained. CFOA web site focusses on similarities in UK fire laws and promotes good relations. Safe in case of fire is universal. FRA involvement with PA promotes cross-regulator discussion. Scotland and Northern Ireland agreed to adhere to principles of PA. Page 5 of 6 How FRA s Comply with the Regulators 2016

6 Regulators 6 Regulatory approach to regulating should be transparent 6.1 Publish clear service standards to set out what the regulated should expect. FRA adopts CFOA model Service Standards document, which has been suited to local delivery. FRA Service Standards have been subject to local consultation in 6.2 Service standards to include: means of communication with the regulated (and contact details); provision of information, guidance and advice; how compliance is checked (including details of the inspection schedule used, conduct protocols and what the regulated should expect); the enforcement policy (explaining how noncompliance is handled); fees and charges (e.g. in relation to petrol and explosives licensing); and procedures for comments, complaints (conduct) and appeals (regulatory outcomes). 6.3 Information about compliance with this should be easy to find (including being available at a single point (possibly including links to information published elsewhere)). Signpost it and keep it up-to-date. 6.4 Have mechanisms in place to ensure regulatory officers act according to published standards (including the enforcement policy). 6.5 Regularly publish details of regulator performance against service standards (including feedback from the regulated e.g. customer satisfaction surveys, complaints data, and appeals against regulatory decisions). accordance with 5.3 of the Regulators. FRA has adopted CFOA model Service Standards and Enforcement Policy documents and suited to local delivery. [FRAs need to confirm that details apply / amend details (where different) or put details in place (if lacking)]. FRA has undertaken local consultation before publishing in accordance with 5.3 of the Regulators. FRA has put information relating to compliance with the in a prominent location on their web-site. FRA makes use of workplace assessment / line management / one-to-ones / IPDRs etc. to monitor officer standards and behaviours. Officers are encouraged to use the BRDOs RDNA toolkit and share results with line managers. Regulatory officers behave in accordance with published Enforcement Policy. FRA publishes regulatory Performance Indicators and CFOA Dashboard Indicators. Complaints data, challenges and appeals are published annually (and measured against previous reporting periods). Page 6 of 6 How FRA s Comply with the Regulators 2016