Regulators Code of Compliance

Statement of Compliance

Executive Summary

The Statutory Regulators Code of Compliance (The Code) is welcomed by the Service Delivery (Protection) Department (formerly the Technical Fire Safety Department)of the Wiltshire Fire & Rescue Service. It clearly defines Government’s expectations of us as enforcers while offering potential benefits to those who are regulated by us (referred to as regulated entities in this document) and other enforcing authorities.

It is our belief our current policies and activities are either broadly compliant or compliant with the seven specific obligations of the Code.

When the Code was first published, the Service Delivery (Protection ) Department identified areas where we felt we could improve our service such as the transparency of our policies to regulated entities, customer satisfaction surveys and our current ability to share data intelligence with our local partners. We now feel we have successfully improved in these areas in order to comply with the Code and provide an excellent standard of service to our clients and stakeholders.

What is the Code?

The Statutory Regulators Code of Compliance came into force on 6th April 2008. The purpose of the Code is to support the Government’s Better Regulation Agenda by ensuring effective and well targeted regulation, while promoting fairness and protection from harm. It requires that enforcement should be proportionate and flexible enough to allow and even encourage economic progress. The full Code can be read here.

The code of practice is based on the recommendations of the Hampton Report. Its purpose is to promote efficient and effective approaches to regulatory inspection and enforcement which improves regulatory outcomes without imposing unnecessary burdens on business, charitable undertakings or other regulated entities.

Wiltshire Fire & Rescue Service is committed to The Code’s principles and our compliance with the Code and any subsequent actions are detailed below.

In the following sections, the blue boxes contain extracts from The Code, followed by how we consider that we currently comply and what we have done to date to achieve this.

Code of compliance Principle

Economic progress

Hampton Principle: Regulators should recognise that a key element of their activity will be to allow, or even encourage, economic progress and only to intervene when there is a clear case for protection.

Good regulation and its enforcement act as an enabler to economic activity. However, regulation that imposes unnecessary burdens can stifle enterprise and undermine economic progress.

What are we currently doing?

Wiltshire Fire & Rescue Service has a robust risk management strategy, as detailed in the Risk Management Policy TFS-027, for delivering our obligations as enforcers of the Regulatory Reform (Fire Safety) Order 2005 (FSO). The purpose of this strategy is to target our activities only where information from reliable sources indicates that there is a need to carry out enforcement activities.

We review our enforcement activities and their effectiveness to deliver safer communities on an annual basis.

As an example of this, we recently reviewed our activities in relation to providers of small accommodation to paying guests after national concerns were raised. As a result we have issued fresh guidance and policy to our Inspectors to ensure our activities provide cost effective solutions, whilst still protecting the public.

What we did to improve.

We reviewed our activities on an annual basis and in the interests of transparency we have published the findings on our website.

We reviewed our entire risk management strategy in 2010-11 and made changes to ensure our compliance.

Code of compliance Principle

Risk Assessment

Hampton Principle: Regulators, and the regulatory system as a whole, should use comprehensive risk assessment to concentrate resources in the areas that need them most.

Risk assessment involves the identification and measurement of capacity to harm and, if such capacity exists, an evaluation of the likelihood of the occurrence of the harm. By basing their regulatory work on an assessment of the risks to regulatory outcomes, regulators are able to target their resources where they will be most effective and where risk is highest.

What are we currently doing?

As well as our Risk Management Policy, we also have an Enforcement Policy where our commitment to the Enforcement Concordat and the Enforcement Management Model is put at the heart of our enforcement action.

We strive to only undertake enforcement activities where intelligence leads us to believe there is a danger to the public.

We also use the Chief Fire Officers’ Association (CFOA) model when carrying out an audit of a premises and subsequent re-inspections are based on sound and accepted risk methodologies.

Through the use of the Enforcement Management Model (EMM) we strive to ensure we only take the most reasonable level of enforcement action determined by risk assessment. Even then we have a second level of management review in these matters to ensure fairness before taking any action.

What we did to improve?

We continued to review our activities on an annual basis and in the interests of transparency we will published the findings on our website.

We reviewed our entire Enforcement Policy in 2009-10 and made changes to ensure compliance.

Code of compliance Principle

Advice and Guidance

Hampton Principle: Regulators should provide authoritative, accessible advice easily and cheaply.

Without knowing or understanding relevant legal requirements, regulated entities will find it difficult to comply. Regulators can, however, improve compliance through greater focus on support and advice.

What are we currently doing?

We have an extensive Communication and Advice policy detailing how we will provide advice to regulated entities. In essence we strive to tailor our advice to the size of the enterprise concerned, their efforts in achieving the level of self compliance expected by the FSO and the risk the premises represents to community safety.

A smaller undertaking with little capacity can expect to receive more detailed advice from us than a larger company which has extensive resources. We do not believe we should act as a free of charge fire safety consultancy to those who can afford otherwise.

We strive to make sure that we do not offer any undertaking a competitive advantage over any other undertaking through our provision of advice as we believe this is against the ethos of The Code.

Our advice is always provided free of charge.

We will always strive to give advice on a technical matter of compliance with the FSO.

Code of compliance Principle

Inspections and other visits

Hampton Principle: No inspection should take place without a reason.

Inspections can be an effective approach to achieving compliance, but are likely to be most effective when they are justified and targeted on the basis of an assessment of risk.

What are we currently doing?

As previously stated, we have a robust risk management strategy that is detailed in the Risked Based Inspection Regime SOP, TFS-027. The methodology for identifying premises for auditing purposes is contained therein. We believe that the criteria set for inspection satisfies the expectation of The Code.

Less than 10% of our proactive inspections are randomly selected.

What will we be doing in the future?

We already carry out joint inspections of premises with the Building Control Bodies to check compliance before higher risk or more complex premises are occupied. We also carry out some joint inspections of licensed premises with Local Authority Inspectors. However we are keen to work with our partners to carry out joint inspections where there would be a benefit to all concerned.

Code of compliance Principle

Information requirements

Hampton Principle: Businesses should not have to give unnecessary information or give the same piece of information twice.

Effective regulatory work, including risk assessment, requires accurate information. However, there are costs to its collection both to the regulator and to regulated entities. It is important to balance the need for information with the burdens that entails for regulated entities.

What are we currently doing?

Currently we do not routinely require any data from regulated entities for enforcement purposes. During an audit we do gather information for risk management and operational purposes. This is part of our targeted work. The form used is part of our audit process which was subject to extensive consultation with stakeholders in 2005 and is currently being reviewed.

We do not believe that this is an unnecessary burden on regulated entities and therefore complies with the Code.

What did we do to improve.

The quality of our data is still under constant review. We investigated information sharing opportunities with our partners. We now share information with organisations such as Ofsted, the Care Quality Commission, and local Authority Housing and Licensing bodies.

Code of compliance Principle

Information requirements

Hampton Principle: The few businesses that persistently break regulations should be identified quickly and face proportionate and meaningful sanctions.

By facilitating compliance through a positive and proactive approach, regulators can achieve higher compliance rates and reduce the need for reactive enforcement actions. However, regulators should be able to target those who deliberately or persistently breach the law.

What are we currently doing?

As previously stated, through the use of the EMM we strive to ensure that we only take the most reasonable level of enforcement action and the use of Enforcement, Alterations and Prohibition Notices are only used when determined by risk assessment. Even then we have a second level of management review in these matters to ensure fairness before servicing such Notices.

However, when demonstrated through the application of the EMM that formal action is required we have tried and tested methodologies for quickly and effectively applying appropriate sanctions, including prosecution for the most serious or persistent offenders. As a further safeguard, before instigating a prosecution against a regulated entity a third level of management review is required before proceeding.

What did we do to improve?

We have reviewed and improved our risk management and enforcement policies. Quality checks are made to ensure the principles of the EMM are followed when undertaking audits. Our enforcement activities, learning points and guidance are now routinely published on our website.

Code of compliance Principle

Accountabilty

Hampton Principle: Regulators should be accountable for the efficiency and effectiveness of their activities, while remaining independent in the decisions they take.

By establishing effective accountability and transparency structures regulators will make their activities accessible and open to scrutiny. This should increase the legitimacy of regulatory activities and enable regulators and regulated entities to work together to achieve regulatory compliance.

What are we currently doing?

We have an existing corporate complaints procedure which is open to all regulated entities who receive our services. This is distinct from the formal and informal appeals procedure set out in the FSO.

We measure the level of customer satisfaction through questionnaires provided at our free seminars and by feedback forms following our fire safety audit activities.

What will we be doing in the future?

Though exempt from the requirement to publish the results of our activities against our set performance indicators we still do so on our website as we believe this is an important part of our wish to be transparent.

We are also currently piloting a series of benchmarks to compare our services and methodologies against the other Fire & Rescue Service in the South West Region.

We will keep our policies and procedures under review in line with changing local and national needs to ensure that the high level of service delivery and transparency of enforcement currently delivered by the Service Delivery (Protection) Department of Wiltshire Fire and Rescue Service, will continue to improve and evolve.