BIFM Lancashire Group: The Criticality of Compliance

BIFM
Lancashire Group:
“The Criticality of
Compliance”
Mark Whittaker
Chair, BIFM North

2 | 2017 The Criticality of Compliance

Welcome & Thanks

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> Exploring ‘FM in a Connected World’ and how
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> Tickets are available from www.thinkfm.com
ThinkFM 2017

BIFM North Region Ball – 6 July 2017
www.bifm.org.uk/BookNorthBall17

2017 North Region Charity Partner
There are 850,000 people with dementia in the UK and the number is set
to rise to 1 million by 2021.
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Future BIFM North Events

Agenda
Time Duration Content Lead
08:00 –
08:45
45 mins
Welcome speakers
Delegates arrive, registration, breakfast, and networking
BIFM
08:45 – 9.00 15 mins
Introduction:
Thanks to hosts and sponsors
Preview future BIFM NW events for 2017
Profile of speakers
Housekeeping
Introduce event and Twitter #WorldFMDay
BIFM – Mark Whittaker
09.00 –
09.45
45 mins
Fire Compliance management Services
Effective & efficient ways to manage fire compliance in
property
Pete Moulson
(FRACS Accredited‐ Fire
Compliance Management Services
Ltd (FCMS)
09.45 –
10.30
45 mins
CLC Contractors Ltd
Understanding fire compartmentation and what is required
Glen Furnival & Richard Bentley
CLC Contractors Ltd
10.30 –
11.15
45 mins
Eversheds Sutherland
Key things you need to know about legal compliance
Charlotte Murray
Eversheds Sutherland
11.15 –
11.30
15 mins Event summary, Networking & close BIFM – Mark Whittaker

Introduction to today’s speakers

“Protecting you & your premises”
Fire Compliance
The Fire Risk Assessment and Beyond
A Hot Topic

Regulatory Reform (Fire Safety)
Order 2005 (Commonly known as the RRO or FSO)
• Primary piece of Fire Safety Legislation for England &
Wales NB There are equivalent documents for Scotland and
Northern Ireland

The Regulatory Reform (Fire Safety) Order 2005
‘The Articles’
• There are circa of 53 Articles within the Regulations. An
Article – Refers to a subject heading
• In order to avoid Enforcement Action,
Compliance with Articles 8 – 22 is Mandatory
• The Articles include ‘Powers of Enforcement’ available
to the appropriate agency
• Provision for an appeal to be made against
unjust enforcement

Article 9 – The Fire Risk Assessment
• The ‘Responsible Person’ must be in possession of a suitable
and sufficient Fire Risk Assessment (FRA) completed by a
‘Competent Person’ ‐ PAS 79
• Purpose of the FRA, is to Reduce the Risk of Fire, Identify the
People at Risk and the general Fire Precautions required to
keep people safe e.g. ‘Relevant Persons’
• FRA to be sufficiently robust to satisfy the scrutiny of a Fire
Audit.
• The ‘Responsible Person’ also has the undertaking to Ensure
the Person completing the FRA is ‘Competent’
NB The FRA, is only the first stage of achieving compliance with the RRO.
Effective Fire Management systems and procedures aligned to the FRA are
equally important as outlined PAS 7

Who Enforces the RRO?
Fire & Rescue Service (FRS) ‐ Their Role: To achieve ‘Broad
Compliance’
How: Through a programme of planned inspections/audits, the
FRS can and will:
• Enter premises at any reasonable time
• Inspect/audit premises
• Make enquiries to assess compliance
• Request records and plans
NB Where possible the FRS, do NOT wish to
Prosecute

Who is the ‘Responsible Person’?
• The employer (if the workplace is
under their control)
• The person having control of the
premises
• The owner/landlord
• The lead contractor responsible for a
sizable refurbishment or new build
project could be treated as the
person in control
• Multi‐occupancy buildings it will be
the landlord and/or the occupants

The ‘Responsible Person’
Key Responsibilities
• Maintain the Safety of all ‘Relevant Persons’
• Choose/nominate a ‘Competent Fire Risk Assessor’
• Implement the ‘Significant Findings’ of the FRA
• Have sufficient Systems, Processes and Procedures in
Operation to Enable Compliance to be Evidenced
• Maintain up to date records of testing and maintenance
regimes ready for inspection by the Enforcing Authority
• Monitor, Control and Periodically Review the FRA
• Review the FRA before, during and after significant changes to
the use or layout of the building/s, especially if changes
involve the Means of Escape

The ‘Fire Risk Assessor’
Guardian of Compliance
The Role of the Fire Risk Assessor:
• Complete Suitable & Sufficient Fire Risk Assessments to
enable the ‘Responsible Person’ Achieve Full Compliance
• Guide Organisations on How to Achieve Compliance applying
Best Practice
• Where possible, provide Cost Effective Solutions to Issues
Identified during the FRA
• Ensure ‘Business Continuity’ is Central to the Completion of
the FRA
• Where Required, Liaise with the FRS on behalf of the
Organisation

Guidance on Competency of a
Fire Risk Assessor
Guide issued by the Fire Risk
Assessment Competency Council in 2013
Can I do it myself?
YES
Duty holders particularly in small or low risk premises
may be able to carry out their own FRA using the appropriate
guidance and generic documentation.
HOWEVER, YOU NEED TO KNOW YOUR LIMITS!

Fire Risk Assessor
The Duty Holder – The ‘Responsible Person’
Not expected to be an expert in Fire, retains the responsibility
for ensuring the adequacy of the FRA and check to ensure
the competency of the Fire Risk Assessor is credible.

Fire Risk Assessor
In principal, there are two methods by which people can demonstrate competence:
• Professional Body Registration Schemes e.g. IFE, IFPO or IFSM
• UKAS Accredited Scheme (Company or Person) accredited for the activity e.g.
FRACS

First and Most Important Step
to Achieving Compliance:
Be in possession of a ‘Suitable &
Sufficient’ Fire Risk Assessment (FRA)
(Compliant with Articles 8 – 22)
Must be in writing if 5 or more employees

Where does it apply?
• All Buildings, Workplaces and Structures (Temporary or
Otherwise) and frequently includes Empty Properties
• Does NOT apply to Private Dwellings but would include
common areas of flats and HMO’s.

What is a Good Fire Risk Assessment, Give Us a Clue!

What Happens if I Don’t Comply?
Before a Fire – ‘Reputational Risk’ – Does it Matter?
FRS will scrutinise the FRA during an audit. If found lacking, the
FRS can and will action one or more of the following:
• Issue a ‘Notice of Minor Deficiencies’
• Issue an ‘FRA Action Plan’
• Initiate ‘Enforcement Action’ and/or
• Depending on the severity, commence
Prosecution Proceedings and/or
• Issue a ‘Prohibition Notice’
• Dependent on the circumstances the FRS
can issue an ‘Alterations Notice’

What Happens If I Don’t Comply?
24th March 2016, Tyne and Wear Fire and Rescue Service
Defendant charged with five failures to comply with The Regulatory Reform (Fire Safety) Order 2005.
Fined £380,000 plus Costs £29,222
Total fine of £409,222
7th September 2015, Devon and Somerset Fire and Rescue Service
Defendant charged with:
• failure to provide a suitable fire risk assessment,
• failure to provide a suitable working fire detection and alarm system,
• failure to provide suitable means of escape,
• failure to maintain systems and equipment provided for fire safety purposes.
Fined £22,500 plus £6,242 in costs
13th June 2014, Lancashire Fire and Rescue Service
Defendant charged with 15 breaches of the Fire Safety Order, including:
• failure to maintain suitable escape routes,
• failure to provide an adequate fire alarm and detection system,
• and failure to provide a suitable emergency lighting system.
18-month jail sentence; Ordered to pay £5,243 in costs.

13th June 2016, South Wales Fire and Rescue Service
• Not co-operating adequately with South Wales Fire and Rescue Service, under Article 27 of the
Regulatory Reform (Fire Safety) Order 2005
Fined £6,000 plus Cost £7,423.09
Total fine £13,423.09
15th April 2016, Merseyside Fire and Rescue Service
Defendant charges included:
• Inadequate fire precautions
• No Fire Risk Assessment
• Failure to ensure public safety
• No emergency lighting
• No fire alarm system
Sentenced to 8 months, suspended for 2 years, a 2 year supervision order, 150 hours unpaid
work plus Fine £1,200

17th June 2016, Cheshire Fire and Rescue Service
Defendant charged with serious breaches of the Regulatory Reform (Fire Safety) Order 2005
Charged with:
• Inadequate fire risk assessment
• Lack of compartmentation
• No evacuation procedure
• No evacuation chairs for means of escape from upper floors
• Inadequate fire detection
• Poor maintenance
• Inadequate staff training
Fined £40,000 plus Cost £19,283
Total fine £59,283

24th June 2016, Cheshire Fire and Rescue Service
Four breaches to comply with The Regulatory Reform (Fire Safety) Order 2005.
• Inadequate fire safety assessment
• Insufficient smoke and fire detection
• Failure to demonstrate evacuation procedures
• Compromised compartmentation
Fined £40,000, plus Costs £15,000
Total fine of £55,000
Defendant - Former fire fighter
Charged with failure to carry out a suitable and sufficient risk assessment
Sentenced to 4 months, suspended for 12 months plus costs £1,600

London FRS ‐ Shell
• Blocked escape routes
• Blocked fire exits
• Defective fire doors
• Excessive fire loading
Fined £300,000!

After a Fire ‐ Reputational Risk
‘Gone up in Smoke’
FRS will investigate the circumstances
surrounding the Cause and Severity of
the Fire Incident.
Depending on the outcome, the FRS have various options available.
If the cause is attributed to the inadequacy of the FRA  or, the
‘Responsible Person’ has failed in their duty, depending on the
severity is almost a certain Fast Track to Prosecution.
Insurance Companies will find the result of the FRS Investigation of
concern. As such a claim may not be upheld. Moreover, 60% of
Businesses NEVER recover from a serious Fire

London FRS – New Look
Following a fire at their Oxford Street store
• Insufficient staff training
• Storage blocking escape routes
Fined £400,000!

What Do I Do Next?
Evaluate: Do you comply?
If the answer is Yes, fantastic, well done…..
If on the other hand you DO NOT or you remain unsure, you
need HELP!
So What’s the Solution…
? ? ?

The FCMS Fire Compliance Scheme
One Complete Solution ‐ 4 Simple Steps:
Step 1 ‐ The Evaluation – You’ve already done!
Step 2 ‐ The Gap Analysis ‐ Initial Compliance Review and provision of new FRA
Step 3 ‐ Entry onto the Fire Compliance Scheme
‐ Implementation of significant findings
‐ Liaison with fire authority
‐ Provision of bespoke fire compliance documents
‐ Fire Training ‐ Fire Warden, Fire Safety Awareness Training
‐ Award a ‘Certificate of Membership’ into the Fire Compliance Scheme
Step 4 ‐ Periodic Compliance Review ‐ Renewal of Fire Compliance Scheme
Providing our guidance is followed,
’Compliance is Assured!’ We Guarantee it.

What is included within the Complete Package
• Creation of a new/revised Fire Policy – following the creation of this
document by FCMS, the ‘Responsible Person’ would be advised to read
and endorse the content of the policy document and once fully accepted
and understood, would be asked to sign the document accordingly
• Provision of a new/revised site specific Fire Emergency Plan
• New Site Specific Fire Evacuation Procedure based on the Fire Warden
Sweep Search system and NOT the roll call, however, the completion of
the class registers would remain as an integral element of the process
• Fire Equipment Maintenance Recording Processes which includes copies
of test sheets
• Basic Fire Training Package ‐ Annual provision of Fire Safety Awareness
Training for All staff by elearning. Certificates will be awarded to all
attendees which are valid for 1 year.

What is included within the Complete Package
• Site Specific Training an agreed number 3 hour training workshops and/or
elearning packages for Fire Wardens based on 2 x courses per day.
Management Training as Required. Certificates will be awarded to all
attendees which are valid for 1 year.
• Client Access to Website Portal + Submission of hard copy reports and
other Fire Compliance documentation in one of the FCMS Fire Compliance
Management folders
• Multi‐site IT Administration Platform – National, Regional or Individual
Site Records highlighting non‐compliant Hotspots
• Remote assistance during the implementation of the Fire Regulations and
(where required) providing on‐going remote advice/support to the Senior
Management
• Remote liaison with the Fire Authority (as required)
• Award of ‘Certificate of Membership’ into the Fire Compliance Scheme
• Attendance to carry out the Annual Fire Risk Assessment Review (FRA)

Should you require advice on anything contained within this
presentation, please call 0844 332 0445 or email
enquiries@fcmsltd.com
Thank you for Listening

‘A reputation to
maintain’
Welcome to the
CLC Contractors Limited
Passive Fire Protection
Seminar
Glen Furnival
Fire Protection Manager
Presented by;

Objectives
 Review the Key requirements of the
relevant legislation
 Increase your understanding of
compliant passive fire protection
 Highlight common misconceptions
 Increase your awareness of Legal
Implications

Key requirements of the
The Government is committed to regulating
only where necessary and in a way that is more
suited to the needs of modern business.
That is why the order was made, under the
Regulatory Reform Act 2001. It replaces most
fire safety legislation with one simple order.
What is the Regulatory Reform Order 2005?
It means that any person who has some level of
control in premises must take reasonable steps
to reduce the risk from fire and make sure
people can safely escape if there is a fire.

Where does the order apply?

The order applies to virtually all premises
and covers nearly every type of building,
structure and open space.

For example, it applies to:
• Offices and Shops
• Premises that provide care,
Including care homes and hospitals
• Community halls, places of worship
and other community premises
• The shared areas of properties several
households live in (housing laws may also apply)
• Pubs, clubs and restaurants
• Schools and sports centres

• Tents and Marquees
• Hotels and Hostels
• Factories and Warehouses
It does not apply to:
• People’s private homes, including
individual flats in a block or house.

You must:
What are the main rules under the order?
• Carry out a fire‐risk assessment identifying
any possible dangers and risks
• Consider who may be especially at risk
• Get rid of or reduce the risk from fire as
far as is reasonably possible and provide
general fire precautions to deal with any
possible risk left

• Create a plan to deal with any emergency
and, in most cases, keep a record of your
findings;
• Take other measures to make sure there is
protection if flammable or explosive
materials are used or stored
and
• Review your findings when necessary

Under the order, anyone who has control of
premises or anyone who has a degree of
control over certain areas or systems may
be a ‘responsible person’.
Who is responsible for meeting the order?
For Example;

• The employer for those parts of premises
staff may go to
• The managing agent or owner for shared
parts of premises or shared fire safety
equipment such as fire‐warning systems
or sprinklers
• The occupier, such as self‐employed people
or voluntary organisations if they have any
control
Or
• Any other person who has some control
over a part of the premises

Although in many premises the
Responsible person will be obvious,
there may be times when a number
of people have some responsibility.

How do I meet the order?
If you are the responsible person, you
must make sure you carry out a fire‐risk
assessment although you can pass this
task to some other competent person.
However, you will still be responsible, in
law, for meeting the order.

The responsible person, either on their
own or with any other responsible
person, must as far as is reasonably
practical make sure that everyone on the
premises, or nearby, can escape safely if
there is a fire.

This is the building regulation covering all
things relating to fire safety,
Approved Document B
 Means of escape
Including;
 Fire Spread
 Structural Fire Protection
 Fire Service Access

“In the Secretary of States view,
the requirements of B3 will be
met if…..
… any openings in fire‐separating
elements.. are suitably protected
in order to maintain the integrity
of the element;
… hidden voids.. are sealed and
subdivided to inhibit the unseen
spread of fire and products of
combustion”
… the building is sub‐divided by
elements of fire‐resisting
construction into compartments;

Fire / Cavity Barriers and
Cladding

“Every joint or imperfection of fit
should be adequately protected
by sealing or fire‐stopping”
“The building shall be designed ..
so that the unseen spread of fire
and smoke .. is inhibited”
“all openings .. should be .. fire‐
stopped (which in the case of a
pipe or duct, should allow for
thermal movement)”

How is this achieved?
Fire floors
FF = Fire floors
Fire walls
FW = Fire walls
FW FW
FWFW
FF
FF
FF
FF
FF
FF
Compartmentation – (Fire resisting compartments)

Building Regulations state:
“The .. product .. should be in accordance with a specification
or design which has been shown by test to be capable of
meeting that performance or have been assessed from test
evidence against appropriate standards” Appendix ‘A’ 1A
Smoke and flame products will be
tested to do the job.
Products used will be the same as
tested.
Installation will be in accordance
with tested system.

tested.
with tested system.

tested.
with tested system.
“Third party accreditation .. of installers of .. materials..
provide a means of ensuring that installations have been
conducted by knowledgeable contractors to appropriate
standards, thereby increasing reliability of the anticipated
performance in fire.” ADB 0.20

Third Party Accreditation
FIRAS Installer Certification Scheme
FIRAS certification started in 1994 and has been
instrumental in improving standards of
installation of fire protection products/systems
to the benefit of the construction industry and
the clients it serves.
FIRAS is voluntary, third party certification for
installation contractors of both passive and
active fire protection systems, operated by
Warrington Certification, and accredited by
UKAS to EN45011.

Third Party Accreditation
Why choose a FIRAS certificated
installation contractor?
FIRAS certificated contractors are required to
undergo a 3 stage assessment process. And,
only when the applicant contractor has satisfied
all of these criteria is certification granted:
 Assessment of office management systems
 Assessment of workmanship of site for all trade
disciplines for which certification is sought.
 Competence assessment of supervisory and
installation employees.

Correct Specification and
Installation of
Firestopping

Fire Doorsets
The Purpose of Fire Doorsets
Quotes from the BWF Website, advice
to Fire Risk Assessors and Clients;
“We expect a jobbing builder or small contractor
to be able to install a complex engineered fire
safety device, from bits bought from . . .??
What he doesn’t realise is ALL of the
components have to be able to work together to
ensure the door assembly will work effectively
in the event of a fire.”

Fire Doorsets
“A new building must (should) comply with
current building standards / regulations.”
“What we’re finding under the RRO is many
buildings DID NOT comply with building
standards –and many CLIENTS are picking up
the pieces.”
“Stringent Installation guidelines must be
adhered to in order that any fire door or
doorset performs in the event of a fire
situation”

Common
Misconceptions
Fire Foam – “4hr FR” ??
“Acts as a fire seal in accordance with BS476
Part 20 and meets Class B1 of DIN 4102 Part 1.”

Common
Misconceptions
225mm
15mm
Test Detail

Common misconceptions
“The Fire Brigade will get everybody
out of the building”
Stay Put? Or Horizontal Evacuation?

Correct Specification and
Installation of Firestopping
SO…
TOTAL COMPLIANCE
OR…
TOTAL IGNORANCE
YOU CHOOSE...

Ignorance!
CHEST ESCHAROTOMY – Surgical burns procedure,
considered when a circumferential burn of the chest wall
results in respiratory compromise by restricting normal chest
wall movement.

Legal Implications
Corporate Manslaughter
The Corporate Manslaughter and Corporate Homicide
Act 2007 is a landmark in law. For the first time,
companies and organisations can be found guilty of
corporate manslaughter as a result of serious
management failures resulting in a gross breach of a duty
of care.
The Act clarifies the criminal liabilities of companies
including large organisations where serious failures in
the management of health and safety result in a fatality.
Although the new offence is not part of health and
safety law, it will introduce an important new element
in the corporate management of health and safety.

Legal Implications
Prosecutions will be of the corporate body and not
individuals, but the liability of directors, board members
or other individuals under health and safety law or
general criminal law, will be unaffected. And the
corporate body itself and individuals can still be
prosecuted for separate health and safety offences.
A number of cases have now been heard in the Courts
with some, although not all, leading to successful
Corporate Manslaughter convictions. Cases include:

Prosecutions
UPDATED February 2016 ‐ Sherwood Rise Limited –
charged with corporate manslaughter, fined £30,000 and
company director jailed for three years and two months
December 2015 ‐ Baldwins Crane Hire Limited convicted
of corporate manslaughter and fined £700,000 plus costs
July 2015 ‐ CAV Aerospace Ltd. convicted of corporate
manslaughter and fined £600,000 and £400,000, plus
costs of £125,000
JULY 2015 ‐ Huntley Mount Engineering, fined £150,000
for corporate manslaughter and company director jailed
for eight months

You have a responsibility!
Fire Safety – “It’s a legal requirement!”

Summary
Firestopping is not optional – Law
(All compartment breaches)
Products must be tested for
the application
Products used must be as tested
Installation methodology
critical

Fire Safety Compliance
British Institute of Facilities Management
17 May 2017
Charlotte Murray
Associate

Fire Safety Compliance: the law
The Regulatory Reform (Fire Safety) Order 2005

Eversheds Sutherland | 22 May 2017 |
The “Responsible Person”
─ Employer
─ Landlord/Owner
─ Occupier
─ Management company/agent (?)
Use Insert tab, Header & Footer to change this text, then Apply to All to change on all slides 3

Legal requirements include:
Fire Safety Duties
─ suitable and sufficient risk assessment (regulation 9)
─ firefighting and fire detection (regulation 13)
─ emergency routes and exits (regulation 14)
─ maintenance (regulation 17)
─ provision of information to employees (regulation 19)
─ training (regulation 21)

The Inspector’s powers
─ Section 101 of the Local Government Act 1972
─ Fire and Rescue Services Act 2004
─ Article 27 of the Regulatory Reform (Fire Safety) Order
2005.
─ Obstruction offence

Rights of entry
• Residential premises such as Houses in Multiple
Occupation
• Commercial premises such as hotels, shops etc. at any
reasonable time with or without notice.
• Warrants

Purpose of enforcement
─ ensure the duty holders take action to immediately deal
with serious risks
─ promote and achieve sustained compliance
─ hold the duty holder to account

Types of enforcement
─ Verbal advice
─ Notification of fire safety deficiencies
─ Alteration notice (Article 29)
─ Enforcement notice (Article 30)
─ Prohibition notice (Article 31)
─ and/or Prosecution

Service of a Notice
─ Company at location and/or head office
─ Personally at premises or first class post

Effect of a Notice
─ Enforcement notice.
─ Prohibition notice.
─ Appeal to the Magistrates Court within 21 days by way of
a complaint.

North Yorkshire
Fire Safety Audits carried out by fire authorities 2015-2016
The Statistics
─ Number of audits: 63,201
─ 25 enforcement notices served
─ 11 prohibition notices served
─ 4 prosecutions
─ 120 premises satisfactory following enforcement action

Evidence gathering
─ Article 27
─ Witness interviews (voluntary)
─ PACE interview

Do you have a defence?
Fire Safety Consultants
─ Extent of due diligence prior to instruction
─ Negligence and breach of contract
─ Is this a defence?
Cheshire Fire and Rescue Service v Graham Foote

Sentence
─ Either way offences
─ For offences committed after 12 March 2016 unlimited
fine
─ Up to 2 years imprisonment for individual
─ Health and Safety and Food Safety Guideline do not
apply BUT the Judge can (and has) “considered” but not
directly applied.
─ Prosecution costs

London Fire Brigade v Lakanal House
─ Lakanal House fire on 3 July 2009
─ Southwark Council
─ London Fire Brigade investigation
─ Inquest hearing
─ Proceedings commenced
─ Judicial Review application
─ Sentencing hearing

Brexit: Where next for Fire Safety?

EU influence on Health and Safety legislation
Brexit: Where next for Health and Safety?
20
─ Directly applicable
legislation
─ EU Directives
─ The Regulatory Reform
(Fire Safety) Order 2005

Questions?

eversheds-sutherland.com
This information pack is intended as a guide only. Whilst the information it contains
is believed to be correct, it is not a substitute for appropriate legal advice.
Eversheds Sutherland (International) LLP can take no responsibility for actions
taken based on the information contained in this pack.
© Eversheds Sutherland 2017. All rights reserved.
Charlotte Murray
Associate
0113 200 4169

BIFM Lancashire Group: The Criticality of Compliance

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