Communities and Local Government

• Fire and resilience
• Summary of the provisions of the Fire Precautions (Workplace) Regulations 1997

Fire and resilience

Summary of the provisions of the Fire Precautions (Workplace) Regulations 1997

Although this report was commissioned by the Office, the findings and recommendations are those of the authors and do not necessarily represent the views of the Office of the Deputy Prime Minister.

Appendix 28/1

Background to, and summary of the provisions of, the Fire Precautions (Workplace)Regulations 1997, as amended by the Fire Precautions (Workplace) (Amendment)Regulations 1999

Background and overview

1. Paragraphs 1 to 5 and 7 to 12 of Appendix 27/1 of Fire PrecautionsAct 1971 Circular No. 27 are reproduced below, with minor modifications,as they provide a background to, and overview of, the introduction of theFire Precautions (Workplace) Regulations 19971("the 1997 Fire Regulations"). It is the 1997 Fire Regulations whichthe Fire Precautions (Workplace) (Amendment) Regulations 19992("the 1999 Fire Regulations") amend. (For the purposes of this appendix,the 1997 and 1999 Fire Regulations are collectively referred to as "theFire Regulations" or "the Regulations", according to the context.)

2. The Fire Regulations give effect in Great Britain to the requirementsof the European Council Framework3and Workplace4Directives in so far as those requirements relate to fire precautions andin so far as more specific legislation (in particular, the Management ofHealth and Safety at Work Regulations 1992) does not make appropriate provision.

3. The Framework and Workplace Directives were adopted by theCouncil of Ministers of the European Community in June and November 1989respectively. The former introduced measures to encourage improvementsin the safety and health of workers at work. The latter prescribed theminimum safety and health requirements with which all workplaces (withlimited exceptions) should comply.

4. Both Directives and therefore the 1997 Fire Regulations, as amendedby the 1999 Fire Regulations place the ultimate responsibility for ensuringhealth and safety in the workplace, including safety from fire, on employers.The regime they introduce is based upon risk assessment. This largely relieson self compliance by employers, who, in respect of fire safety, are requiredto assess the likelihood of fire and its consequences for those in theworkplace and to take appropriate measures to reduce or eliminate suchrisks. The Fire Regulations implement the requirement for employers todetermine the general fire precautions necessary to safeguard the safetyof employees in case of fire. (The term "general fire precautions" is definedin regulation 9(2) of the Regulations.)

5. The Management of Health and Safety at Work Regulations 1992 ("the1992 Management Regulations") and the Workplace (Health, Safety and Welfare)Regulations 1992 implement, for Great Britain, most of the provisions ofthe Directives, including the requirement on employers to make an assessmentof the risks to the health and safety of their employees while at work.These Regulations, made under the Health and Safety at Work etc. Act 1974("the 1974 Act"), took effect on 1 January 1993. In the case of the 1992Management Regulations, they are cited in the Fire Regulations where appropriate,so as to avoid duplication.

6. The Fire Regulations draw, where appropriate, on the actual languageof the Directives ("copy out") to avoid placing unnecessary burdens onbusiness. (Any departure from the copy out approach in Part II of the FireRegulations is for the purposes of enhancing legal certainty.) Hence, becausethe core requirements of the Fire Regulations mainly serve to make explicitwhat is already implicit in the general duties under the 1974 Act, formany employers (and other persons) the Regulations require no more thanthey have already done either for sound common-sense reasons, in accordancewith those general duties, or under more specific obligations of existinghealth and safety and fire precautions legislation.

1. Statutory Instrument1997 No. 1840
2. Statutory Instrument1999 No. 1877
3. EuropeanCouncil Directive 89/391/EEC
4. EuropeanCouncil Directive 89/654/EEC

Scope of application of the Fire Regulations

7. The Fire Regulations make provision for safeguarding the safety ofemployees in case of fire. They cover most workplaces (but with fewerexceptions from 1 December 1999) and are not limited by the definitionof "premises" in section 43(1) of the Fire Precautions Act 1971 ("the 1971Act"). Their scope follows the requirements of the Directives in applyingnot only to workplaces in a building or part of a building, but also toworkplaces in tents and other movable structures, places of work in theopen air and certain vessels.

8. Exceptions from the application provisions of the (unamended)1997 Fire Regulations were allowed for premises with fire certificatesissued under section 1 of the 1971 Act and for a number of other workplaceswhere it was considered that domestic legislation (some of it resultingfrom other European requirements) already made comparable provision forequivalent or higher standards. However, premises with fire certificatesissued under the Factories Act 1961 and the Offices, Shops and RailwayPremises Act 1963 were not excepted as those Acts do not provide for theDirectives requirements in full. Nor were licensed premises excepted asthere are no similar, specific fire precautions requirements, equivalentto those in the Directives, set out in primary licensing legislation.

Summary of the provisions, and outline of the structure, of theunamended 1997 Fire Regulations

9. A summary of the provisions of the unamended 1997 Fire Regulationsis set out in the Explanatory Note to those Regulations (on pages 14 and15 of S.I. 1997 No. 1840). The Regulations impose (and, in their amendedform, continue to impose) requirements for risk-based fire precautionsin the workplace directly on employers in control of workplaces, otherthan excepted workplaces. The substantive requirements are contained primarilyin Part II of the Regulations.

10. The 1997 Fire Regulations contain (and, in their amendedform, retain) five parts:-

• Part I includes the date of commencement of the Regulations and the definitionof terms used.
• Part II implements measures in the Framework and Workplace Directivesrelating to fire-fighting, fire detection, emergency routes and exits,and their maintenance. It is this Part which addresses the scopeof the Regulations and lists the excepted workplaces, including(until 1 December 1999) most fire certificated premises.
• Part III amends relevant provisions of the Management of Health and Safetyat Work Regulations 1992 in their application to the duties of employersin relation to general fire precautions.
• Part IV contains the enforcement and offence provisions(see paragraph 13 below).
• Part V contains some consequential provisions (see paragraph 14 below).

11. The essence of the Regulations is (and, in their amended form, remains)contained in regulations 3 to 6 in Part II and regulation 8 in Part III.In particular, attention should be paid to the introductory parts of regulations4 to 6 as they make it clear that only those measures or equipment whichare necessary in the circumstances should be taken or installed. The detailedrequirements set out in the regulations are not absolute, but apply onlyto the extent necessary to safeguard the safety of employees in case offire. Structural alterations and/or sophisticated equipment are not requiredunless there are compelling safety reasons for doing so.

12. Regulation 8(1)(b) amends regulation 3(1) of the 1992 ManagementRegulations. Regulation 3(1), as amended, contains the key requirementfor employers to undertake a risk assessment for the purpose, amongst otherthings, of identifying the measures they need to take to comply with therequirements imposed upon them by Part II of the Fire Regulations.

13. Part IV of the 1997 Fire Regulations makes provision for enforcementand offences, but it has been extensively amended by the 1999 Fire Regulations(see paragraphs 19 to 21 below).

14. Part V makes further, consequential and miscellaneous provision.Of note are regulation 17 which applies a number of sections of the 1971Act for the purposes of the Fire Regulations; regulation 18 which makesspecial provision for the Crown; and regulation 22 which disappliesthe requirements of section 9A of the 1971 Act (duty as to means of escapeand for fighting fire), in respect of those workplaces where Part II ofthe Fire Regulations applies.

Why the 1997 Fire Regulations were amended

15. The reason for deciding to amend the application of the 1997 FireRegulations (in particular, by removing most of the exceptions from PartII) was in response to the European Commissions expression of concernabout the adequacy of the text of the Regulations to implement the Directiverequirements in full and the need to justify the exceptions made from theapplication of the Regulations. The Commission were concerned that thetext of our existing legislation, which applies to the workplacesexcepted from the 1997 Fire Regulations (among them, premises certificatedunder section 1 of the Fire Precautions Act 1971), did not implement therequirements of the Directives in full by applying those requirements directlyupon all employers.

16. The Commission were also concerned that the duties placed on employersby the 1997 Fire Regulations should fully reflect the unconditional natureof the responsibilities and obligations imposed on employers by the FrameworkDirective. That is to say, employers have ultimate responsibility forthe safety of their employees in case of fire, even where others have obligationsto ensure that the requirements of the Regulations or other legislationare complied with. This responsibility extends to employers whose premiseshad been excepted from the 1997 Fire Regulations hence the need to applythe Regulations explicitly and in full to those employers by removingthe exceptions.

17. As a result, the risk assessments made by employers, who have controlof workplaces no longer excepted from the Regulations, will need, explicitlyfor the first time, to address the requirements in Part II of the Regulationsand record the significant findings where appropriate.

Summary of the provisions of the 1999 Fire Regulations

18. A summary of the provisions of the 1999 Fire Regulations is setout in the Explanatory Note to those Regulations (on pages 8 and 9 of S.I.1999 No. 1877). There are two main changes to the 1997 Fire Regulations.First, the deletion of most of the exceptions from the application provisionsof these Regulations to meet the Commissions concerns (see paragraphs15 and 16 above). Second, the changes to the enforcement and offence provisions(see paragraphs 19 to 21 below).

19. In the light of the views expressed in response to the public consultationexercise conducted in 1998, the opportunity was taken, for reasons of simplicityand consistency and after further consultation with business interests,to set aside the hybrid system in Part IV of the 1997 Fire Regulations(which included civil sanctions in certain cases) in favour of a criminalsanctions only regime that is in line with that set out in all other, comparableexisting health and safety and fire precautions legislation.

20. In addition, the opportunity was taken to remove the requirementfor fire authorities to give a written notice of intent (NOI) before enforcementaction is taken under the Regulations. This decision was made in the lightof the Parliamentary announcement (see Hansard, 4 March 1998, column694) about the issue of the Enforcement Concordat, whichestablishes the procedural safeguards for employers (and others) that participatingenforcers, including fire authorities, will follow. These procedures, whichwill be familiar to fire authorities, include distinguishing best practiceadvice from legal requirements and giving business a chance to discussand remedy problems before action is taken, unless immediate action isrequired. The Health and Safety Commission (HSC) also decided that theNOI procedures should be removed from their enforcement arrangements, witheffect from 1 April 1998. The chief benefit of co-ordination with the linetaken by the HSC and others is to secure consistency in the approach ofenforcing authorities with responsibility for health and safety, includingfire safety, in the workplace.

21. The amended enforcement provisions, with effect from 1 December1999, are set out in the Schedule to the 1999 Fire Regulations. TheRegulations are enforced primarily by the local fire authorities and, underregulation 10, these authorities are given responsibility not only forenforcing the provisions of Part II of the 1997 Fire Regulations, as amended,but also a number of provisions (including regulation 3 (riskassessment)) of the 1992 Management Regulations (as amended byPart III), so far as these provisions extend to general fire precautionsto be taken or observed by employers in non-excepted workplaces. (Thislegislation is known collectively as the workplace fire precautionslegislation see regulation 9(2) of the Fire Regulations.)