WHO COURSE FOR THE WHO COURSE FOR THE CARsCARs

MONITORING AND AUDITING MONITORING AND AUDITING OF FOOD LAW COMPLIANCE OF FOOD LAW COMPLIANCE

AND ENFORCEMENTAND ENFORCEMENT

AUDITING BODIES:INDUSTRYAUDITING BODIES:INDUSTRY

Importers and retailers: checking foreign Importers and retailers: checking foreign supplierssuppliers

Manufacturers: checking suppliers of Manufacturers: checking suppliers of ingredients and raw materialsingredients and raw materials

Independent third party auditors acting for Independent third party auditors acting for the above eg British Retail Consortium the above eg British Retail Consortium Technical Standard for Companies Technical Standard for Companies Supplying Retailer Branded Food ProductsSupplying Retailer Branded Food Products

OFFICIAL AUDITING BODIESOFFICIAL AUDITING BODIES

National Government AuditorsNational Government Auditors EU Food and Veterinary OfficeEU Food and Veterinary Office

THE UK FOOD THE UK FOOD STANDARDS AGENCYSTANDARDS AGENCY

LOCAL AUTHORITY LOCAL AUTHORITY ENFORCEMENTENFORCEMENT

FSA White Paper ‘A Force FSA White Paper ‘A Force For Change’ - January 1998For Change’ - January 1998

“ “ The Government agrees the general The Government agrees the general food law environment benefits from food law environment benefits from inspectors’ local knowledge and that inspectors’ local knowledge and that there are therefore good reasons why there are therefore good reasons why local authorities should retain their local authorities should retain their current enforcement responsibilities.”current enforcement responsibilities.”

FSA White Paper ‘A Force FSA White Paper ‘A Force For Change’ - January 1998 For Change’ - January 1998

“… “… the agency needs to be in a the agency needs to be in a position to exercise influence over position to exercise influence over individual authorities enforcement individual authorities enforcement activity and that it should have a activity and that it should have a proactive role in encouraging proactive role in encouraging consistency across the UK.” consistency across the UK.”

UK EnforcementUK Enforcement

L A C O TS

D is tric t C ou n c ilsfood h yg ien e

C ou n ty C ou n c ilfood s tan d ard s

U n ita ry A u th orit iesfood s tan d ard s an d h yg ien e

B IP S

P ort H ea lth A u th orit iesim p orted food

F ood S tan d ard s A g en cy M A F F

EnforcementEnforcement OfficersOfficers

Environmental Health Officers (EHOs) - Environmental Health Officers (EHOs) - Public HealthPublic Health

Trading Standards Officers (TSOs)- Fair Trading Standards Officers (TSOs)- Fair Trading Trading

Official Veterinary Surgeons (OVSs) - Red Official Veterinary Surgeons (OVSs) - Red meat, poultrymeat, and BIPS meat, poultrymeat, and BIPS

Local Authority Local Authority EnforcementEnforcement

Approx. 400 local authorities (England)Approx. 400 local authorities (England)

Approx. 80 local authorities (Scotland, Wales and Approx. 80 local authorities (Scotland, Wales and N.Ireland)N.Ireland)

6,000 EHOs and 1,500 TSOs plus support staff - 6,000 EHOs and 1,500 TSOs plus support staff - proportion of which are involved in food enforcement.proportion of which are involved in food enforcement.

£120 -£150 million annual cost£120 -£150 million annual cost

612,203 food premises612,203 food premises

532,452 inspection of food premises532,452 inspection of food premises

Food Standards Act Food Standards Act 19991999

Agency has powers to:Agency has powers to:

monitor, set standards for and audit the monitor, set standards for and audit the performance of enforcement authoritiesperformance of enforcement authorities

enter premises and require informationenter premises and require information

direct local authorities to publish FSA direct local authorities to publish FSA Audit report and provide an action planAudit report and provide an action plan

carry out works in defaultcarry out works in default

Working with local authoritiesWorking with local authorities

Local authorities have a key roleLocal authorities have a key role• inspecting premises / assessing practicesinspecting premises / assessing practices• checking composition / labellingchecking composition / labelling• giving advice / investigating complaintsgiving advice / investigating complaints

Effective local enforcement will protect Effective local enforcement will protect consumers and raise standardsconsumers and raise standards

Agency will need to work with local Agency will need to work with local authorities deliver food agendaauthorities deliver food agenda

Local EnforcementLocal Enforcement

The Authority must have and implement a The Authority must have and implement a documented enforcement policy, in documented enforcement policy, in accordance with relevant guidance, approved accordance with relevant guidance, approved by the “relevant Council forum”by the “relevant Council forum”

Decisions on enforcement action to be made Decisions on enforcement action to be made following consideration of the policy. The following consideration of the policy. The reasons for any departure from the criteria set reasons for any departure from the criteria set out in the policy should be documentedout in the policy should be documented

The enforcement policy or an accurate The enforcement policy or an accurate summary should be readily available to the summary should be readily available to the public and food businessespublic and food businesses

Support for local Support for local enforcementenforcement

Central government adviceCentral government advice Food Standards Agency - Support/ Policy Food Standards Agency - Support/ Policy

DivisionDivision

Issue official enforcement Codes of Issue official enforcement Codes of Practice / Industry GuidesPractice / Industry Guides

Range control guidance/publicationsRange control guidance/publications Enforcers have wide powers -closures, Enforcers have wide powers -closures,

prosecutions notices, seizures/detentionprosecutions notices, seizures/detention

Framework Framework AgreementAgreement

The Standard The Standard Monitoring InformationMonitoring Information Service Planning Service Planning

ArrangementsArrangements AuditAudit

The Framework AgreementThe Framework AgreementThe StandardAgreed Scope /

Performance Standards

Service PlanningGuidance on format covering all elements of the Standard

AuditQualitative

assessmentagainst Standard

Monitoring Quantitative assessment

against StandardInforms selection process

Informs Agency policy

4 key components of 4 key components of “Framework “Framework Agreement”Agreement”

Service (Business) plansService (Business) plans Food law enforcement standardsFood law enforcement standards MonitoringMonitoring AuditAudit

Framework Agreement:Framework Agreement:

PrinciplesPrinciples

Transparent to all partiesTransparent to all parties Consistent / verifiable / credible to interested Consistent / verifiable / credible to interested

partiesparties Consistent with other schemesConsistent with other schemes Clearly defined scope / standardsClearly defined scope / standards Identifies / disseminates good practiceIdentifies / disseminates good practice Identifies / poor performance / non Identifies / poor performance / non

conformanceconformance Findings in the public domainFindings in the public domain

Key IssuesKey Issues

Standard, basis of monitoring and auditStandard, basis of monitoring and audit Covers food standards, safety, feeding stuffCovers food standards, safety, feeding stuff Includes the key components of food law Includes the key components of food law

enforcement servicesenforcement services Allows for local priorities / approaches / flexibilityAllows for local priorities / approaches / flexibility Consistent with Best Value arrangementsConsistent with Best Value arrangements

Components (1)Components (1)

Documented management arrangementsDocumented management arrangements Policies / proceduresPolicies / procedures Competence of authorised officersCompetence of authorised officers Necessary facilities and equipmentNecessary facilities and equipment Inspection programmes and proceduresInspection programmes and procedures Complaints proceduresComplaints procedures Home Authority arrangementsHome Authority arrangements

Components (2)Components (2)

Sampling arrangements / activitiesSampling arrangements / activities Outbreak investigation arrangementsOutbreak investigation arrangements Arrangements for dealing with Food Hazard Arrangements for dealing with Food Hazard

warningwarning Enforcement policyEnforcement policy Keeping of recordsKeeping of records Advice and promotionAdvice and promotion Complaints (about Service)Complaints (about Service) Self audit arrangementsSelf audit arrangements

Local Authority - AuditLocal Authority - Audit

AimsAims

Agency arrangementsAgency arrangements

Selection/notification of LAsSelection/notification of LAs

Audit processAudit process

Audit - aimsAudit - aims

Aims includeAims include

qualitative assessment of local servicesqualitative assessment of local services

promote conformance with Standardpromote conformance with Standard

identify and improve under performanceidentify and improve under performance

help identify and disseminate good practicehelp identify and disseminate good practice

maintain and improve consumer confidencemaintain and improve consumer confidence

ProcessProcess

Pre-visit Questionnaire 3 months prior to auditPre-visit Questionnaire 3 months prior to audit

completed and returned by Local Authority (LA) within 30 completed and returned by Local Authority (LA) within 30 working daysworking days

2-4 days prior - confirm audit arrangements and file 2-4 days prior - confirm audit arrangements and file requirementsrequirements

On site auditOn site audit

2-4 auditors depending on LA2-4 auditors depending on LA

2-3 days on site2-3 days on site

Audit protocols available to LAsAudit protocols available to LAs

ProcessProcess

20 working days after audit - draft report and 20 working days after audit - draft report and summary to Chief Executive & Head of Servicesummary to Chief Executive & Head of Service

20 working days of receipt - LA supply factual 20 working days of receipt - LA supply factual corrections and proposed action plancorrections and proposed action plan

within 10 working days (subject to discussions) within 10 working days (subject to discussions) Agency issue Final Report and Agreed Action Agency issue Final Report and Agreed Action PlanPlan

ProcessProcess

Expecting Reports and Action Plans will be presented to Expecting Reports and Action Plans will be presented to Members within appropriate local public forumMembers within appropriate local public forum

Copies (Reports and Action Plans) on Agency websiteCopies (Reports and Action Plans) on Agency website

Annual food control report - national summary of Annual food control report - national summary of monitoring and auditmonitoring and audit

In year review of scheme and formal review after 1st In year review of scheme and formal review after 1st year - FA Sub Groupyear - FA Sub Group

Parallel arrangements in Scotland, Wales and NIParallel arrangements in Scotland, Wales and NI

Audit processAudit process

General findings/feedback at closing General findings/feedback at closing meetingmeeting

Draft report to Head of Service- within 20 Draft report to Head of Service- within 20 working daysworking days

LA to return with factual corrections & LA to return with factual corrections & Action Plan - within 20 working daysAction Plan - within 20 working days

Final report to Chief Executive - within 15 Final report to Chief Executive - within 15 days days

Published on website (press release)Published on website (press release)

Feedback on the audit processFeedback on the audit process

Customer satisfaction surveys returned Customer satisfaction surveys returned from 23 LAs in the first yearfrom 23 LAs in the first year

Generally positiveGenerally positive 17% totally, 78% mostly, 4% partially agreed 17% totally, 78% mostly, 4% partially agreed

with audit findingswith audit findings 87% felt the process had helped make 87% felt the process had helped make

improvements in level, quality or consistencyimprovements in level, quality or consistency