Food Standards Agency in Scotland - Report on the Audit of Local Authority Food Standards Enforcement Service in accordance with the Framework ...

 
Food Standards Agency in Scotland

  Report on the Audit of Local Authority
   Food Standards Enforcement Service
in accordance with the Framework Agreement
on Official Feed and Food Controls by Local
                Authorities

             Moray Council
            10 - 12 June 2013
Food Standards Agency                                            Audit Branch, Scotland

                                    Foreword
Audits of Local Authorities food law enforcement services are part of the Food
Standards Agency’s arrangements to improve consumer protection and confidence in
relation to food and feed. These arrangements recognise that the enforcement of UK
food law relating to food safety, hygiene, composition, labelling, imported food and
feeding stuffs is largely the responsibility of Local Authorities. These Local Authority
regulatory functions are principally delivered through Environmental Health and Trading
Standards Services. The Agency’s website contains enforcement activity data for all
UK local authorities and can be found at:
www.food.gov.uk/enforcement/auditandmonitoring.

Agency audits assess Local Authorities’ conformance against the Food Law
Enforcement Standard (“The Standard”), the 5th revision of which was published in April
2010 by the Agency as part of the Framework Agreement on Official Feed and Food
Controls by Local Authorities and is available on the Agency’s website at:
http://www.food.gov.uk/multimedia/pdfs/enforcement/frameworkagreementno5.pdf

It should be acknowledged that there will be considerable diversity in the way and
manner in which Local Authorities may provide their food enforcement services
reflecting local needs and priorities.

The main aim of the audit scheme is to maintain and improve consumer protection and
confidence by ensuring that Local Authorities are providing an effective food law
enforcement service. The scheme also provides the opportunity to identify and
disseminate good practice and provide information to inform Agency policy on food
safety, standards and feeding stuffs. Parallel Local Authority audit schemes are
implemented by the Agency‘s offices in all of the countries comprising the UK.

For assistance, a glossary of technical terms used within this audit report can be found
at Annexe C.

Food Standards/784/08                    1                                  August 2013
Food Standards Agency                                           Audit Branch, Scotland

                       CONTENTS
_________________________________________________________

 1.0     Introduction                                                          3
                 Reason for the Audit                                          3
                 Scope of the Audit                                            3
                 Background                                                    4

 2.0     Executive Summary                                                     5

 3.0     Audit Findings                                                        6

    3.1 Organisation and Management                                            6
                 Strategic Framework, Policy and Service Planning              6
                 Documented Policies and Procedures                            6
                 Officer Authorisation                                         6

    3.2 Facilities and Equipment                                               8
                Food Establishments Database                                   8

    3.3 Food Premises Interventions and Inspections                            9
                 Records and Intervention Reports                              9
                 Verification Visit to Food Premises                          10

    3.4 Enforcement                                                           12
              Food Complaints and Food Premises Complaints                    12
              Advice to Business                                              12
              Food Inspection and Sampling                                    12
              Food Safety Incidents                                           13

    3.5 Monitoring                                                            14
              Internal Monitoring                                             14

         Annexe A - Action Plan for Moray Council                             15

         Annexe B - Audit Approach/Methodology                                17

         Annexe C - Glossary                                                  19

Food Standards/784/08                      2                              August 2013
Food Standards Agency                                              Audit Branch, Scotland

1.0     Introduction

1.1     This report records the results of an audit of Moray Council with regard to food
        standards enforcement, under relevant headings of The Standard in The
        Framework Agreement on Official Feed and Food Controls by Local Authorities
        (Amendment Five, April 2010). The audit focused on the Authority’s
        arrangements for organising and delivering the management of food premises
        inspections, enforcement activities and internal monitoring. The report has been
        made available on the Agency’s website at:
        www.food.gov.uk/enforcement/auditandmonitoring/auditreports

        Reason for the Audit

1.2     The power to set standards, monitor and audit Local Authority food law
        enforcement services was conferred on the Food Standards Agency by Section
        12 the Food Standards Act 1999 and Regulation 7 of The Official Feed and Food
        Controls (Scotland) Regulations 2009. This audit of Moray Council was
        undertaken under section 12(4) of the Act, and Regulation 7(4) of the
        Regulations as part of the Food Standards Agency in Scotland audit programme.

1.3     The audit followed a desktop food standards monitoring exercise carried out in
        February 2013. The purpose of the audit was to consider the detail of official
        controls and enforcement carried out by local authorities to gain assurances that
        food standards law enforcement is effective.

1.4     Previous FSA audits of Moray Council took place in 2006, 2009 and 2011.

        Scope of the Audit

1.5     The audit covered the Local Authority services for the delivery of official controls,
        and in particular:
             to ensure that regulation is effective, risk based and proportionate and
              leads to food produced or sold in the UK being safe to eat, and
             to ensure that regulation is effective, risk-based, consistent and
              proportionate and thereby ensuring that consumer interests are protected
              from fraud and other risks.

1.6    The Audit brief was sent to the Authority in advance of the audit programme
       beginning and is available at
       http://www.food.gov.uk/multimedia/pdfs/enforcement/enfs13005.pdf

1.7     The audit examined Moray Council’s arrangements for food premises
        interventions and internal monitoring with regard to food standards law
        enforcement. This included a verification check at a food business to assess the
        effectiveness of official controls implemented by the Authority at the food
        business premises and, more specifically, the checks carried out by the
        Authority’s Officers to verify food business operator (FBO) compliance with
        legislative requirements. The scope of the audit also included an assessment of
        the Authority’s overall organisation and management, and the delivery of other
        related food law enforcement activities.
 Food Standards/784/08                      3                                   August 2013
Food Standards Agency                                            Audit Branch, Scotland

1.8     The audit examined key food law enforcement systems and arrangements to
        determine that they were effective in supporting business compliance, and that
        local enforcement was managed and delivered effectively. The on-site element
        of the audit took place at the Authority’s Environmental Services office at the
        Council Office, High Street, Elgin, IV30 1BX on 10-12 June 2013.

        Background

1.9     The Food Law Enforcement Service is contained within the Environmental Health
        section of the Development Services Division. The service is provided through
        two multi-disciplinary teams divided on a geographical basis across Moray.

        The staffing allocation available to undertake all core food law enforcement is 6
        full time equivalent (FTE) Officers as advised in the 31st January 2013 return of
        the Food Standards Questionnaire (December 2012). The authority is not able to
        accurately quantify the specific resources for food standards enforcement. The
        authority has advised that this number has reduced to 5 due to budgetary cuts for
        2013/14.

1.10    The profile of Moray Council’s food businesses as detailed in the Food
        Enforcement Service Plan 2013-2014 was as follows:

                 Type of premises                                  Number
                 Primary Producers                                       35
                 Abattoirs                                                1
                 Manufacturers /Packers                                 118
                 Distributors/Transporters                               22
                 Retailers                                              219
                 Caterers inc. Restaurants,                             794
                 Manufacturers mainly selling by retail                  26
                 Total                                                 1189

 Food Standards/784/08                       4                                August 2013
Food Standards Agency                                            Audit Branch, Scotland

2.0    Executive Summary

2.1    The Authority had developed and implemented a Food Law Enforcement Service
       Plan for 2012-2013, which had been appropriately approved and which satisfies
       the Service Planning Guidance in the Framework Agreement.

2.2    The Authority had developed documented policies and procedures relating to
       their food law enforcement responsibilities, including food safety interventions
       and enforcement decisions,. These documents were available to all Officers in
       electronic format on a central directory and those procedures evaluated during
       the audit contained up to date references to legislation and official guidance.

2.3    All officers carrying out food standards enforcement activities had been
       appropriately authorised in accordance with the Authority’s procedures. The
       Scheme of Delegation allows authorisation to be delegated by the Director of
       Environmental Services to the Head of Development Services

2.4    Officers were subject to regular performance review (Employee Development and
       Review Process) to ensure that their competency levels were maintained for their
       level of authorisation and training needs identified. Training records contained
       evidence that each Officer had completed a minimum 10 hours relevant training,
       including food standards, in the last year.

2.5    The procedures and documentation provided for inspections were generally
       being followed and detailed observations were adequately recorded in
       accordance with the Food Law Code of Practice, centrally issued guidance and
       the authority’s own policies and procedures.

2.6    File checks of six food standards files confirmed that the Authority was
       completing inspections in accordance with their procedures. Food business
       operators were provided with reports and / or letters confirming the findings from
       inspections, although this was often later than that required by the Procedure.

2.7    The Authority had a documented sampling policy and procedure. Files checks,
       however, indicated that timely action had not always been taken following
       unsatisfactory results.

2.8    Database checks and monitoring returns indicated that the inspection programme
       was not always achieving the inspection frequency for food standards.

2.9    Discussion and review of internal monitoring procedures and practices indicated
       that the Authority was not recording but were carrying out routine monitoring of
       many aspects of food law enforcement work.

Food Standards/784/08                     5                                 August 2013
Food Standards Agency                                            Audit Branch, Scotland

3.0     Audit Findings

3.1     Organisation and Management

        Strategic Framework, Policy and Service Planning

3.1.1   The Authority has a Food Law Enforcement Service Delivery Plan for 2012-2013
        that follows the Service Planning Guidance in the Framework Agreement and
        was approved by the Planning and Regulatory Services Committee on 9 October
        2012. The Service Plan included the review of the plan for 2011-2012. Variances
        and areas for improvement were identified.

        The targets set in the Service Plan are in accordance with the Food Law Code of
        Practice.

3.1.2   In the Food Law Enforcement Service Delivery Plan, the Council’s Aims include
        the following:

        “To maintain and improve the public health within Moray by carrying out the
        Council’s food safety enforcement responsibilities in a consistent, planned and
        accountable manner ensuring that:
              “the quality, composition, labelling and presentation and advertising of
               food and materials in contact with food are satisfactory”

        Documented Policies and Procedures

3.1.3   The Authority had developed documented policies and procedures relating to
        their food standards law enforcement responsibilities. Review of documented
        policies and procedures was evident from documents examined as all revisions
        were clearly listed on the document cover. There are procedures in place for,
        amongst others, training and development, authorisation, document control,
        database validation, food safety incidents, food safety interventions, enforcement
        decisions, food complaints and chemical sampling.

3.1.4   The Environmental Health Manager has overall responsibility for the document
        control system, and the Principal Environmental Health Officer is responsible for
        ensuring that all legislation, guidance and standards documents are maintained
        and kept up to date. Evidence of the system in operation was provided. Policies
        and procedures are reviewed regularly and officers have electronic access to
        these documents through a system called “Sharepoint”. Legislation and centrally
        issued guidance is available from the internet.

        Officer Authorisation

3.1.5   The Authority has documented procedures for both Training & Development and
        Authorisation. The Scheme of Delegation allows authorisation to be delegated
        by the Director of Environmental Services to the Head of Development Services.
        Revised authorisation cards, signed by the Head of Development Services, had
        very recently been issued to Officers.

 Food Standards/784/08                     6                                 August 2013
Food Standards Agency                                               Audit Branch, Scotland

        The authorisations cover the range of legislation required, however, they
        referenced out of date legislation, in particular, the Products of Animal Origin
        (Third Country Imports) Regulations 2007.

3.1.6   Copies of qualifications and training certificates (pre 2006) were on file. Individual
        training needs are discussed at annual Employee Review and Development
        meetings. Lists of completed training for officers were available from 2007
        onwards and there was evidence on file that officers had generally met the
        required 10 hours CPD requirement. Evidence of appropriate training covered the
        range of activities, processes and technologies that were reasonably expected to
        be found during food standards interventions in the authority’s area.

          Recommendation

          3.1.7   The Authority shall:

                  Set up, maintain and Implement a documented procedure for the
                  authorisation of officers based on their competence and in
                  accordance with the relevant Codes of Practice and any centrally
                  issued guidance.

                   [The Standard - 5.1]

 Food Standards/784/08                       7                                   August 2013
Food Standards Agency                                           Audit Branch, Scotland

3.2     Facilities and Equipment

        Food Establishments Database

3.2.1   The Authority has an electronic database which is used to record inspection data
        and provide inspection programme dates of food establishments in its area that
        are subject to food standards enforcement. There is a documented procedure for
        database validation which manages the integrity of the database. All electronic
        records requested were retrievable.

3.2.2   The database is capable of providing the Food Standards Agency with the
        information required for the Local Authority Enforcement Monitoring System
        (LAEMS) returns. Reports can be run to provide managers with information to
        assist in the effective delivery of the service.

 Food Standards/784/08                    8                                 August 2013
Food Standards Agency                                             Audit Branch, Scotland

3.3     Food Premises Interventions and Inspections

3.3.1   Included in the 2012-2013 Food Law Enforcement Service Plan is a statement
        that there are 7 high risk, 180 medium risk and 274 low risk food standards
        premises on the authority database. There is no alternative enforcement strategy
        in use. All food standards inspections are carried out by appropriately qualified
        officers at the same time as food hygiene inspections at the frequency according
        to the highest risk assessment, whether it is food hygiene or food standards. This
        may result in some premises being inspected more frequently than required
        which may have an impact on the remainder of the inspection programme. For
        example, the Local Authority Enforcement Monitoring System (LAEMS) return
        submitted by the Authority for 2011-2012 shows there was a shortfall of 11%,
        31% and 14% of high, medium and low risk food standards premises inspections
        respectively.

3.3.2   Officers are required to follow the Food Standards Intervention Procedures which
        refer to aide-memoires for non-approved and sector specific approved premises.
        Aide–memoires cover both food hygiene and food standards. In two identified
        cases, premises have been scored as manufacturing and yet the inspection
        records were collected on a non-manufacturing aide-memoire. A review of the
        aide-memoires will improve consistency

           Recommendation

           3.3.3 The Authority shall:

                  Carry out interventions/inspections (as required by the relevant Code
                  of Practice) at all food hygiene, food standards and feedingstuffs
                  establishments in their area, at a frequency which is not less than that
                  determined under the intervention rating schemes set out in the
                  relevant legislation, Codes of Practice, or other centrally issued
                  guidance.

                  [The Standard - 7.1]

        Records and Intervention Reports

3.3.4   File and database record checks confirmed that food standards inspections were
        being implemented and were generally being carried out in accordance with the
        specific requirements in the Inspections chapter of the Food Law Code of
        Practice (CoP) and the Authority’s Food Safety Intervention Procedures.

3.3.5   File checks of six food standards premises confirmed that the Authority had
        completed inspections in accordance with the minimum frequency laid out in the
        CoP. For all files examined, there were reports and risk rating forms for the most
        recent interventions and the inspection records were legible and retrievable.

 Food Standards/784/08                     9                                  August 2013
Food Standards Agency                                              Audit Branch, Scotland

3.3.6   Officers are required to follow the Food Standards – Inspection Scope in the Food
        Safety Intervention procedure. As food standards inspections are carried out at
        the same time as food hygiene, an inspection aide memoire for Regulation (EC)
        No 852/2004 on the hygiene of foodstuffs is used. This has an area to record
        “Food Standards Non Manufacturing Premises” which is required to be either
        supplemented or replaced with a dedicated “Report of Food Standards
        Inspection” report.

        The “Non manufacturing premises” aide memoire was sufficiently detailed for the
        areas included and required notes to be recorded. The “Report of Food
        Standards Inspection” requires Officers to record significant details but does not
        fully meet the requirements of Annex 6 of the Food Law Code of Practice as it did
        not include designation of the authorised officer, contact details of the authorised
        officer and food authority name and address.

3.3.7   The Food Standards Intervention Procedure requires officers, in clearly defined
        circumstances, to furnish the food business operator with a hand written pre-
        printed “Report of Food Standards Inspection” at the end of the inspection. In all
        other cases a letter is to be sent. This was found to take as long as one month in
        some cases whereas the procedure requires correspondence to be issued within
        10 days.

3.3.8   It was evident from audit checks that officers were following the authority’s
        approach to enforcement and were actively working with businesses to achieve
        compliance.

3.3.9   Officers are required to update the premises’ file on the database following each
        intervention and there was evidence of that having taken place. Risk rating of the
        premises was complete, accurate and in accordance with the Food Law Code of
        Practice requirements.

        Verification Visit to Food Premises

3.3.10 During the audit, a verification visit was undertaken to a retail butchers premises.
       The Authorised Officer who had carried out the most recent programmed
       inspection accompanied the auditors on the verification visit. The main objective
       of the visit was to assess the effectiveness of the Authority’s assessment of food
       business compliance with the food law requirements of Regulation (EC) No.
       178/2002 laying down the general principles and requirements of food law.

3.3.11 The specific assessments included the preparation for the inspection, the
       conduct of the preliminary interview of the FBO by the officer and the general
       checks to verify compliance with food standards requirements examined during
       the last intervention.

3.3.12 An interview was held with the Officer before the verification visit took place to
       confirm the contents of the file records and to explain the format and objectives of
       the visit. It also gave the Officer the opportunity to explain the inspection
       process, i.e. the preparatory work carried out prior to an inspection and the
       general process while on site, which included the following of the authority’s Food
       Standards Intervention Procedures.

 Food Standards/784/08                     10                                  August 2013
Food Standards Agency                                              Audit Branch, Scotland

3.3.13 The reality visit verified that the officer was using the appropriate inspection aide
       memoire and following the procedure appropriately. The officer clearly had a
       good working relationship with the business and it was clear that the focus of the
       inspection had not been food standards but had been been cross contamination
       and beef labelling. The issues raised about beef labelling had been partially
       addressed by the food business operator at the time of the reality visit.

3.3.14 The reality visit informed the auditors that the officer had generally followed the
       format of the aide-memoire and had conducted an inspection that included an
       element of food standards. However, the lack of evidence for some areas of food
       standards enforcement, without satisfactory records, was not in accordance with
       the Food Law Code of Practice.

         Recommendation

         3.3.15 The Authority shall:

                  Carry out interventions / inspections in accordance with the relevant
                  legislation, Codes of Practice, centrally issued guidance and the
                  Authority’s policies and procedures.

                  [The Standard - 7.2]

 Food Standards/784/08                      11                                 August 2013
Food Standards Agency                                           Audit Branch, Scotland

3.4     Enforcement

3.4.1   The Authority has an Environmental Health Enforcement Policy which was
        approved by the Planning and Regulatory Services Committee in August 2008.

3.4.2   In the enforcement policy there is a reference that The Moray Council has
        adopted the 'Enforcement Concordat', which sets out the Council's commitment
        to the principals of good enforcement.

3.4.3   The Authority had developed an “Enforcement Decisions” procedure for formal
        food law enforcement actions. Included in the term 'enforcement' are advisory
        visits and assisting with compliance as well as formal enforcement action.
        Reference is made to the Food Law Code of Practice and associated guidance
        and other centrally issued guidance.

                                        Good Practice

         The Authority had systems and procedures in place for identifying and tackling
         food fraud. They are pro-active in their approach to food fraud during
         interventions and priority is given to food fraud complaints and intelligence.
         They provide assistance to other local Authorities in Scotland, as required.

        Food Complaints and Food Premises Complaints

3.4.4   The Authority has a documented policy and procedure for complaints and all
        complaints that were examined had been dealt with effectively and records
        maintained.

        Advice to Business

3.4.5   Food standards advice is given during inspections, in the course of food
        complaint investigations and to new / prospective food business operators. The
        Food Standards Interventions Procedures detail that advice on good food
        standards practice should be given at the closing meeting. Evidence of this, in
        the form of recommendations, was documented in files examined.

        Food Inspection and Sampling

3.4.6   The Authority has a documented sampling policy, procedure and programme.
        The sampling programme is developed in line with central and local relevant
        sampling priorities (e.g. surveys and complaints), with a focus on locally
        produced foods. The plan includes numbers of samples, premises type and
        commodities. Sampling data is entered on to the United Kingdom Food
        Surveillance System (UKFSS).

        Records of seven samples were reviewed. However, in four cases where there
        was evidence of unsatisfactory results, they had not been appropriately followed
        through to completion. The samples results were reported by the Public Analyst
        to the Authority during the period of May 2012 to January 2013.

 Food Standards/784/08                    12                                August 2013
Food Standards Agency                                           Audit Branch, Scotland

        The Chemical Sampling Procedure appropriately refers to Scottish Food
        Enforcement Liaison Committee – Effective Food Sampling – Guidance for Local
        Authorities as well as other guidance documents. There are no action timescales
        specified in the Chemical Sampling Procedure, Food Sampling Policy or the
        Food Complaint policy & procedure, although the latter document states “Food
        complaints notified to the Environmental Health Section shall be dealt with in a
        prompt and consistent manner in accordance with the relevant legislation and
        codes of practice.” This is likely to make management and monitoring of
        individual sample results and investigations difficult.

        Food inspection is not explicitly covered in a documented procedure; however,
        policies, procedures and forms substantially address this requirement.

        Food Safety Incidents

3.4.7   There is a Food Safety Incidents Procedure in place which complies with the
        Framework Agreement requirements. Records of three food alerts received
        during late 2012 to early 2013 showed detail of action required.

 Food Standards/784/08                    13                                August 2013
Food Standards Agency                                              Audit Branch, Scotland

3.5     Monitoring

        Internal Monitoring

3.5.1   Internal Monitoring is covered within the Authority’s Intervention Procedure which
        aims to ensure the minimum frequency of inspections and that the quality and
        consistency of inspections are maintained and comply with relevant legislation
        and Codes of Practice.

        Ad hoc monitoring of inspection reports and letters is carried out as well as
        database monitoring and fortnightly audits of the inspection programme. Annual
        monitoring of food complaints and non-survey samples takes place prior to
        submission of LAEMS data to the Agency. No records of quantitative monitoring
        are maintained, other than the risk assessments being signed off by the
        responsible Principal Officer.

        There were no records of the additional required monitoring of a new officer.
        However, the officer had established his own self-assessment systems for
        inspections and records. The Authority is considering adopting a similar self-
        assessment system. The auditors discussed the benefits of this system and peer
        checking. Outcomes of internal monitoring feed into officer training plans.

          Recommendation

          3.5.2 The Authority shall:

                 Keep a record of all internal monitoring. This should be kept for at least
                 2 years.

                 [The Standard – 19.3]

 Auditors:     Jacqui Angus
               Graham Forbes
               Hazel Stead

 Food Standards Agency
 Audit Branch, Scotland

 Food Standards/784/08                      14                                  August 2013
Food Standards Agency                                                                                   Audit Branch, Scotland

    ANNEXE A

    Action Plan for Moray Council                                                                         Audit date: 22-23 May 2013

        TO ADDRESS
                                              BY
 (RECOMMENDATION INCLUDING                             PLANNED IMPROVEMENTS               PROGRESS            ACTION TAKEN
                                            (DATE)
    STANDARD PARAGRAPH)
The Authority shall set up, maintain and      30       Remove reference to the Product               Completed – see amended procedure
implement a documented procedure for       September   of Animal Origin (Third Country               and warrant card examples attached
the authorisation of officers based on       2013      Imports) Regulations 2007 and
their competence and in accordance with                include the TARP (S) Regulations              FSA Comment Jan 2015
the relevant Codes of Practice and any                 2012.                                         The report specifically referred to
centrally issued guidance.                                                                           TARP and for this there should be a
                                                       Review the Authorisation                      reference to the “2012 No. 177
[The Standard - 5.1]                                   Procedure to include regular                  ANIMALS AGRICULTURE
                                                       review.                                       The Trade in Animals and Related
                                                                                                     Products   (Scotland)    Regulations
                                                                                                     2012” made under the European
                                                                                                     Communities Act 1972, as the Food
                                                                                                     Law Code of Practice (Scotland) 2014
                                                                                                     states:

                                                                                                     The Authorisation procedure should
                                                                                                     be suitably amended to include the
                                                                                                     relevant references to enforcement
                                                                                                     action under TARP..

                                                                                                     FSS Comment 13 April 2015
                                                                                                     Suitable documentation received.
                                                                                                     Recommendation closed
                                                                                                     G Forbes

    Food Standards/784/11                                            15                                                     June 2015
Food Standards Agency                                                                                         Audit Branch, Scotland

        TO ADDRESS
                                                BY
 (RECOMMENDATION INCLUDING                               PLANNED IMPROVEMENTS                   PROGRESS            ACTION TAKEN
                                              (DATE)
    STANDARD PARAGRAPH)
The     Authority     shall   carry    out       31      Our inspection system will be                     A new inspection system has been
interventions/inspections (as required by     December   reviewed to ensure that there is                  introduced to improve efficiency. See
the relevant Code of Practice) at all food      2013     an improvement in the inspection                  attached. A mobile solution is
hygiene,      food      standards      and               frequency of food standards                       presently being procured to further
feedingstuffs establishments in their                    inspections. The review in                        improve performance and should be
area, at a frequency which is not less                   particular will ensure that all high              in place by 31 March 2015.
than that determined under the                           risk premises are inspected at a
intervention rating schemes set out in the               frequency that is not less than                   FSA Comment Jan 2015
relevant legislation, Codes of Practice, or              that determined under the                         The LAEMS return for 2012-13 shows
other centrally issued guidance.                         Intervention Ratings Scheme.                      that all high risk inspections were
                                                                                                           completed with 0 of 18 missed, for
[The Standard - 7.1]                                                                                       medium risk 29 of 303 were missed
                                                         The food standards inspection                     (about 10%) and for low risk 23 of 366
                                                         aide memoire will be reviewed.                    (about 6%). These are encouraging
                                                                                                           figures as they are an improvement
                                                                                                           on the previous year and have
                                                                                                           delivered on the action plan of
                                                                                                           completing all high risk inspections.

                                                                                                           FSS Comment 13 April 2015
                                                                                                           Suitable documentation received.
                                                                                                           Recommendation closed
                                                                                                           G Forbes

    Food Standards/784/11                                                16                                                         June 2015
Food Standards Agency                                                                                       Audit Branch, Scotland

        TO ADDRESS
                                               BY
 (RECOMMENDATION INCLUDING                              PLANNED IMPROVEMENTS                  PROGRESS            ACTION TAKEN
                                             (DATE)
    STANDARD PARAGRAPH)
The     Authority      shall   carry   out   31 March   The system whereby standard                      Completed. The new inspection
interventions / inspections in accordance      2014     letters were sent to businesses                  system       addresses   this
with the relevant legislation, Codes of                 on receipt of a public analyst                   recommendation
Practice, centrally issued guidance and                 report on minor labelling failures
the Authority’s policies and procedures.                will be reintroduced. Staff will be              FSS Comment 13 April 2015
                                                        requested to define and record                   Suitable documentation received.
[The Standard - 7.2]                                    the scope of food standards                      recommendation closed
                                                        inspections.                                     G Forbes

The Authority shall keep a record of all     31 March   A system of monitoring                           This will form part of      the new
internal monitoring, This should be kept       2014     performance will be developed                    inspection system.
for at least 2 years                                    and records will be kept for at
                                                        least 2 years.                                   FSA Comment March 2015
[The Standard - 19.3]
                                                                                                         The Standard 19.3
                                                                                                         No evidence has been provided; as it
                                                                                                         is part of the new inspection system a
                                                                                                         copy of that system is requested.

                                                                                                         FSS Comment 09 June 2015
                                                                                                         Suitable documentation received.
                                                                                                         recommendation closed
                                                                                                         G Forbes

                                  Actions Accepted by Auditors : Audit File Closed 23 June 2015

    Food Standards/784/11                                               17                                                        June 2015
Food Standards Agency                                             Audit Branch

ANNEXE B

Audit Approach/Methodology

The audit was conducted using a variety of approaches and methodologies as
follows:

(1) Examination of LA policies and procedures.

The following LA policies, procedures and linked documents were examined before
and during the audit:

        Food Law Enforcement Service Delivery Plan 2012-2013
        Review of Performance against the 2011/2012 Food Law Enforcement
         Service Plan
        Food Safety Document Control procedure (April 2013)
        Scheme of Delegation (March 2011)
        Training and Development procedure (May13)
        Authorisation Procedure (April 2013)
        Database Validation procedure (April 2013)
        Food Safety Incidents procedure (March 2013)
        Environmental Health Enforcement policy (12.08.08)
        Notes of Environmental health Staff meetings
        Complaints Handling policy (10 October 2012, v1.2)
        Complaints handling policy and procedure (September 2012, v1.1)
        Quarterly Monitoring Statements
        Food Safety Intervention procedures (April 2013)
        Enforcement Decision Procedures (April 2013)
        Intervention lists
        Food Complaint policy and procedure
        Bacteriological Sampling Procedure (May 2013)
        Chemical Sampling Procedure (May 2013)
        Food Sampling policy (April 2013)
        Inspection Aide memoir – ECR 852-2004

(2) File reviews

The following file records were reviewed during the audit:

        Training files & Qualifications
        Food Premises inspection reports
        Food Samples
        Authorisations
        Food Alerts : “For Action”

Food Standards/784/08                     18                          August 2013
Food Standards Agency                                                   Audit Branch

(3) Officer interviews

The following Officers were interviewed:

         Audit Liaison Officer
         Authorised Officer who carried out the most recent inspection at the
          premises selected for a verification visit.

Opinions, comments and views raised during Officer Interviews remain confidential
and are not referred to directly within the report.

(4) Verification visits:

A verification visit was made with an Officer from the Authority to a local food
business. The purpose of the verification visit was to verify the outcome of the most
recent programmed inspection carried out by the Local Authority, and to assess the
extent to which enforcement activities and decisions met the requirements of
relevant legislation, the Food Law Code of Practice (Scotland) and other official
guidance.

Food Standards/784/08                      19                               August 2013
Food Standards Agency                                                    Audit Branch

ANNEXE C
                                      Glossary

Audit                      Audit means a systematic and independent examination
                           to determine whether activities and related results
                           comply with planned arrangements and whether these
                           arrangements are implemented effectively and are
                           suitable to achieve objectives.

Authorised Officer         A suitably qualified Officer who is authorised by the
                           Local Authority to act on its behalf in, for example, the
                           enforcement of legislation.

E. coli                    Escherichia coli microorganism, the presence of which
                           is used as an indicator of faecal contamination of food or
                           water.    E. coli 0157:H7 is a serious food borne
                           pathogen.

Food Law Code           of Government Codes of Practice issued under Section 40
Practice (Scotland)        of the Food Safety Act 1990, Regulation 24 of the Food
                           Hygiene (Scotland) Regulations 2006 and Regulation 6
                           of the Official Feed and Food Controls (Scotland)
                           Regulations 2009, as guidance to Local Authorities on
                           the enforcement of food legislation.

Food hygiene               The legal requirements covering the safety and
                           wholesomeness of food.

Food Standards             Food standards interventions are part of the system for
                           ensuring that food meets the requirements of food
                           standards law, including proper presentation, labelling
                           and advertising so as not to confuse or mislead;
                           compliance with compositional standards; and the
                           absence of non-permitted or excessive levels of
                           additives, contaminants and residues.

Food Standards Agency The Food Standards Agency is an independent
                      Government department set up by an Act of parliament
                      in 2000 to protect the public's health and consumer
                      interests in relation to food.

                           Everything we do reflects our vision of Safe food and
                           healthy eating for all.

Framework Agreement        The Framework Agreement consists of:

                                 Chapter One Service Planning Guidance
                                 Chapter Two The Standard
                                 Chapter Three Monitoring of Local Authorities
                                 Chapter Four Audit Scheme for Local Authorities

Food Standards/784/08                     20                                 August 2013
Food Standards Agency                                                    Audit Branch

                          The Standard sets out the Agency’s expectations on
                          the planning and delivery of food law enforcement.

                          The Monitoring Scheme requires Local Authorities to
                          submit an annual return to the Agency on their food
                          enforcement activities i.e. numbers of inspections,
                          samples and prosecutions.

                          Under the Audit Scheme the Food Standards Agency
                          will be conducting audits of the food law enforcement
                          services of Local Authorities against the criteria set out
                          in The Standard.

Full Time Equivalents A figure which represents that part of an individual
(FTE)                 Officer’s time available to a particular role or set of
                      duties. It reflects the fact that individuals may work part-
                      time, or may have other responsibilities within the
                      organisation not related to food enforcement.

HACCP / FSMS              Hazard Analysis and Critical Control Point – a food
                          safety management system (FSMS) used within food
                          businesses to identify points in the production process
                          where it is critical for food safety that the control
                          measure is carried out correctly, thereby eliminating or
                          reducing the hazard to a safe level.

LAEMS                     Local Authority Enforcement Monitoring System is an
                          electronic system used by local authorities to report their
                          food law enforcement activities to the Food Standards
                          Agency.

Member forum              A local authority forum at which Council Members
                          discuss and make decisions on food law enforcement
                          services.

Risk rating               A system that rates food premises according to risk and
                          determines how frequently those premises should be
                          inspected. For example, high risk premises should be
                          inspected at least every 6 months.

Service Plan              A document produced by a Local Authority setting out
                          their plans on providing and delivering a food service to
                          the local community.

Food Standards/784/08                    21                                  August 2013
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