Contents
Table of amendments issued
ii
Preface
iii
Chapter 1
Service Planning Guidance
Chapter 2
Standard
2-1 – 2-31
Chapter 3
Monitoring Form
3-1 – 3-45
Chapter 4
Monitoring Form Guidance
4-1 – 4-17
Chapter 5
Audit Scheme
5-1 – 5-10
Amendment No. 4 – issued July 2004
1-1 – 1-8
i
Table of Amendments Issued
Amendment Number
Signed
Date
Amendment No. 1
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Amendment No. 2
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Amendment No. 3
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Amendment No. 4
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Amendment No. 5
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Amendment No. 6
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Amendment No. 7
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Amendment No. 8
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Amendment No. 9
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Amendment No. 10
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Amendment No. 11
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Amendment No. 12
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Amendment No. 13
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Amendment No. 14
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Amendment No. 15
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Amendment No. 16
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Amendment No. 17
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Amendment No. 18
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Amendment No. 19
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Amendment No. 20
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Please sign and date to confirm replacement of relevant pages with amendments
issued by the Food Standards Agency’s Local Authority Enforcement (Policy)
Division.
Amendment No. 4 – issued July 2004
ii
Preface
The Food Standards Agency Framework Agreement has been developed in close
partnership with the Local Authorities Coordinators of Regulatory Services
(LACORS) and the Local Government Association.
The Framework Agreement consists of four elements:
●
Food Law Enforcement Standard
●
Service Planning Guidance
●
Monitoring Scheme
●
Audit Scheme
The Standard and the Service Planning Guidance set out the Agency’s
expectations on the planning and delivery of food law enforcement.
These expectations do not derive from new or additional targets but reflect
a combination of recognised good practice and existing requirements
under statutory Codes of Practice. The Standard and the Service
Planning Guidance should be reflected in enforcement service plans operative
from 1 April 2001.
The Monitoring Scheme builds on existing arrangements under the Official
Control of Foodstuffs Directive (89/397/EEC) under which local authorities submit
returns on food law enforcement activity to the Food Standards Agency. The
revised arrangements apply to returns made in respect of enforcement activity
from 1 January 2001.
Under the Audit Scheme the Food Standards Agency will be conducting audits
of the food enforcement services of selected local authorities taking into account
information generated by monitoring arrangements operative from 1 January 2001.
Local authorities selected for audit will be assessed against the criteria set out in
the Standard. The audit programme will come into operation with effect from 1
April 2001.
The operation and scope of the Framework Agreement will be reviewed by a
Sub-Group of the Local Authority Enforcement Liaison Group.
Amendment No. 4 – issued July 2004
iii
Chapter 1: Service Planning Guidance
Introduction
1
This guidance provides information on how enforcement service plans
should be structured and what they should contain. Service plans developed under
these arrangements will provide the basis on which local authorities will be
monitored and audited by the Food Standards Agency. This guidance should be
read in conjunction with Food Law Enforcement – The Standard, which can be
found in Chapter 2.
Background
2
The White Paper “The Food Standards Agency – A Force for Change”
identified the Food Standards Agency as having a key role overseeing local
authority enforcement activities. The Agency will, therefore, be proactive in setting
and monitoring standards and auditing local authorities’ enforcement activities in
order to ensure this activity is effective and undertaken on a more consistent
basis. Powers to enable the Agency to monitor and audit local authorities are
contained in the Food Standards Act 1999.
3
Service plans are seen to be an important part of the process to ensure
national priorities and standards are addressed and delivered locally. Service
plans will also:
●
focus debate on key delivery issues;
●
provide an essential link with financial planning;
●
set objectives for the future, and identify major issues that cross
service boundaries; and
●
provide a means of managing performance and making performance
comparisons.
4
Given the importance of service plans, particularly in the context of the local
authority monitoring and audit role of the Food Standards Agency, it was
recognised by both central and local government that central guidance on the
content of local service plans for food enforcement work would be helpful. The
guidance, read in conjunction with Chapter 2 – ‘The Standard’, provides local
authorities with a service plan template to ensure that all the areas of the food and
feedingstuffs enforcement service covered by the food law enforcement Standard
Amendment No. 4 – issued July 2004
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Chapter 1: Service Planning Guidance
are included in the plan whilst allowing scope for the inclusion of any locally
defined objectives.1 The template will ensure that local authorities will include
in their service plans:
●
information about the services they provide;
●
the means by which they will provide those services, including the
various requirements of the Standard;
●
the means by which they will meet any relevant performance targets
or performance standards set out under, for example, Best Value;
●
a review of performance in order to address any variance from meeting
the requirements of the service plan.
5
In developing the Standard and this guidance account has been taken of
the guidance issued by the Cabinet Office on the balance of local authority
enforcement mix.2 That guidance states:
‘The Government recognises that local authority enforcers use various
approaches to enforcement work depending on the prevailing circumstances,
level of risk, political and stakeholder will and other external influences.
We expect local authority enforcers to adopt a balance of techniques and
approaches in order to ensure the safety and wellbeing of the public and of
the environment and not to rely on any one method. We believe that
assisting compliance is every bit as important as detecting non-compliance.
The targeting of resources where they are most effective and at areas of
highest risk is essential in providing the public with an effective service.
It is the desired outcome, which may alter with changing circumstances,
that should be the key influence when local authority enforcers are selecting
techniques to be used. Attention should be given to longer term as well as
short-term outcomes.’
The service plan should, therefore, demonstrate that local authorities are providing
a balanced service in this respect. Examples of what might be included under the
four common approaches to enforcement in a local authority’s ‘Enforcement Mix’
are given in the table below:
1
For the purposes of this guidance ‘food’ is defined as covering a local authority department’s service
covering either food hygiene, food standards or feedingstuffs work or a combination of those
activities.
2
An Introductory guide to Performance Management in Local Authority Trading Standards and
Environmental Health Enforcement Services.
Amendment No. 4 – issued July 2004
1-2
Chapter 1: Service Planning Guidance
Demand Driven
Inspection Driven
Requests for advice
Inspection programme
Food complaints
Targeted inspections
Home Authority Principle
Sampling programme for
analysis/examination as required by
any national, EC, regional or local
programmes
Investigation of food poisoning
notifications and outbreak control
Food Hazard Warnings
Education Driven
Intelligence Driven
Inspection programme
Sampling
Targeted inspections
Scientific and technical developments
Home Authority Principle
Inspection programme
Food hygiene courses
Targeted inspections
Public awareness campaigns
British Cattle Movement Service referrals
Partnerships with business, the voluntary
sector and other public bodies
Meat Hygiene Service referrals
Home Authority Principle
Food poisoning notifications
Food complaints
Food Hazard Warnings
Liaison and partnerships
6
The Best Value framework also has a central role to play in helping local
authorities to plan and deliver their services. The requirements of Best Value and
effective food safety enforcement are not separate or exclusive. Local authorities’
food functions do not fall outside Best Value and authorities should approach
their requirements under Food Safety and Local Government legislation in an
integrated way. Local authorities should utilise the Best Value framework
alongside the Standard and the service planning guidelines on pages 1-5–1-8
of this document to help plan and deliver their food law enforcement services.
Common format
7
Service plans are an expression of local authorities’ own commitment to the
development of the food service. However, it is also important to consider the use
made of the plans by the Food Standards Agency which will need information
about local authority food law enforcement activities in a common format to enable
it to assess local authorities’ delivery of the service. In addition, service plans will
be of use to other local authorities who will find analysis and comparison of their
relative performance greatly facilitated by a common format. The common format
will be of particular use to local authorities in their preparations for a fundamental
performance review under the local government Best Value agenda. The
guidelines are therefore structured in terms of a common format – with chapter
and subject headings specified – and a general description of the content that
Amendment No. 4 – issued July 2004
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Chapter 1: Service Planning Guidance
should form part of each. There is no intention to remove local authority flexibility
to include additional items under particular headings, for instance, particular
surveys or initiatives associated with Best Value and benchmarking exercises
that may have been undertaken or are planned.
8
It is recognised that most local authorities have been developing service
plans for many years and may have corporate styles or templates that they wish to
maintain. It is also recognised that some local authorities undertake the planning
and review processes at separate times and issue the results of review as a
separate document. While there is flexibility for local authorities to continue with
a corporate format, they should ensure that the information requirements in the
guidance are included and separately identifiable in their service planning
documents.
9
In summary, the recommended format for food enforcement service plans
is as follows:
Section 1
Section 2
Section 3
Section 4
Section 5
Section 6
–
–
–
–
–
–
Service Aims and Objectives
Background
Service Delivery
Resources
Quality Assessment
Review
Detailed guidance on the content of the plan in each of these areas is set
out overleaf.
Member Approval
10 Food Service Plans should be submitted to the relevant member forum
for approval to ensure local transparency and accountability.
Amendment No. 4 – issued July 2004
1-4
Chapter 1: Service Planning Guidance
Food Service Plan Guidance
1. Service Aims and Objectives
1.1 Aims and Objectives
A statement of the service’s aims and objectives.
1.2 Links to corporate
objectives and plans
This section should identify how the food service plan fits
into the Authority’s corporate planning process, including for
example Best Value Performance Plans and how it plays its
part in meeting the Authority’s objectives. It should also
identify any cross linkage with other plans that have been
developed by the Authority.
2. Background
2.1 Profile of the Local
Authority
This section should include details of the population, the
size and nature of the Authority.
2.2 Organisational
Structure
A simple chart showing the council services and committee
structure which shows where the food service fits in. The
structure should identify the manager/s responsible for the
food service delivery and the officer/s with specialist
responsibility for food hygiene, food standards, and/or
feedingstuffs if different, and the provision made for
specialist services provided, for example, by public
analysts and food examiners.
2.3 Scope of the Food
Service
A brief statement that sets out the scope of the
responsibilities and service provided. This should identify
where areas of the food service are provided by another
organisation e.g. contractors. The Authority should also
describe any other services that are delivered alongside
the food service e.g. health and safety inspections.
2.4 Demands on the
Food Service
This section should include a brief outline of the premises
profile and identify the number of approved/licensed or
registered premises in the Authority’s area. It should also
identify any particular local requirements associated with
specialist or complex processes.
The section should detail the service delivery points used
by the Authority and the times at which the service is
available from these points.
This section also enables the Authority to describe any
external factors that may impact on their service. For
example, this may include the % of business owners
whose first language is not English, the % of food premises
that are manufacturing foods, imported food responsibilities,
or seasonal activities.
2.5 Enforcement Policy
A brief reference statement to the Authority’s documented
enforcement policy.
Amendment No. 4 – issued July 2004
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Chapter 1: Service Planning Guidance
3. Service Delivery
3.1 Food and
Feedingstuffs Premises
Inspections
A statement in relation to the Authority’s policy on
inspection including details of the food inspection
programmes to be undertaken. This should include the
premises profile, the numbers of inspections programmed,
an estimation of the number of revisits that will be made,
and an estimation of resources required e.g. staffing. The
plan should also detail any targeted inspection activity that
the Authority intends to carry out including any extra
resources this may require.
The Authority should identify any priorities relating to
nationally or locally driven outcomes, such as compliance
with new legislation or improved compliance with existing
legislation. The section should include, where appropriate,
the arrangements the Authority has made to ensure that
they have access to adequate expertise to enable
competent inspection of any specialised processes
identified in Section 2.
3.2 Food and
Feedingstuffs
Complaints
A statement in relation to the Authority’s policy regarding
the investigation of food complaints including an estimation
based on previous years’ trends of the likely demand on the
service and an estimation of the resources required.
3.3 Home Authority
Principle
A statement in relation to the Authority’s policy on the Home
Authority Principle including an estimation of the resources
required in relation to meeting and advising those
businesses for whom it acts as home authority or originating
authority and responding to enforcing authority enquiries.
3.4 Advice to Business
A statement in relation to the Authority’s policy regarding
advice to business including an estimation of the number of
contacts from business and the resources necessary to
provide the service. This section should include, where
appropriate, any input the Authority has to business
partnerships or forums.
3.5 Food and
Feedingstuffs Inspection
and Sampling
A statement in relation to the Authority’s sampling policy
including the basis of the sampling programme and an
estimate of the numbers of samples that will be submitted in
relation to complaints, and any relevant resource allocation
including staffing. It should also detail the arrangements that
the Authority has made for the analysis and/or examination
of the samples.
3.6 Control and
Investigation of
Outbreaks and Food
Related Infectious
Disease
A statement in relation to the Authority’s policy on the
investigation of food poisoning notifications and outbreak
control including an estimation based on previous years’
trends of likely demand on the service and an estimation
of the resources required.
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Chapter 1: Service Planning Guidance
3. Service Delivery (continued)
3.7 Food Safety
Incidents
A statement in relation to the Authority’s policy on handling
food hazard warnings to confirm that it complies with the
relevant Food Safety Act Codes of Practice; an estimation of
the likely demand on the service and an estimation of the
resources required.
3.8 Liaison with Other
Organisations
The Authority should set out the arrangements it has made
to ensure that enforcement action taken in its area is
consistent with those of neighbouring local authorities. This
section should include:
●
any liaison the Authority has with other authorities;
●
any representation on Government working groups or
committees;
●
liaison with professional body working groups;
●
liaison and involvement/participation with LACORS
advisory groups and similar or related bodies;
●
any formal liaison with voluntary groups and other public
sector bodies e.g. Health Authorities;
●
any formalised liaison with other services within the
Authority e.g. review of building control applications;
●
any commitment to local/regional liaison groups.
An estimation of the resource allocation should be included.
3.9 Food and
Feedingstuffs Safety and
Standards Promotion
A statement of any food safety promotional work which the
Authority intends to carry out in the year and the measures
it will use to evaluate its effectiveness, including an estimate
of the resource allocation including staffing to undertake this
work.
4. Resources
4.1 Financial Allocation
This section should set out the overall level of expenditure
involved in providing the service and examine the trend of
growth or reduction in real terms. Detail shall be provided in
terms of the non-fixed costs including staffing, travel and
subsistence, equipment including investment in IT, sampling
budgets and the financial provision made by the Authority
for any legal action necessary as part of their enforcement
function.
4.2 Staffing Allocation
A statement of the number of staff working on food law
enforcement and related matters (in terms of full time
equivalents). These figures should be expressed in terms of
levels of competency with reference to the appropriate Food
Safety Act Codes of Practice, including support staff.
4.3 Staff Development
Plan
A statement in relation to any relevant ongoing training,
including that to be provided in-house and externally for
authorised officers in the year ahead.
Amendment No. 4 – issued July 2004
1-7
Chapter 1: Service Planning Guidance
5. Quality Assessment
5.1 Quality Assessment
A statement specifying the measures to be taken to assess
the quality of the Authority’s service including any relevant
monitoring arrangements developed by the Authority to
assess performance against the Standard. The Authority
will also wish to include details of any externally accredited
or self assessment models used such as the EN 9000
series, EN 45004, IIP, Peer review, Charter mark and
European Foundation for Quality Management’s Excellence
Model, including the scope of the awards or assessments.
6. Review
6.1 Review against the
Service Plan
The Authority should set out the process of the review.
6.2 Identification of any
Variation from the
Service Plan
The review should identify where the Authority was at
variance from their service plan and, where appropriate,
the reasons for that variance. The Authority may determine
that additional work it has carried out in other areas of the
enforcement mix has achieved the same objective. This
should be clearly identified in this part of the plan.
6.3 Areas of
Improvement
The Authority should set out any relevant improvement
plan or service development identified as necessary by the
review or the quality assessment.
The review should include information on the previous
year’s performance against the service plan and any
specified performance targets and performance standards
and targeted outcomes.
Amendment No. 4 – issued July 2004
1-8
Chapter 2: The Standard
Introduction
This guidance brings together the obligations on food law enforcement services
arising from existing legislation and related guidance and sets out the
requirements for the planning, management and delivery of local authority food
law enforcement services.
The Standard
1
Scope
This Standard specifies the arrangements to be put in place and operated by an
Authority for the enforcement of food hygiene, food standards, feedingstuffs and
imported food legislation.
The Standard is applicable to those activities which should be included in an
Authority’s food service. The legislation, Codes of Practice and other documents
referred to in this Standard are listed in the annex to the Standard.
2
Terms and definitions
For the purposes of this Standard the following terms and definitions apply.
2.1
Authority
local authority whose responsibilities cover either food hygiene, food
standards or feedingstuffs law enforcement, or a combination of those
activities. This also includes port health authorities and authorities with
points of entry for imported foods or feedingstuffs.
3
Organisation and Management
3.1
The Authority shall draw up, document and implement a service delivery
plan in accordance with the Service Planning Guidance in Chapter 1.
3.2
A performance review shall be carried out by the Authority at least once a
year based on the service delivery plan, documented and submitted for
appropriate member approval.
Amendment No. 4 – issued July 2004
2-1
Chapter 2: The Standard
3.3
Any variance in meeting the service delivery plan shall be addressed in the
subsequent year’s service arrangements.
4
Review and Updating of Documented Policies and Procedures
4.1
The Authority shall ensure that all documented policies and procedures for
each of the enforcement activities covered by this Standard are reviewed.
NOTE: This should normally be at regular intervals and whenever there are
changes to legislation or centrally issued guidance.
4.2
The Authority shall set up, maintain and implement a control system for all
documentation, which may be in electronic format, relating to its enforcement
activities. The system shall ensure that:
a)
up to date copies of the appropriate documentation including legislation and
guidance are available at all relevant locations and to all relevant staff;
b)
all changes to documents or amendments to documents are covered
by the correct authorisation and are carried out without undue delay
to ensure timely availability; and
c)
superseded documents are removed from use throughout the Authority.
5
Authorised Officers
5.1
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 Food Safety Act Code of Practice and
any centrally issued guidance.
5.2
The Authority, where it is responsible for the enforcement of food hygiene,
food standards and/or feedingstuffs legislation, shall appoint an officer/s with
specialist knowledge to have lead responsibility for that legislation. Where
the Authority has specific responsibilities, for example it is a UK point of
entry or it has establishments approved under product specific legislation,
it should ensure that officers have the necessary specialist knowledge.
5.3
The Authority shall appoint a sufficient number of authorised officers to carry
out the work set out in the approved service delivery plan and they shall have
suitable qualifications, training and experience consistent with their authorisation
and duties in accordance with the relevant Food Safety Act Code of Practice.
5.4
The Authority shall set up, maintain and implement a documented training
programme. The Authority shall ensure the training of all authorised officers
Amendment No. 4 – issued July 2004
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Chapter 2: The Standard
and appropriate support staff in the technical and administrative aspects of
the work in which they will be involved. Where training is provided, details of
the content and objectives of the course, the duration and any assessment
made of that training shall be maintained on file. The training given shall
depend upon the ability, qualifications, experience and responsibility of
persons involved and their level of authorisation.
5.5
Records of relevant academic or other qualifications, training and experience of
each authorised officer and appropriate support staff shall be maintained by the
Authority in accordance with the relevant Food Safety Act Code of Practice.
6
Facilities and Equipment
6.1
The Authority shall make available the necessary facilities and equipment to
permit all activities associated with the service to be carried out.
6.2
The Authority shall set up, maintain and implement a documented procedure
to ensure that equipment is properly maintained and calibrated, and
removed from service when found to be defective.
6.3
Relevant information about the equipment shall be recorded.
NOTE: This should normally include identification, calibration status and the
results of any in service checks.
6.4
Any computer software package or other method of record administration
used by the Authority shall be capable of providing any information
reasonably requested by the Food Standards Agency. Such systems shall
be operated in such a way so as to be able to provide required information
to the Agency.
6.5
The Authority shall set up, maintain and implement appropriate back up
systems for any electronic databases and systems or documented
procedures which have been designed to minimise the risk of corruption or
loss of information held on its databases. The Authority should ensure that
reasonable security measures are in place to prevent access and
amendment by unauthorised persons.
7
Food and Feedingstuffs Premises Inspections
7.1
The Authority shall carry out food hygiene, food standards and feedingstuffs
inspections of premises in their area, at a frequency which is not less than that
determined under the inspection rating system set out in the relevant legislation,
Food Safety Act Code of Practice or other centrally issued guidance.
Amendment No. 4 – issued July 2004
2-3
Chapter 2: The Standard
7.2
The Authority shall inspect, approve, register, and license relevant premises in
accordance with the relevant legislation, Food Safety Act Codes of Practice,
centrally issued guidance and the Authority’s policies and procedures.
NOTE: Premises includes any ship or aircraft of a description specified in
the schedule to the Food Safety (Ships and Aircraft) (England and
Scotland) Order 2003 and the Food Safety (Ships and Aircraft) (Wales)
Order 2003 and the Food Safety (Ships and Aircraft) (Northern Ireland)
Order 2004.
7.3
The Authority shall assess the compliance of premises and systems in their
area to the legally prescribed standards.
NOTE: In assessing compliance, the Authority shall give due consideration
to any relevant Industry Guides to Good Hygiene Practice and have
regard to any other relevant centrally issued guidance.
The Authority shall take appropriate action on any non-compliance found, in
accordance with the Authority’s enforcement policy.
7.4
The Authority shall set up, maintain and implement documented inspection
procedures for the range of inspections it carries out.
7.5
Observations made and/or data obtained in the course of an inspection shall
be recorded in a timely manner to prevent loss of relevant information.
Officers’ contemporaneous records of inspections shall be legible and stored
in such a way that they are retrievable.
8
Food, Feedingstuffs and Food Premises Complaints
8.1
The Authority shall set up, maintain and implement a documented policy and
procedure(s) in relation to complaints about food and feedingstuffs that
originate within the UK, and those foods and feedingstuffs originating from
other EU member states, or from third countries and in relation to complaints
against food premises. Procedures should cover any referral arrangements
to inland authorities and/or authorities with responsibility for imported food
and feedingstuffs controls at the UK point of entry.
8.2
The Authority shall investigate complaints received in accordance with the
relevant Food Safety Act Code of Practice, centrally issued guidance and the
Authority’s policies and procedures.
8.3
The Authority shall take appropriate action on complaints received in
accordance with the Authority’s enforcement policy.
Amendment No. 4 – issued July 2004
2-4
Chapter 2: The Standard
9
Home Authority Principle
9.1
The Authority shall provide advice to businesses on legal compliance where
they act as home and/or originating authority.
9.2
The Authority shall have regard to any information or advice it has received
from any liaison with home and/or originating authorities.
9.3
The Authority shall liaise with the home and/or originating authority of a
business whose food/feed and/or premises have been inspected and
offences identified which are, or appear to be, associated with the business’s
centrally defined policies and procedures.
9.4
During a complaint investigation, the Authority shall liaise with the home
and/or originating authority regarding matters which are or may be
associated with the business’s centrally defined policies or procedures.
9.5
The Authority shall liaise with the home and/or originating authority of a
business in relation to any unsatisfactory samples which are or may be
associated with the business’s centrally defined policies or procedures.
9.6
The Authority, having initiated liaison with any home and/or originating
authority, shall notify that authority of the outcome.
10
Advice to Business
10.1 The Authority shall work with businesses to help them comply with food and
feedingstuffs legislation. For example this may include:
11
●
running training courses/seminars;
●
on the spot advice during routine visits and inspections;
●
the provision of advice lines;
●
Business Information Sheets;
●
responding to queries; and
●
dialogue with business through local business partnerships or similar
forum.
Food and Feedingstuffs Premises Database
11.1 The Authority shall set up, maintain and implement a database of the food
and feedingstuffs premises in its area.
Amendment No. 4 – issued July 2004
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Chapter 2: The Standard
11.2 The Authority shall set up, maintain and implement a documented procedure
to ensure that its food and feedingstuffs premises database is accurate and
up to date.
12
Food and Feedingstuffs Inspection and Sampling
12.1 The Authority shall ensure that food and feedingstuffs are inspected in
accordance with relevant legislation, Food Safety Act Codes of Practice and
centrally issued guidance to ensure that food and feedingstuffs meet legally
prescribed standards.
12.2 The Authority shall take appropriate action on any non-compliance found in
accordance with the Authority’s enforcement policy.
12.3 The Authority shall set up, maintain and implement documented procedures
for the inspection of food and feedingstuffs.
12.4 The Authority shall set up, maintain and implement a documented sampling
policy and programme that shall accord with any centrally issued or relevant
guidance, and relevant Food Safety Act Code of Practice and shall include
reference to its approach to any relevant national sampling programme
centrally co-ordinated by the Food Standards Agency.
NOTE: The Authority should consider the nature of its food and feedingstuffs
establishments, and where applicable the nature of imported foods
and feedingstuffs, and also have regard to any relevant sampling
programme centrally co-ordinated by LACORS and the HPA and in
Scotland, SFELC (the Scottish Food Enforcement Liaison
Committee), in Wales the Welsh Food Microbiological Forum and the
Welsh National Public Health Service and in Northern Ireland, the
Public Health Laboratory.
12.5 The Authority shall set up, maintain and implement documented procedures
for the procurement or purchase of samples, continuity of evidence and the
prevention of deterioration or damage to samples whilst under their control in
accordance with the relevant Food Safety Act Code of Practice and centrally
issued guidance.
12.6 The Authority shall carry out sampling in accordance with its documented
sampling policy, procedures and programme.
12.7 The Authority shall take appropriate action in accordance with its
enforcement policy where sample results are not considered to be
satisfactory.
Amendment No. 4 – issued July 2004
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Chapter 2: The Standard
12.8 The Authority shall, where appropriate, ensure a Public Analyst, and/or
Agricultural Analyst is appointed to carry out examinations and analyses of
food and feedingstuffs samples. In making these appointments all relevant
legal requirements and Food Safety Act Codes of Practice shall be satisfied.
All samples for examination should be submitted to a Food Examiner at a
laboratory accredited for the purpose of examination.
13
Control and Investigation of Outbreaks and Food Related Infectious Disease
13.1 The Authority shall set up, maintain and implement a documented procedure
which has been developed in association with all relevant organisations in
relation to control of outbreaks of food related infectious disease in
accordance with relevant central guidance.
13.2 The Authority shall set up, maintain and implement a documented procedure
which has been developed in accordance with centrally issued guidance,
and in association with all relevant organisations for the investigation of
notifications of food related infectious disease.
13.3 All records relating to the control and investigation of outbreaks and food
related infectious disease shall be kept for at least 6 years.
14
Food Safety Incidents
14.1 The Authority shall set up, maintain and implement a documented procedure
for initiating and responding to food hazard warnings, in accordance with the
relevant Food Safety Act Code of Practice. For UK points of entry, this
procedure should also address RASFF notifications and relevant EC
decisions. This procedure shall also include out of hours contact
arrangements.
14.2 The Authority shall maintain a computer system capable of receiving food
hazard warnings.
14.3 The Authority shall document its response to and the outcome of each food
hazard warning.
14.4 The Authority shall set up, maintain and implement a documented procedure
for responding to food safety incidents.
NOTE: Food safety incidents might be notified as part of the food hazard
warning system (see 14.1 above) or as a separate notification from
the Food Standards Agency.
Amendment No. 4 – issued July 2004
2-7
Chapter 2: The Standard
14.5 The Authority shall notify the Food Standards Agency of any serious
localised incident or a wider food safety problem in accordance with the
Food Safety Act Codes of Practice or feedingstuffs legislation.
15
Enforcement
15.1 The Authority shall set up, maintain and implement a documented
enforcement policy, in accordance with the relevant Food Safety Act Codes
of Practice, the Enforcement Concordat and other official guidance,
approved by the relevant Local Authority Member forum.
NOTE: The enforcement policy or an accurate summary should be readily
available to the public and food businesses in the Authority’s area.
15.2 The Authority shall set up, maintain and implement documented procedures
for follow up and enforcement actions in accordance with the relevant Food
Safety Act Codes of Practice and official guidance.
15.3 The Authority shall carry out food law enforcement in accordance with the
relevant Food Safety Act Codes of Practice and centrally issued guidance.
15.4 All decisions on enforcement action shall be made following consideration of
the Authority’s enforcement policy. The reasons for any departure from the
criteria set out in the enforcement policy shall be documented.
16
Records and Inspection Reports
16.1 The Authority shall maintain up to date accurate records in retrievable form
for all food and feedingstuffs premises in its area and relevant checks on
imported food and feedingstuffs in accordance with Food Safety Act Codes
of Practice and centrally issued guidance. These records shall include
reports of all inspections and visits and the determination of compliance with
legal requirements made by the authorised officer, details of action taken
where non-compliance was identified, details of any enforcement action
taken, results of any sampling, details of any complaints and any action
taken, and also relevant food and/or feedingstuffs registration, approval and
licensing information.
16.2 All records shall be kept for at least 6 years unless they have been marked
for longer retention because of litigation or Local Government Ombudsmen
review.
Amendment No. 4 – issued July 2004
2-8
Chapter 2: The Standard
17
Complaints About the Service
17.1 The Authority shall set up, maintain, implement and make readily available
to the public and the food and feedingstuffs businesses in its area, a
documented complaints procedure regarding complaints about the service.
17.2 The Authority shall investigate complaints received in accordance with the
relevant centrally issued guidance.
17.3 A record shall be made of all complaints received and of the actions taken by
the Authority in response to those complaints.
18
Liaison with Other Organisations
18.1 The Authority shall put in place liaison arrangements with neighbouring
authorities and any other appropriate body aimed at facilitating consistent
enforcement in accordance with the relevant Food Safety Act Code of Practice
and centrally issued guidance.
19
Internal Monitoring
19.1 The Authority shall set up, maintain and implement documented internal
monitoring procedures in accordance with the relevant Food Safety Act
Code of Practice and centrally issued guidance.
19.2 The Authority shall verify its conformance with this Standard, relevant
legislation, the relevant Food Safety Act Codes of Practice, relevant centrally
issued guidance and the Authority’s own documented policies and procedures.
19.3 A record shall be made of all internal monitoring. This should be kept for at
least 2 years.
20
Third Party or Peer Review
20.1 The Authority shall participate in any appropriate third party or peer review
process against the Standard.
21
Food and Feedingstuffs Safety and Standards Promotion
21.1 The Authority shall promote food and feedingstuffs safety and standards.
For example this may include:
●
food safety and standards awards or competitions;
●
participation in co-ordinated food and feedingstuffs safety and
standards campaigns;
Amendment No. 4 – issued July 2004
2-9
Chapter 2: The Standard
●
partnerships with voluntary organisations, the community and other
agencies with a view to targeting specific groups;
●
targeted dissemination of information on food and feedingstuffs safety
and standards issues;
●
supporting food safety and standards training in schools and colleges;
●
raising awareness of imported food controls.
21.2 The Authority shall maintain records of its food and feedingstuffs safety and
standards promotions.
Amendment No. 4 – issued July 2004
2-10
Chapter 2: The Standard
Annex
Legislation
This Annex provides a list of official guidance only. Information on food legislation
can, however, be found in ‘Food Law’ and ‘Food Law in Scotland’. ‘Food Law’ is
available on the Food Standards Agency website at
www.food.gov.uk/enforcement/foodlaw and is regularly updated. ‘Food Law in
Scotland’ is also available on the website. These documents have been produced
as a general guide and cannot be treated as an interpretation of the law.
Authorities can update the list of legislation from, among other places, the
Stationery Office Weekly List or standard reference legal textbooks.
Food Safety Act 1990 Codes of Practice
No.1
Responsibility for Enforcement of the Food Safety Act 1990. Issued1991.
ISBN 0-11-321354-9.
No.2
Legal Matters. Issued 1991. ISBN 0-11-321353-0.
No.3
Inspection Procedures - General. Issued 1991. ISBN 0-11-321355-7.
No.4
Inspection, Detention and Seizure of Suspect Food. Issued 1991.
ISBN 0-11-321350-6.
No.5
The Use of Improvement Notices (Revised 1994). ISBN 0-11-321777-3.
No.6
Prohibition Procedures. ISBN 0-11-321349-2.
No.7
Sampling for Analysis or Examination (Revised October 2000).*
No.8
Food Standards Inspections (Revised July 1996).*
No.9
Food Hygiene Inspections (Revised October 2000).*
No.10 Enforcement of the Temperature Control Requirements of the Food
Hygiene Regulations. Issued 1991. ISBN 0-11-321465-0.
No.11 Enforcement of the Food Premises (Registration) Regulations. Issued
1991. ISBN 0-11-321478-2.
No.12 Quick-Frozen Foodstuffs Division of Enforcement Responsibilities:
enforcement of temperature monitoring and temperature measurement
(Revised February 1994). ISBN 0-11-321793-5.
Amendment No. 4 – issued July 2004
2-11
Chapter 2: The Standard
No.13 Enforcement of the Food Safety Act 1990 in relation to Crown Premises.
Issued 1992. ISBN 0-11-321500-2.
No.14 Enforcement of the Food Safety (Live Bivalve Molluscs and Other
Shellfish) Regulations 1992. Issued 1994. ISBN 0-11-321695-5.
No.15 Enforcement of the Food Safety (Fishery Products) Regulations 1992 and
associated Regulations. Issued 1994. ISBN 0-11-321798-6.
No.16 Enforcement of the Food Safety Act 1990 in relation to the Food Hazard
Warning System (Revised August 1997).*
No.17 Enforcement of the Meat Products (Hygiene) Regulations 1994.
Issued 1994. ISBN 0-11-321880-X.
No.18 Enforcement of the Dairy Product (Hygiene) Regulations 1995 and the
Dairy Product (Hygiene) (Scotland) Regulations 1995. Issued 1995.
ISBN 0-11-321957-1.
No.19 Qualifications and Experience of Authorised Officers (Revised
October 2000).*
No.20 Exchange of Information between Member States of the EU on routine
Food Control Matters. Issued 1996.*
Copies of the Codes of Practice may still be obtainable from The Stationery Office.
*Codes available only from the Agency’s Local Authority Enforcement Division
(LAED) Professional Support Branch.
Codes of Practice issued under the Food Safety (Northern Ireland)
Order 1991
No.1
Legal Matters. ISBN 0-337-07627-8.
No.2
Inspection Procedures - General. ISBN 0-337-07629-4.
No.3
Inspection, Detention and Seizure of Suspect Food. ISBN 0-337-07632-4.
No.4
The Use of Improvement Notices (Revised). ISBN 0-337-07886-6.
No.5
Prohibition Procedures. ISBN 0-337-07633-2.
No.6
Sampling for Analysis or Examination (Revised November 2000).*
No.7
Food Standards Inspections.*
Amendment No. 4 – issued July 2004
2-12
Chapter 2: The Standard
No.8
Food Hygiene Inspections (Revised November 2000).*
No.9
Enforcement of the Temperature Control Requirements of the Food
Hygiene Regulations. ISBN 0-337-07673-1.
No.10 Enforcement of the Food Premises (Registration) Regulations.
ISBN 0-337-07707-X.
No.11 Enforcement of the Food Safety Act 1990 in relation to Crown Premises.
ISBN 0-337-07713-4.
No.12 Enforcement of the Food Safety (Live Bivalve Molluscs and Other
Shellfish) Regulations (Northern Ireland) 1993. ISBN 0-337-07877-7.
No.13 Enforcement of the Food Safety (Fishery Products) Regulations (Northern
Ireland) 1993. ISBN 0-337-07927-7.
No.14 Enforcement of the Food Safety (NI) Order 1991 in relation to the Food
Hazard Warning System.*
No.15 Quick-Frozen Foodstuffs. Enforcement of Temperature Monitoring and
Temperature Measurement. ISBN 0-337-07928-5.
No.16 Enforcement of the Dairy Products (Hygiene) Regulations (NI) 1995.
ISBN 0-337-37018-4.
No.17 Qualifications and Experience of Authorised Officers and Experts
(Revised November 2000).*
No.18 Exchange of information between Member States of the EU on routine
Food Control Matters.*
Additional Government Guidance on Enforcement Approach
Additives
Food Additives Legislation: Guidance Notes – contact Chemical Safety &
Toxicology Division (CST), Branch 4.
The Sweeteners in Food (Amendment) (England) Regulations 2003 – Guidance
Notes – contact Chemical Safety & Toxicology Division (CST), Branch 4.
Animal Feed
Guidance on the Approval and Registration of Establishments and Intermediaries
Operating in the Animal Feedstuffs Sector – contact Chemical Contaminants and
Animal Feed Division (CCAFD), Animal Feed Unit.
Amendment No. 4 – issued July 2004
2-13
Chapter 2: The Standard
Labelling of Feedingstuffs, Additives and Premixtures. Notes and Points on
Approval and Registration Numbers. Issued November 2001 – contact CCAFD,
Animal Feed Unit.
Labelling and Other Requirements for Feed Materials (under the Feeding Stuffs
Regulation 2000) – contact CCAFD, Animal Feed Unit.
Butchers’ Licensing
Guidance Notes – The Food Safety (General Food Hygiene) (Butchers’ Shops)
Amendment Regulations 2000. Issued May 2000 – contact Microbiological Safety
Division MSD, Branch A.
Supplementary Guidance Notes – The Food Safety (General Food Hygiene)
(Butchers’ Shops) Amendment Regulations 2000. Issued 15 September 2000 –
contact MSD, Branch A.
Dairy
Guidance notes to be read in conjunction with Code of Practice No.18 on
Enforcement of the Dairy Product (Hygiene) Regulations 1995 and the Dairy
Product (Hygiene) (Scotland) Regulations 1995 - contact MSD, Branch B.
Fishery Products and Live Shellfish
Guidance on Fishery Products and Live Shellfish – contact LAED, Hygiene –
Technical Support Branch.
General Hygiene
A guide to food hazards and your business – Identifying and controlling potential
food hazards – contact MSD, Branch A.
The Food Safety (General Food Hygiene) Regulations 1995 – Guidance on the
Regulations – contact MSD, Branch A.
Guidance on the Food Safety (Temperature) Control Regulations 1995 – contact
MSD, Branch A.
Labelling
‘What foods should carry a ‘Use By’ Date?’ – Guidance Notes – contact FLS,
Labelling Policy, Claims and Advertising Branch.
The Fish Labelling Regulations 2003 – Guidance Notes for England, Scotland
Wales and Northern Ireland – contact FLS, Standards & Authenticity Branch.
Labelling and Composition of Meat Products – Guidance Notes (September 2003)
– contact FLS, Standards & Authenticity Branch.
Amendment No. 4 – issued July 2004
2-14
Chapter 2: The Standard
The Meat Products Regulations 2003 – Summary Guidance Notes for Butchers –
contact FLS, Standards & Authenticity Branch.
The Meat Products Regulations 2003 – Summary Guidance Notes for Bakers –
contact FLS, Standards & Authenticity Branch.
The Cocoa and Chocolate Products Regulations – Guidance Notes (August 2003)
– contact FLS, Standards & Authenticity Branch.
The Jam and Similar Products Regulations 2003 – Guidance Notes – contact FLS,
Standards & Authenticity Branch.
The Honey Regulations 2003 – Guidance Notes – contact FLS, Standards &
Authenticity Branch.
The Specified Sugar Products Regulations – Guidance Notes (July 2003) –
contact FLS, Standards & Authenticity Branch.
Use of the Name, “Basmati” Rice – Guidance Notes (February 2003) contact FLS,
Standards & Authenticity Branch.
The Food (Lot Marking) Regulations 1996 – Guidance notes – contact FLS,
Labelling Policy, Claims and Advertising Branch.
The Food Labelling Regulations 1996 – Guidance notes – contact FLS, Labelling
Policy, Claims and Advertising Branch.
The Food Labelling Regulations 1996 – Guidance notes on Quantitative Ingredient
Declarations (‘QUID’) – contact FLS, Labelling Policy, Claims and Advertising
Branch.
Guidance notes on nutrition labelling – contact FLS, Labelling Policy, Claims and
Advertising Branch.
Guidelines for the use of Nutrition Claims in Food Labelling and Advertising –
contact FLS, Labelling Policy, Claims and Advertising Branch.
Guidance Notes on the Labelling of Food Containing Genetically Modified Soya
and Maize (PB4447) – contact Novel Foods Division, Branch B.
Guidance Notes on the Labelling Requirements for Alcoholic Drinks – contact FLS,
Labelling Policy, Claims and Advertising Branch.
Revisions to Guidance Notes on the Labelling of Food Containing Genetically
Modified Soya and Maize – contact Novel Foods Division, Branch B.
Amendment No. 4 – issued July 2004
2-15
Chapter 2: The Standard
Guidance Notes on Novel Foods and Novel Food Ingredients Legislation – contact
Novel Foods Division, Branch B.
Guidance Notes on Contaminants in Food Regulations 1999 (Aflatoxins) – contact
CCAFD, Contaminants Branch 1.
Guidance Notes on the Labelling of Food Supplements – contact FLS, Labelling
Policy, Claims and Advertising Branch.
Clear Food Labelling – contact FLS, Labelling Policy, Claims and Advertising
Branch.
Criteria for the use of the terms Fresh, Pure, Natural etc in Food labelling – contact
FLS, Labelling Policy, Claims and Advertising Branch.
Food Labelling – Country of Origin – contact FLS, Labelling Policy, Claims and
Advertising Branch.
Guidance Notes on the Notification of Marketing of food for Particular Nutritional
Uses Regulations 2002- contact FLS, Labelling Policy Claims and Advertising
Branch.
Meat and Meat Products, Minced Meat and Meat Preparations
Guidance Note on the Beef Bones (Amendment) (England) Regulations 1999 and
Beef Bones Regulations 1997 – contact BSE Division, OTM Branch.
Guidance notes to be read in conjunction with the Food Safety Act 1990 Code of
Practice No.17 on the Enforcement of the Meat Products (Hygiene) Regulations
1994 – contact MHD, White Meat Branch.
Guidance Notes on the Meat Products (Hygiene) (Amendment) Regulations 1999.
Issued March 1999 – contact MHD, White Meat Branch.
Guidance to Accompany the Meat Products (Hygiene) (Amendment) (England)
Regulations 2000, amending Schedule 2, Part IX, Paragraph 2 of the Meat
Products (Hygiene) Regulations 1994. Issued March 2000, attached to CEHO/00/8
– contact MHD, White Meat Branch.
Guidance Notes on (i) the consequential amendments to the Meat Products
(Hygiene) Regulations 1994 and the Minced Meat & Meat Preparations (Hygiene)
Regulations 1995; and (ii) changes to the Fresh Meat and Poultry Meat etc
Regulations, as a result of the Meat (Enhanced Enforcement Powers) (England)
Regulations 2000. Issued in Feb/March 2000 – contact (i) MHD, White Meat
Branch (ii) Fresh Meat Regs MHD, Red Meat Branch, Poultry Meat Regs MHD,
White Meat Branch.
Amendment No. 4 – issued July 2004
2-16
Chapter 2: The Standard
Guidance Notes on the Enforcement of the Minced Meat & Meat Preparations
(Hygiene) Regulations 1995 – contact MHD, White Meat Branch.
Final Consumer Exemption – Guidance on Take-Aways: issued 24 November
1995 – contact MHD, White Meat Branch.
Guidance Notes on the Gelatine (Intra-Community Trade) (England) Regulations
2001. Issued 17 May 2001 – contact MHD, White Meat Branch.
Guidance Notes on the Poultry Meat, Farmed Game Bird and Rabbit Meat
(Hygiene and Inspection) (Amendment) (England) Regulations 2001. Issued 19
October 2001 – contact MHD, White Meat Branch.
Guidance Note on Unfit Meat – Changes to Animal By-Products (Identification)
Regulations 1995. Issued 5 July 2002 – contact MHD, White Meat.
Guidance Note on The Poultry Meat, Farmed Game Bird and Rabbit Meat
(Hygiene and Inspection) Amendment) (England) Regulations 2001 – Reminder
To Exempt Poultry Meat Producers. Issued 8 October 2002 – contact MHD, White
Meat Branch.
Guidance Note on The Poultry Meat, Farmed Game Bird Meat and Rabbit Meat
(Hygiene and Inspection) (Amendment) (England) Regulations 2001. Issued 2
December 2002 – contact MHD, White Meat Branch.
Guidance Note on Specified Risk Material and other BSE controls – Guidance for
local authority enforcement officers in England, Scotland, Wales. Issued 15 April
2004 in England – contact BSE Division, SRM Branch.
Guidance for Local Enforcement Authorities in England on the private slaughter of
livestock – Issued 15 December 2003 – contact MHD, Red Meat Branch.
Guidance Note on Animal By-Products (Identification) (England) No.2 Regulations
2002 – S.I.number 2002/3231 – Issued 7 January 2003, came into force 1 April
2003 – contact MHD, White Meat Branch.
Guidance Note on Animal By-Products (Identification) (England) Regulations 2003
– S.I.note 1484 – Issued 18 June 2003, came into force 1 July 2003 – contact
MHD, White Meat Branch.
(Note – contact telephone numbers for the Food Standards Agency England are
provided at pages – 2-30 – 2-31)
Amendment No. 4 – issued July 2004
2-17
Chapter 2: The Standard
Additional Guidance issued in Northern Ireland
Guidance on registration of food premises. (DHSS & NIFLG).
Guidance on ‘risk scoring’ in COP 8. (NIFLG).
Guidance on ‘experience’ in COP 17. (NIFLG).
Guidance on the use of minded-to-notices. (DHSS, December 1996).
Draft Guidelines for DCs and DANI for the Approval of Stand-Alone Meat
Preparations Establishments etc. (JSG, 1996) – currently under revision.
Draft guidance notes for DANI and DCs on the Enforcement of the Minced Meat
and Meat Preparations (Hygiene) Regs (NI) 1997. (JSG, March 1999) – currently
under revision.
Guidance for enforcement officers on the Egg Products Regulations, etc.
(NIFLG Issue No.3, February 1999).
Guidelines for District Councils and DANI on Approval of Meat Product
Establishments – as amended. (NIFLG/JSG, February 2000).
Draft Guidelines on the Application of Council Directive 92/5/EEC to
Establishments Producing other Products of Animal Origin (OPOAO).
(NIFLG/JSG, March 1996).
Guidance for Enforcement Officers on the Dairy Products (Hygiene) Regulations
(NI) 1995 (as amended 1996). (NIFLG and DARD 2003).
Guidance for EHOs on the implementation and enforcement of the Drinking Milk
Regulations (NI) 1998. (NIFLG).
Guidance Notes on Completion of Food Sample Submission Forms of
Bacteriological Examination. (NIFLG, March 1994).
Food Sampling Policies and Associated Guidance. (NIFLG, November 1998).
Food Complaints Investigation Procedure. (NIFLG, 2003) .
Food Poisoning Pack – Investigation and Control of Food Poisoning. (DHSS,
revised 1997)
Guidance Notes – The Food Safety (General Food Hygiene) (Amendment)
Regulations (NI) 2001 – Licensing of Butchers’ Shops (August 2001).
Amendment No. 4 – issued July 2004
2-18
Chapter 2: The Standard
Shellfish Guidance Notes and Monitoring Programme 2001.
Guidance on the investigation of unauthorised slaughter and handling of meat
(NIFLG and DARD 2002).
Guidance Pack on Food Standards (NIFLG 2003)
Contact:
Food Standards Agency ( Northern Ireland)
Clarendon Road
Belfast
BT1 3BG
Trevor Williamson
Maria Jennings
Michael Jackson
028 90 41 7713
028 90 41 7714
028 90 41 7709
The Food Standards Agency (Northern Ireland) switchboard number is
02890 417711
Amendment No. 4 – issued July 2004
2-19
Chapter 2: The Standard
Additional Guidance issued in Scotland
The Food Safety (General Food Hygiene) (Butchers’ Shops) Amendment
(Scotland) Regulations 2000 – Guidance on the licensing of butchers.
Food Standards Agency Scotland/Scottish Executive Health Department –
Investigation & Control of Outbreaks of Foodborne Disease in Scotland.
Report to the Procurator Fiscal – a guide for non-Police Reporting Agencies –
5th Edition 2002.
Medicinal Claims applied to Foods – Guidance on Status and Enforcement.
Contact: Professional Unit (PU) of FSA Scotland.
Guidance on the Meat (Enhanced Enforcement Powers) (Scotland)
Regulations 2000.
Private Slaughter of Livestock Guidance for Local Enforcement Authorities in
Scotland on Enforcement Controls under the Transmissable Spongiform
Encephalopathies (TSE) Regulations. Issued March 2004.
Guidance Note - Specified Risk Material and other BSE controls – Guidance for
Local Authorities. Issued 17 April 2003
Guidance on the classification of Shellfish Harvesting Areas.
Algal Toxins in Shellfish – Monitoring Programme Scotland – Guidance for Food
Authorities. Issued September 2003.
Contact: Peter Midgley
Local Authority Food Law Enforcement Branch
Food Standards Agency Scotland
6th Floor
St Magnus House
25 Guild Street
Aberdeen
AB11 6NJ
Tel: 01224 285189
The Food Standards Agency (Scotland) switchboard number is 01224 285100
Amendment No. 4 – issued July 2004
2-20
Chapter 2: The Standard
SFCC Guidance Publications
Guidance Notes on Butchers’ Licensing in Scotland.
Guidance on the Implementation of Regulation 4(3).
Guidance on Assessing Progress with Regulation 4(3) Compliance.
Amendment No. 4 – issued July 2004
2-21
Chapter 2: The Standard
Additional Guidance issued in Wales
Guidance Notes on (i) the consequential amendments to the Meat Products
(Hygiene) Regulations 1994 and the Minced Meat and Meat Preparations
(Hygiene) Regulations 1995; and (ii) changes to the Fresh Meat and Poultry Meat
etc. Regulations, as a result of the Meat (Enhanced Enforcement Powers) (Wales)
Regulations 2001. Issued in August 2001 – contact Jane Davies, FSA Wales.
Guidance Notes on the Gelatine (Intra-Community Trade) (Wales) Regulations
2001. Issued in August 2001 – contact Jane Davies, FSA Wales.
Guidance Notes on the Food Safety (General Food Hygiene) (Butchers’ Shops)
Guidance note on Specified Risk material and other BSE controls – Guidance for
Local Authorities. Issued 24 April 2003.
Amendment) (Wales) Regulations 2000. Issued in March 2001 – contact Adrian
Preece, FSA Wales.
Food Standards Agency (Wales)
1st Floor Southgate House
Wood Street
Cardiff
CF10 1EW
Local Authority Liaison and Monitoring Division
Jane Davies
Keith Blake
Adrian Preece
029 2067 8901
029 2067 8902
029 2067 8909
The Food Standards Agency (Wales) switchboard number is 029 2067 8999
Amendment No. 4 – issued July 2004
2-22
Chapter 2: The Standard
Other Guidance
Department of Health Management of Outbreaks of Foodborne Illness.
Department of Health Food Handlers Fitness to Work Guidance for Food
Businesses, Enforcement Officers and Health Professionals (note that there are
three publications – one for food business managers, one for enforcement officers
and health professionals and a leaflet for food handlers).
Department of Health Guidelines on the Control of Infection in Residential and
Nursing Homes.
Department of Health Guidelines for the Safe Production of Heat Preserved Foods.
The Code for Crown Prosecutors. (not applicable in Scotland)
Criminal Procedure and Investigations Act 1996 (S23(1)) Code of Practice.
PHLS guidelines – Guidelines for the Microbiological Quality of Some Ready-toEat Foods Sampled at Point of Sale (Communicable Disease and Public Health,
Volume 3, Number 3, September 2000).
PACE Codes of Practice. (not applicable in Scotland)
The Enforcement Concordat.
Home Office Circular 18/1994 on Formal Cautions. (not applicable in Scotland)
Cabinet Office – How to deal with complaints.
Industry Guides to Good Hygiene Practice
Baking Guide ISBN 0-900103-55-8
Catering Guide ISBN 0-900103-00-0
Fresh Produce Guide ISBN 1-902423-19-4
Flour Milling Guide ISBN 1-902423-20-8
Markets and Fairs Guide ISBN 1-902423-00-3
Retail Guide ISBN 0-900103-60-4
Wholesale Distributions Guide ISBN 0-900103-65-5
Vending and Dispensing Guide Supplement (To the Catering Guide)
ISBN 1-902423-00-3
Butchers’ Shop Licensing Supplement to the Retail Guide (England, Wales and
Northern Ireland) ISBN 1-9022423828
Bottled Water Guide ISBN 1-904306314
Copies available from Chadwick House Group Limited. Agency contact
Microbiological Safety Division, Branch A.
Amendment No. 4 – issued July 2004
2-23
Chapter 2: The Standard
CEHO and other guidance letters
Number
Title of letter and contact
Date of issue
CEHO/93/4
Information Leaflet for Food Business – MSD Branch A
23/11/93
CEHO/94/1
Assured Safe Catering – MSD Branch A
6/1/94
CEHO/94/8
Issue of Code of Practice No. 5: Use of Improvement
Notices (Revised April 1994) – LAED Prof. Support Branch
13/4/94
CEHO/94/14 I Issue of Code of Practice No. 12 (revised): Quick Frozen
Foodstuffs (Amendment) Regs 1994 – FLS Standards
and Authenticity Branch
4/5/94
CEHO/94/22
Guidelines for the safe production of heat
processed foods – MSD Branch A
6/7/94
CEHO/94/35
Meat Products Regulations 1994
15/12/94
Meat Products Code of Practice – MHD White Meat Branch
CEHO/94/36
Guidance on the Hygiene Design Requirement
of the Supply of Machinery (Safety) Regulations 1992
– LAED Hygiene – Technical Support Branch
20/12/94
CEHO/95/1
Workroom Temperatures: HSE Guidance – MSD Branch A
10/1/95
CEHO/95/18
Minced Meat and MP Directive:
Approval of establishments – MHD White Meat Branch
1/9/95
CEHO/95/19
Covering letter: Catering Industry Guide – MSD Branch A
21/9/95
CEHO/96/1
Confirmation of edible seeds – MSD Branch E
16/2/96
CEHO/96/5
Guidance on the Control of Patulin in directly pressed
apple juice – FLS Standards and Authenticity Branch
15/3/96
CEHO/96/11
Premises inspection qualifications – LAED Prof.
Support Branch
26/6/96
CEHO/97/3
Device Bulletin – The Purchase, Operation and Maintenance 4/2/97
of Benchtop Steam Sterilizers – LAED Hygiene – Technical
Support Branch
CEHO/97/6
Visits to Farms (Zoonoses) – MSD Branch E
25/2/97
CEHO/97/7
Specialist Cheesemakers' Code of Best Practice –
LAED Hygiene – Technical Support Branch
5/3/97
CEHO/97/10
The Food Premises (Registration) Amendment
Regulations – LAED Hygiene Technical Support Branch
20/3/97
CEHO/97/11
The Pennington Group Recommendations
and Government Response – LAED Standards
Technical Support Branch
8/4/97
CEHO/97/15
Industry Guide to Good Hygiene Practice:
Catering Guide – MSD Branch A
24/6/97
CEHO/97/21
Appointment of Authorised Officers: EHO's Higher and
Ordinary Certificates in Food Premises Inspections –
LAED Prof. Support Branch
24/9/97
CEHO/97/22
Imported Food Regulations 1997 – Imported Food Division
12/11/97
Amendment No. 4 – issued July 2004
2-24
Chapter 2: The Standard
Number
Title of letter and contact
Date of issue
CEHO/98/3
Retail and Baking Industry Guides – MSD Branch A
23/2/98
CEHO/98/11
New Poster and Leaflet: Handling Cooked
Meats Safely – MHD White Meat Branch
27/4/98
CEHO/98/17
Industry Guide: Wholesale Distributors – MSD Branch A
15/6/98
CEHO/98/23
E. Coli 0157 Fatal Accident Enquiry –
LAED Standards Technical Support Branch
15/8/98
CEHO/99/14
Officially TB Free status and the Dairy
Products (Hygiene) Regs – MSD Branch B
8/6/99
CEHO/99/22
British Egg Industry Council – Code of
Practice for Lion Eggs – MSD Branch A
4/8/99
CEHO/2000/6 The Meat (Enhanced Enforcement Powers)
Regs 2000 – MHD White Meat Branch
28/2/00
CEHO/2000/7 Officially TB Free Status and the Dairy Products
6/3/00
(Hygiene) Regs – LAED Hygiene – Technical Support Branch
CEHO/2000/8 Guidance to accompany the Meat Products (Hygiene)
(Amendment) (England) Regs 2000 amending
Schedule 2 Pt. IX para. 2 of the Meat Products (Hygiene)
Regs 1994 as amended – MHD White Meat Branch
28/3/00
FSA
Food Standards Agency: Food Hazard Warning System
CEHO/2000/3 and amendment to Egg Product Regs – MSD Branch A
5/5/00
FSA
Milk and Dairies (General) Regulations 1959 –
CEHO/2000/4 Regulation 20 (1) and Model Notice – LAED Hygiene –
Technical Support Branch
23/6/00
FSA
Advice given to food processors about floor surfaces
CEHO/2000/5 during food hygiene inspections – LAED Hygiene
Technical Support Branch
10/7/00
FSA
Dioxin Emissions from Pyres: Food Safety – CCAFD
CEHO/2001/6 (Contaminants Branch 2)
25/5/01
FSA
Allegations of Unfit Poultry Meat Entering the Human Food
CEHO/2001/7 Chain “Operation Aberdeen” – LAED Food Incident Branch
13/6/01
FSA
Imports of Star Anise – Imported Food Division
CEHO/2002/02
25/2/02
FSA
8/3/02
Changes tp the rapid Alert System for Food Implications
CEHO/2002/03 for Border Posts and Border Imspection Posts
– Imported Food Division
FSA
Imports of Star Anise – Imported Food Division
21/3/02
CEHO/2002/04
OVS/2003/14
Analysis of Brazilian Poultry Meat – Imported Food Division 1/4/03
OVS/2003/22
FSA Policy on Application of the 10% Threshold with
regard to Definition of “Fishery Products” – Imported
Food Division
22/4/03
OVS/2003/29
Laboratory Testing of Poultrymeat from Thailand
– Imported Food Division
15/5/03
OVS/2003/31
Laboratory Testing of Poultrymeat from Thailand
– Imported Food Division
21/5/03
Amendment No. 4 – issued July 2004
2-25
Chapter 2: The Standard
Number
Title of letter and contact
Date of issue
OVS/2003/32
Use of other laboratories for the purposes of testing for
nitrofurans and chloramphenicol under emergency
Commission Decisions – Imported Food Division
22/5/03
Commission Decision 2003/460/EC: Sudan Red 1
and the Import of Hot Chilli and Hot Chilli Products
– Imported Food Division – Imported Food Division
26/6/03
OVS/2003/41
Harmonisation of Reporting Limits for the Nitrofuran
Metabolites AMOZ and AOZ – Imported Food Division
30/6/03
OVS/2003/42
Declaration: Amending Protective Measures With
Regard to Shrimps Imported from Thailand
– Imported Food Division
2/7/03
Harmonisation of Reporting Limits for Nitrofurans
– Imported Food Division
7/7/03
OVS/2003/47
Imports of Fishery Products – Imported Food Division
21/7/03
OVS/2003/49
Commission Decision on Indonesian Shrimps
– Imported Food Division
28/7/03
ESE 30/13
Amending Protective Measures with regard to Shrimps
from Thailand – Imported Food Division
1/7/03
Presence of Sudan I in Chilli Powder – Imported
Food Division
31/7/03
Commission Decision: Reducing Protective Measures
With Regard to Poultrymeat Imported from Thailand
– Imported Food Division
1/8/03
OVS/2003/55
Contaminated Swordfish – Imported Food Division
1/8/03
OVS/2003/56
Shrimp Shipments from The Philippines – Imported
Food Division
5/8/03
ESE 30/50
Import of Star Anise – Imported Food Division
2/9/03
OVS/2003/63
Shrimp Shipments from the Philippines – Imported
Food Division
9/9/03
OVS/2003/64
Shrimp Shipments from the Philippines – Imported
Food Division
18/9/03
OVS/2003/65
Shrimp Shipments from the Philippines – Imported
Food Division
19/9/03
EC/466/2001 Ground Nuts, Nuts and Dried Fruits Not
Complying with the Maximum Levels of Aflatoxin for
Direct Human Consumption – Imported Food Division
6/10/03
Imports of Aquaculture Products from Honduras and the
Philippines – Imported Food Division
8/10/03
OVS/2003/68
Imports of Fishery & Aquaculture Products from The
Philippines – Imported Food Division
20/10/03
ESE/30/53
Authorised Signatories for Dried Fruit from the Ordu and
Adana Provinces of Turkey – Imported Food Division
29/10/03
Presence of Sudan I in Chilli Powder – Imported
Food Division
29/10/03
Amendment to the List of Third Countries from which the
Import of Fishery Products is Authorised – Imported
Food Division
31/10/03
Sudanredlet
OVS/2003/43
ESE/30/81
OVS/2003/52
OVS/2003/67
OVS/2003/66
ESE/30/81
OVS/2003/69
Amendment No. 4 – issued July 2004
2-26
Chapter 2: The Standard
Number
Title of letter and contact
Date of issue
OVS/2003/71
EC/466/2001 Ground Nuts, Nuts and Dried Fruits Not
Complying with the Maximum Levels of Aflatoxin for
Direct Human Consumption – Imported Food Division
12/11/03
Food Irradiation and Dietary Supplements – Imported
Food Division
13/11/03
OVS/2003/72
Health Certificates for Fish & Fishery Products from
Third Countries – Imported Food Division
17/11/03
OVS/2003/73
Suspension of Aquaculture Products from Taiwan
– Imported Food Division
14/11/03
Health Certificates for Fish & Fishery Products from Third
Countries – Imported Food Division
17/11/03
ESE/30/3
OVS/2003/74
ESE/30/53
Food (Pistachios from Iran) (Emergency Control) (England)
Regulations 2003 – Imported Food Division
24/11/03
OVS/2003/77
Thai poultrymeat – protective measures for nitrofurans
– Imported Food Division
25/11/03
OVS/2003/80
Commission Decision 2003/895/EC to Revoke Protective
Measures with regard to Poultrymeat Imported
from Thailand – Imported Food Division
23/12/03
Imported Food Control – Local Authority Resource Pack
– Imported Food Division
April 03
Commission Decision 2003/912 for fishery and LBM not
covered by specific decisions and Commission Decision
2003/905 for fishery products from Kazakhstan
– Imported Food Division
5/1/04
OVS/2004/05
Commission Decision 2004/36 Additions OF adds
Guyana, Kenya, Serbia and Montenegro and Egypt to
List 1 for fishery products – Imported Food Division
20/1/04
OVS/2004/06
Declarations under Reg 59 POAO 2003 Regs
– Imported Food Division – Imported Food Division
20/1/04
Consignments of Sudan I in Chilli Products – Imported
Food Division
23/1/04
The Food (Hot Chilli and Hot Chilli Products)
(Emergency Control) (England) (Amendment) Regs 2004
– Imported Food Division
27/1/04
IFD/003/04
The Food (Hot Chilli and Hot Chilli Products)
(Emergency Control) (England) (Amendment)
Regs (SI 2004/142) – Imported Food Division
2/2/04
OVS/2004/15
Commission Decision 2004/25 setting minimum required
performance limits for malachite green – Imported Food
Division
6/2/04
The Food (Hot Chilli and Hot Chilli Products)
(Emergency Control) (England) (Amendment) Regs 2004
– Imported Food Division
6/2/04
FP from Cameroon-LBM from Mauritania-countries not
covered by decisions – Imported Food Division
10/2/04
Commission Decision 2004/198 Protective measures
for poultrymeat from Brazil – Imported Food Division
4/3/04
OVS/2004/01
IFD/001/04
IFD/002/04
IFD/004/04
OVS/2004/17
OVS/2004/21
Amendment No. 4 – issued July 2004
2-27
Chapter 2: The Standard
Number
Title of letter and contact
Date of issue
OVS/2004/22
Lifting the suspension of the export of aquaculture
products from Taiwan – Imported Food Division
4/3/04
Commission Decision 2004/225-protective measures on
FP and LBM etc from Albania – cholera – Imported Food
Division
15/3/04
IFD/005/04
Imported Food and Feed Controls – Liaison and
Reporting Arrangements – Imported Food Division
19/03/04
OVS/2004/28
Change of competent authority for Vietnam for FP
and LBM etc – Imported Food Division
24/3/04
Lifting the suspension of Fish Products from Angola
– Imported Food Division
24/3/04
Clarification of testing for products listed in Part II of the
Annex to Decision 2002/994 – Imported Food Division
1/4/04
IFD/006/04
Testing for the Presence of Sudan I-IV in Composite
Chilli & Curry Products – Imported Food Division
24/3/04
IFD/009/04
Jelly Mini-Cups – Imported Food Division
16/4/04
OVS/2004/35
non-authorised certificates accompanying fishery
products from Angola – Imported Food Division
21/4/04
Amendments to the list of third countries from which the
import of fishery products is authorised – Imported Food
Division
22/4/04
OVS/2004/40
Amendments to Commission Decision 95/30/EC to lay
down the conditions for imports from Morocco of bivalve
molluscs belonging to the species Acanthocardia
Tuberculatum – Imported Food Division
23/4/04
IFD/010/04
Suspension of imports of jelly mini-cups which contain
additives derived from seaweed and/or certain gums
– Imported Food Division
23/4/04
OVS/2004/23
OVS/2004/29
OVS/2004/32
OVS/2004/39
Single Market Approval Codes for Fresh Meat Cutting and Meat Products
Premises – contact MHD, White Meat Branch. Issued 29 September 1993.
Single Market Approval Numbers – contact MHD, White Meat Branch. Issued
12 November 1993.
Illegal Imports of Meat and Meat Products from Non-EU States: 17 May 2001 and
14 January 2002 – contact Imported Food Division. Issued 5 April 2001.
Licensing of Retail Butchers’ Shops in England: contact MSD, Branch A. Issued 9
February 2001.
Relevant LACORS publications
Guidance on Food Complaints – Guidance for local authorities dealing with food
complaints – Second Edition November 1998.
Amendment No. 4 – issued July 2004
2-28
Chapter 2: The Standard
UK Single Liaison Body – Guidance for Dealing with Transborder Enquiries and
Complaints - March 1997.
Food Safety Hazard Analysis – Guidance on securing compliance with hazard
analysis requirement. Regulation 4(3) – July 1997.
Food Standards Law – Guidance to local authorities on standards of service for
the enforcement of Food Standards Law – March 1996.
Food Hygiene Risk Assessment – Guidance for local authorities on the application
of risk assessment principles to food hygiene inspections – July 1995.
Monitoring Systems – Systems used by local authorities to ensure the quality and
consistency of food hygiene inspections – June 1995.
Guidance on Food Safety Enforcement Policies – Guidance for local authority
Environmental Health Departments – February 1994.
Guidance on Food Hygiene Inspections – General guidance notes to assist local
authorities undertaking programmed food hygiene inspections – June 1993.
Inter-Authority Auditing – July 2002
Guidelines for Home Authorities – Detailed Guidance for Authorities Acting as a
Home Authority – March 1997.
Home Authority Principle – Standards – August 2002
Medicinal Claims Applied to Foods – Guidance on status and enforcement
responsibilities in relation to foods & medicinal products - September 1998.
Wild Game – Guidance on recommended standards for wild game – October 1997.
Export of Food to Third Countries (Outside the EU) – Guidance for Non-PH
Authorities - September 2003
Guidance Note on Working Arrangements Between the National Care Standards
Commission and Local Authorities Involved in Food Safety - November 2003
Draft Advice on Service of Raw or Partially Cooked Eggs - August 1999
Service of Whole Muscle Cuts of Rare-Cooked Meat in Catering or Retail
Premises - August 2000
Toilets Opening Directly into Food Rooms - July 2003
Amendment No. 4 – issued July 2004
2-29
Chapter 2: The Standard
Guidance on Training/Instruction/Supervision of Food Handlers - December 2001
Advice on Customer Self Service of Unwrapped Bakery Products and Compliance
with Food Safety (General Food Hygiene) Regulations 1995 - April 2001
Copies of LACORS guidance are available on the LACORS website
www.lacors.gov.uk
Food Standards Agency England – Contact telephone numbers
CCAFD Chemical Contaminants and Animal Feed Division
Animal Feed Unit
Contaminants – Branch 1
Contaminants – Branch 2
CST
FLS
LAED
Chemical Safety & Toxicology Division
Branch 4 – Additives
Flavourings & sweeteners
Branch 5 – Materials & articles in contact with food
020 7276 8471
020 7276 8707
020 7276 8727
020 7276 8560
020 7276 8581
020 7276 8553
Food Labelling Standards Division
Branch A – Food labelling
Nutrition labelling
Labelling of supplements
Notification of Marketing of Food for
Particular Nutritional Uses
Standards & Authenticity Branch – Meat/Fish Labelling
Chocolate/Jam/Honey/Sugar/Basmati Rice Labelling
020 7276 8173
020 7276 8157
020 7276 8159
Local Authority Enforcement Division
Hygiene – Technical Support Branch
Food Incident Branch
Professional Support Branch
020 7276 8455
020 7276 8453
020 7276 8436
IFD
Imported Food Division
[email protected]
MSD
Microbiological Safety Division
Branch A
General Food Hygiene and Eggs
Branch B – Milk Hygiene
Branch E
Amendment No. 4 – issued July 2004
020 7276 8099
020 7276 8173
020 7276 8171
020 7276 8018
020 7276 8973
020 7276 8969
020 7276 8975
2-30
Chapter 2: The Standard
MHD
BSE
NF
Meat Hygiene Division
Red Meat
White Meat – Meat Products & Minced
Meat Preparations
Farmed and Wild Game Meat
020 7276 8335
020 7276 8326
020 7276 8325
BSE Division
OTM Branch
SRM Branch
020 7276 8386
020 7276 8323
Novel Foods Division – Branch B
020 7276 8596
The Food Standards Agency (England) switchboard number is 020 7276 8000.
Additional contact information
A list of useful Food Standards Agency contacts on a range of topics is included in
the electronic version of this Framework Agreement on the Agency’s website at:
www.food.gov.uk/enforcement/frameagree
Amendment No. 4 – issued July 2004
2-31
Chapter 3: Monitoring Form
Introduction
1
From 1 January 2001, the enhanced enforcement activity data required under
the Framework Agreement will be collected on the new monitoring form.
Reporting arrangements
2
The new monitoring form is available in electronic format and has been sent
to the OCD contacts in each local authority by E–mail, CD or floppy disc
prior to April 2001.
3
Completed returns should be submitted to the Agency’s Monitoring Branch
electronically. Returns can be sent by E–mail or by floppy disc to the
following address:
E–mail:
[email protected]
Discs should be sent to:
LA Monitoring Branch
LAE Division
4th Floor
Food Standards Agency
Aviation House
125 Kingsway
London WC2B 6NH
Tel: 020 7276 8414
Queries relating to the monitoring data or the submission of returns should
be made to Geoff Deville at the above address.
Amendment No. 4 – issued July 2004
3-1
Chapter 3: Monitoring Form
Guidance and on–line help functions
4
Help facilities have been built into the electronic form. The help function
contains guidance on how to complete the form and includes answers to
frequently asked questions. This information is accessible in two formats:
●
Help function – this contains guidance on all sections of the
monitoring form. It includes answers to frequently asked questions and
contains an index to help users navigate around the document easily.
●
Context–specific on–line help – this is an abridged version of the
on–line help guidance, and is intended to be used as an aide memoire.
It can be accessed whilst completing a particular table on the
monitoring form and contains table–specific guidance.
It is the intention to routinely update advice in the help functions and
frequently asked questions. All updates will be flagged up in the
“What’s New” section of the index to the monitoring form.
Amendment No. 4 – issued July 2004
3-2
Chapter 3: Monitoring Form
Amendment No. 4 – issued July 2004
3-3
Chapter 3: Monitoring Form
Amendment No. 4 – issued July 2004
3-4
Section 1 – The Standard
Chapter 3: Monitoring Form
Amendment No. 4 – issued July 2004
3-5
Food Hygiene
Chapter 3: Monitoring Form
Amendment No. 4 – issued July 2004
3-6
Food Standards
Chapter 3: Monitoring Form
Amendment No. 4 – issued July 2004
3-7
Feedingstuffs
Chapter 3: Monitoring Form
Amendment No. 4 – issued July 2004
3-8
Food Hygiene – Quarterly
Section 2 – Compliance with Inspection Programme
Chapter 3: Monitoring Form
Amendment No. 4 – issued July 2004
3-9
Food Hygiene – Yearly
Chapter 3: Monitoring Form
Amendment No. 4 – issued July 2004
3-10
Food Standards – Quarterly
Chapter 3: Monitoring Form
Amendment No. 4 – issued July 2004
3-11
Food Standards – Yearly
Chapter 3: Monitoring Form
Amendment No. 4 – issued July 2004
3-12
Feedingstuffs
Chapter 3: Monitoring Form
Amendment No. 4 – issued July 2004
3-13
All Food Establishments
Section 3 – Enforcement Action
Chapter 3: Monitoring Form
Amendment No. 4 – issued July 2004
3-14
Prosecutions Concluded
Chapter 3: Monitoring Form
Amendment No. 4 – issued July 2004
3-15
Prosecutions Concluded cont.
Chapter 3: Monitoring Form
Amendment No. 4 – issued July 2004
3-16
Feedingstuffs
Chapter 3: Monitoring Form
Amendment No. 4 – issued July 2004
3-17
Feedingstuffs: Prosecutions Concluded
Chapter 3: Monitoring Form
Amendment No. 4 – issued July 2004
3-18
Food Hygiene
Section 4 – Inspection Outcomes
Chapter 3: Monitoring Form
Amendment No. 4 – issued July 2004
3-19
Food Hygiene cont.
Chapter 3: Monitoring Form
Amendment No. 4 – issued July 2004
3-20
Food Hygiene cont.
Chapter 3: Monitoring Form
Amendment No. 4 – issued July 2004
3-21
Food Standards
Chapter 3: Monitoring Form
Amendment No. 4 – issued July 2004
3-22
Food Standards cont.
Chapter 3: Monitoring Form
Amendment No. 4 – issued July 2004
3-23
Section 5 – Complaints
Chapter 3: Monitoring Form
Amendment No. 4 – issued July 2004
3-24
Informal Samples
Section 6 – Sampling
Chapter 3: Monitoring Form
Amendment No. 4 – issued July 2004
3-25
Informal Samples cont.
Chapter 3: Monitoring Form
Amendment No. 4 – issued July 2004
3-26
Informal Samples cont.
Chapter 3: Monitoring Form
Amendment No. 4 – issued July 2004
3-27
Informal Samples cont.
Chapter 3: Monitoring Form
Amendment No. 4 – issued July 2004
3-28
Informal Samples cont.
Chapter 3: Monitoring Form
Amendment No. 4 – issued July 2004
3-29
Informal Samples cont.
Chapter 3: Monitoring Form
Amendment No. 4 – issued July 2004
3-30
Formal Samples
Chapter 3: Monitoring Form
Amendment No. 4 – issued July 2004
3-31
Formal Samples cont.
Chapter 3: Monitoring Form
Amendment No. 4 – issued July 2004
3-32
Formal Samples cont.
Chapter 3: Monitoring Form
Amendment No. 4 – issued July 2004
3-33
Formal Samples cont.
Chapter 3: Monitoring Form
Amendment No. 4 – issued July 2004
3-34
Formal Samples cont.
Chapter 3: Monitoring Form
Amendment No. 4 – issued July 2004
3-35
Formal Samples cont.
Chapter 3: Monitoring Form
Amendment No. 4 – issued July 2004
3-36
Formal Samples cont.
Chapter 3: Monitoring Form
Amendment No. 4 – issued July 2004
3-37
Formal Samples cont.
Chapter 3: Monitoring Form
Amendment No. 4 – issued July 2004
3-38
Formal Samples cont.
Chapter 3: Monitoring Form
Amendment No. 4 – issued July 2004
3-39
Formal Samples cont.
Chapter 3: Monitoring Form
Amendment No. 4 – issued July 2004
3-40
Feedingstuffs – Informal Samples
Chapter 3: Monitoring Form
Amendment No. 4 – issued July 2004
3-41
Feedingstuffs – Formal Samples
Chapter 3: Monitoring Form
Amendment No. 4 – issued July 2004
3-42
Feedingstuffs – Formal Samples cont.
Chapter 3: Monitoring Form
Amendment No. 4 – issued July 2004
3-43
Imported Foods of Non–Animal Origin
Section 7 – Imported Foods
Chapter 3: Monitoring Form
Amendment No. 4 – issued July 2004
3-44
Reasons for Rejection
Chapter 3: Monitoring Form
Amendment No. 4 – issued July 2004
3-45
Chapter 4: Monitoring Form
Guidance Notes
Notes for Guidance
Introduction
1
This note provides guidance on completion of the monitoring form in Chapter
3. The statistics collected by the Food Standards Agency using this form cover
work carried out by local authorities under: the Food Safety Act 1990, and
regulations made under it; the Agriculture Act 1970, and relevant regulations made
under it; Article 22 of Directive 95/53/EEC; and Article 14 of Directive 89/397/EEC.
2
Information collected by the monitoring form excludes meat inspection work and
veterinary inspections carried out under fresh meat hygiene legislation in licensed
premises and returned separately as part of the fresh meat monitoring arrangements.
However, in the case of prosecutions, details of prosecutions taken for ‘food quality’,
under other legislation, such as the Trade Descriptions Act 1968 should be included.
3
For identification purposes local authorities should include their code number
on the form and quote the number in any subsequent related correspondence.
4
Advice on the reporting arrangements for the monitoring returns
are included in the introduction to Chapter 3: Monitoring Form.
Section 1 – The Standard
5
Section 1 is split into two parts, both of which should be submitted annually.
6
The first part asks local authorities to confirm the extent to which they have
in place and have implemented a service plan covering food law enforcement work
which conforms with ‘Chapter 1 – Service Planning Guidance’. The choices are
‘Yes’, ‘No’ or ‘Partly’. Authorities should strike through what is not applicable.
7
The second part covers collection of information about implementation of the
policies, procedures and programmes required by the food law enforcement
Standard. The policies, procedures and programmes required by the Standard are
set out in Tables 1.1 A–C. Appropriate cross references to the Standard are
shown. Authorities are required to indicate by means of an asterisk (*) the extent
to which they have implemented each of the Standard’s requirements.
Amendment No. 4 – issued July 2004
4-1
Chapter 4: Monitoring Form Guidance
8
Local authorities are also asked to indicate the date by which all the required
policies and procedures will be fully implemented. The date of the most recent or
any planned date for the service’s fundamental review under Best Value is also
required. This information will be useful regarding the timing of audits.
NOTE: The purpose of collecting this information is to track local authority
implementation of the Standard’s requirements. As such, the need to
collect this information should be of limited duration.
Section 2 – Compliance with inspection programme
9
The aim of the programme, as detailed in the Food Safety Act Codes of
Practice Nos. 8 and 9, is to ensure that all premises are inspected at an
appropriate frequency determined by risk.
Tables 2.1 and 2.2
Columns for type of premises
10 Some premises could be placed in more than one category. Please record a
premises once only, under the column most appropriate to the main activity to be
inspected. Local authorities are asked to provide the premises rating information in
columns A–L as at 1 April each year. Recalculation of this information is not
required on a quarterly basis. In the second, third and fourth quarters this
information may be left blank or be copied from the first quarter return.
NOTE: If there are several different food premises registered under different
ownership on the same site, for example, railway stations, motorway
service stations, each premises should count as a different premises.
However, large supermarkets with in–house bakeries, restaurants,
fishmongers etc. should be counted as one establishment whether or not it
is unitised for the purposes of inspection. Mobile catering premises (vans,
tents etc.) owned by one company should be counted as one premises.
The premises at which the mobiles are registered (including those
registered at markets) should be included in the Authority’s programme of
visits and therefore should appear in line 1. Where a mobile has a regular
trading patch it should also be included in the Authority’s inspection
programme and appear in line 1. Where mobiles trade on a one off basis
within the Authority (e.g. for a concert or sporting event), or are not
included in the programme, inspections should be logged in line 2 only.
Amendment No. 4 – issued July 2004
4-2
Chapter 4: Monitoring Form Guidance
Column A – Primary Producers: Include only premises producing unprocessed
food intended for human consumption, for example, fruit and vegetables, cereal,
eggs, and honey. Do not include livestock/dairy farms. (Farms approved under
The Dairy Products (Hygiene) Regulations 1995, as amended for milk production
should be included under column C.)
Column B – Slaughterhouses: Applies only where food standards inspections
are carried out (Table 2.2) or hygiene inspections of small scale slaughterhouses
(Table 2.1). Slaughterhouses subject to MHS supervision should not be included
in the returns made by authorities enforcing only hygiene legislation as these
statistics are collected separately.
Column C – Manufacturer/Processor: Include a manufacturer packing all the
food produced as a manufacturer not packer. Exclude premises where only
veterinary inspections are carried out.
Column D – Packer: This refers to premises where the main activity is packing
food but not processing it. Includes producer co–operatives.
Column E – Importers/Exporters: Under line 1 include the number of Quays or
berths used for the handling of food.
Column F – Distributor/Transporter: Include pre–retail distribution activities
including importation, transportation, wholesaling and cash and carry premises
which sell to retailers as well as caterers and final consumers.
Column G – Retailers: Include supermarkets, off licences, newsagents, market
stalls, mail order activities (but not take–away catering premises which should be
included under column H). Only include farm shops if premises are not covered in
column A or J.
Column H – Restaurants and other Caterers: This includes kitchens in
institutional premises e.g. hotels, village halls, holiday camps, colleges and
factories. Also include public houses, hospitals, take–aways and bed and
breakfast accommodation.
Column I – Material and Article Manufacturers and Suppliers: These should only
include manufacturers and suppliers of materials and articles in contact with foodstuffs.
Column J – Manufacturers selling mainly by retail: Premises such as local
butchers and bakers who manufacture and sell most of their goods from their own
outlets locally and local farms producing for their farm shop. This is a new
category and it is suggested that premises fitting this group should be re–coded at
the time of the next inspection. This will mean that it may take two years for all of
these to be correctly coded, on the assumption that they will be at least C or M risk
for food hygiene and food standards respectively.
Amendment No. 4 – issued July 2004
4-3
Chapter 4: Monitoring Form Guidance
Column K – Total: For Table 2.1 (yearly) the first eight lines of the total column
will represent the Authority’s premises profile for food hygiene. For Table 2.2
(yearly) the first five lines will represent the premises profile for food standards.
Columns for inspection/visit activity
Local authorities are asked to provide the information in column K and L at 1 April
each year as it looks ahead to the number of inspections planned for the coming
year. Information in columns M and N should be provided on a quarterly basis as it
looks back at the inspection/revisit activity for the previous quarter.
Column L – No. of programmed inspections planned – annual return: No. of
inspections planned should reflect the number of inspections due at the beginning
of the financial year (1 April) and be based on the premises profile at that time.
This information will be required for the Authority’s service plan and will need to
reflect the provisions of Codes of Practice Nos. 8 and 9. Any additional inspections
to those planned at 1 April i.e. those premises that become due for inspection,
e.g. a new premises, during the year should be recorded at line 2 in Tables 2.1
and 2.2 (see paragraph 11 below).
Column M – Number of inspections achieved (of those planned) – quarterly
return: No. of inspections achieved (of those planned) will only include all
programmed inspections that have been carried out. The number of premises
which were due an inspection during the quarter but which were found to have
ceased trading should be recorded in the box provided at the bottom of the table.
Visits to premises which have ceased trading and are found to be closed should
not be recorded as inspections. The number of premises where the premises rating
has changed from A to another category following the first inspection of the year should
be recorded in the box provided at the bottom of the table on a quarterly basis.
Column N – No. of revisits carried out – quarterly return: This should record
the number of visits made to check on compliance following a programmed
inspection and/or the serving of notices. This information should be provided
on a quarterly basis.
NOTE: Revisits following planned inspections (e.g. part of the programme) should
be recorded in column N. Revisits arising from other ad–hoc inspections
(e.g. as a result of a complaint investigation) should be recorded in line 4
in addition to the revisits data from column N.
Premises outside the inspection programme – annual return
Table 2.1 Food premises on a local authority’s database but not included in their
food hygiene inspection programmes should be recorded in this row.
Amendment No. 4 – issued July 2004
4-4
Chapter 4: Monitoring Form Guidance
Table 2.2 Premises subject to food standards inspections that have been allocated
a “no inspectable risk” rating should be included in this row.
Unrated premises – annual return: These premises are likely to be newly
identified premises not yet inspected to allocate a risk rating.
Information about premises outside the inspection programme and unrated
premises only needs to be provided at 1 April each year.
NB Ports (Anywhere food enters the UK)
Fixed Premises, in which a food hygiene and/or standards inspection is
undertaken according to Codes of Practice Nos. 8 and/or 9, should be included in
the Authority’s inspection programme and line 1 of Tables 2.1 and 2.2.
Inspections of these premises should be included in column M and line 2.
Inspections of ships and aircraft should only be included in either line 2 or 3.
Where the ship or aircraft is subject to a hygiene or standards inspection as
described in Codes of Practice Nos. 8 and/or 9 the inspection should be included
in line 2. All others should be included in line 3.
Lines 1–6
11 The following information broken down by premises category is required
by lines 1 to 6 on a quarterly basis.
Line 1 – No. of premises: Record the total number of premises present on the
Authority’s database on the last day of the (relevant) quarter.
Line 2 – No. of inspections achieved: Record all inspections that have been
undertaken. This will include those inspections that were programmed and any
additional inspections such as those resulting from the opening of new premises,
food safety/standards award schemes and reclassification of premises.
Line 3 – No. of other visits made in the year: Record all other food related visits
focused on one part only of the businesses’ food control systems. This may involve one
or more of the following control activities: a partial inspection, sampling, hygiene checks
on staff, examination of the books and documentation, examination of any verification
systems introduced by the undertakings and of the results. However, visits solely for
sampling purposes should not be counted, but should be included in line 5. ‘Other
visits’ may include visits to investigate food poisoning allegations or complaints.
Line 4 – No. of revisits carried out: Record the number of revisits made to check
on compliance following a programmed inspection or a revisit made following a
complaint investigation and/or the serving of notices.
Amendment No. 4 – issued July 2004
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Chapter 4: Monitoring Form Guidance
Line 5 – No. of advisory and sampling visits: Visits to premises that do not
involve one of the control activities detailed in the guidance on line 3. Record visits
made, for example, solely to acquire samples, provide training or give advice such
as for planning applications/building control applications.
Line 6 – No. of premises subject to official control at least once in the year:
This represents the number of premises subject to an inspection (line 2) or visited
(lines 3 and 4) for the first time during the calendar year. Do not provide a
cumulative total for the year to date. The total of the four quarterly returns will
provide this. A premises can only be counted once per calendar year in this line.
(This information is required for the calendar year because of European requirements.)
Visits other than inspections should be recorded in either line 3, 4, or 5.
An inspection or ‘other visit’ carried out at one premises counts as one (even if it
covers several parts of the premises such as retail space, in–store manufacturing
facilities and distribution areas at a supermarket).
An inspection or ‘other visit’ carried out over a number of days counts as one.
Table 2.3 – Feedingstuffs
12 Lines 1 and 2 – No. of Approved Establishments and Intermediaries
and No. of Registered Establishments and Intermediaries: Under the Feeding
Stuffs (Establishments and Intermediaries) Regulations 1999, local authorities
are required to approve or register certain establishments and intermediaries
operating in the animal feedingstuffs sector. The Regulations require details of
these premises (e.g. name and address, type of activity carried out) to be entered
on a ‘Register of Approved Establishments and Intermediaries’ and a ‘List of
Registered Establishments and Intermediaries’. Details for lines 1 and 2 may be
extracted from the Register and List. (Full copies of the Register will need to be
returned to the Food Standards Agency separately under the terms of the Feeding
Stuffs (Establishments and Intermediaries) Regulations 1999.)
Note that it is unlikely that premises in categories G–J (Other farms etc.) will be
subject to the approval and registration requirement, but they will be subject to
general inspection visits.
Line 3 – No. of inspections achieved: This should cover:
●
visits to approve establishments and intermediaries and subsequent
visits to ensure standards are maintained (under the Feeding Stuffs
(Establishments and Intermediaries) Regulations 1999) or to check
that other feedingstuffs legislation is being observed;
Amendment No. 4 – issued July 2004
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Chapter 4: Monitoring Form Guidance
●
visits to registered establishments and intermediaries to confirm that
they meet registration requirements (under the Feeding Stuffs
(Establishments and Intermediaries) Regulations 1999) and
subsequent visits to ensure that standards are maintained or to check
that other feedingstuffs legislation is being observed;
●
visits to other premises not subject to approval or registration to ensure
that feedingstuffs legislation is being observed.
Line 4 – No. of revisits: This should record the number of visits made to check on
compliance after an inspection visit and/or serving of notices.
NOTE: The data required in the tables on feedingstuffs is expected to represent
the basis of the information required to monitor local authorities’
enforcement activities in this area. However the Food Standards Agency
and LACORS are drawing up a feedingstuffs enforcement plan and when
this has been finalised it may be necessary to request additional data. The
European Commission has also yet to define exactly what information it
wishes to see in Member States’ enforcement plans. Further guidance will
be issued to aid the completion of returns relating to feedingstuffs.
Section 3 – Enforcement Action
Table 3.1 – All Food Establishments
13 Record number of establishments in which infringements were found NOT
the number of warnings, orders etc. made or issued. Only include a premises once
in one category per calendar year i.e. a premises issued with two warnings in
different quarters would only count as one but a premises subject for example to a
written warning and an improvement notice should count once in both lines 3 and 4.
Lines 1 & 2 – Establishments prosecuted and convicted: Please include these
in the quarter in which the case has been concluded. Include relevant
prosecutions of premises outside a food authority’s own area under the
appropriate category e.g. manufacturer, packer.
Line 3 – Written warning: Record any relevant communication with the
proprietor/owner/manager of a premises stating that infringements of legislation
have been detected. Include written warnings to a trader drawing attention to
possible non–compliance with legislation but not correspondence of a purely
advisory or good practice nature. Exclude also referrals to home authority. This
may include written warnings left at the time of inspection/visit.
Amendment No. 4 – issued July 2004
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Chapter 4: Monitoring Form Guidance
Line 5 – Formal cautions: Enter those issued in accordance with Home Office
circular 18/1994 which can be obtained from the Home Office website
(www.circulars.homeoffice.gov.uk) or by telephoning the Home Office on
020 7273 4002. Formal cautions should be recorded on the return by the Authority
that serves them, even if the premises is in an area covered by another local
authority. This category would not apply in Scotland.
Line 6 – Prohibition orders: Prohibition orders should only be recorded where
they do not originate from an emergency prohibition notice. Only include premises
subject to a prohibition order, not persons.
Line 7 – Emergency prohibition notices: All emergency prohibition notices
issued under Section 12 of the Food Safety Act 1990 should be recorded here.
Line 8 – Revocations of approval or licence: Include revocations that result
from the premises closing down as well as those resulting from enforcement action.
Line 9 – Seizure/detention and surrender of food: Record the number of
premises subject to seizure/detention made under Section 9 of the Food Safety
Act 1990 including voluntary surrender of food. Only include one
seizure/detention/surrender per premises per calendar year.
Line 10 – Number of voluntary closures: Include all voluntary closures including
closures relating to parts of premises, equipment or processes.
Table 3.2 – Prosecutions concluded
14 This table breaks down the information contained in Table 3.1. However, the
total figures may not always correspond to those in Table 3.1 because this table
relates to the prosecutions taken rather than the number of premises.
15
Relevant samples used in legal proceedings should be recorded in Table 6.2.
16 Please include the formal actions in the quarter in which the case has been
concluded. Where several prosecutions are taken against the same premises
under the same Regulations in a calendar year they should all be counted and
classified according to the main area of the offence.
Line 1 – Hygiene: Record formal action taken in respect of the HACCP based
own checks requirements of the product specific legislation or regulation 4(3) of
the Food Safety (General Food Hygiene) Regulations 1995 or for contravention of
the relevant training requirements.
Line 2 – General hygiene: Record contraventions relating to structure, premises
layout, facilities, equipment and staff hygiene.
Amendment No. 4 – issued July 2004
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Chapter 4: Monitoring Form Guidance
Line 3 – Composition: Record actions including inappropriate use of additives
and adulteration with chemicals or water.
Line 4 – Contamination: Record actions taken relating to extraneous matter and
any other substance not intentionally added to food which is present in such food
as the result of the production (including operations carried out in crop husbandry,
animal husbandry and veterinary medicine), manufacture, processing, preparation,
treatment, packing and packaging, transport or holding of such food, or as a result
of environmental contamination.
Line 5 – Labelling and Presentation: Record action taken relating to such issues
as designations, descriptions, shelf life, misleading or false claims.
Line 6 – Other offences: This may include action taken on such issues as
materials and articles in contact with food.
Line 7 – Food quality under other legislation: This does not include
prosecutions for quality taken under the Food Safety Act 1990, but does include
prosecutions taken under other Acts, e.g. Trade Descriptions Act or Theft Act.
Table 3.3 – Feedingstuffs
17 Line 1 – Prosecutions: include prosecutions concluded under the Feeding
Stuffs Regulations 2000 and the Feeding Stuffs (Establishments and
Intermediaries) Regulations 1999.
Lines 2 and 3 – Convictions and Written warnings: See relevant guidance for
Table 3.1.
Line 4 – Revocation of approval or registration: Relates to revocation of
approval and registration under the Feeding Stuffs (Establishments and
Intermediaries) Regulations 1999. Revocations are initially expected to be low
since the process of approval and registration has only recently commenced.
18 Provide information on action taken as a result of Article 22 of Directive
95/53 on fixing the principles governing the organisation of official inspections in
the field of animal nutrition.
Section 4 – Inspection Outcomes
19 The information collected focuses on inspection outcome measures. The aim
is to obtain information which will help in identifying outcome trends e.g. whether
there is improved or worsening confidence in management as indicated by the
nature of control systems in place. It is acknowledged that it will not be possible to
Amendment No. 4 – issued July 2004
4-9
Chapter 4: Monitoring Form Guidance
identify trends until premises have been inspected at least twice. However, the
information collected in the meantime should provide useful information on overall
standards. Information is collected for A–C and H–M only because of the higher
risk that these premises pose and the higher inspection frequency making the
indicator more sensitive.
Tables 4.1 – 4.5
20 This section now forms part of the yearly return, rather than being required
on a quarterly basis.
21 These tables require the Authority to use the number of premises in each of
the relevant risk rating bandings as the denominator to calculate the percentage of
premises in each of the sub categories (e.g. highly confident, moderate confidence
etc.). The risk rating should be that which was awarded to the premises after
inspection in accordance with Codes of Practice Nos. 8 or 9.
For example using Code of Practice No. 9:
Category A
296
Category B
650
Category C
1400
Confidence in Management
A
%
B
%
C
%
Highly confident
13
4.4
52
8.0
36
2.6
Moderate confidence
52
17.6
300
46.2
634
45.3
Some confidence
156
52.7
236
36.3
528
37.7
Little confidence
63
21.3
32
4.9
189
13.5
No confidence
12
4.0
30
4.6
13
0.9
Total
296
100%
650
100%
1400
100%
22 Tables 4.4 and 4.5 on the monitoring form require information for high and
medium risk premises regarding two aspects of their risk score. If the Code of
Practice No. 8 risk rating scheme is currently not being used this information may
not be held. Where the LACORS risk rating scheme is being used the relevant
scores for areas of that scheme can be substituted as follows:
Amendment No. 4 – issued July 2004
4-10
Chapter 4: Monitoring Form Guidance
LACORS
Risk Rating Scheme
Code of Practice No. 8
Risk Rating Scheme
Control Systems
Effectiveness of the business’ quality systems
History
Likelihood of the business failing to meet food standards
Where another “equivalent” system is in use and the Authority is able to provide
equivalent information, a return should be made accompanied by details of the risk
assessment scheme in use.
Section 5 – Complaints
Table 5.1
23 Collecting information on complaints and the interaction between local
authorities in relation to complaints originating outside of the Authority’s area is
intended to provide a better picture of local authority activity outside the inspection
programme and record this area of demand on local authority services.
24 This section has been amended to include complaints’ samples. The
information recorded here applies to the analysis of samples provided or taken
specifically as part of the complaint. Formal samples taken subsequent to the
complaint (e.g. with a view to taking action) should be recorded in Table 6.2.
Lines 1 – 5: Record all complaints about food/feedingstuffs. The complaints
recorded should only include those that refer to possible infringements of the Food
Safety Act 1990, the Agriculture Act 1970, the European Communities Act 1972
and any associated regulations. Complaints in relation to weights and measures,
and pricing should not be included. Record all complaints relating to composition,
designation, description, shelf life, authenticity, and misleading or false claims
under the labelling category – line 4. Record all complaints about feedingstuffs
under line 5. Record a complaint once only in the most appropriate category.
Line 6 – Complaints about the hygiene of premises: Record all complaints
about the hygiene of a food premises. The number of premises concerned should
also be recorded.
Line 7 – Total complaints received (lines 1 to 6): Record the total of all
complaints received, which will be the total of lines 1 to 5 and line 6.
Lines 8 – 12: Record all complaints that have been referred to another authority for
investigation or where the home or originating authority has been asked for an
opinion. The purpose of collecting this information is to measure the amount of inter
Amendment No. 4 – issued July 2004
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Chapter 4: Monitoring Form Guidance
authority liaison. Complaints recorded in lines 8 to 12 should also be recorded as
received by the Authority under the appropriate category in lines 1 to 5.
Line 13 – Total: Record the total of lines 8 to 12.
NB requests for advice from businesses should not be included in any of the
categories in Table 5.1.
Section 6 – Sampling
NOTE: Table 5.1 now records complaints. Complaints’ samples should not be
included in Table 6.2.
Table 6.1
25
Informal samples: Samples not taken in accordance with the appropriate
sampling Regulation (e.g. samples for screening purposes) and/or not sent to an
accredited laboratory.
26 Examinations of food by an officer during an inspection (e.g. labelling)
should not be included. Samples should only be recorded where the food has
been procured and removed from the business. Samples recorded should include
food that has been examined by the Authority or an expert other than the food
analyst or examiner.
Table 6.2
27 Formal samples: Samples taken in accordance with the appropriate
sampling Regulations and submitted to an accredited laboratory on the official list.
The official list is available on the Food Standards Agency’s website
(www.food.gov.uk/enforcement/public_analysts).
Column S – Total No. of samples leading to prosecution:
Include formal cautions issued in accordance with Home Office circular
18/1994 which can be obtained from the Home Office website
(www.circulars.homeoffice.gov.uk) or by telephoning the Home Office on
020 7273 4002.
NB Ports – Sampling statistics for port activities should be completed on
separate forms to those for the remainder of the Authority’s activity.
Egg and egg products
Processed products containing egg should not be
included under this heading but under the
headings for desserts, sauces etc.
Amendment No. 4 – issued July 2004
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Chapter 4: Monitoring Form Guidance
Fats and oils
All fats and oils, except dairy fats in the dairy
product category.
Soups, broths and sauces
Includes mustard, mayonnaise and vinegar.
Cereals and bakery products
Includes bread, croissants, brioches, cakes and
pastries.
Fruit and vegetables
Includes mushrooms and berries.
Herbs and spices
Includes salt and salt substitutes.
Prepared dishes
Includes frozen prepared dishes and filled
sandwiches but not meat pies which should be
included under Meat and meat products, game
and poultry.
Microbiological contamination Includes contamination by biological agents,
toxins (including mycotoxins) or metabolites.
Other contamination
Any other substance not intentionally added to
food which is present in such food as a result of
the production (including operations carried out in
crop husbandry, animal husbandry and veterinary
medicine), manufacture, processing, preparation,
treatment, packing and packaging, transport or
holding of such food, or as a result of
environmental contamination. Foreign bodies.
Composition
Includes additives and adulteration.
Labelling and presentation
Non–conformities in the labelling (e.g. designation,
composition, misleading claims).
28 If a sample is unsatisfactory in more than one category e.g. composition and
labelling then it should be placed under both headings but should only count as
one sample under the Total No. of samples (column Q). For microbiological
samples (columns B, C) the PHLS guidelines – Guidelines for the Microbiological
Quality of Some Ready–to–Eat Foods Sampled at the Point of Sale
(Communicable Disease and Public Health, Volume 3, Number 3, September
2000) – on “unacceptable” and “unsatisfactory” should be used where appropriate.
29 Exclude details of any samples for which results are awaited, these can go in
the next quarter’s return.
Amendment No. 4 – issued July 2004
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Chapter 4: Monitoring Form Guidance
Table 6.4 Feedingstuffs: Formal samples
30 Include samples procured and analysed using methods in the Feeding Stuffs
(Sampling and Analysis) Regulations 1999 (as amended) or other scientifically
valid methods for prosecution purposes. Table 6.3 (informal samples) covers
samples not taken in accordance with methods suitable for prosecution. For
enforcement purposes samples taken under the Agriculture Act 1970, as amended
should also be included.
31 Exclude details of any samples for which results are awaited, these can go in
the next quarter’s return.
Section 7 – Imported foods
32 The percentage of manifests checked should include those checked for all
types of foodstuffs and products of animal origin. At this stage, this specific return
is applicable to sea ports only.
Imported food of animal origin
33 Local authorities should continue to send their existing returns to their
Divisional Veterinary Manager.
Imported food of non–animal origin
34 The checks recorded should be those of food that entered the port from 3rd
Countries or from other Member States with a T1 customs status.
35 A consignment for the purposes of these returns is all foodstuffs covered by
one bill of lading, airway bill or one unit e.g. a freight container or in the case of
less than a contained load that part covered by separate documentation.
Amendment No. 4 – issued July 2004
4-14
Chapter 4: Monitoring Form Guidance
Appendix 1
Suggested categorisation of premises
(This is for illustrative purposes only and is not an exhaustive list.)
(Please refer to note on pages 4–2 and 4–3 concerning column for type of
premises.)
*Primary Producers
Fruit and Vegetable Growers
Pick Your Own Farms
Egg Producers
Potato growers
Fish farms
Beekeepers
Vineyards
*Slaughterhouses
Abattoirs
*Manufacturers, Processors
Brewery
Meat manufacturers
Milk processors and dairy processors
Cheesemakers
Soft drinks, mineral waters
Vegetable drying, freezing, canning
Bakery
Meat or poultry cutting premises
Purification centres for shellfish
Fish processors
Bakers with no on–site retail activity
*Packers
Fruit and vegetable co–operatives
Egg packers
Contract Packers
Amendment No. 4 – issued July 2004
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Chapter 4: Monitoring Form Guidance
*Importers/Exporters
Warehouses, freight depots, transit sheds, stores
*Distributors
Wholesalers
Cash and carries
Cold stores
Haulage companies
Milk distributors
Importers
*Retailers
Supermarkets
Grocers
Confectioners
Butchers
Fishmongers
Greengrocer/Fruiterer
Health food shops
Bakers shops
Newsagents
Mobile vans (retailers)
Market stalls
Farm shops (if farm not included under producers or other premises)
Off licences
Garage minimarkets
*Restaurants and other caterers
Restaurants
Public houses
Cafes
Fish and chip shops
Take–away
Mobile vans (food preparation)
Hotels, guest houses
Village halls, community centres etc.
Schools, hospitals etc. (include each premises but not each kitchen)
Work canteens
Ships’ catering spaces
Amendment No. 4 – issued July 2004
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Chapter 4: Monitoring Form Guidance
*Manufacturers mainly selling by retail
Butchers shops cooking hams
Bakeries selling through their own shops
*Material and Article Manufacturers and Suppliers
Food contact material and article manufacturers and suppliers
Amendment No. 4 – issued July 2004
4-17
Chapter 5: Audit Scheme
Introduction
1
The White Paper “The Food Standards Agency – A Force for Change”
identified the Food Standards Agency as having a key role overseeing local
authority enforcement activities. The Framework Agreement audit scheme sets out
the arrangements through which the Agency will audit local authorities’
enforcement activities, to help ensure that local authorities are providing an
effective service to protect public health. Powers to monitor and audit local
authorities are contained in the Food Standards Act 1999.
Aims
2
The aims of the audit scheme are to:
●
help to protect public health by promoting effective local enforcement
of food law;
●
maintain and improve consumer confidence;
●
assist in the identification and dissemination of good practice to
aid consistency;
●
provide information to aid the formulation of Agency policy;
●
promote conformance with the “Food Law Enforcement – Standard”
(the Standard) and any relevant central guidance or Codes of Practice;
●
provide a means to identify under performance in local authority food
law enforcement;
●
promote self regulation and Peer Review such as Inter Authority
Auditing (IAA); and
●
identify continuous improvement.
Scope
3
The audit scheme will assess a local authority’s conformance against the
Standard and any associated guidance. The arrangements will cover the full range
of local authority food law enforcement activity i.e. food standards, food safety,
Amendment No. 4 – issued July 2004
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Chapter 5: Audit Scheme
feedingstuffs and activities within Port Health Authorities/Border Inspection Posts
at which imported food is handled.
Audit Scheme documents
4
To facilitate effective operation of the scheme an Audit Protocol, containing
documented audit procedures, has been developed. A Pre–Visit Questionnaire
has also been developed to enable information to be obtained from a local
authority prior to the on–site audit. Copies of these documents are available on the
Agency’s website at www.food.gov.uk/enforcement/auditscheme
Selection of local authorities for audit
5
Selection of authorities will be informed by monitoring data to include those
with both low and high apparent levels of performance. The process will also
include an element of random selection. More focussed audits concentrating on
particular areas of the Standard or enforcement issues may also be carried out.
The selection process will also take into account where audits have already been
carried out on local authorities in the context of Best Value or Peer Review such
as IAA.
The audit process
Notification
6
Local authorities will receive prior notification of audits. This will aid
transparency and also facilitate the effectiveness of the audit process by allowing
a reasonable period for local authorities to collate documents and ensure
appropriate staff and facilities are available. As a general rule local authorities will
be notified by letter at least 3 months in advance of the audit. There will, however,
be flexibility to reduce the notification period where the Agency needs to undertake
an audit at shorter notice, for example, because of exceptional concerns relating to
a particular authority. Notification of audits will be addressed to the Chief Executive
of the Authority, copied to the Head of the Food Service. The notification letter will
provide background information on the arrangements and nature of the audit.
Amendment No. 4 – issued July 2004
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Chapter 5: Audit Scheme
On–site audit
7
The on–site audit will include:
●
an initial meeting with relevant management of the Authority to
address the scope, objectives and arrangements for the audit. This
meeting will also allow the Authority the opportunity to raise any local
sensitivities and/or demands that may affect the food service;
●
an assessment of the implementation of the documented policies and
procedures drawn up to meet the requirements of the Standard.
Auditors will make use of an Audit Protocol setting out the detailed
audit arrangements and the evidence sought to assess conformance.
This will aid consistency of audits; and
●
an on–site closing meeting with relevant Authority representatives
where the auditors will provide a summary of their initial findings, in
particular the areas of apparent non–conformance. The meeting will
provide an opportunity to clarify any points of misunderstanding.
8
The duration of the on–site audit will vary depending on the size of the
Authority. In most circumstances it is proposed the audit visit comprise 2–3 days. In
some circumstances, for example where enforcement is delivered from a number
of sites, the duration of the audit visit may need to be increased to reflect this.
Amendment No. 4 – issued July 2004
5-3
Chapter 5: Audit Scheme
9
The following chart indicates the audit process from prior notification to the
Authority that an audit is to take place, through to the issue of the final report and
agreed action plan:
Approx. 3 months before audit
– Notification letter and PreVisit Questionnaire (PVQ)
issued to LA
Within 30 days of receipt by
LA PVQ to be returned to
LAE(P)D Performance Branch
2-4 days prior to audit –
Confirmation of audit
arrangements e-mailed and/or
faxed to LA, including
programme and list of files
required
Initial interview with Head
of Food Service and other
senior managers
On-site audit visit
(normally 2-3 days)
Closing meeting –
initial report of findings
20 working days after audit –
Draft Audit Report + summary
of findings addressed to Chief
Executive (copied to Head of
Food Service)
Within 20 working days of
receipt – LA return report with
any factual corrections and
proposed action plan
Within 10 working days of
receipt (subject to any
necessary discussions) –
LAE(P)D issue final report and
agreed action plan to
Chief Executive
Amendment No. 4 – issued July 2004
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Chapter 5: Audit Scheme
Complaints and disputes
10. Mechanisms are in place for resolving complaints and disputes by local
authorities arising from food service audits undertaken by the Agency. These are
set out in detail in the Annex to this Chapter.
Follow-up action
11. Food Standards Agency follow-up action to Agency audits will depend on the
level and type of non-conformance identified and the action plan produced by the
local authority. Follow-up arrangements by the Agency will, in some
circumstances, include re-visits to local authorities. Where these arrangements
identify a local authority failing to implement all or part of their action plan,
subsequent Agency action will be considered on a case by case basis.
Publication of Audit Reports
12. Information on local authority enforcement performance will be placed in the
public domain. Audit reports will be issued to local authorities with the expectation
that the reports will be presented to elected members within the appropriate local
public forum. Copies of audit reports will also be placed on the Food Standards
Agency website. The Agency will also publish an annual report providing a
national summary of monitoring data and audit findings.
Review of the Audit Scheme
13. The operation and scope of the audit arrangements and support documents
e.g. the Standard will be reviewed on an in-year basis in the first year and on an
ongoing basis thereafter. To facilitate this process a Framework Agreement Sub
Group has been set up with local authority, consumer and industry representation.
The Group will also consider issues arising from audits including those having
national policy implications. This group will report to the Local Authority
Enforcement Liaison Group.
Amendment No. 4 – issued July 2004
5-5
Chapter 5: Audit Scheme
Administration of the Audit Scheme
14 Relevant contact points in the event of queries regarding the Food
Standards Agency audit scheme are:
England
●
Mark Davis (administrative)
Tel: 020 7276 8421
●
Julian Blackburn (technical)
Tel: 020 7276 8430
Marion McArthur
Tel: 01224 285122
●
Keith Blake (administrative)
Tel: 029 2067 8902
●
Jane Davies (technical)
Tel: 029 2067 8901
Scotland
●
Wales
Northern Ireland
●
Gerry McCurdy
Tel: 028 9041 7719
●
Trevor Williamson
Tel: 028 9041 7713
Amendment No. 4 – issued July 2004
5-6
Chapter 5: Audit Scheme
Annex
Complaints concerning the conduct of audits and/or
auditors
If a local authority is dissatisfied with any aspect of the Agency’s services during
an audit, including the conduct of the audit and/or the auditors, it has recourse to
the Agency’s Complaints Procedure. Full guidance on this is available on the
Agency’s website at: www.food.gov.uk/aboutus/standards.
Disputes concerning the outcome (findings and
recommendations) of audits
Note – Pending the resolution of any dispute, the local authority should
implement those elements of its Action Plan not subject to dispute so that other
necessary improvements are not delayed.
The procedure is outlined in the flowchart below.
If a local authority is dissatisfied with the audit findings or recommendations, it
should first raise the matter with the Lead Auditor so that informal negotiation
between the local authority and Agency officials may take place. The matter
should be raised by the local authority within 20 working days of receiving the draft
audit report and summary of findings.
If matters are not resolved at this level and the local authority remains dissatisfied,
it may raise it with the Head of Local Authority Enforcement Division in England, or
with the relevant Division Head or Deputy Director in Scotland, Wales and
Northern Ireland, so that further informal negotiation may take place.
If the local authority remains dissatisfied, its Chief Executive may, within a further
10 working days, ask for the matter to be referred to the relevant Advisory
Disputes Panel. With the consent of the local authority involved, the Agency’s
Enforcement Liaison Group will be advised that such a request has been made.
The Advisory Panel will be convened and will investigate the matter in dispute and
report its findings and recommendations within 30 working days.The Agency will
review the Panel’s report and notify the local authority, within 10 working days, of
its decision as to whether it accepts the Panel’s view and of any changes it would
wish to make to the original report.
Amendment No. 4 – issued July 2004
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Chapter 5: Audit Scheme
If the local authority remains dissatisfied, the Chief Executive may (within
10 working days) request that the dispute be referred to the Agency’s Chief
Executive. The Chief Executive will review the case and the Panel’s report
and issue a final decision that will be notified to the local authority within
10 working days.
Once the Chief Executive of the local authority has been notified of the Agency’s
final decision the Audit Report and Action Plan will be issued formally and made
available publicly.
When the Audit Report and Action Plan are published, a summary of the Agency’s
final decision on any matter in dispute will also be included. The local authority will
have the opportunity to provide a commentary on the Report, the conduct of the
audit, and on the findings of the Agency in respect of the matter in dispute, as well
as on the Action Plan.
Any action necessary should a local authority refuse to accept the decision of the
Agency will be considered by the Agency on a case by case basis.
Use of Agency powers of direction and default
Notwithstanding this procedure for resolving disputes, the Agency reserves the
right to consider the use of its powers of direction and default. A separate
document sets out guidance on use of these powers.
Judicial review
The proposed framework for dealing with disputes does not affect the rights of an
aggrieved local authority to seek a judicial review of the Agency’s decision.
Advisory Disputes Panels
Convening of panels – Advisory Disputes Panels will be convened following a
request for referral by a local authority Chief Executive.
Membership – To safeguard the integrity and independence of the Panel there
will be no representation from the Food Standards Agency, the LGA or
LACORS. Membership will comprise representatives of the appropriate
professional bodies (CIEH, TSI, APA) and a consumer representative.
Selected representatives will be required to declare any relevant interests. In
Scotland, membership will be drawn from the Audit Advisory Committee.
Chair – the Panel will elect its own Chair from among its membership.
Secretariat – full Secretariat services may be provided by the Agency with the
agreement of the local authority concerned.
Amendment No. 4 – issued July 2004
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Chapter 5: Audit Scheme
Role of Local Government Associations
The Local Government Association (LGA), the Welsh Local Government
Association (WLGA), the Convention of Scottish Local Authorities (COSLA),
the Northern Ireland Local Government Association (NILGA) and the Local
Authorities Coordinators of Regulatory Services (LACORS) are committed to
working with local authorities. These organisations encourage their member
authorities to give early warning of potential problems emerging from
inspections, draft reports, complaints, reviews or other sources so that advice
and support may be offered.
Amendment No. 4 – issued July 2004
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Chapter 5: Audit Scheme
Flowchart illustrating the procedure for dealing with disputes on the
outcome (findings and recommendations) of audits
Local authority dissatisfied
with the Agency’s audit
findings or recommendations
Local authority raises matter
with lead auditor
Informal
negotiation
stages
Local authority
remains
dissatisfied
Local authority raises matter
with Head of Local Authority
Enforcement Division in
England or relevant Division
Head/Deputy Director in
Scotland/Wales/Northern
Ireland
Local authority
remains
dissatisfied
Local authority Chief
Executive requests referral to
independently constituted
Advisory Disputes Panel
Resolution of dispute
Advisory Panel report
produced outlining findings
and recommendations
Formal
procedure
Agency accepts or rejects
Panel recommendations
Local authority
remains
dissatisfied
Local authority Chief
Executive requests referral to
Agency Chief Executive
Local authority
remains
dissatisfied
Amendment No. 4 – issued July 2004
Local Authority seek
judicial review
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