View
2
Download
0
Category
Preview:
Citation preview
FOOD STANDARDS SCOTLANDREGULATORY STRATEGY
AUGUST 2017
2
3
EXECUTIVESUMMARY 4
1 OURVISION 5
2 AREGULATORYFRAMEWORK 6
Scope 6Regulatoryoutcomes 6Regulatoryprinciplesandapproaches 7Howwewillachievethis 9
3 MEETINGOURWIDERGOVERNMENTOBLIGATIONS 12
Betterregulation 12Statementofcompliance 13Externalscrutiny 13
4 PROTECTINGCONSUMERSANDSUPPORTINGRESPONSIBLEBUSINESSES 14
5 SHAPINGTHEFUTURE 16
Approachestoindustryregulation 16Policyandregulatorydecisionmaking 18Nationalcompliancespectrum 19Businesssupport 20Penaltiesandsanctions 21Futuredelivery 21
6 REGULATORPERFORMANCEASSESSMENT 22
7 REGULATORYSTRATEGYGOVERNANCE 23
CONTENTS
4
FOOD STANDARDS SCOTLAND: REGULATORY STRATEGYEXECUTIVE SUMMARY
AsScotland’snationalfoodindustryregulator,workingtoprotectconsumerinterests,FoodStandardsScotland(FSS)hasanimportantroletoplayinsupportingtheeconomicwellbeingandstronginternationalreputationofourfoodanddrinksectorbyensuringitisunderpinnedbyarobustregulatorysystemforfoodsafetyandstandards,whetheroperatinginthedomestic,EUorwiderglobalmarkets.
ThepurposeoftheFSSregulatorystrategyistoclearlyestablishhowwewilldeliverourregulatoryfunctions,andworkwithotherstogainassuranceabouttheperformanceoffoodbusinesses.Indoingso,wewillbeclearabouthowfoodbusinessesareactingtoprotectconsumersandwhatthosebusinessesshouldexpectfromus.
Foodbusinessesthatoperateresponsiblyandprotectconsumers’interestsshouldbenefitfromrisk-basedandproportionateregulation,whilsteffective,proportionateanddissuasiveactionistakenwiththosebusinesseswhodonotstepuptotheirresponsibilitiestoconsumers.
ThisincludesastrongcommitmenttoapplyingtheprinciplesofbetterregulationandtoworkinginlinewiththeScottishRegulators’
StrategicCodeofPractice.Theadoptionofanationalfoodandfeed‘compliancespectrum’,similartotheapproachusedbyotherScottishregulatorsandhighlightedasanexampleofbestpracticeintheCode,willbeacentralfeatureofFSS’sregulatoryapproach.
Lookingahead,ourregulatorystrategyalsoprovidesaframeworkforshapingthefuturedeliverylandscapeforfoodandfeedregulationinScotland,byestablishingtheunderlyingprinciplesandapproachesthatwillsupportregulatorydeliverygoingforward,forthebenefitofconsumersandresponsiblefoodbusinesses.
Aworldclasssystemoffoodproductionrequiresbothahighqualityproduct,theresponsibilityofindustry,andaneffectiveandsustainablesystemofregulatoryoversighttoensurethehigheststandardsoffoodsafetyandauthenticityaremaintained.Thisstrategyprovidesthatfoundation.
Scotlandhasathrivingfoodanddrinkindustrywhichhasastrongreputationbothathomeandabroad,anditisclearthatacompliantfoodanddrinkindustryisgoodforconsumers,goodforbusiness,andprotectsScotland’sreputationasalandoffoodanddrink.
5
1.1 ThevisionofFSSistocreateafoodanddrinkenvironmentin
Scotlandthatbenefits,protectsandistrustedbyconsumers.InworkingtowardthisvisionasaScottishregulatorwewillcontributetothewiderScottishGovernmentaimofincreasingsustainableeconomicgrowth,helpingtomakeScotlandthemostattractiveplacefordoingbusinessinEurope.
1.2 Consumerprotectionisattheheartofourregulatory
rolethrougheffectiveriskassessment,riskmanagementandriskcommunication.InfulfillingthisrolewearecommittedtoworkingcloselywithourlocalandnationaldeliverypartnersandthefoodanddrinkindustrytoshapethefuturefoodregulatorylandscapeinScotlandforthebenefitofbothconsumersandresponsiblefoodbusinesses.
1.3 Thisregulatorystrategysupportstheprocessofshapingthatfuture,
enablingdeliveryofkeyprioritiesintheFSSstrategy‘ShapingScotland’sFoodFuture:OurStrategyto2021’.
http://www.gov.scot/Topics/Government/public-bodies/topics-public%20bodies
1 OUR VISION
6
Scope
2.1 TheFood(ScotlandAct)2015establishedFoodStandards
Scotland(FSS)asthepublicfoodbodyforScotlandwithaclearstatutoryresponsibilitytoprotectconsumersfromfoodsafetyrisks,toimprovedietaryhealth,andtoprotectconsumersotherinterestsinrelationtofood.WearepartoftheScottishadministration,independentfromScottishMinistersanddirectlyaccountabletotheScottishParliament.
2.2 ThescopeofthisstrategycoversthefullrangeofFSSregulatory
functions:developingnationalfoodandfeedpolicyinScotland;promotingScottishinterestsinnegotiationsonemergingfoodandfeedlawandinternationalstandards;regulatoryimplementationanddecisionmaking;operationaldeliveryandenforcement;andassessingtheperformanceoffoodandfeedenforcementauthoritiesinScotland.
2.3 Italsoprovidesaframeworkwithinwhichweexpectfood
andfeedenforcementauthoritiestocarryouttheirregulatoryfunctionsonbehalfofScottishMinisters.
Regulatory outcomes
2.4 Followingtheoutcome-basedapproachinScotland’sNational
PerformanceFramework,thespecificregulatoryoutcomessetouthereexpandonOutcome4intheFSSstrategy–responsiblefoodbusinessesflourish–togiveclearpurposeanddirectiontowhatwewanttoachieveasanationalregulator,withaprimaryfocusonachievingrealandlastingbenefitsforconsumersandresponsiblefoodbusinesses1.
2.5 Fiveregulatoryoutcomesareestablished:
1. Consumersareprotected
2. Responsiblefoodandfeedbusinessesflourish
3. Irresponsiblefoodandfeedbusinessesaredealtwitheffectively
4. Foodandfeedofficialcontrolsystemsaresustainable,responsiveandrobust
5.FSSisatrusted,empoweredand
effectiveregulator
2 A REGULATORY FRAMEWORK
1 http://www.gov.scot/Topics/Government/public-bodies/topics-public%20bodies
7
Regulatory principles and approaches
2.6 Inworkingtoachievetheseoutcomesouractionswillbe
governedbytheprinciplesofeffectiveandsustainableregulatoryoversightanddelivery:
1 Consumershavetrustintheregulatoryoversightoffoodbusinesses;regulatoryoutcomesaretransparentsoconsumerscanmakeinformedchoices.
2 Businesseshaveconfidenceintheregulatorysystem;standardsappliedtofoodandfeedproductionareinternationallyrecognisedandsupportthereputationoftheScottishfoodanddrinksector.
3 Regulatorycomplianceisverifiedbytargetedfoodlawenforcement,thatisrisk-based,proportionateandconsistent,toensurebusinessesareproducingfoodthatissafeandwhatitsaysitis.
4 Foodlawenforcementshouldensurenon-compliantbusinessesbecomecompliant,andpersistentnon-complianceistackledeffectively.
5 Recognitionofresponsible,compliantbusinessesthroughrecognisedaccreditedschemes,approvedandverifiedbyFSS,aspartoftheoverallregulatoryregimeshouldbefurtherexplored.
6 Allbusinessesshouldcontributetothecostsofregulatorycontrols,whichshouldbenomorethantheyneedtobe;non-complianceshouldcostmorethancompliance,andshouldnotbesupportedbypublicsubsidy.
7 Thereisconfidenceinsystemsformonitoring,reportingandevaluatingtheperformanceofbothbusinessesandregulators.
2.7 Theseprincipleswillguideourregulatoryapproachestoenable
effectivedeliveryofourstrategicpriorities,ensuringwemeetourwiderobligationsasaScottishnationalregulatorandreflectthebroaderpolicyenvironmentinwhichweoperate.OurcommitmenttotheScottishGovernment’sapproachtobetterregulation,assetoutintheScottishRegulator’sStrategicCodeofPractice,willbeacentraltheme,aswillourroleinsupportingwiderfoodanddrinkpolicyinScotland.
2.8 Theregulatoryapproacheswewilladoptare:
• Riskandevidencebaseddecisionmaking
• Targetedinterventions
• Understandingandworkingwiththoseweregulate
• Enablingbusinesscomplianceandgrowth
• Clearcommunication
• Workingwithotherregulators
8
2.9 Wewillseektointegratetheseprinciplesandapproachesacross allofourpolicyandregulatoryfunctions.
Policy Development
Regulatory implementation & decision making
Operational delivery & enforcement
Regulator performance assessment
BETTER REGULATION
2 A REGULATORY FRAMEWORK
Figure1.FSSregulatoryframework
Scottish Government Purpose & National Outcomes FSS Regulatory
Strategy
FSS Strategy & Corporate Plan
Better regulation & legal framework
National food & drink policy
Regulatory Outcomes
Principles & Approaches
9
How we will achieve this
2.10 Infulfillingourroleasanationalregulator,FSSwillact
inawaythatistransparenttoconsumers,businesses,enforcementauthoritiesandotherstakeholderssotheyunderstandwhyweact,andreact,inthewaythatwedo.
2.11 Wewilladoptthefollowingwaysofworkingtosecurethe
desiredregulatoryoutcomes:
A Wewillpromoteamature,openrelationshipbetweenregulatorsandthosewhoareregulated–establishingtrustisvital.Instrivingtobeatrustedandeffectiveregulator,FSSwillaimtoworkinpartnershipwithindustrytoachievecommonobjectives,withanattitudeofopennessandsharedinterest.
B WewillshareandpromotebestpracticewiththefoodanddrinkindustryinScotland.It
isimportantthatfoodandfeedbusinessesareclearabouttheirresponsibilities,andwewillpromotebestpracticethroughguidance,adviceandothermeanstosupportandenablebusinesscompliance.
C WewillseektoinfluencedevelopingnationalandinternationalfoodsafetyandstandardspolicyattheearliestpossiblestagetoreflectScottishperspectivesandchampionrisk-based,proportionatefoodandfeedlaw.Thiswillrequireeffectiveandsustainedworkingrelationshipsatalllevelsofgovernment.
D WewillbeopentoabroadrangeofapproachesandinterventionstoregulatingtheScottishfoodandfeedindustrywithintheexistinglegalframework.Thismeansadaptingourregulatoryapproachesandinterventionswhereappropriateandmakinguseoftheflexibilitiesavailabletoregulatorsandbusinessinexistingfoodandfeedlaw.
10
E Wewillexploredifferentwaysofgainingcomplianceassurancewhereitisappropriateandfeasibletodoso,includingthroughthirdparties.Thevastmajorityoffoodandfeedbusinessesvalueandstriveforcompliance–indeedmanychoosetogobeyondcomplianceinpursuitofhigherlevelsofcorporateandsocialresponsibility.Theroleandvalueofcommercialassuranceschemesshouldberecognised.
F Wewillconsidertheneedforgovernmentregulationtoachievepublichealthoutcomeswherevoluntaryindustryapproacheshavefailedtodeliver.FSShasaclearmandatetoprotectconsumersfromfoodsafetyrisksandimprovetheextenttowhichtheyhavedietsconducivetogoodhealth.Whereevidenceshowsthatvoluntaryapproachestoachievingthesepublichealthoutcomesarenotworkingwewillbeopentoconsideringalternatives,includingrecommendingtoScottishMinisterstheneedforstatutoryregulation.
G Wewillworkwithotherstoseektochangeunnecessaryanddisproportionateregulation,minimisingburdensonbusinesswhereappropriate.Inapplyingtheprinciplesofbetterregulationwewillseektoensurethecostsofcompliancearenomorethantheyneedtobe,andanynewregulationisproportionateandrisk-based.
H Wewillbetransparent,consistentandtimelyinourregulatorydecisionmakingprocessandthemechanismsbywhichwetargetenforcementinterventionstodriveupbusinesscompliance.Thiswillbeessentialinbuildingtrustamongstconsumersandthebusinesscommunity,improvingconsumerprotection,andmaintainingthereputationofScottishbusinessesintheglobalmarketplace.
I Officialcontrolstoverifybusinesscomplianceshouldbedeliveredinwaysthatareproportionateandcosteffective,withbusinessescontributingtothesecosts.WewillreviewourapproachtochargingforofficialcontrolswithinthecontextofthecurrentlegislativeframeworkandUKdecisiontoleavetheEU.
J FSSwillworkwithenforcementauthoritiesandotherregulatorstoshareservicesandinformationwhereitisfeasibleandappropriatetodoso.CollaborativeregulatorydeliveryacrossScotland’spublicservicesisanimportantelementoftheScottishGovernment’sapproachtobetterregulation.Thisincludesagreeingsecuremechanismsforsharinginformationoncomplianceandriskinareasofcommoninterestoractivity–followingtheprincipleofcollectonce,useoften–withintheconstraintsoftheDataProtectionAct1998.
2 A REGULATORY FRAMEWORK
11
K FSSwillseektoimproveexistingdataandinformationsharingarrangementswiththefoodandfeedindustry.FSSwillexplore,withbusinesses,waysinwhichcommercialinformationonfoodtestingandsamplingcanbesharedandutilisedmoreeffectively,includingconsiderationofafoodtestingdisclosurepolicyandthepotentialuseof‘safespaces’andthirdpartyfacilitation.Thisshouldbenefitbothindustryandregulators,andsupportdevelopmentofaFSSfoodsurveillancestrategy.
12
3 MEETING OUR WIDER GOVERNMENT OBLIGATIONS
Better regulation
3.1 WefullysupporttheScottishGovernment’sapproachtobetter
regulationwhichaimstoreduceunnecessaryregulatoryburdensonbusiness,helpingtosupporttheGovernment’swiderPurpose–tofocusGovernmentandpublicservicesoncreatingamoresuccessfulcountry,withopportunitiesforallofScotlandtoflourish,throughincreasingsustainableeconomicgrowth.
3.2 AspartofourstatutorydutyunderTheRegulatoryReform
(Scotland)Act2014tocontributetosustainableeconomicgrowthFSSwillaimtoeliminateobsoleteandinefficientregulation,tackleinconsistenciesinregulatorysystemsandenhanceScotland’scompetitivenessby:
• Championingtheprinciplesofbetterregulation–thatregulationbeproportionate, consistent, accountable, transparent, targeted and timely.
• Carefullyassessingtheimpactofanynewregulations.
• Workingcloselywithenforcementauthorities,otherregulatorsandtheindependentbusiness-ledRegulatoryReviewGroup.
3.3 Duringconsultationonanyproposednewregulations,FSS
willcarryouttargetedface-to-facevisitswiththoseaffectedinScotland,payingparticularattentiontothepotentialimpactsonSMEs,tosupportdevelopmentofrobustBusinessandRegulatoryImpactAssessments(BRIAs)inlinewithScottishGovernmentpolicy.
3.4 Indevelopingandimplementingnewregulation,wewillhave
dueregardtotheapproachessetoutintheScottishRegulators’StrategicCodeofPractice2,actinginaccordancewiththeCodetosupportdeliveryofourprimarystatutoryobjectivesinTheFood(Scotland)Act2015andelsewhereinfoodlaw,includingourlegalobligationtooperateinawaythatisproportionate,transparentandaccountable.
3.5 FSSwillcontinuetofullyparticipateinnationalregulatory
forumsdesignedtoallowScottishregulatorstoshareideasandbestpractice,andtodiscussjointapproachestoregulatorydelivery.FSSwillcollaborate,shareservicesandresourceswhereappropriate,andco-produceguidancewithfoodandfeedenforcementauthorities.Wewillseeknewandinnovativewaysofworkingtomaximiseefficiency,shareandreducecostsandminimiseburdensonbothregulatorsandthosetheyregulate.
2 http://www.gov.scot/Topics/Business-Industry/support/better-regulation/BetterRegulationBillConsultation/CodeofPractice/StrategicCodeofPractice
13
Statement of compliance
3.6 RegulatorybodiessubjecttotheScottishRegulators’Code
arerequiredtouseexistinggovernancearrangementstopublishanannualstatementoncompliancewiththeCode.FSSwillincludethisinourannualreport,publishedinaccordancewiththerequirementsofSection15oftheFood(Scotland)Act2015.
External scrutiny
3.7 Externalscrutinyofpublicservicescomprisesarangeof
independentactivities–regulation,audit,inspectionandcomplaintshandling–directedatpublicserviceproviderstohelpprovideassuranceaboutthequalityofserviceandtheircontinuedimprovement3.Thisincludestheservicesprovidedbyenforcementauthoritiestodeliverofficialfoodandfeedcontrolsforthebenefitofconsumersandbusiness.
3 http://www.gov.scot/Topics/Government/PublicServiceReform/IndependentReviewofReg
4 Sections112–114,http://www.legislation.gov.uk/asp/2010/8/contents
3.8 InFSS’sworktoauditandassesstheperformanceof
localauthoritiesandotherfoodandfeedenforcementbodieswewillapplytheScottishGovernment’sprinciplesofexternalscrutiny–publicfocus,independence,proportionality,transparency,accountability–toensureourexternalscrutinyactivityistargetedwhereneeded,andappliedproportionately,andthatthecostsofscrutinyarebalancedwiththebenefitstoserviceusersandotherstakeholders.
3.9 Indoingsowewilladoptauserfocusedapproach,and
cooperatewithotherscrutinybodieswhereappropriate,ensuringwemeetourstatutorydutiesunderthePublicServicesReform(Scotland)Act20104.
14
4 PROTECTING CONSUMERS AND SUPPORTING RESPONSIBLE BUSINESSES
4.1 Wehaveanincrediblyrichanddiversefoodanddrinkindustry
inScotland,whichisamajorcontributortotheScottisheconomy–valuedat£10.5billionin2012,withambitionstogrowtheindustryto£30billionby2030.5,6
5 http://www.gov.scot/Resource/0038/00389160.pdf
6 http://www.scotlandfoodanddrink.org/news/article-info/7436/scottish-food-and-drink-industry-unveils-new-vision-to-double-size-of-industry-to-%C2%A330-billion-by-2030.aspx
7 http://www.gov.scot/Topics/Business-Industry/Food-Industry/national-strategy
4.2 TheScottishGovernment’snationalfoodanddrinkpolicy
providestheoverarchingnationalframeworkforgrowingthiskeyindustrysector,andachievingtheirwideraspirationforScotlandtobecomeagoodfoodnation.InourprimaryconsumerprotectionroleFSShasanimportantparttoplayincontributingtosustainableeconomicgrowthwithinthesectorbyadoptingaproportionateandtargetedregulatoryapproach.7ThevastmajorityofScottishfoodbusinessesarecompliantwithfoodandfeedlaw,andwewillseektoworkwithindustrytosafeguardandenhancetheinternationalreputationoftheScottishfoodanddrinkindustry,promotingaculturewhichvaluesregulatorycompliance,sothatfoodanddrinksoldinScotlandissafe,authenticandcontributestohealthydiets.
15
4.3 FSSfundamentallybelievesthatregulatorycomplianceisboth
goodforconsumersandgoodforbusiness.Theprotectionofpublichealthiscompatiblewith,andunderpins,businessandeconomicgrowth.Thereforethosewhoarecommittedtocompliancewillbesupported,butirresponsiblefoodbusinesseswhoputconsumersatrisk,floutthelaw,orjeopardiseScotland’sreputation,willbedealtwithrobustlythroughtheapplicationofeffectiveanddissuasivesanctions.
16
5.1 Thisregulatorystrategyestablishesaframeworkforwhat
wewanttoachieve,andhowwewillact,asScotland’snationalfoodregulator.ItalsoprovidesabasisforworkingwithourdeliverypartnersandotherstakeholderstoshapetheregulatoryfoodandfeedlandscapetomeettheneedsandchallengesofamodernandforwardlookingScotland.
5.2 WhateverthenatureofScotland’sfuturerelationshipwiththe
EuropeanUnion,theexistingbodyofEUfoodandfeedlawandhowitevolveswillcontinuetobeanimportantinternationalstandardinshapingourtraderelationshipsandinsecuringexportmarkets.ThereforeFSSwillcontinuetoworkwiththeFoodStandardsAgency,Defra,theDepartmentofHealthandotherUKGovernmentdepartmentstoengagefullyonthoseEUfoodandfeedmattersaffectingScotland,bothnowandinthefuture,toinfluenceoutcomesthatsupportourstrategicdirection.
5.3 Inprotectingconsumers,FSSwillneedtobeflexibleinour
approach,abletorespondrapidlytochangingcircumstanceswithinthenationalandglobalfoodandfeedsupplychain,withthecapacitytotargetourresponseseffectivelyandswiftlytoemergingrisks,foodincidents,andfoodcrime.Thiswillrequireastrategicapproachtoregulatoryintervention,andcoordinationwitharangeofotherregulatoryauthorities,includingtheFoodStandardsAgencyandothernationalfoodagencies.
5.4 Wealsoneedtosupportresponsiblefoodbusinesses
byenablingcomplianceandpromotingbestpractice,andworkcloselywithourdeliverypartnerstoaddresstheincreasingpressuresfacedbyfoodandfeedlawenforcementservicesinScotland.Inmeetingthesechallenges,FSSisconfidentthatbyworkingtogetherwecancreateasustainablefuturedeliverylandscapethatprotectsconsumers,iscost-effectivefortaxpayersandbusiness,andwhichensureswemeetourlegalobligations.
Approaches to industry regulation
5.5 Thebasicpurposeofregulationisbehaviourchange,toachievea
specificoutcomeorpolicyobjective.Inrelationtofood,itisaboutensuringbusinessesdotherightthingforconsumerssothatfoodissafe,authenticandcontributestohealthydiets.Theobligationsonfoodbusinessestoproducesafefood,andtoensurefoodiswhatitsaysitis,isestablishedinlaw,andFSSwillbeopentoarangeofregulatoryapproacheswithintheexistinglegalframeworktoachieveourpolicyobjectives.
5 SHAPING THE FUTURE
17
5.6 Thismayinclude:
• Responsibleindustryself-regulation
• Thirdpartyregulation
• Voluntaryorco-regulation
• Statutory‘commandandcontrol’regulation
• Chargingforofficialcontroldelivery,ensuringnon-compliancecostsmorethancompliance
• Reputationalrecognitionandsanctionthatstopsshortofregulatoryaction
5.7 Theapproachesweadoptwilldependonanumberoffactors,
includingfoodbusinesscompliancelevels.Wherebusinessesdemonstratesustainedcompliancewewill,wherepossible,seektoexplorealternativemechanismsofregulatoryassuranceandagreaterroleforearnedrecognitionwhileretainingFSS’scentraloversightrole.Inareaswhereevidencesuggeststhefoodregulatorysystemneedstobestrengthened,FSSwillbeopentorecommendingstatutoryinterventionstoScottishMinisterswhereappropriatetoensureconsumersremainprotected.
5.8 WerecogniseconcernsinsomesectionsoftheScottishfood
anddrinkindustryabouttheuseofvoluntaryregulationandschemes,mainlyaroundmaintainingalevelplayingfield,consistencyofstandards,andalackofsanctionsfornon-participation.Therefore,inconsideringtheuseofvoluntaryversusstatutoryapproachestoregulationFSSwillseektheviewsofindustryandotherstakeholderstoinformpolicydevelopment,ensuringtheimpactofanyproposedvoluntaryapproachisfullyassessedinthecontextoftheprinciplesofbetterregulation.
5.9 Regardlessoftheregulatoryapproachtaken,ourprimary
focuswillbetomaintainhighlevelsofconsumerprotection.Itisvitallyimportantthatconsumershavetrustandconfidenceinthefoodregulatorysystem,andFSSwillalwaysseektoalignbusinessincentiveswithconsumerinterests,helpingtoshapebusinesspreferencesinawaythatachievestherightoutcomesforconsumersinScotland.
18
Policy and regulatory decision making
5.10 FSSunderstandstheneedforconsistencyand
proportionalityinthedevelopment,applicationandinterpretationofnationalandinternationalregulatorystandards,whilerecognisingtheremaybetensionsinseekingtoachieveboth.Therefore,webelieveitisimportantthatourapproachtoregulatorydecisionmakingisfoundedonatransparentsetofprinciplesandtheuseofobjectiveevidence.
5.11 IndevelopingnationalfoodandfeedpolicyforScotland,
wearecommittedtoevidencebasedpolicymaking,ensuringFSSdecisionsandrecommendationsaresupportedbyrobustscienceandevidence.Wewillalsoconsiderallpotentialimpacts,applyingtheprinciplesofbetterregulation,andfullyinvolveconsumersandstakeholdersinthepolicydevelopmentprocess.
5.12 Intermsoffoodandfeedlaw,inmanyareasthereisexplicit
flexibilityinhowitcanbeimplementedorapplied,orimplicitscopeforinterpretationoftherulesandrequirementstofitlocalcircumstances.Inaddition,forthemostpart,ScottishMinistersarefreetodetermineandadoptthenecessaryenforcementmechanismstheyseefittoverify,andwhereappropriate,securecompliance.
5.13 Inmakingdecisionsonthesepolicyandregulatorymatters
FSSwilladoptthefollowingprinciples:
i. IncircumstanceswherefoodandfeedlawestablishesexplicitlegalrequirementsthataredirectlyapplicableinScotland,ScottishMinistersandFSShaveclearlegalobligationstoensuretheconsistentandproportionateapplicationofthislaw.Itwillthereforebeimportanttoinfluenceemergingfoodandfeedlaw,duringallitsdevelopmentstages,toseektoensureitmeetsbetterregulationprincipleswhilstprotectingpublichealth.
ii. Ifexistingfoodandfeedlawisconsideredtobedisproportionateandnotintheinterestofconsumersorbusiness,FSSwillapplyinfluenceatalllevelsandengagestakeholderstoseekchangewhenwebelieveamoreproportionateapproachisneeded.
iii. FSS’sprioritywillalwaysbepublichealthprotectionandconsumers’interests.Wherethefoodandfeedlawprovidesforflexibilityinapplicationorinterpretation,FSSwillseektomakemaximumuseofpermittedflexibilitiesavailabletoregulatorsandbusiness,inlinewiththeprinciplesofbetterregulation,solongastheadoptionoftheflexibilitywon’tadverselyaffectpublichealthoutcomesorconsumersinterests.
iv. Withrespecttoanyspecificstand-alonenationalpolicyitdevelopsinScotlandforthebenefitofconsumers,FSSiscommittedtofullyconsideringtheprinciplesofbetterregulationduringdevelopmentandfullyinvolvingconsumerandstakeholderinterestsinthedevelopmentprocessitself.
5 SHAPING THE FUTURE
19
National compliance spectrum
5.14 Toguideregulatoryactionandtheeffectivetargetingoffood
lawenforcementacrossScotland,FSSproposestheadoptionofanationalfoodandfeedcompliancespectrum,usingthemodelsuccessfullyadoptedbySEPAwhichis
highlightedasanexampleofgoodpracticeintheScottishRegulators’Code.ThisisintendedtoassistFSSandenforcementauthoritiestotailorenforcement,interventionandengagementstrategiesinaccordancewithfoodbusinesscompliancelevels,helpingtoembedastrategicapproachtothedeliveryofofficialcontrolsacrossScotland–regardlessofwhoisdeliveringthem.
5.15 Thenationalcompliancespectrumwillsupport
alignmentofnationalandlocalenforcementpolicies,byencouragingaconsistentsetofenforcementstandardsandriskrating
Figure2.Foodandfeedcompliancespectrum
ENFORCE EDUCATE ENABLE ENGAGE
Criminal
Encourage improvement
Chancer
HITTHEM HARD
Careless Confused Compliant Champion
RECOGNISE& REWARD
Promote best practice
approachesthoughintegrationwithexistingcodesofpracticeandenforcementguidelines,e.g.theFoodandFeedLawCodesofPracticeandassociatedPracticeGuidance,andtheScottishManualforOfficialControls.8,9,10,11
8 http://www.foodstandards.gov.scot/publications-and-research/food-law-code-of-practice-2015
9 http://www.foodstandards.gov.scot/downloads/Feed_Law_Code_of_Practice_Scotland_-_2016.pdf
10 http://www.foodstandards.gov.scot/publications-and-research/scottish-food-and-feed-law-guide
11 http://www.foodstandards.gov.scot/publications-and-research/manual-for-official-controls
20
5.16Asacommunicationtool,havingaclearnational
compliancespectrumthatisconsistentwiththemodeladoptedbyotherregulatorswillalsohelpfoodbusinessesthemselvestounderstandhowtheyareperforming,andwhattoexpectfromFSSandotherenforcementauthoritiesinthewayweact.Ourclearmessageisthatwewillsupport,incentiviseandrewardsustainedcompliance,anddealeffectivelywithnon-compliance.
5.17AnyfutureScottishGovernmentproposalstoimplement
PrimaryAuthority-typearrangementsrelatingtothedevolvedregulatoryresponsibilitiesoflocalauthoritiesinScotland,includingfoodandfeed,willalsohelptosupportconsistentenforcementstandards.12Thiswillallowabusiness,operatingintwoormorelocalauthorities,toformapartnershipwithonelocalauthorityinordertoreceiveanassuredsinglesourceofadviceandsupportinrelationtoarangeofregulations,helpingtoensurelocalregulationisconsistentanddeliversefficienciesforbothbusinessandregulators.FSSwillcontinuetoworkcloselywiththeScottishGovernmentasanyschemeisdevelopedandimplementedinScotland.
12 http://www.gov.scot/Topics/Business-Industry/support/better-regulation/BetterRegulationBillConsultation/PrimaryAuthorityConsultation
Business support
5.18FSSandenforcementauthoritieshaveanimportant
roleinprovidingaccessiblechannelsforfoodbusinessesinScotlandtoobtainadviceontheregulatoryrequirementsthataffectthem.FSSwillseektoprovidethisdirectlythroughwebbasedandotherdigitalplatforms,andwewillcontinuetoworkwiththeScottishGovernment,ScottishEnterpriseandlocalgovernmenttointegratefoodandfeedguidancewithexistingBusinessGatewayandadviceservices.
5.19Indevelopingtailoredadvice,codesofpractice,
andsupportingguidancewewillseektoco-producethiswithbusinessandstakeholders,toensureitisproportionate,fitforpurpose,andpromotesbestpractice.WewillalsoworkwiththeFoodStandardsAgencytojointlyendorseUK-wideIndustryGuides,andsupportdevelopmentofspecificScottishguidanceandNationalStandards.
5.20Indoingso,wewillseektodefineanddescribewhat
compliancelookslikeinpracticalways,sothatbusinessesareclearonwhattheyneedtodotoachievecompliance.
5 SHAPING THE FUTURE
21
Penalties and sanctions
5.21Incombatingfoodcrime,anddealingwithseriousnon-
compliance,itisessentialthatsanctionsandpenaltiesareeffectiveandsufficientlypunitive,andtimelyintheirapplication.TherearearangeofpenaltiesavailabletotheScottishCourtsforfoodoffences,enablingthelevelofsanctiontobeescalatedcommensuratewiththeseriousnessoftheoffence.
5.22ThenewpowersinTheFood(Scotland)Act2015willalso
enableenforcementauthoritiesinScotlandtousenewadministrativesanctions,suchasfixedpenaltynotices,todealwithlessseriousoffences,helpingtoreduceburdensontheScottishCourtssystem.AspartoftheworktoimplementthesenewadministrativesanctionsFSSwillconsidertheneedforappropriateappealmechanismsandguidancetosupporttheirconsistentapplication.WewillalsoundertakeabroaderreviewofthefullrangeofpenaltiesandsanctionsinScottishfoodandfeedlawtoensuretheyareeffective,dissuasive,andalignedwithourstrategicpriorities.ThiswillincludeengagementwiththenewScottishSentencingCouncilontheneedforspecificsentencingguidelinesforoffencesunderfoodlaw.
Future delivery
5.23Inthelongerterm,resourceandbudgetarypressureson
localfoodandfeedenforcementserviceswillbeakeychallengeforScotland,alongwithrestoftheUK,inmaintainingaworldclasssystemofregulatorydelivery.Thereforewewillworkwithenforcementauthoritiestoconsiderwhatisneededfordeliverytobesustainableinthefuture,learningfromtheapproachesandsuccessesofothercountries,bothinEuropeandinternationally,includingthepotentialroleforaccreditedassuranceschemesaspartofacomprehensivesystemofofficialcontrolsoverseenbyFSS.Wewillalsoreviewexistingmechanismsforfoodbusinessregistrationandapprovalwherewebelievethiswillbenefitconsumersanddeliveryofourstrategicobjectives.
5.24Sustainablefundingmechanismswillalsoneed
tobeconsideredinthecontextoftherevisedEUfoodandfeedofficialcontrolsframework,whichestablishestheexistingmandatorychargingregime.Theprinciplethatnon-complianceshouldcostiswellestablished,andFSSwillworkinpartnershipwithindustrytoexplorehowchargingbusinessesfeesforfoodandfeedinspectionservicesmayfurtherimprovecompliancelevelsinScotland.
22
6 REGULATOR PERFORMANCE ASSESSMENT
6.1 InapplyingtheScottishGovernmentprinciplesofexternal
scrutinyinFSS’sworktoaudittheperformanceoflocalauthoritiesandotherfoodandfeedenforcementbodies,wewillcooperateandcoordinateouractivitywithdesignatedscrutinybodiesinScotlandasrequiredtoimprovetheefficiencyandeffectivenessofourscrutinyfunctions.Wewillalsoseektocoordinateouractivityandsharebestpracticewithotherregulatorybodies,whereappropriate,includingtheScottishEnvironmentProtectionAgency,theHealthandSafetyExecutive,HMRevenue&Customs,andtheUKBorderForce.
6.2 Wewilldevelopcleardirectionanddefaultprocedures,sothat
enforcementauthoritiesareclearaboutthestepsthatFSSwilltakeiftheperformanceofofficialcontroldeliverydoesnotmeettherequiredstandard.
6.3 FSSregulatoryperformancewillbeauditedbyScottish
GovernmentInternalAudit,FoodStandardsAgencyInternalAudit,DGHealthandFoodSafetyoftheEuropeanCommission,andwithregardtomattersofregulatoryfinance,AuditScotland.TheFSSBoardhasalsoestablishedanAuditandRiskCommitteeasacommitteeoftheBoardtosupportthemintheirresponsibilitiesforissuesofrisk,controlandgovernanceandassociatedassurance.
23
7 REGULATORY STRATEGY GOVERNANCE
7.1 FSShasestablishedaformalProgrammeBoardtooversee
developmentandimplementationofitsregulatorystrategy,providingoverallstrategicdirectionandgovernanceassurance.BoththeScottishGovernmentandtheFoodStandardsAgencyarerepresentedontheProgrammeBoard.
7.2 Ourregulatorystrategywillbeunderpinnedbyaninitialthree
yearprogrammeofwork,alignedwiththeFSSCorporatePlanfrom2016–2019,tosupportstrategyimplementationanddelivery.Thiswillincludedevelopmentofclearperformanceindicators,andalignmentofourdeliveryapproachwiththebroaderScottishapproachtoGovernmentandpublicsectorreform,withaclearvisionforchangeandcontinuousimprovement.13
7.3 IntakingforwardthisregulatorystrategyFSSlooksforwardto
engaginginfurtherdialogueandconsultationwithourkeypartnersandstakeholders,asweworktogethertocreateafoodanddrinkenvironmentinScotlandthatprotects,benefitsandistrustedbyconsumers.
13 http://www.gov.scot/Publications/2015/04/9736/9
For more information please contact:
Food Standards ScotlandPilgrim HouseOld Ford RoadAberdeenAB11 5RL
Tel: 01224 285100Email: enquiries@fss.scot
Foodstandards.gov.scot
Recommended