FOOD STANDARDS SCOTLAND REGULATORY ......3 Regulatory compliance is verified by targeted food law...
Transcript of FOOD STANDARDS SCOTLAND REGULATORY ......3 Regulatory compliance is verified by targeted food law...
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: [email protected]
Foodstandards.gov.scot