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