Food Standards Scotland...and Regulation 7(4) of the Regulations as part of the Food Standards Scotland audit programme. 1.3 The last audit of Clackmannanshire Council’s Food Service

Food Standards Scotland

Report on the Core Audit of Local Authority Official Controls in

relation to Regulation (EC) No 852/2004on the Hygiene of Foodstuffs in Food

Business Establishments and theApplication of the Food Hygiene

Information Scheme

Clackmannanshire Council22 - 24 April 2015

Food Standards Scotland Audit Branch, Scotland

Foreword

Audits of Local Authorities food law enforcement services are part of Food StandardsScotland arrangements to improve consumer protection and confidence in relation tofood and feed. These arrangements recognise that the enforcement of UK food lawrelating to food safety, hygiene, composition, labelling, imported food and feeding stuffsis largely the responsibility of Local Authorities. These Local Authority regulatoryfunctions are principally delivered through Environmental Health and Trading StandardsServices. The Food Standards Scotland website contains enforcement activity data forall UK local authorities and can be found at: www.foodstandards.gov.scot/food-safety-standards/regulation-and-enforcement-food-laws-scotland/audit-and-monitoring#la

The attached audit report examines the Local Authority’s Food Law EnforcementService. The assessment includes the local arrangements in place for Officer training,competency and authorisation, inspections of food businesses and internal monitoring.The audit scope was detailed in the audit brief issued to all Local Authorities underreference ENF/S/14/016 on 21 May 2014. The main aim of the audit scheme is tomaintain and improve consumer protection and confidence by ensuring that LocalAuthorities are providing an effective food law enforcement service. This audit wasdeveloped to gain assurance that Local Authority food hygiene law enforcement servicesystems and arrangements are effective in supporting food business compliance, andthat local enforcement is managed and delivered effectively.

The Audit scheme also provides the opportunity to identify and disseminate goodpractice and provide information to inform Food Standards Scotland policy on foodsafety, standards and feeding stuffs. Parallel Local Authority audit schemes areimplemented by the Food Standards Agency‘s offices in all of the countries comprisingthe UK.

Specifically, this audit aimed to establish that:

• The organisation and management structure of the Local Authority is capable ofdelivering the requirements of the Food Law Code of Practice;

• Internal Local Authority service monitoring arrangements and documentedprocedures are consistent, appropriate, effective and comply with internal policiesand procedures, and that corrective actions are implemented to ensure thatinterventions are carried out competently;

• Local Authority interventions and assessment of food safety management systemsbased on HACCP principles at food business premises monitor, support and increasefood law compliance and are timely, appropriate, risk-based and effectively managed;

• Local Authority food business and enforcement records, including those in relation tofood safety management systems based on HACCP principles, are sufficientlydetailed, accurate, up to date and effectively managed;

• The Local Authority ensures consistency in implementation and operation of the FoodHygiene Information Scheme (FHIS). The aim is to ensure that where food businessestablishments are rated under FHIS and where consumers see FHIS branding, they

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can be confident that the local authority is operating the FHIS as the Food StandardsScotland (FSS) intends.

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

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

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

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http://www.food.gov.uk/multimedia/pdfs/enforcement/frameworkagreementno5.pdf


CONTENTS____________________________________________________________

IntroductionReason for the AuditScope of the AuditBackground

Executive Summary

Audit Findings

3.1 Organisation and ManagementService PlanningEnforcement PolicyDocumented Policies and ProceduresAuthorisation and Training FilesDatabase and Monitoring Returns

3.2 EnforcementFood Premises InspectionsPremises Files including Inspection Reports and Records Verification Visits to Food PremisesNotices and ProsecutionsSeizure, Detention and Voluntary Surrender of FoodFood SamplingAlternative Enforcement Strategies

3.3 Investigations and PromotionFood Related Infectious Disease Notifications and InvestigationFood Alerts, Incidents and Rapid Alert System for Feed and FoodFood Hygiene Information Scheme

3.4 Internal Monitoring

Annexe A - Action Plan for Clackmannanshire Council

Annexe B - Audit Approach/Methodology

Annexe C – Glossary

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1.0 Introduction

1.1 This report records the results of an audit at Clackmannanshire Council withregard to food hygiene enforcement, under relevant headings of The Standardin The Framework Agreement on Official Feed and Food Controls by LocalAuthorities. The audit focused on the Authority’s arrangements for themanagement of food premises inspections, enforcement activities andimplementation of the Food Hygiene Information Scheme. The report hasbeen made available on the Food Standards Scotland website at:www.foodstandards.gov.scot/food-safety-standards/regulation-and-enforcement-food-laws-scotland/audit-and-monitoring#la

Reason for the Audit

1.2 The power to set standards, monitor and audit Local Authority food lawenforcement services was conferred on Food Standards Scotland by Sections3 and 25 of the Food (Scotland) Act 2015 and Regulation 7 of The OfficialFeed and Food Controls (Scotland) Regulations 2009. This audit ofClackmannanshire Council was undertaken under section 25 (1-3) of the Act,and Regulation 7(4) of the Regulations as part of the Food Standards Scotlandaudit programme.

1.3 The last audit of Clackmannanshire Council’s Food Service was undertaken bythe Food Standards Agency (Scotland) in January 2011. The previous audit tothat was in September 2006.

Scope of the Audit

1.4 The audit covered the Local Authority services for the delivery of officialcontrols in relation to Regulation (EC) No 852/2004 on the hygiene offoodstuffs. In particular:

The Service Plan, associated reviews and management of variances; The review of all documented policies and procedures for enforcement

activities; The delivery of official controls for the intervention programme associated

with the Regulation; The means by which the Local Authority ensures that Officers are

competent to effectively assess food safety management systems basedon HACCP principles;

The implementation and effectiveness of intervention activities includingthe assessment of food safety management systems based on HACCPprinciples at food business premises;

The maintenance and management of appropriate records in relation toenforcement activity at food businesses;

The scoring of premises and the allocation of an outcome for the FoodHygiene Information Scheme;

Internal monitoring arrangements.

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1.5 The audit examined Clackmannanshire Council’s arrangements for officialcontrols in relation to Regulation (EC) No 852/2004 on the Hygiene ofFoodstuffs. The audit included verification visits to food businesses to assessthe effectiveness of the official controls implemented by the Local Authority atthe food business premises and, more specifically, the checks carried out bythe Authority’s Officers to verify Food Business Operator (FBO) compliancewith legislative requirements. The scope of the audit also included anassessment of the Authority’s overall organisation and management, and theinternal monitoring of other related food hygiene law enforcement activities.

1.6 The audit examined key food hygiene law enforcement systems andarrangements to determine that they were effective in supporting businesscompliance, and that local enforcement was managed and deliveredeffectively. The on-site element of the audit took place at the Authority’soffices at Kilncraigs, Greenside Street, Alloa, FK10 1EB.

Background

1.7 Clackmannanshire Council's food law enforcement service is provided by theEnvironmental Health Section. It aims to:

provide a food law enforcement service that meets the requirements of theFramework Agreement on Local Authority Food Law Enforcement

ensure that all staff who are engaged in food law enforcement duties meetthe minimum requirements in terms of qualification, training, continuingprofessional development and competence

ensure that sufficient financial resources are provided to ensure officershave the necessary equipment to carry out their food law enforcementduties

ensure that food businesses within Clackmannanshire produce food thatconforms with legal requirements in relation to production and safety

ensure that food law enforcement is carried out in accordance with theCouncil's Enforcement Policy. This will ensure fair and consistentenforcement throughout Clackmannanshire.

1.8 The Council's Environmental Health Officers and Environmental HealthTechnical Officer are responsible for the whole range of Environmental Healthwork including delivery of the food law enforcement service. EnvironmentalHealth is managed by a Team Leader. The Team Leader is the Council's LeadOfficer responsible for delivery of Official Food Controls in both food standardsand hygiene. A Senior Environmental Health Officer, with specialist foodknowledge, has lead responsibility for routine food law enforcement serviceactivities.

1.9 Environmental Health provides the following food services:

Programmed inspections of food businesses in respect of Food Safety and Food Standards

Enforcement of legal requirements in respect of food law enforcement, e.g.Hygiene Improvement Notices, Hygiene Emergency Prohibition Notices,Remedial Action Notices, Reports to the Procurator Fiscal, etc.

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Investigation of cases of food poisoning Investigation of food complaints and complaints about food premises Approval of premises in terms of EU Hygiene Regulations Sampling of foods for analysis by Glasgow Council Scientific Services Consultation to the Licensing Board and other Council Services Food hygiene training for both the voluntary and private sectors and other

Council Service staff Consultation advice on Civic Government (Scotland) Act 1982 Advice on all food safety and food standards matters to the general public

and others Responding to “Food Alerts” issued by Food Standards Scotland or the

Food Standards Agency

1.10 There are currently two approved premises in Clackmannanshire. There isalso a large multi-national manufacturer of yeast food products which issupplied with water by its own private water supplies.

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2.0 Executive Summary

2.1 The Authority had developed an Official Food Control Service Plan for 2014-2015. The format and content of this is generally in accordance with theService Planning Guidance in the Framework Agreement. The Community &Regulatory Services Official Food Control Service Plan had been approved bythe Regulatory Services Manager in May 2014.

2.2 The Authority had developed a series of documented policies and operationalprocedures relating to their food law enforcement responsibilities. many ofwhich had been recently reviewed. These documents were available to allOfficers in electronic format on a central directory.

2.3 The authorisation format and supporting authorisation documents weregenerally satisfactory, only missing any reference to the Official Feed andFood Control Regulations. Authorisation documents were available and werebeing used by Officers.

2.4 Individual Officer training needs were identified as part of their annualperformance development plan. Officers were subject to regular reviews ofperformance including detailed occasional shadowed inspections. Trainingrecords contained evidence that each Officer had completed a minimum 10hours relevant training in the last year.

2.5 The procedures and documentation provided for inspections were beingappropriately and consistently followed and completed. From the filesexamined, it was evident that Officers were clear on the Authority’s procedurefor conducting inspections and adhered to the Authority’s Enforcement Policyand inspection procedures.

2.6 File checks of five general food hygiene premises confirmed that in all casesthe Authority were completing detailed inspections, including the assessmentof cross contamination risks and Hazard Analysis and Critical Control Points(HACCP) based food safety management systems. Food Business Operatorswere provided with reports and letters confirming the main findings frominspections. The information retained within the premises files providedsufficient evidence to support the basis for Officers’ enforcement decisions andthe Food Hygiene Information Scheme (FHIS) rating given.

2.7 It was evident from audit checks that Officers were taking a graduatedapproach to enforcement and actively worked with businesses to achievecompliance. The information reviewed relating to a series of Notices identifiedthat the enforcement decisions reached were appropriate to thecontraventions identified.

2.8 Discussion and review of internal monitoring procedures and practicesindicated that the Authority was routinely and consistently monitoring manyaspects of food law enforcement work. Records of internal monitoring activitieswere available.

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3.0 Audit Findings

3.1 Organisation and Management

Service Planning

3.1.1 The Authority has a dedicated Food Service Plan in place for 2014/2015 asrequired. The Plan was comprehensive and is drafted in line with the ServicePlanning Guidance in the Framework Agreement. There has been a suitablereview of the previous Service Plan incorporated in an End of Year Reportdated March 2014 and the Plan has been suitably approved by the RegulatoryService Manager.

3.1.2 The Authority had, in 2012, adopted for a 3 year period the SFELCImplementation Strategy for Controlling the Risk of Cross Contamination; thishad just finished and appeared to have been successful. The documentedCross Contamination Strategy indicates that there should be a use of “Amberflagging” where total separation is not being implemented and weaker controlsare being relied upon to control cross contamination hazards at critical pointsin the operation. Continuous monitoring through colour coded lists ensuredthat inspection programmes were adhered to. There is a Hazard AnalysisEnforcement Template included in the Food Inspection procedure that appliesto all programmed inspections.

3.1.3 The Authority follow the inspection risk system contained within Annex 5 of theFood Law Code of Practice Scotland and, up until March 2015, followed theScottish Food Enforcement Liaison Committee’s (SFELC) ImplementationStrategy for Controlling the risk of Cross Contamination. This falls within thealternative enforcement arrangements stipulated in the guidance, ofconcentrating on high risk premises and having a 3 year exemption from doinglow risk premises.

3.1.4 The completed official controls as detailed in the LAEMS returns for 2013-14were as follows:

TotalsTotal Premises at 31 Mar 2014 587Inspections and audits 276Verification and surveillance 388Sampling visits 44Advice and education 2Information/intelligence gathering 0Total premises subject to officialcontrol 257

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3.1.5 The Official Food Control Service Plan details the food hygiene inspectionprogramme for 2013-2014 and 2014-2015 as:.

Risk rating 2013-2014Numbers

2014-2015Numbers

Frequency ofinspection

(at least every)Category A 22x2 16x2 6 monthsCategory B 79 76 12 monthsCategory C 85 67 18 monthsCategory C

Crosscontamination

visits

24

Category D 6 24 monthsCategory D

Crosscontamination

visits

19

Unrated 35 24Total 243 248

3.1.6 The Food Safety Service Plan End of Year Report March 2014 stated that thefood law enforcement service had met all of the aims and objectives outlinedin the Food Safety Service Plan 2013-2014. A review of the LAEMS datasubmitted for 2013-2014 indicates that for the 16 category A premises 138interventions were recorded and that for the 75 B’s there were 235. As theLAEMS returns exceed the Service delivery plan numbers this is a satisfactorysituation as it reflects that numerous visits were made to address issuesidentified during official control interventions.

3.1.7 The Food Service Plan for 2014-2015 details the current number of staffdedicated to food law enforcement as 0.1 FTE Food Team leaderEnvironmental Health, 2.5 FTE Senior/Environmental Health Officers, 0.4Environmental Health Technical Officer and 0.3 Business Support Officer.

The LA Resources Questionnaire return to the Food Standards Agency for thisAuthority on 24 June 2014 indicated that there were 2.0 full time equivalents(FTE) in post.

3.1.8 The current Service Plan shows the financial allocation for staff for allEnvironmental Health work is £534,120 and states it is not possible to breakthis figure down any further.

3.1.9 The service has a suitably qualified Environmental technical officer whoassists with the delivery of food sampling activities and administrative supportamong other duties.

3.1.10 Glasgow Scientific Services (GSS) provide analytical and microbiologicalservices in addition to being the appointed food examiner forClackmannanshire Council. There is a suitable letter of appointment fromGlasgow Scientific Services.

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Enforcement Policy

3.1.11 The Authority has a Food Law Enforcement Policy that was suitablyapproved in 2010. There is currently an updated draft policy due for approvalin the coming months which was reviewed by the auditors and is consideredas being satisfactory.

3.1.12 All decisions on enforcement action shall only be made after consideration ofthe Enforcement Policy. Any deviation from the policy will be exceptional, becapable of justification and have been fully considered by the Team Leader(Food & Licensing) unless to delay a decision may result in significant risk tothe public. The circumstances relating to any departure will becomprehensively documented.

3.1.13 The Enforcement Policy covers education, informal action, the service offormal notices, detention and seizure procedures, emergency prohibitionprocedures and prosecutions. The Enforcement Policy is available on theAuthority website.

Documented Policies and Procedures

3.1.14 The Authority has a set of policies and procedures that generally comply withthe requirements of the Framework Agreement and Food Law Code ofPractice. These procedures are easily understood and have been recentlyupdated.

3.1.15 A Primary Food Inspection Report is used supported by an aide memoire andFood Inspection Procedure. The Primary Food Inspection Report is currentlybeing updated to include elements of the cross contamination strategy.

3.1.16 An electronic document control system is in place and all policies andprocedures are managed by the Lead Food Officer. Officers have access tothe current versions from the shared drive. Procedures are updated to reflectlegislative or other changes.

3.1.17 Procedures are in place for many areas of enforcement, e.g. inspections, crosscontamination strategy notices, authorisation, incidents, voluntary surrender,sampling, inspection, detention and seizure of suspect food, the monitoring offood safety enforcement and reports to the Procurator Fiscal.

Authorisation and Training Files

3.1.18 Authorisation documents were in the form of a letter signed by the Head ofService. Specific reference to the Official Food and Feed Control Regulationswere missing from the document and this should be included as soon aspossible. The Authorisation of Officers procedure document is clear andcomprehensive.

3.1.19 General and specific training had been undertaken by most Officers in manysubjects including the Campden BRI five day Hazard Analysis and CriticalControl Point (HACCP) course, or the Royal Environmental Health Institute ofScotland (REHIS) three day advanced HACCP course. There was some

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evidence of Officers subsequently attending the additional two day validationand verification course. It would be good practice to have all officers completeboth these courses when available. There were records of attendance at manydifferent formal enforcement and legal procedure training events and alsoother internet subjects. These included technical practices in approvedestablishment related activities and courses on the nature, type andtechnology used in businesses within the area.

3.1.20 Audit checks confirmed that all Officers’ authorisations were appropriate, thatqualifications were available, and that copies of relevant qualificationcertificates had been retained by the Authority.

3.1.21 Individual Officer training needs were identified annually as part of the annualperformance development plan. All training records examined containedevidence of a minimum 10 hours relevant training in the last year based on theprinciples of continuing professional development.

Database and Monitoring Returns

3.1.22 The electronic databases used are a combination of Civica and I-DOX. Theycombine as the central reference point for the majority of information storedwithin the service. The Authority has effectively moved to a “paperless office”strategy and as such it is important that there are good protocols for datastorage and retrieval to ensure that consistent methods are used. The retrievalof some audit documentation in the electronic format by Officers was found tobe time consuming due to the ways in which the two systems were used. Theprocedure to prevent corruption or loss of data on the system appears to besufficient to ensure the outcome of accurate data storage is achieved.

3.1.23 Checks of the database reports produced were found to show that premises

were generally being inspected at the correct frequencies with a very smallnumber of low risk D rated premises known to be overdue, as allowedfollowing the implementation of the Scottish Food Enforcement LiaisonCommittee (SFELC) Strategy for Implementing the FSA Cross ContaminationGuidance. The early completion of the Cross Contamination Strategy alloweda phased re-introduction of the low risk D premises and allowed unratedpremises to be included in the programme in the last quarter of the inspectionyear ending on 31 March 2015.

3.1.24 The SFELC Strategy for Implementing the FSA Cross Contamination Guidancewas being used with regard to the inspection strategy. It had been adapted toinclude in year one that the rating of A and B premises was undertaken basedon the last visit of the strategy. The Code of Practice however requires ratingscores to be applied at the time of the official control visit, as this is no longerbeing applied, the authority should in future ensure that all scoring systemsfollow the Code of Practice. The Cross Contamination strategy was welcomedby staff and was successfully implemented ahead of schedule.

3.1.25 The Authority had 587 premises reported through The Local AuthorityEnforcement Monitoring System (LAEMS) on 31 March 2014. Inspectionfrequencies were found to be in accordance with the 2014 Food Law Code ofPractice.

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3.2 Enforcement

3.2.1 It was evident from audit checks and interviews that Officers were taking agraduated approach to enforcement and actively worked with businesses toachieve compliance.

3.2.2 The Authority had followed a programme that involved having one to onemeetings in the Council HQ with ethnic food business operators. Extensivediscussions and training in CookSafe took place that were time intensive butwere reported as having been very beneficial in achieving higher standards offood safety and compliance from those businesses.

Good Practice

The Authority committed time and training for food business operators to beable to understand and implement their food safety management systemswhich resulted in an outcome of longer term increased compliance.

Food Premises Inspections

3.2.3 The Authority was implementing an effective risk based food premisesintervention programme which included revisits prior to the consideration offormal enforcement action.

Premises Files including Inspection Reports and Records

3.2.4 The Authority has an electronic system for record keeping. The system iscapable of providing information required by Food Standards Scotland andappropriate security and backup systems appear to be in place to minimise therisk of corruption or loss of data.

3.2.5 File checks of five files of recent food interventions were undertaken.For the audit the information was available both electronically and / or in hardcopy. The information was found to be generally satisfactory though there waslimited detail to verify that suppliers and other businesses that were suppliedby the Food Business Operators (FBO) had been determined or recorded. Therecord of the size and scale of the business was generally sufficient to providea suitable guide to the scope of the business. A suitable Primary FoodInspection Report which is currently being updated was completed, supportedby an aide memoire and Food Inspection Procedure.

3.2.6 Internal procedures detail that information gathered on the Primary FoodInspection Report will result in the actions required being highlighted in asummary report which is then left with the FBO at the conclusion of theinspection. Where necessary a letter would be sent to the FBO to expand onthe details of more serious contraventions and recommendations. In practicesome files were found to contain very detailed and comprehensive informationon the Food Inspection Report, being repeated on the summary report and

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also then in a letter, which seems always to be sent. Resource issues maybenefit from using the forms and letters for their intended use.

3.2.7 The letters that were sent generally gave an indication of the timescales

required to secure compliance for legal contraventions. Officers clearlydistinguished between legal requirements, specific Article 5 requirements andrecommendations in their correspondence with Food Business Operators.There was however no reference to the European Regulations beingbreached, which should be included in any relevant correspondence. The timeof inspection was either included on the letter or the summary report which isprovided following the visit.

3.2.8 The Council had completed their slightly amended (SFELC) CrossContamination Strategy early and had included all category (A) and (B)premises and approved establishments as well as certain risk assessed (C)premises. A strict regime had ensured adequate coverage of programmedinspections and the early completion of the strategy allowed it to be extendedto lower risk (C) and (D) premises latterly.

Verification Visits to Food Premises

3.2.9 During the audit, verification visits were undertaken to two premises. Thesewere two takeaway premises. The Authorised Officers who had carried out therecent programmed inspections accompanied the auditors on the verificationvisits. The main objective of each visit was to assess the effectiveness of theAuthority’s assessment of the FBOs compliance with the food lawrequirements of Regulation (EC) No 852/2004.

3.2.10 Interviews were held with the individual Officers before the verification visitstook place to confirm the contents of the file records and to explain the formatand objectives of the visit. It also gave the Officers the opportunity to explainthe inspection process, i.e. the preparatory work carried out prior to aninspection and the general process while on site, which included a preliminaryinterview with the FBO, the general hygiene checks to verify compliance withthe structure and hygiene practice requirements and checks carried out toverify compliance with HACCP based procedures and the decision process forthe Food Hygiene Information Scheme outcome.

3.2.11 Both visits confirmed that checks carried out by Officers were detailed,thorough and had adequately assessed business compliance with structureand hygiene practice. Officers had assessed cross contamination and HACCPcompliance during the inspection and had commented where appropriate. Theinspection aide memoire used at the visits detailed that the CookSafe Systemwas being used and that records and other appropriate documents had beenexamined by the Officer.

3.2.12 In both visits, Officers had been found to have correctly assessed thepremises in terms of the Food Hygiene Information Scheme, as a Pass.

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Notices and Prosecutions

3.2.13 The notice formats followed the format in the Code of Practice and the wordingof those available for audit were correctly drafted. Follow up visits and lettershad been completed and were in accordance with the practice guide.

3.2.14 Five Hygiene Improvement Notices (HINs) two Remedial Action Notices(RANs) and a referral to the Procurator Fiscal were selected for examination.The matters arising that required a notice were suitable. In the case of oneHIN there was no evidence of suitable service and the copy notice had notbeen dated by the serving Officer, and in another case the procedure forgranting an extension to the notice had not been followed.

3.2.15 On the Remedial Action Notices examined, it was found that the appropriate

and prompt enforcement action had been taken.

3.2.16 The referral to the Procurator Fiscal was for the lack of a Hazard AnalysisCritical Control Point (HACCP) system and was found to be well prepared andappeared to be an appropriate course of action.

3.2.17 The matters arising that required a notice had been suitably identified and anyreplacement notices were satisfactory. Follow up visits and letters had beencompleted and were in accordance with the practice guide.

3.2.18 There were no Regulation 27 notices to check at the time of audit.

Seizure, Detention and Voluntary Surrender of Food

3.2.19 One Voluntary Surrender of Food Notice was examined and the correctprocedure had been properly followed, however it lacked detail on thedestruction of the food that had been retained within the authority.

Food Sampling

3.2.20 There is a documented sampling policy and the Authority has a dedicatedSampling Officer to manage, organise and conduct the sampling programme.Samples are taken with a local focus agreed. The two samples checked hadbeen taken by the appropriate Officer. The results were all on file and theappropriate action had been taken on receipt of the results.

3.3 Investigations and Promotion

Food Related Infectious Disease Notifications and Investigation

3.3.1 The Authority received infectious disease notifications from Forth Valley HealthBoard. They came via e-mail, and were logged by administrative staff andinvestigated by either the Environmental Health Technical Officer or area EHOrecording and reporting back to the Health Board. It was noted that the HealthBoard issue Campylobacter cases with a questionnaire and guidance leafletasking them to contact the Local Authority if they suspect an establishment inthe area as the cause of illness. The Local Authority would then investigate.

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Food Alerts, Incidents and Rapid Alert System for Feed and Food

3.3.2 Notification of alerts, incidents or a RASFF are received at ClackmannanshireCouncil from Food Standards Scotland. There is a Food Alerts proceduremanaged by the Lead Food Officer. Six Food Alerts for Action (FAFA) wereexamined and found to have been properly actioned.

Food Hygiene Information Scheme

3.3.3 Food Standards Scotland, in partnership with local authorities, operates theFHIS in Scotland. The scheme encourages businesses to improve hygienestandards. The overarching aim is to reduce the incidence of foodborne illnessand is designed to give straightforward information to the general public abouthow each food outlet fared at its last food hygiene inspection carried out by itslocal authority.

Inspection Outcomes of the Scheme

3.3.4 Food hygiene inspections aim to measure food establishments againstcompliance criteria. Regular inspections are already carried out as part ofroutine enforcement duties and the outcome of inspections is that anestablishment is deemed to be broadly compliant or not.

3.3.5 The inspection outcomes of the Food Hygiene Information Scheme shouldreflect compliance and should be visible at the establishment, on the LocalAuthority web site and also on www.foodstandards.gov.scot

The key features of the scheme

3.3.6 The scheme is voluntary and provides transparency of enforcementinspection outcomes which are shown in simple and clear terms. Theassessment of compliance for the purposes of the scheme is significantlydifferent from assessment of risk-rating undertaken following programmedinspections. This ensures that there is no conflict between these assessments,which are designed to serve different purposes.

3.3.7 Clackmannanshire Council participates in the Food Hygiene Information Scheme (FHIS). File checks were undertaken in connection with the Food Hygiene Information Scheme and it was noted that the SFELC trigger valueswere being used. The premises were awarded a Pass certificate, which hadbeen issued to the premises concerned. The Authority does not notifybusinesses of the appeal mechanism for an Improvement Required Certificate.They do issue improvement required certificates and offer a further inspectionon completion of the outstanding issues.

3.3.8 Premises had been correctly selected for the Scheme and had been correctly

scored for the appropriate award. Where premises had gone from Improvement Required to a Pass, as a result of a further visit, the risk ratingof the premises had not been altered, which is correct and in line with theFHIS guidance. All FHIS updates were uploaded to the web every two weeks.

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3.4 Internal Monitoring

3.4.1 The Authority had a procedure for internal monitoring including both quantityand quality of work. This was being regularly completed and recorded in avariety of formats and level of detail.

3.4.2 Quantitative monitoring checks are carried out in the form of the production of

regular work programmes from the database. The Lead Food officer wasmonitoring and recording work, including the review of files and accompanyingOfficers on inspections.

Auditors: Graham Forbes Kevin McMunn

Food Standards ScotlandAudit Branch, Scotland

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ANNEXE A

Action Plan for Clackmannanshire Council Audit date: 22-24 April 2015

TO ADDRESS (RECOMMENDATIONINCLUDING STANDARD PARAGRAPH)

BY (DATE) PLANNED IMPROVEMENTS ACTION TAKEN TO DATE

There were no recommendations from this audit

Audit File Closed 18 June 2015

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ANNEXE B

(1) Examination of Local Authority policies and procedures

The following Local Authority policies, procedures and linked documents wereexamined before and during the audit:

Official Food Control Service Plan 2013-2014 End of Year Report March 2014 Official Food Control Service Plan 2014-2015 Approved 14 May 2014 Food Law Enforcement policy revised 17/02/09 DRAFT Food law Enforcement Policy (provided at audit) Alternative Enforcement procedure revised April 2015 (provided at audit) Internal Monitoring revised 12/03/2015 (provided at audit) Officer certificates and qualifications (provided at audit) Minute of Agreement between Glasgow City Council and Clackmannanshire

Council relative to Glasgow Scientific Services Ref XLE5010 Review and Updating Documented Policies and Procedures Revise 20/03/15 Authorisation of Officers revised 13/03/2015 Scheme of Delegation 20 December 2012 Minute of meeting of Clackmannanshire Council 26 January 2012 Minute of meeting of Clackmannanshire Council 17 December 2009 Summaries of learning needs 2014/2015 Training and Continuous professional Development Revised July 2014 Civica App and IDOX Data Security Controls revised 16/03/2015 Provision, Maintenance and Calibration of Equipment (Environmental Health) Food Complaints procedure Revised 13/03/2015 Food Premises Database Revised 13/03/2015 Procedure for the inspection of Food revised 13/03/2015 Sampling procedure revised on 13/03/2015 Sampling plan 2014/15 and 2013/14 NHS Forth Valley Control Plan for Managing a Major Public Health Incident in

the Community Communicable disease investigation Rev 14/03/2015 Food Safety Incidents revised 14/03/2015 Internal Monitoring revised 14/032015 Minutes of Environmental health Team meeting held on 21st January 2015, 27th

November 2014 and 29th October 2014 Food Inspection procedure 14/03/2015 Primary Food Inspection report form Primary Inspection report Aide memoire Inspection Report letter template Record of visit / Inspection Revisit Inspection Report Cross Contamination Strategy (Created May 2012) Cross Contamination Focussed Inspection Form

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Issue of Improvement and Prohibition Notices revised on 14/03/2015 Seizure, detention and Surrender revised on 14/03/2015 Issue remedial Action Notice procedure revised on 14/03/2015 Reports to the procurator Fiscal revised on 14/03/2015 Withdrawal & Suspension of Approval of premises Under Regulation 853

(2) Officer interviews

The following Officers were interviewed:

Audit Liaison Officer Authorised Officers who carried out the most recent inspection at the two

premises selected for a verification visit.

Opinions and views raised during Officer interviews remain confidential and are notreferred to directly within the report.

(3) On-site verification visits

A verification visit was made with the Authority’s Officers to two local food businesses.The purpose of the visit was to verify the outcome of the last inspection carried out bythe Local Authority and to assess the extent to which enforcement activities anddecisions met the requirements of relevant legislation, the Food Law Code of Practice(Scotland) and other official guidance, having particular specific regard to LocalAuthority checks on FBO compliance with Regulation (EC) No 852/2004 and the FoodHygiene Information Scheme.

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ANNEXE CGlossary

Audit Audit means a systematic and independent examinationto determine whether activities and related results complywith planned arrangements and whether thesearrangements are implemented effectively and aresuitable to achieve objectives.

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

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

Food Law Code ofPractice (Scotland)

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

Food hygiene The legal requirements covering the safety andwholesomeness of food.

Food Standards Scotland

FSS is the public sector food body for Scotland and was established by the Food (Scotland) Act 2015 as a non-ministerial office, part of the Scottish Administration, alongside, but separate from, the Scottish Government.

FSS develops policies, provides policy advice to others, and protects consumers through delivery of a robust regulatory and enforcement strategy.

See more at: http://www.foodstandards.gov.scot/about-us

Framework Agreement The Framework Agreement consists of:

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

The Standard sets out the Food Standards Scotland’sexpectations on the planning and delivery of food lawenforcement.

The Monitoring Scheme requires Local Authorities to

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http://www.foodstandards.gov.scot/about-us

submit an annual return to Food Standards Scotland ontheir food enforcement activities i.e. numbers ofinspections, samples and prosecutions.

Under the Audit Scheme Food Standards Scotland willbe conducting audits of the food law enforcement servicesof Local Authorities against the criteria set out in TheStandard.

Full Time Equivalents(FTE)

A figure which represents that part of an individualOfficer’s time available to a particular role or set of duties.It reflects the fact that individuals may work part-time, ormay have other responsibilities within the organisation notrelated to food enforcement.

HACCP / FSMS Hazard Analysis and Critical Control Point – a food safetymanagement system (FSMS) used within foodbusinesses to identify points in the production processwhere it is critical for food safety that the control measureis carried out correctly, thereby eliminating or reducing thehazard to a safe level.

LAEMS Local Authority Enforcement Monitoring System is anelectronic System used by local authorities to report theirfood law enforcement activities to Food StandardsScotland.

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

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

Service Plan A document produced by a Local Authority setting outtheir plans on providing and delivering a food service tothe local community.

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Documents

Food Standards Scotland...and Regulation 7(4) of the Regulations as part of the Food Standards Scotland audit programme. 1.3 The last audit of Clackmannanshire Council’s Food Service