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Introduction
In line with recommendations made by C.O.S.L.A., this document sets out what businesses or other persons being regulated can expect from North Lanarkshire Council's Business Regulation Service in relation to enforcement policy and action. The purpose of producing such a document is two fold:-
It will be circulated to interested parties for consultation, and made available on request to major businesses, trade organisations and unions known to be working and active in the North Lanarkshire area. These organisations, businesses etc are asked to make all possible efforts to ensure that their membership is made aware of the policy's existence. A copy of the document will be maintained for inspection at each operational office.
It will be used as a reference document by all of North Lanarkshire Council's Food Safety Enforcement staff.
The Enforcement Policy will be reviewed at regular intervals and subsequent changes will be highlighted in future editions. Reviews will take into account each of the following:-
Statutory requirements
Changes in departmental structure
Feedback from persons and businesses
Feedback will be gathered in several ways, including by collating information gathered in the complaint and review processes described in this document.
It is recognised that small businesses and individuals will not have the same access to legal guidance as some large organisations. Large businesses often employ legal staff, or are members of Trade Associations that provide regular updates on current law. With this in mind, the Service distributes a range of information leaflets, which contain details of how to comply with particular elements of food safety law.
About Enforcement
The purpose of enforcement is to:
Ensure that duty holders take action to deal immediately with serious breaches of the law;
Promote and achieve sustained compliance with the law;
Ensure that those who breach legal requirements may be held to account, which may include recommending prosecution or serving statutory notices.
Included in the term "enforcement" are advisory visits and assisting with compliance as well as licensing and formal enforcement action. Businesses and others who are regulated should be reassured that visits seldom result in enforcement action more serious than a written warning. North Lanarkshire Council has adopted the C.O.S.L.A. Enforcement Concordat, and by doing so we commit ourselves to the following policies and procedures, which contribute to best value, and will provide information to show that we are observing them.
Targeting
We shall ensure that enforcement activities are focused primarily on those areas that give rise to the most serious risks or where compliance is least well controlled, and that action is directed on the duty holders who are responsible for the non compliance and those who are best placed to control it. Targeting of enforcement will also take due account of local and national priorities.
Openness
We will provide information and advice in plain language on the rules that we apply and will disseminate this as widely as possible. We will be open about how we set about our work, including any charges that we set, consulting businesses, voluntary organisations, charities, consumers and workforce representatives. We will discuss general issues, specific compliance failures or problems with anyone experiencing difficulties.
Helpfulness
We believe that prevention is better than cure and that our role therefore involves actively working with businesses, especially small and medium sized businesses, to advise on and assist with compliance. We will provide a courteous and efficient service and our staff will identify themselves by name. We will provide a contact point and telephone number for further dealings with us and we will encourage business to seek advice/information from us. Applications for approval of establishments, licences, registrations, etc. will be dealt with efficiently and promptly. We will ensure that, wherever practicable, our enforcement services are effectively co-ordinated to minimise unnecessary overlaps and time delays.
Accountability
We will provide well publicised, effective and timely complaints procedures easily accessible to business, the public, employees and consumer groups. In cases where disputes cannot be resolved, any right of complaint or appeal will be explained, with details of the process and the likely time-scales involved.
Proportionality
We will minimise the costs of compliance for business by ensuring that any action we require is proportionate to the risks. As far as the law allows, we will take account of the circumstances of the case and the attitude of the operator when considering action.
We will take particular care to work with small businesses, individuals and voluntary and community organisations so that they can meet their legal obligations without unnecessary expense, where practicable.
Consistency
We will carry out our duties in a fair, equitable and consistent manner. While Enforcement Officers are expected to exercise judgement in individual cases, we have arrangements in place to promote consistency, including effective arrangements for liaison with other authorities and enforcement bodies.
Procedures
Enforcement procedures are detailed within this document and staff will be advised to fully familiarise themselves with the procedures.
Advice from an officer will be put clearly and simply and will be confirmed in writing, on request, explaining why any remedial work is necessary and over what time-scale. We will also make sure that legal requirements are clearly distinguished from best practice advice or recommendations.
Before formal enforcement action is taken, officers will provide an opportunity to discuss the circumstances of the case and, if possible, resolve points of difference, unless immediate action is required (for example, in the interests of health and safety or environmental protection or to prevent evidence being destroyed).
Where immediate action is considered necessary, an explanation of why such action was required will be given at the time and confirmed in writing in most cases within 5 working days and, in all cases, within 10 working days.
Where there are rights of appeal against formal action, advice on the appeal mechanism will be clearly set out in writing at the time the action is taken.
Enforcement Officer Standards
All enforcement officers employed within the Food Safety Service are considered to have reached a level of competence whereby they are capable of and therefore permitted to initiate investigations without consultation with another officer, and are authorised in compliance with all necessary legal requirements.
As part of the initial training programme all Enforcement Officers are made fully aware of the service's Enforcement Policy. Additional training is provided on an ongoing basis in order to ensure that the details of the policy are understood and adhered to, and that all Enforcement Officers are kept up to date with current legal requirements and practices.
Surveys by means of posted questionnaires are carried out on a regular basis, to determine levels of staff compliance with the enforcement policy conditions. These surveys are not administered by enforcement staff.
All Enforcement Officers must take account of the Inspection and Enforcement Guidelines issued by the department, and enforcement action will only be undertaken in compliance with this policy and with the guidelines.
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