NIFLG
Northern Ireland Food Liaison Group
Food Complaints
Investigation Procedure
December 2006
2
CONTENTS
FOOD COMPLAINTS INVESTIGATION PROCEDURE
1. Purpose 5
2. Scope 5
3. References 5
4. Background 6
5. Receipt of complaint – Preliminary investigation 7
6. Procedure to be followed by investigating officer 9
7. Preliminary examination 9
8. Interview of complainant 11
9. Initial contact with suppliers and originating/home authority 12
10. Scientific investigation 14
11. Investigation leading to formal action 16
12. Procedure to be followed by CEHO/Director of Environmental
Health
19
Food complaints investigation - Flow chart 22
APPENDIX 1 Program 26
FILE Food complaint – File Cover Sheet 27
FC1 Food complaint – Investigation Record Form 29
FC2 Acknowledgement of receipt of complaint 37
FC3 Information to complainant 38
FC4 (a) Notification to seller/ manufacturer/ importer or distributor of
(hygiene) complaint.
39
FC4 Referral of food complaint to responsible authority for
investigation
40
FC5 Notification to complainant of referral to another authority for
investigation
41
FC6 Initial notification of food complaint (standards) investigation to
vendor/ distributor/manufacturer/importer
42
FC7 Preliminary contact with originating/home authority/Department of
Agriculture
43
3
FC8 Preliminary contact with the Department of Agriculture and Rural
Development for Northern Ireland following receipt of notification
of food complaint from other local authority
45
FC9 Response to investigating authority from originating/home*
authority following initial notification of food complaint
investigation
46
FC9 (a) Notification to complainant regarding outcome of a miscellaneous
complaint (no food product)
47
FC10 Notification to vendor/distributor/manufacturer/importer* that no
further action is to be taken/is necessary
48
FC11 Informal warning to vendor/distributor/manufacturer/importer 49
FC12 Notification to Home /Originating Authority/Department of
Agriculture and Rural Development of outcome of investigation
50
FSC Food Complaint - Sample Submission Form 51
FC13 Request for detailed information from Home/Originating
Authority/Department of Agriculture and Rural Development
52
FC13a Example of appropriate questions to ask Home/Originating
Authority/ Department of Agriculture and Rural Development
54
FC14 Standard letter to accompany home authority referral to be
forwarded to Department of Agriculture and Rural Development
56
FC15 Request for detailed information from manufacturer/ distributor/
importer where no response received from home/originating
authority
57
FC16 Request for detailed information from manufacturer/ distributor/
importer where response received from home/originating authority
indicates that formal action would be appropriate
58
FC17 Notification to complainant of outcome of prosecution 59
FC18 Notification to vendor/distributor/manufacturer/importer of
outcome of prosecution
60
FC19 UK Sample Liaison Body Notification Form 61
APPENDIX 2 Guidance on minor and unjustified complaints 63
APPENDIX 3 Complaint type computer codes relevant to Councils own
software system
64
APPENDIX 4 Product computer codes relevant to Councils system &
LAEMS
65
APPENDIX 5 Some factors influencing prosecution decisions 66
4
FOOD COMPLAINTS INVESTIGATION PROCEDURE
1. PURPOSE
The purpose of this procedure is to enable district
council environmental health departments to investigate
consumer complaints about food -
(a) in accordance with the powers and duties placed
on district councils by the Food Safety (Northern
Ireland) Order 1991 as amended;
(b) in compliance with the guidance on enforcement
contained in the Food Safety (Northern Ireland)
Order 1991 Code of Practice; and
(c) in a uniform and consistent manner.
2. SCOPE
This procedure covers the investigation of food
complaints so as:
- to identify the source and cause of the complaint
promptly;
- to take effective action to control any risk to public
health; and
- to identify and gather admissable evidence in respect
of any offence under food safety legislation.
FSO
CoP1
FSSQR
LACORS
Guide
LACORS
Guide
CPSCode
3. REFERENCES
Food Safety (Northern Ireland) Order 1991 as amended
Regulation EC 178
Food Safety (Northern Ireland) Order 1991 Code of
Practice
Food Safety (Sampling and Qualifications) Regulations
(Northern Ireland) 1991
Guidance on Food Complaints (Local Authorities Co-
ordinating Body on Food and Trading Standards)(2nd
Edition - November 1998)
UK Single Liaison Body – Guidance for dealing with
transborder enquiries and complaints (March 1997)
Code for Crown Prosecutors (Crown Prosecution
Service)(June 1994)
5
PACE
PACE CoP
CPIA
CPIA CoP
Police and Criminal Evidence (Northern Ireland) Order 1989
Police and Criminal Evidence (Northern Ireland) Order
1989 Codes of Practice A-E (Revised July 1996)
Criminal Procedure and Investigations Act 1996
Criminal Procedure and Investigations Act 1996 Code
of Practice (Northern Ireland)
4. BACKGROUND
4.1 It is important that ALL food complaints notified to the
district council are dealt with by competent staff
(administrative and professional), who:
- are properly appointed and authorised;
- have received appropriate training; and
- are conversant with the relevant parts of this
document.
4.2 It is understood that each district council will have its
own organisational structure and that administrative and
professional staff will have defined levels of
responsibility and authority. Consequently, where this
procedure has to be adapted to conform with these
arrangements, it will be necessary to amend this
document accordingly.
LACORS
Guide
4.3 Officers investigating food complaints should follow
the guidance issued by the Local Authorities Co-
ordinating Body on Food and Trading Standards
(LACORS) in “Guidance on Food Complaints” (Second
Edition, November 1998). The LACORS Guidance
“has been written with the objective of assisting
authorities to produce and/or maintain their own
policies, procedures and documentation”. This
procedure has been produced to fulfil that objective and
shall be used in conjunction with the LACORS
document.
4.4 During the course of an investigation and any
subsequent action it is important that particular attention
is paid to the following:
making and maintaining relevant, accurate
records, including a written record of any oral
information given or received;
keeping interested parties (e.g. wholesaler,
manufacturer, importer, home authority,
originating authority, enforcing authority, and
complainant) fully informed of the progress of the
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investigation, particularly any person(s) liable to
prosecution;
obtaining advice from food analysts/examiners
and other experts;
maintaining the continuity of evidence,
particularly the subject (i.e. food/foreign matter)
of the complaint;
obtaining information about any similar
complaints, particularly where legal proceedings
may be instituted;
obtaining appropriate legal advice;
awareness of any food alerts.
PACE
CPIA
CPIA CoP
4.5 As this is a criminal investigation it is subject to the
requirements of -
the Police and Criminal Evidence (Northern
Ireland) Order 1989 and Codes of Practice made
thereunder; and
the Criminal Procedure and Investigations Act
1996 and the Code of Practice made thereunder.
5. Receipt of Complaint – Preliminary Investigation
5.1 On receiving a complaint, whether by telephone, letter
or in person, the authorised officer or other member of
staff, enters the complaint reference number on form
FC1 (Food complaint – Receipt and preliminary
examination) and completes Part 1 (as far as possible).
FC1 - Part1
5.2 On receipt of complaint, form FC2 (Acknowledgement
of receipt of complaint) should be completed and given
to the complainant or his/her representative.
5.3 Having regard to the judgement given in Daventry
District Council -v- Olins, the complainant shall be
advised that it may be necessary to divulge his or her
name and address to any person who may be prosecuted
as a result of the complaint. It is also important to
ascertain if the complainant is willing to make a written
statement and to appear, if necessary, as a witness in
any subsequent legal proceedings. Having explained
these matters to the complainant the investigating
officer shall have the complainant complete and sign
the relevant section of Part 1 of form FC1.
FC2
FC1 - Part1
5.4 If the sample/foreign matter is not produced at the time
of making the complaint advise complainant how to
preserve the integrity of the sample - e.g. advice
concerning packaging, refrigeration, freezing, dry
storage, separation from other products, etc. Examples
7
of typical advice would be:
samples relating to spoilage complaints should be
frozen;
samples relating to illness should be kept chilled;
samples relating to insect infestation should be
suitably contained and separated from other
foodstuffs; and
samples should not be handled nor embedded
foreign objects dislodged.
5.5 The person receiving the complaint shall place any
sample of food, original container and/or foreign matter
obtained from complainant in a polythene bag1, or other
suitable container/package, and close securely. If food
is received in its original container it should be kept in
that container, sealed to prevent spillage and the
container placed in the bag1. The bag or
container/package containing the sample shall be
labelled with the complaint reference number. Place
bagged sample in secure refrigerator, freezer or ambient
store as appropriate. Record details of this in Part 3 of
form FC1.
FC1 -Part 3
5.6 Open food complaint file2 using the complaint reference
number. Attach food complaint file cover sheet and
enter details as appropriate. Details should be entered
on the cover sheet promptly as this sheet provides
investigating officers, and managers with a ready
reference on the progress of the investigation. All
correspondence, sample submission forms,
analyst‟s/examiner‟s reports, statements, reports, etc.
must be kept securely in this file. It will also be
necessary to enter relevant details in the computer
system.
FCfile
5.7 Pass the file and any other relevant material to the
investigating officer3.
1 There are some circumstances where a sample should be removed from its container, e.g. where a canned
product has been opened and the complaint is one of illness, off taste or obvious corrosion. In these
circumstances the contents of the can shall be transferred as thoroughly as possible to a chemically clean, and if
appropriate, sterile glass or plastic container with a non-corrodible closure. This action shall only be taken by
an authorised officer.
2 The food complaint file cover sheet should be kept attached to the inside cover or placed at the front of the
complaint file. The file cover sheet shall be used to record the progress of the investigation - relevant records
shall be entered promptly. 3 The term “senior/lead/PEHOr” used in this document means the appropriate officer designated to supervise
food complaint investigations.
8
Procedure to be followed by investigating officer
6.1 If the investigating officer is of the opinion that the
investigation of the complaint is the responsibility of
another local authority he shall complete form FC4
(Referral of food complaint to another local authority
responsible for investigation), copy form FC1 and make
arrangements for transfer of forms and sample/foreign
matter to the appropriate enforcing authority. Complete
form FC5 (Notification to complainant of referral of
food complaint to another local authority responsible
for investigation) and send to complainant. Place
copies of completed forms FC1, FC4 and FC5 in the
complaint file and close file. Transfer to administration
to update computer.
FC4
FC1
FC5
6.2 At this stage the investigating officer may decide not to
continue with an investigation in respect of unjustified
or minor complaints. For example, where the complaint
is one of a packet of biscuits having been sold after the
best before date. Further guidance on what constitutes a
minor/unjustified complaint is provided in Appendix 2.
Record details, as appropriate, in Parts 3 & 4 of form
FC1, complete Part 6 of form FC1, and pass file to
lead/senior/PEHO to ratify the decision. Otherwise
continue with the investigation.
Appendix 2
FC1–Parts
3 & 4
FC1–Part 6
FC3
NOTE 1:Although the complaint is terminated it may be
appropriate to take action concerning the sale/
supply of the food - e.g. where food is sold
after the best before date it may be necessary
to investigate the vendor‟s stock rotation
system, and take action as necessary.
NOTE 2: It is likley that food complaints concerning
foreign matter with no accompanying means of
identification would not be investigated.
If the senior/lead/PEHO confirms the investigating officer‟s
recommendation he shall complete, as appropriate, Part 6 of
FC1, and the investigating officer shall notify the complainant
using form FC3 (Information to complainant) and close the
file. Transfer to administration to update computer.
6.4 If the senior/lead/PEHO does not confirm the
investigating officer‟s recommendation he shall
complete, as appropriate, Part 6 of FC1 and return the
file to the investigating officer for further
investigation.
7. Preliminary examination
7.1 The investigating officer should carry out a preliminary
examination of the food/foreign matter at this stage. It is
important that the examination is thorough and that a
9
full and accurate record is made. Suitable photographs
of sample should be taken before evidence is disturbed.
Retain all wrapping material(s). Examination at this
stage may again indicate that the complaint is of a
minor nature and permit an opportunity to terminate
investigation. Complete Part 3 of form FC1 and update
computer system. Guidance on appropriate computer
codes is given in Appendix 3 (Complaint Type
Computer Codes) and Appendix 4 (Product Computer
Codes).
FC1 –Part3
Appendix 3
Appendix 4
NOTE: In certain circumstances (e.g. chemical taint
by volatile substances) the food/foreign matter
may need to be urgently submitted to the
Public Analyst. However, in most cases the
decision on whether or not to submit the
food/foreign matter for analysis should be
deferred until a later stage in the investigation
(see Section 10). If in any doubt the Public
Analyst should be consulted.
The seriousness and/or nature of the complaint
may make it necessary to visit the
vendor/distributor/manufacturer/importer at
this stage rather than leaving it to later in the
investigation.
7.2 If, on completion of the examination, the investigating
officer is of the opinion that further investigation is not
necessary, complete Parts 4 and 6 of FC1 and pass the
file to the senior/lead/PEHO. Otherwise continue with
the investigation.
FC1- Parts
4&6
7.3 If the senior/lead/PEHO confirms the investigating
officer‟s recommendation he shall complete, as
appropriate, Part 6 of FC1, and the investigating officer
shall notify the complainant using form FC3
(Information to complainant) and close the file.
Transfer to administration to update computer.
FC1 –Part6
FC3
7.4 If the senior/lead/PEHO does not confirm the
investigating officer‟s recommendation he shall
complete, as appropriate, Part 6 of FC1 and return the
file to the investigating officer for further investigation.
FC1 –Part6
7.5 If at this, or any, stage in an investigation an officer
suspects that it may be a case of malicious tampering or
a public health problem affecting a wider area he shall
notify the appropriate officer as set out in the statutory
supplement to the Code of Practice containing contact
details for food incidents and food hazards. If
examination of FC1 forms at Group indicates that there
is a public health problem affecting a wider area, the
CoP 14
10
Food Standards Agency (FSA) and the other Groups
and Belfast shall be notified accordingly.
7.6 Similarly, if there is an allegation or suspicion of the
complaint being associated with illness, a food
poisoning investigation shall be initiated.
8. Interview of complainant
8.1 If the investigation is to be continued the complainant
shall be interviewed as soon as possible.
8.2 Interview complainant at a suitable venue. It is
important that all relevant information is obtained from
the complainant as this will form the basis for
determining if an offence has been committed and
under which provision of the legislation. Record all the
information in Pages 2 and 3 of form FC1 as
appropriate.
FC1 –Pages
2&3
8.3 Whether the complainant is willing or unwilling to
continue with the complaint investigation, the
investigating officer shall make it clear to the
complainant that the district council reserves the right to
continue with the investigation and take whatever action
is deemed appropriate.
8.4 Witness statements should always be made as soon as
possible after the events to which they refer. Therefore,
it is recommended that the investigating officer obtain
witness statement(s) from the complainant and any
other relevant witnesses at this stage. All witness
statements shall be placed in the complaint file.
Note Witness Statements must be taken where it is
likely that formal proceedings will be instigated.
8.5 If, as the result of the interview and, based on the
information obtained, the investigating officer is of the
opinion that the investigation should be terminated,
complete Parts 4 and 6 of form FC1 and pass to the
senior/lead/PEHO. Otherwise continue with the
investigation.
FC1 – Parts
4&6
8.6 If the senior/lead/PEHO confirms the investigating
officer‟s recommendation he shall complete, as
appropriate, Part 3 of form FC4, and the investigating
officer shall notify the complainant using form FC3
(Information to complainant) and close the file.
Transfer to administration to update computer.
FC1 –Part6
FC3
8.7 If the senior/lead/PEHO does not confirm the
investigating officer‟s recommendation he shall
11
complete, as appropriate, Part 6 of form FC1 and return
the file to him for further investigation.
FC1 -Part6
9. Initial contact with suppliers and originating/home
authority
9.1 If the complaint investigation is to continue then any
person who may be prosecuted as a result of the
complaint (e.g. vendor/distributor/manufacturer/
importer) shall be notified as soon as reasonably
practicable, using form FC6. A copy of FC6 shall be
placed in the complaint file.
FC6
9.2 Records of any responses should be placed in the
complaint file.
NOTE: If the initial notification is verbal, a record
shall be made and placed in the complaint file.
Other potential defendants shall be notified as
they emerge.
In some cases, notification could impede the
progress of further investigations, e.g. where
originating/home authority would need time to
carry out an unannounced investigation at
manufacturer‟s premises. In such cases
notification shall take place as soon as can be
achieved without prejudicing further
investigations. In such cases the reasons for
delaying notification shall be recorded in
writing and placed in the complaint file.
9.3 Names and addresses and other relevant contact
information shall be recorded in writing and placed in
the complaint file as they become available.
9.4 If a request is received to examine the food/foreign
matter, appropriate arrangements shall, as far as is
reasonably practicable, be made to accommodate such
requests. Where an examination takes place, record
details in Part 8 of form FC1. If it is necessary to take
the sample/foreign matter to the Public Analyst
immediately arrangements can be made to have it
examined there. The Public Analyst will record the
necessary details and forward this to the investigating
officer.
FC1 –Part8
9.5 At this stage preliminary contact shall be made with the
originating authority and, if different, the home
authority by telephone, fax, e-mail. and/or post. For
fax, e-mail and postal notifications use FC7
(Preliminary contact with Originating/Home
Authority/Department of Agriculture and Rural
FC7
12
Development) accompanied by a copy of FC6. Place
copy/copies in the complaint file. Details of response(s)
both oral and written, as and when received, shall be
recorded/placed in the complaint file.
FC6
NOTE: Where the food complained of has originated
in premises for which the Food Standards
Agency (FSA) has enforcement responsibility
under the Food Safety (NI) Order 1991 (e.g.
meat and poultry slaughterhouses and cutting
premises, liquid milk dairy products premises)
and the complaint relates to hygiene matters
(i.e. the possible cause of the complaint is due
to non-compliance with hygiene rules), form
FC7 accompanied by a copy of form FC6 shall
be forwarded to:
(a) in the case of complaints involving
„liquid milk‟ -
Head of Quality Assurance Division,
Department of Agriculture and Rural
Development,
Room 1028,
Dundonald House,
Upper Newtownards Road,
BELFAST BT4 3SB.
(b) in the case of complaints involving „fresh
meat‟ the veterinary officer responsible
for the premises concerned. If the
investigating officer does not possess this
information he should contact the local
environmental health department in the
district council area concerned.
Where a district council receives an enquiry
from an originating authority or home
authority (usually in Great Britain or the
Republic of Ireland) which should have been
sent to DARD/FSA, he shall forward it to the
appropriate person using form FC8
(Preliminary contact with the Department of
Agriculture and Rural Development following
receipt of notification of food complaint from
other local authority). The enforcing authority
should be informed accordingly using form
FC9 (Response to investigating authority from
Originating/Home Authority following initial
notification of food complaint investigation).
FC7
FC6
FC8
FC9
9.6 Details obtained from originating/home authority at this
stage may be sufficient to determine the outcome of the
13
investigation. If the investigating officer is of the
opinion that no further investigation is warranted he
shall complete, as appropriate, Parts 4 and 6 of form
FC1 and pass the file to the senior/lead/PEHO.
Otherwise continue with the investigation.
FC1-Parts
4&6
9.7 If the senior/lead/PEHO confirms the investigating
officer‟s recommendation that no further action be
taken, he shall complete Part 6 of form FC1 and the
investigating officer shall:
complete and forward FC3 (Information to
complainant) to the complainant;
complete and forward FC10 (Notification to
vendor/distributor/manufacturer/importer that no
further action is to be taken) to the vendor, etc. as
appropriate, (i.e. person(s) who previously
received FC6);
complete and forward FC12 (Notification to
Home/Originating Authority/Department of
Agriculture and Rural Development of the
outcome of investigation) to the home authority/
originating authority/DARD/FSA;
record the relevant information in the file cover
sheet; and
close the file. Transfer to administration to update
computer.
FC1 –Part6
FC3
FC10
FC12
9.8 If the senior/lead/PEHO does not confirm the
investigating officer‟s recommendation he shall
complete, as appropriate, Part 6 of form FC1 and return
the file to the Investigating Officer for further
investigation.
FC1 –Part6
10. Scientific investigation
10.1 The investigating officer will need to consider whether
any scientific investigation is to be undertaken. If the
investigating officer is in any doubt he should consult
the Public Analyst, Food Examiner or other relevant
expert who will advise on the form of scientific
investigation which may be appropriate for that
complaint sample.
10.2 Additionally, the investigating officer shall consult with
the senior/lead/PEHO prior to submission of complaint
sample. It is not necessary to submit every complaint
sample to a food analyst or food examiner. In some
cases investigating officers will be competent to
examine the food/foreign matter and to give relevant
evidence in legal proceedings.
14
NOTE: If destructive testing is anticipated photo-
graphs of the complaint sample must be taken
at this stage, if this has not already been done.
CoP6
FSSQR
10.3 Complaint samples for submission to the Public
Analyst, food examiner, etc. shall be appropriately
labelled and sealed and shall be transported in
accordance with the Food Safety (Northern Ireland)
Order 1991 Code of Practice and the Food Safety
(Sampling and Qualifications) Regulations (NI) 1991.
10.4 Each complaint sample to be forwarded to the Public
Analyst, Entomologist, etc shall be accompanied by a
fully completed form FSC (Food Complaint - Sample
Submission Form) and copy of Part 1of form FC1.
Each complaint sample to be forwarded to the Northern
Ireland Public Health Laboratory (NIPHL) shall be
accompanied by a fully completed NIPHL Food
Complaint Sample Submission Form (buff coloured).
A photocopy of the submission form shall be retained in
the complaint file.
Record details in Part 5 of form FC1. Complete Part 5
of form FC1 if preliminary results of analysis are made
known.
FSC
FC1 –Part1
FC1 –Part5
NOTE: Officers should remember to make the
necessary arrangements for collection of the
sample/foreign matter/packaging as soon as
possible after the analysis/examination is
completed. The Public Analyst will retain such
items for up to 6 12 months after receipt.
10.5 The findings of the Public Analyst, food examiner, etc.
may be sufficient to determine the outcome of the
investigation. If the investigating officer is of the
opinion that no further investigation is warranted he
shall complete, as appropriate, Part 6 of form FC1 and
pass the file to the senior/lead/PEHO. Otherwise
continue with the investigation.
FC1–Part 6
10.6 If the senior/lead/PEHO confirms the investigating
officer‟s recommendation he shall complete Part 6 of
form FC1 and the investigating officer shall:
complete and forward FC3 (Information to
complainant) to the complainant;
complete and forward FC10 (Notification to
vendor/distributor/manufacturer/importer that no
further action is to be taken) to the vendor, etc.
(i.e. person(s) who previously received FC6);
complete and forward FC12 (Notification to
Home/Originating Authority/Department of
FC4
FC3
FC10
FC12
15
Agriculture and Rural Development of outcome of
investigation) to the home authority/originating
authority/DARD/FSA;
record the relevant information on the file cover
sheet; and
close the file. Transfer to administration to update
computer.
10.7 If the senior/lead/PEHO does not confirm the
investigating officer‟s recommendation he shall
complete, as appropriate, Part 6 of form FC1 and return
the file to the Investigating Officer for further
investigation.
FC1 –Part6
11. Investigation leading to formal action
11.1 If the investigation has reached this stage it is probable
that formal action will result. Therefore, it is important
that all necessary evidence to obtain a conviction is
collected and that such evidence is admissible.
Vending/manufacturing/distributing/importing premises
inside the enforcing authority area
11.2 The investigating officer shall visit premises, as
appropriate, inspect and/or interview relevant persons.
A complete, accurate written record of the visit must be
made and placed in the complaint file.
NOTE: Where responsibility for hygiene matters lies
with DARD/FSA, detailed information shall be
sought using FC13 (Request for detailed
information from home/originating authority/
DARD/FSA) which should be sent to:
(i) in the case of complaints involving
„liquid milk‟,
Head of Quality Assurance Division,
Department of Agriculture and Rural
Development,
Room 1028,
Dundonald House,
Upper Newtownards Road,
BELFAST BT4 3SB.
(ii) in the case of complaints involving „fresh
meat‟ the veterinary officer responsible
for the premises concerned.
FC13
11.3 The investigating officer shall make a written record of
any verbal response and place with any written
response, when received, in the complaints file.
16
Vending/manufacturing/distributing/importing premises
outside the enforcing authority area
11.4 Detailed information shall be sought from the home
authority or originating authority, as appropriate, using
FC13 (Request for detailed information from Home/
Originating Authority/Department of Agriculture and
Rural Development). See FC13a for an example of
appropriate questions. Record details of any response,
as and when received, in the complaint file.
Where the Home Authority and/or the Originating
Authority is non-UK, but an EU Member state, FSA has
been officially designated as UK Single Liaison Body.
Its role is to facilitate the exchange of enforcement
information on routine food control matters including
forwarding food complaints and requests for
information to other Member States. The Food Safety
(NI) Order 1991 Code of Practice should be used as
guidance and where necessary form FC19 should be
completed and sent to:
Head of General Food Hygiene Unit
Food Standards Agency (Northern Ireland)
10A - 10C Clarendon Road
BELFAST BT1 3BG
who will forward the request to LACORS.
FC13
FC13a
FC19
NOTE: Where a response to an earlier preliminary
notification indicates that responsibility for
hygiene matters in the premises lies with
DARD, form FC13 shall be sent directly to the
appropriate DARD contact, as follows:
(i) in the case of complaints involving
„liquid milk‟,
Head of Quality Assurance Division,
Department of Agriculture and Rural
Development,
Room 1028,
Dundonald House,
Upper Newtownards Road,
BELFAST BT4 3SB.
(ii) in the case of complaints involving „fresh
meat‟ the veterinary officer responsible
for the premises concerned.
„Home‟ or „originating‟ district councils in receipt of
requests for detailed information in respect of
premises for which DARD is responsible shall forward
these and accompanying letter FC14 (Standard letter
to accompany Home Authority referral to be
FC13
FC14
17
forwarded to Department of Agriculture and Rural
Development), without delay, to the appropriate
DARD contact (see (i) and (ii) above).
11.5 The investigating officer shall make a written record of
any verbal response and place with any written
response, when received, in the complaints file.
11.6 Where the home authority/originating authority/DARD
fails to respond to the FC13 request, forward FC15
(Request for detailed information from manufacturer/
distributor/importer where no response has been
received from Home/Originating Authority indicates
that formal action would be appropriate) to the
manufacturer/distributor/importer, as appropriate. Keep
record of any response, as and when received, in the
complaint file.
FC15
11.7 Where the home authority/originating authority
responds to the FC13 request in terms which would
indicate that formal action would be appropriate,
forward FC16 (Request for detailed information from
manufacturer/distributor/importer where response
received from Home/Originating Authority indicates
that formal action would be appropriate) to the
manufacturer/distributor/importer, as appropriate. Keep
record of any response, as and when received, in the
complaint file.
FC16
11.8 The investigation should now have been completed and
the investigating officer should be in possession of all
the necessary evidence upon which to base his final
recommendation. He shall make a full written report on
the investigation. If legal action is to be recommended,
the investigating officer shall make a formal written
statement.
11.9 On consideration of all the evidence the
recommendation of the investigating officer on the
course of action to be taken shall be recorded in Part 6
of form FC1. The investigating officer shall ensure that
all relevant information and evidential documents are
placed in the complaint file. Pass the complete file to
the senior/lead/PEHO.
FC1 –Part6
CoP1
LACORS
Guide
CPSCode
11.10 On consideration of the report and recommendation of
the investigating officer and, if appropriate, of the
prosecution criteria (see Code of Practice, the LACORS
Guidance on Food Complaints, the CPS Code for
Crown Prosecutors, the Council‟s food safety
enforcement policy & annex 2 of this procedure) the
senior/lead/PEHO shall make his recommendation and
complete Part 6 of form FC1 accordingly. The
FC1 –Part6
18
complete file shall be passed to the CEHO/Director of
Environmental Health/Manager of Environmental
Health Service.
12. Procedure to be followed by CEHO/Director of
Environmental Health/Manager of E H Service
12.1 The CEHO/Director of EH/Manager of EH Service
shall consider the evidence in the file and the
recommendations of the investigating officer and the
senior/lead/PEHO. If the district council‟s solicitor has
not been consulted at an earlier stage of the
investigation it may be appropriate to consult him
before a final decision is made on the outcome of the
investigation. The CEHO/Director of EH/Manager of
EH Service shall decide on the course of action to be
taken and complete Part 6 of form FC1 accordingly.
FC1 –Part6
12.2 Where the district council has delegated the relevant
powers to the CEHO/Director of EH/Manager of EH
Service, he shall take the appropriate action and record
details in the complaint file.
12.3 Where the relevant powers are retained by the district
council or a committee of the district council, the matter
shall be reported as appropriate and the resulting
decision implemented. The details of the decision shall
be recorded in Part 6 of form FC1.
FC1 –Part6
12.4 The recommended course of action shall be
implemented and other interested parties informed as
follows:
No further action
notify vendor/distributor/manufacturer/importer
using FC10 (Notification to vendor/distributor/
manufacturer/importer* that no further action is
to be taken);
notify Home Authority/Originating Authority/
DARD using FC12 (Notification to Home
/Originating Authority/Department of
Agriculture of outcome of investigation);
notify complainant using FC3 (Information to
complainant).
Informal warning
served on vendor/distributor/manufacturer/
importer using FC11 (Informal warning to
vendor/distributor/manufacturer/importer);
notify vendor/distributor/manufacturer/importer
using FC10 (Notification to vendor/distributor/
manufacturer/importer* that no further action is
FC10
FC12
FC3
FC11
FC10
19
to be taken);
notify Home Authority/Originating Authority/
DARD using FC12 (Notification to Home
/Originating Authority/Department of
Agriculture of outcome of investigation);
notify complainant using FC3 (Information to
complainant).
Formal caution
served on vendor/distributor/manufacturer/
importer as appropriate;
notify the Office of Fair Trading (OFT) (to be
reviewed);
notify vendor/distributor/manufacturer/importer
using FC10 (Notification to vendor/distributor/
manufacturer/importer that no further action is
to be taken/is necessary);
notify Home Authority/Originating Authority/
DARD using FC12 (Notification to Home
/Originating Authority/Department of
Agriculture of outcome of investigation);
notify complainant using FC3 (Information to
complainant).
Legal proceedings
Prior to hearing:
notify complainant using FC3 (Information to
complainant;
After hearing:
notify complainant using FC17 (Notification to
complainant of outcome of prosecution)
notify vendor/distributor/manufacturer/importer
using FC18 (Notification to vendor/distributor/
manufacturer/importer of outcome of
prosecution);
notify Home Authority/Originating Authority/
DARD using FC12 (Notification to Home
/Originating Authority/Department of
Agriculture of outcome of investigation);
notify the Office of Fair Trading (OFT) (to be
reviewed);
record details in Part 7 of FC1.
FC12
FC3
FC10
FC12
FC3
FC3
FC17
FC18
FC12
FC1– Part7
12.5 Where a conviction has been obtained after legal
proceedings have been instituted, a certificate of
conviction shall be obtained and kept on file.
20
12.6 The outcome of the investigation having been
determined and the various notifications made and
recorded, the file shall be closed and passed to
administration.
21
Procedure FLOWCHART Form
Paras 5.1 to
5.3
Food complaint
received
FC2 completed and
given to complainant/
representative
FC2
Para 5.5 Sample bagged,
labelled and stored
Details recorded on
FC1 (Part 1&3)
FC1 Parts
1&3
Paras 5.6 and
5.7
Food complaint file
opened and passed to
investigating officer
FCfile
Para 6.1
This district council‟s
responsibility
NO
Forward to
appropriate district
council (FC4 + copy
FC1) and notify
complainant (FC5)
FC4
FC1
FC5
Paras 6.2 and
6.3
Unjustified or minor
complaint?
YES
Record details (FC1 –
Part 3), complete FC1
– Parts 4&6 and
notify complainant
(FC3)
FC1 –Part 3
FC1 Parts
4 & 6
FC3
Para 7.1 Preliminary
examination
Complete FC1 Page 1
Part 1 and fax/e-mail
to Group
FC1 –Part 1
Paras 7.2 to
7.4
Further investigation
warranted?
NO
Complete FC1 (Parts
4 to 6) and notify
complainant (FC3)
FC1 – Parts
4 & 6
FC3
Para 7.5
Malicious tampering
or public health
problem suspected?
YES Notify Group and
follow Food Safety
(NI) Order 1991 CoP
Para 7.6 Alleged or suspected
associated illness?
YES Initiate food
poisoning
investigation
NO
YES
YES
NO
NO
22
Paras 8.1 to
8.4
Interview
complainant
Complete FC1 (Pages
2 & 3)
FC1– Pages
2 & 3
Paras 8.5 to
8.7
Further investigation
warranted?
NO Complete FC1 (Parts
4 and 6) and notify
complainant (FC3)
FC1 –Parts
4 & 6
FC3
Paras 9.1 to
9.3
Initial contact with
vendor/supplier/
manufacturer/
importer
Complete FC6 and
give/send to vendor,
etc. as appropriate
FC6
9.4 Request required to
examine foodstuff
Complete FC1
Part 8
Where appropriate
FC1 Part 8
9.5 Initial contact with
Originating/Home
Authority/DARD
(see note to Para 9.5
if DRD premises)
If appropriate use
FC7 and copy of FC6,
FC8 and FC9
FC6
FC7
FC8
FC9
If complaint from GB
or ROI/Originating/
Home Authority
Forward enquiry to
DARD and notify
OA/HA
FC8
FC9
9.6 – 9.8 Details received
from OA/HA
NO
Further investigation
warranted?
YES
Complete FC1 Parts 4
& 6 and pass to
senior/lead/PEHO
FC 1 Parts
4 & 6
No further Action
YES FC1 Part 6
Senior/lead/PEHO:
complete FC1 Part 6
FC3
FC10
10.1 – 10.7 Scientific
investigation
warranted?
FC12
Investigating officer:
complete FC3, FC10 &
FC3
FC10
OR FC12 and close file FC12
Complete FSC and
YES
23
Public
Analyst
or other
expert
PHLS
(buff
form)
Copy of Part 1 of FC1.
Record details.
Complete Part 5 of
FC1.
FSC, FC1
Part 1 , FC1
Part 5
Further investigation
warranted
NO Complete FC1 Part 6
and pass to
senior/lead/PEHO
FC1 Part 6
Further investigation
warranted?
NO Senior/lead/PEHO
confirms NFA
YES
Senior/lead/PEHO
completes FC1 Part 6
FC4 Part 3,
FC7, FC10,
FC12
11.0 Formal Action
probable
Investigating officer:
complete FC3/FC10/
FC12
11.2 – 11.5 The IO shall either
inspect and/or
interview if premise
is within EA area or
request detailed
information where
premise is outside
EA area
Complete FC13, FC13a FC13,
FC13a
11.6 – 11.7 Response from
HA/OA/
DARD FC13
request
NO Complete and
forward FC15
FC13
FC15
YES
Formal action
appropriate?
Complete and forward
FC16
FC16
11.8 – 11.9 Formal Investigation
complete
Complete FC1 Part 6 FC1 Part 6
11.10 Pass file to
senior/lead/PEHO
Complete FC1 Part 6 FC1 Part 6
24
12.1. – 12.3 Pass file to CEHO/
Director/EHS
Manager
Complete FC1 Part 6 FC1 Part 6
12.4 Implementation of
Recommendations
FC14,
FC16, FC7
Y ES
No Further Action NFA
FC10, FC12, FC3
FC10,
FC12, FC3
NO
Informal Warning Y ES Complete FC10,
FC12, FC3
NO
Formal Caution Y ES Complete FC10, FC12,
FC3
FC10,
FC12, FC3
NO
Legal Proceedings
Prior to hearing Notify Complainant
FC3
FC3
After hearing FC17, FC18, FC12
Complete FC1 Part 7
FC17,
FC18,
FC12, FC1
Part 7
Notify OFT
Close File
25
Appendix 1
Proforma
26
FOOD COMPLAINT FILE - COVER SHEET Complaint Ref. No:
Complainant’s name: Date complaint made:
Nature of complaint:
INVESTIGATION RECORD FORM TICK DATE
FC1 - PART1: Page 1 Fax/e-mail to Group
FC2 - acknowledgement of receipt of food complaint given to complainant
Complainant interviewed
FC3 - information to complainant
FC4 - referral of food complaint to another local authority for investigation
FC4(a)Notification to seller / manufacturer/ importer or
distributor of HYGIENE complaint.
FC5 - notification to complainant of referral to another local authority
FC6 - initial notification of food complaint sent to vendor
Response: verbal/written
FC6 - initial notification of food complaint sent to manufacturer
Response: verbal/written*
FC6 - initial notification of food complaint sent to
Response: verbal/written*
FC7 (+ copy FC6) - preliminary contact with Originating Authority/DARD*
Response: verbal/written*
FC7 (+ copy FC6) - preliminary contact with Home Authority/DARD*
Response: verbal/written*
FC8 – preliminary contact with DARD following receipt of notification from other local authority
FC9 - response from OA/HA* informing investigating authority that DARD is responsible authority
FC9 (a) Notification to complainant regarding outcome of
miscellaneous complaint (no food product).
FC10/FC11* - notification to vendor of no further action/informal warning*
FC10/FC11* - notification to manufacturer of no further action/informal warning*
FC10/FC11* - notification to ______________________ of no further action/informal warning*
Food complaint specimen sent for analysis/examination
Response: verbal/written*
Dates of visit(s) to vendor:
Dates of visit(s) to manufacturer:
Dates of other visit(s):
FC13 - request for detailed information sent to OA Response:
FC13 - request for detailed information sent to HA Response:
FC13 - request for detailed information sent to DARD Response:
27
FC15/FC16* - request for detailed information from
manufacturer
Response:
FC15/FC16* - request for detailed information from Response:
FC12 - notification of outcome of investigation sent to Originating Authority
FC12 - notification of outcome of investigation sent to Home Authority
FC12 - notification of outcome of investigation sent to DARD
FC17 - notification to complainant of outcome of prosecution
FC18 - notification to vendor/distributor/manufacturer/importer of outcome of prosecution
FC19 – UK Sample Liaison Body Notification
FILE CLOSED:
* Delete as appropriate
28
FC1 Investigation Record Form
BELFAST CITYCOUNCIL Complaint Ref. No: (* NECESSARY FIELDS FOR HYGIENE COMPLAINTS- USE AS APPROPRIATE) Computer Codes: Complaint Type: _______ MAFF Class: _______ Product Code: ______
PART 1 (To be completed by person receiving complaint)
*Alleged nature of complaint:
_____________________________________________________________________________________
_____________________________________________________________________________________
*Complainant interviewed: *Date: ________________________ *Time: ______________________
*Place: ________________________________________________________________________________
*Full Name of Complainant: _______________________________________________________________
*Full Address: __________________________________________________________________________
____________________________________________________ *Telephone No: _____________________
*Date received: *Time received: _________________
*Person receiving complaint: *Designation: ___________________
*How received: Telephone Letter In person Other
If Other, please specify
Has specimen/foreign matter been produced at time of making complaint? Yes No
If Yes, specify how secured and where stored: ________________________________________________
_____________________________________________________________________________________
If No, was complainant advised on how to preserve integrity of food/foreign matter? Yes No
If Yes, Food Stored in Locked Cupboard Fridge Freezer
Detailed description of food: __________________________________________________________________
______________________________________________________________________________________
______________________________________________________________________________________
Brand: ___________________________ Size: ___________________ Weight: ______________________
I.M.D. Code: __________________________________ Lot Code: ________________________________
Other codes, please specify: _______________________________________________________________
Any other relevant labelling/information: ____________________________________________________
______________________________________________________________________________________
______________________________________________________ Postcode: ______________________
Full Name of Purchaser (if different from Complainant): ________________________________________
Full Address: ____________________________________________ Telephone No: __________________
Manufacturer‟s Name & Address: __________________________________________________________ Postcode:
_______________________________________________________ Telephone No: __________________
* Full Name of Vendor: ____________________________________________________________________
* Full Address: ____________________________________________ Telephone No : _________________
*Type of premises: _______________________________________________________________________
*Date and time of incident____________ Date purchased: _______ Time purchased: ____Price Paid: ________
Any proof of purchase/receipt available? Yes No
Any special sales promotions? Yes No
If Yes, please specify: ____________________________________________________________________
29
FC1 Investigation Record Form
DISTRICT COUNCIL Complaint Ref. No:
*Has Complainant any connection with Vendor/Manufacturer/Distributor/Importer (e.g. previous employee)?
Yes No
*If Yes, please specify: _______________________________________________________________________
Method of packaging at time of sale: ___________________________________________________________
_________________________________________________________________________________________
Storage conditions at time of sale: _____________________________________________________________
_________________________________________________________________________________________
Destination of food: ________________________________________________________________________
Taken straight to destination? Yes No Specify: ____________________
________________________________________________________________________________________
Method of transportation: ___________________________________________________________________
Storage conditions in transit: _________________________________________________________________
Duration of journey: Weather conditions: _________________________
Storage conditions at destination (e.g. temperature, indication of pests): _______________________________
_________________________________________________________________________________________
_________________________________________________________________________________________
Food first opened - Date: Time: _________________
Food found to be unsatisfactory - Date: Time: _________________
Full Name & Address of Person finding food unsatisfactory: __________________________________
Full Name(s) & Address(es) of Person(s) consuming food: __________________________________________
_________________________________________________________________________________________
Full Name(s) & Address(es) of Witness(es) to discovery of problem: _________________________________
________________________________________________________________________________________
*Description of circumstances of discovery: ______________________________________________________
_________________________________________________________________________________________
_________________________________________________________________________________________
_________________________________________________________________________________________
Storage conditions after discovery: __________________________________________________
________________________________________________________________________________________
________________________________________________________________________________________
Any effects from consuming food? Yes No
If Yes, please specify: _____________________________________________________________________
________________________________________________________________________________________
________________________________________________________________________________________
Any treatment given to food at home (e.g. cooking)? Yes No
If Yes, please specify: ______________________________________________________________________
________________________________________________________________________________________
________________________________________________________________________________________
30
FC1 Investigation Record Form
DISTRICT COUNCIL Complaint Ref. No:
Any control article available from Complainant: Yes No
If Yes, please specify: _________________________________________________________________________
____________________________________________________________________________________________
____________________________________________________________________________________________
Any handling of article or foreign body subsequent to discovery of problem? Yes No
If Yes, please specify: _________________________________________________________________________
____________________________________________________________________________________________
____________________________________________________________________________________________
Has article been in contact with saliva? Yes No
Has Complainant notified Vendor? Yes No
If Yes, please specify: _________________________________________________________________________
___________________________________________________________________________________________
Response, if any: _____________________________________________________________________________
____________________________________________________________________________________________
Has Complainant notified Manufacturer/Distributor/Importer? Yes No
If Yes, please specify: _________________________________________________________________________
____________________________________________________________________________________________
Response: ___________________________________________________________________________________
____________________________________________________________________________________________
Time received: ________________________________________
*Complainant wishes his/her name and address to be given to the Company on completion of the
investigation. YES/NO
[If NO, Complainant informed that any person who may be prosecuted as a result of the complaint will
be notified of his/her name and address]
Request complainant to complete and sign the following:
I hereby confirm that concerning this complaint:
I wish the complaint to be investigated formally.
I wish to the complaint to be investigated informally only.
I am willing/not willing to make a written statement.
I am willing/not willing to be involved in legal proceedings.
I wish/do not wish to withdraw the complaint.
[ Delete as appropriate ]
I understand that the District Council reserves the right to take whatever action it deems appropriate
in respect of this complaint.
Signed: _______________________________________ Date: _________________________________
Complainant’s name (Block capitals)
Address: _____________________________________________________________________________
_________________________________________________________ Postcode: __________________
Completed form FC2 given to complainant/Representative Y/N Date received: _____________________
31
FC1 Investigation Record Form
DISTRICT COUNCIL Complaint Ref. No:
PART 2
*Witness statement(s) taken at this time? Yes No
If yes, from whom: _______________________________________________________________________
_______________________________________________________________________________________
PART 3
Food/Foreign matter inspected: Date:_____________________ Time: _________________________
Photograph(s) taken of food, foreign matter, etc.: Yes No
Findings of Investigating Officer‟s examination: ________________________________________________
_______________________________________________________________________________________
_______________________________________________________________________________________
_______________________________________________________________________________________
Food Stored in Locked Cupboard
Fridge number: -------------------------------
Freezer
PART 4
Recommendation of Investigating Officer: Further investigation warranted? Yes No
PART 5
Specimen sent for analysis? Yes No
If Yes, sent to: Public Analyst Date: Sample No: _____________________
Public Health Lab Date: Sample No: _____________________
Other Date: Sample No: _____________________
If Other, please specify:
___________________________________________________________________________
If destructive testing anticipated, photographs taken:
Copy of FC1 Part 1 sent with specimen/foreign matter (to Public Analyst/Entomologist etc):
Preliminary Results: ______________________________________________________________________
_______________________________________________________________________________________
_______________________________________________________________________________________
_______________________________________________________________________________________
32
FC1 Investigation Record Form
DISTRICT COUNCIL Complaint Ref. No:
Additional Information relating to investigation
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
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…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
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…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
Signed ………………………………………………….. Date ………………………………………
33
FC1 Investigation Record Form
DISTRICT COUNCIL Complaint Ref. No:
PART 6
INVESTIGATING OFFICER’S RECOMMENDATION (tick one)
No further action
Informal written warning
Formal caution
Prosecution
SENIOR/LEAD/PEHO RECOMMENDATION (tick one)
No further action
Informal written warning
Formal caution
Prosecution
DECISION OF CEHO/DIRECTOR OF ENVIRONMENTAL HEALTH/MANAGER OF EH
SERVICE (tick one)
No further action
Informal written warning
Formal caution
Prosecution
Signed …………………………………..… Date ………………………………………………….
Director of Environmental Health
RECOMMENDATION TO ENVIRONMENTAL HEALTH COMMITTEE (where no
delegated powers)
No further action
Informal written warning
Formal caution
Prosecution
Decision of Committee ……………………………………………… Date ………………………
Date of ratification of decision (if applicable) ……………………………………………………...
Date decision implemented …………………………………………………………………………
Date Complainant notified of Council decision …………………………………………………….
34
FC1 Investigation Record Form
DISTRICT COUNCIL Complaint Ref. No:
PART 7
DETAILS OF LEGAL PROCEEDINGS
Alleged offence(s):
Date set for hearing: at Court
Details of adjournments (if any):
Date of hearing: at Court
Outcome:
Case withdrawn Case dismissed Guilty (plea) Guilty (contested)
Penalty:
Absolute discharge
Conditional discharge Details:
Fine Amount:
Imprisonment Term:
Costs:
Solicitors costs
Court costs
Analyst‟s fee
Witness costs
Other costs
Costs awarded against District Council:
Certificate of Conviction obtained Date:
Any other relevant information:
35
FC1 Investigation Record Form DISTRICT COUNCIL Complaint Ref. No:
PART 8
PART 1 COMPANY REPRESENTATIVE EXAMINATION
Request received to examine specimen/foreign matter? YES NO
If YES, record details of examination below:
Vendor:
Nature of examination
Examined by (Name) (Position)
Representing
At:
Comments:
Signature: Date:
Signature of authorised officer present:
Comments:
Manufacturer:
Nature of examination
Examined by (Name) (Position)
Representing
At:
Comments:
Signature: Date:
Signature of authorised officer present:
Comments:
Other:
Nature of examination
Examined by (Name) (Position)
Representing
At:
Comments:
Signature: Date:
Signature of authorised officer present:
Comments:
NIFLG
FC2 Acknowledgement of Receipt of Complaint
ACKNOWLEDGEMENT OF RECEIPT OF FOOD COMPLAINT
D I S T R I C T C O U N C I L
THE FOOD SAFETY (NI) ORDER 1991 as amended
I acknowledge receipt of food complaint reference number from
COMPLAINANT‟S NAME:
ADDRESS:
Signed: Date:
Name in BLOCK CAPITALS:
Designation:
Please note the following:-
1. All food complaints made to this District Council are dealt with in accordance with the
requirements of the Food Safety (NI) Order 1991 as amended and Regulations and Codes of
Practice made thereunder.
2. The complaint will be investigated in respect of possible contravention of the Food Safety
(NI) Order 1991 and any decision regarding further action will lie solely with the District
Council. The matter of seeking compensation for complainants is not the purpose of any
investigation undertaken.
3. If the food was sold or supplied in another District Council‟s area, it will be forwarded to that
District Council for investigation of the complaint.
4. If necessary you will be interviewed by an authorised officer representing the investigating
District Council who will advise you fully of the investigation procedure.
5. The District Council may be obliged to release the name of the complainant to any
person who may be prosecuted as a result of the complaint.
6. All food complaints are thoroughly investigated and, where necessary, are sent for scientific
analysis. Any food subjected to detailed analysis may be destroyed in the process.
7. On completion of the investigation you will be advised of the outcome, however, you should
bear in mind the fact that the investigation and any follow up action may take some
time.
37
37
FC3 Information to Complainant
INFORMATION TO COMPLAINANT
[INSERT DISTRICT COUNCIL LETTERHEAD]
THE FOOD SAFETY (NI) ORDER 1991 as amended
Dear Sir/Madam,
The Food Safety (NI) Order 1991 as amended
RE: (business trade name and seller)
I write further to your complaint made/referred* to this department on [insert date of complaint]
concerning [insert details of alleged complaint].
Your complaint has been investigated and it has been decided:-
[insert either]
* Not to take any further action because [insert explanation].
* That while the matter will not be proceeded with formally, it will be brought to the
attention of [insert details].
* To issue a formal caution.
I thank you for drawing this matter to my attention. Should you require further information,
please do not hesitate to contact me.
[or]
To prosecute [insert who is being prosecuted and brief details of offence]
The case is scheduled to be heard at [insert name of Magistrates’ Court] on [insert date of
hearing] at [insert time of hearing].
You may be required to attend as a witness. An officer from this Department will contact you in
order to make the necessary arrangements.
Yours faithfully,
_______________________________________
[* Delete as necessary]
PS/CC/<> <>
Complaint Ref. No.:
38
FC4 (a) Notification to seller/ manufacturer/ importer or distributor of (hygiene) complaint.
[INSERT DISTRICT COUNCIL LETTERHEAD]
<> <> Dear Sir/Madam RE: The Food Safety (NI) Order 1991 as amended On <(date)> this department received a complaint relating to <(nature of hygiene complaint)> at<> (premises name and address). This notification is given in accordance with the Statutory Code of Practice on Legal Matters made under the above-mentioned legislation. Yours faithfully
<> <> (Food Safety)
39
FC4 Referral of Food Complaint to Responsible Authority for Investigation
REFERRAL OF FOOD COMPLAINT TO ANOTHER LOCAL AUTHORITY
RESPONSIBLE FOR INVESTIGATION
[INSERT DISTRICT COUNCIL LETTERHEAD]
THE FOOD SAFETY (NI) ORDER 1991 as amended
PRODUCT:
Date of receipt of complaint:
Referred for investigation to
Address:
Photocopy of form FC1 attached:
Method of transfer/transport of specimen/foreign matter:-
TICK ONE:-
By hand by to
(Signature) (Signature)
By registered post/ Date of posting: Ref:
recorded delivery
Other. Please specify
Date: Time:
Signed: Date:
Name in BLOCK CAPITALS:
Designation:
Complaint Ref. No.:
40
FC5 Notification of Complaint to Another Authority for Investigation
NOTIFICATION TO COMPLAINANT OF REFERRAL OF FOOD COMPLAINT TO
ANOTHER LOCAL AUTHORITY RESPONSIBLE FOR INVESTIGATION
[INSERT DISTRICT COUNCIL LETTERHEAD]
THE FOOD SAFETY (NI) ORDER 1991 as amended
Dear Sir/Madam,
The Food Safety (NI) Order 1991
I refer to your complaint relating to [insert name of food]
made to this Council on [insert date complaint made] .
This matter has been referred to the appropriate investigating authority, namely [insert name of
district
council] . Should you require any further information you should
contact the environmental health department of that District Council at: [insert name and address,
and
telephone number]
Yours faithfully
_________________________________
Complaint Ref. No.:
41
FC6 Initial Notification of Food Complaint Investigation to Vendor/Distributor/ Manufacturer/Importer
INITIAL NOTIFICATION OF FOOD COMPLAINT INVESTIGATION TO
VENDOR/DISTRIBUTOR/MANUFACTURER/IMPORTER*
[INSERT DISTRICT COUNCIL LETTERHEAD]
THE FOOD SAFETY (NI) ORDER 1991 as amended
This department has received a complaint relating to a food sold/distributed/manufactured/ imported* by
you. The details of the complaint known at present are set out below. This notification is given to you in
accordance with the Food Safety (NI) Order 1991 as amended, Code of Practice.
A copy of this notification will be forwarded to the district council/enforcing authority within whose area the
product originated and/or the district council/enforcing authority which has home authority responsibility for
food safety matters in respect of your business.
We will be in contact with you at a later date and may invite formal comment at that stage. In the meanwhile
should you wish to make arrangements to view the food/foreign matter please contact the undersigned.
Name of food:
Product Details/Codes:
Where Purchased:
Address:
When Purchased: Date: Time:
Nature of complaint:
When complaint received: Date: Time:
+ Name and Address of Complainant:
Signed: Date:
Name in BLOCK CAPITALS:
Designation:
* Delete as appropriate + Provide name and address of complainant only if appropriate at this time.
Complaint Ref. No.:
42
FC7 Preliminary Contact with Originating/Home Authority/ Department of Agriculture
PRELIMINARY CONTACT WITH ORIGINATING AUTHORITY/HOME AUTHORITY/
DEPARTMENT OF AGRICULTURE AND RURAL DEVELOPMENT*
[DISTRICT COUNCIL LETTERHEAD]
THE FOOD SAFETY (NI) ORDER 1991 as amended
This department has received a complaint relating to food produced by a company for which we believe you
are the originating authority/home authority/authority responsible for hygiene matters*. The details of the
complaint known at present are set out below.
Food Complaint
Name of Product:
Product Details/Codes:
Nature of Complaint:
Date of Complaint:
Legislation allegedly contravened:
Manufacturer
Name:
Address:
Post Code:
Supplier
Name:
Address:
Post Code:
* Delete as appropriate
Complaint Ref. No.:
43
REASON FOR REFERRAL
TICK as appropriate
Information only (no further contact with sender required).
We would be grateful for any initial response you may have which may assist this
Council in deciding whether further investigation is necessary
Should we wish to obtain further more detailed information from you we will forward a
suitable questionnaire at a later date.
Please find attached a copy of the initial notification to the Vendor/Distributor/Manufacturer/
Importer* (FC6)
Signed: Date:
Name in BLOCK CAPITALS:
Designation:
* Delete as appropriate
44
FC8 Preliminary Contact with the Department of Agriculture and Rural Development for Northern Ireland
following Receipt of Notification of Food Complaint from Other Local Authority
PRELIMINARY CONTACT WITH THE DEPARTMENT OF AGRICULTURE AND RURAL
DEVELOPMENT FOLLOWING RECEIPT OF NOTIFICATION OF FOOD COMPLAINT FROM
OTHER LOCAL AUTHORITY
[DISTRICT COUNCIL LETTERHEAD]
THE FOOD SAFETY (NI) ORDER 1991 as amended
This department has received a complaint relating to food produced by a company for which we
believe you are the authority responsible for hygiene matters. The details of the complaint known
at present are set out in the enclosed documents (Ref: FC5 and FC6).
I would be grateful if any response concerning this matter could be directed to the Local Authority
who received the complaint and not to this Authority.
Signed: Date:
Name in BLOCK CAPITALS:
Designation:
Complaint Ref. No.:
45
FC9 Response to Investigating Authority from Originating/Home* Authority Following Initial Notification of
Food Complaint Investigation
RESPONSE TO INVESTIGATING AUTHORITY FROM ORIGINATING/HOME*
AUTHORITY FOLLOWING INITIAL NOTIFICATION OF FOOD COMPLAINT
INVESTIGATION
[DISTRICT COUNCIL LETTERHEAD]
THE FOOD SAFETY (NI) ORDER 1991 as amended
Further to your initial notification of food complaint I would inform you that the Department of
Agriculture and Rural Development are responsible for hygiene matters in the premises from which
the food originated. Consequently I have forwarded your correspondence on to the responsible
person as set out below and have asked them to respond directly to you. Any further
correspondence in connection with this matter should be directed to that officer and not to this
department.
CONTACT DETAILS
NAME:
POSITION:
ADDRESS:
TEL NO.:
FAX NO.:
Signed: Date:
Name in BLOCK CAPITALS:
Designation:
Complaint Ref. No.:
46
FC 9(a)Notification to complainant regarding outcome of a miscellaneous complaint (no food
product)
PS/CC/<> <>
<>
<>
Dear <> RE:
*The Food Safety (NI) Order 1991 as amended
*Regulation (EC) No 852/2004
*The Food Hygiene Regulations (NI) 2006 I write further to your complaint made to this department on <(date)> relating to alleged <(nature of allegation)>. An investigation has been carried out and the City Council has decided to take (outline enforcement action e.g. issue Written Warning etc.) on the following grounds: <> Thank you for drawing this matter to my attention. Should you require any further information, please do not hesitate to contact me. Yours sincerely
<> <> (Food Safety)
47
FC10 Notification to Vendor/Distributor/Manufacturer/Importer* that no Further Action is to be taken/is
necessary
NOTIFICATION TO VENDOR/DISTRIBUTOR/MANUFACTURER/IMPORTER* THAT
NO FURTHER ACTION IS TO BE TAKEN/IS NECESSARY
[DISTRICT COUNCIL LETTERHEAD]
THE FOOD SAFETY (NI) ORDER 1991 as amended
*(delete as appropriate)
Dear Sir/Madam,
The Food Safety (NI) Order 1991 as amended
Further to initial notification of *food complaint *unhygienic practices *unhygienic premises
forwarded to you on
I write to inform you that no further action will be taken on this occasion/is necessary.
]
If you require any further information please do not hesitate to contact me.
Yours faithfully,
_______________________________________
Complaint Ref. No.:
48
FC11 Informal Warning to Vendor/Distributor/Manufacturer/Importer
INFORMAL WARNING TO VENDOR/DISTRIBUTOR/MANUFACTURER/IMPORTER*
[DISTRICT COUNCIL LETTERHEAD]
THE FOOD SAFETY (NI) ORDER 1991 as amended
Dear Sir/Madam,
The Food Safety (NI) Order 1991 as amended
Further to initial notification of *food complaint *unhygienic practices *unhygienic premises
forwarded to you on
I write to inform you that formal action will not be taken on this occasion. However, I must advise
you that this complaint may be taken into consideration in investigating any further substantiated
complaints of a similar nature.
If you require any further information please do not hesitate to contact me.
Yours Faithfully
_______________________________________
* Delete as appropriate
Complaint Ref. No.:
49
FC12 Notification to Home/Originating Authority/Department of Agriculture and Rural Development of
Outcome of Investigation
NOTIFICATION TO HOME /ORIGINATING AUTHORITY/DEPARTMENT OF
AGRICULTURE* OF OUTCOME OF INVESTIGATION
[DISTRICT COUNCIL LETTERHEAD]
THE FOOD SAFETY (NI) ORDER 1991 as amended
Further to earlier correspondence from this department on
the outcome of the investigation is as follows:-
* No further action taken.
* No further action taken by this Council, however, as *Home/Originating Authority you may wish to raise
the matter with the company concerned.
* Informal action taken, namely -
The reasons for taking the action outlined above were as follows:-
* Formal caution served on
Date:
* Legal proceedings instituted in respect of the following offence(s):
at Magistrates‟ Court on
resulting in
Signed: Date:
Name in BLOCK CAPITALS:
Designation:
* Delete as appropriate
Complaint Ref. No.:
50
FSC Food Complaint – Sample Submission Form
BELFAST CITY COUNCIL
THE FOOD SAFETY (NI) ORDER 1991 as amended
FORM FSC FOOD COMPLAINT - SAMPLE SUBMISSION FORM
AUTHORISED OFFICER: SAMPLE NO:
Detailed description of food:
BRAND: SIZE: WEIGHT:
IMD CODE: LOT CODE:
Storage conditions specified on label:
Food/Foreign matter examined by importer/manufacturer/distributor/vendor? YES NO
Specify:
Date of receipt of complaint:
Any other relevant information:
Analysis required:
METHOD OF TRANSFER (Tick One)
BY HAND - BY: (Signature) TO: (Signature)
DATE: TIME:
BY REGISTERED POST - DATE OF POSTING: REFERENCE NO:
OTHER - PLEASE SPECIFIY DATE: TIME:
Signed: DATE:
(Authorised Officer)
THIS FORM MUST BE ACCOMPANIED BY A COPY OF PART 1 OF FC1
FOR LABORATORY USE
RESULT OF ANALYSIS: GENUINE/ADULTERATED
FEE CATEGORY:
COMMENTS:
SIGNED: DATE:
PUBLIC ANALYST
Complaint Ref. No: 816/C/ FH/FS
51
FC13 Request for Detailed Information from Home/Originating Authority/Department of Agriculture and Rural
Development
REQUEST FOR DETAILED INFORMATION FROM HOME/ORIGINATING
AUTHORITY/DEPARTMENT OF AGRICULTURE
[DISTRICT COUNCIL LETTERHEAD]
THE FOOD SAFETY (NI) ORDER 1991 as amended
Further to earlier notification from this District Council on
relating to
a summary of the analysis/examination of the food is as follows:
* I enclose a photograph/analyst‟s report/food examiner‟s report/the article itself*
I would be grateful if you would complete and returned the attached questionnaire at your earliest
convenience.
The information which you provide will assist the District Council in deciding the course of action
to be taken in relation to this complaint.
Thank you for your co-operation in this matter.
Signed: Date:
Name in BLOCK CAPITALS:
Designation:
Delete as appropriate
Complaint Ref. No.:
52
[DISTRICT COUNCIL LETTERHEAD]
THE FOOD SAFETY (NI) ORDER 1991 as amended
QUESTIONNAIRE
Details provided by:
NAME:
DESIGNATION:
AUTHORITY:
ADDRESS:
POSTCODE:
TEL. NO.:
FAX NO.:
QUESTIONS:
1?
2?
3?
4?
5?
6?
7?
8?
9?
10?
Signed: Date:
Name in BLOCK CAPITALS:
Designation:
NOTE:
Questions should be specific to the investigation in hand as opposed to being
general in nature. Never include open-ended questions, particularly about
food safety policy and quality control systems. Never request an opinion on
whether a food business has a due diligence defence in respect of a particular
incident. See FC14 Annex for example of appropriate questions.
Complaint Ref. No.:
53
FC13a Example of Appropriate Questions to ask Home/Originating Authority/Department of Agriculture and
Rural Development
EXAMPLE OF QUESTIONNAIRE RELATING TO METAL IN PRODUCT
[DISTRICT COUNCIL LETTERHEAD]
THE FOOD SAFETY (NI) ORDER 1991 as amended
QUESTIONNAIRE
Details provided by:
NAME:
DESIGNATION:
AUTHORITY:
ADDRESS:
POSTCODE:
TEL. NO.:
FAX NO.:
QUESTIONS:
1 Does the company have a Hazard Analysis System? YES/NO
2 From your knowledge do the company always implement the hazard
analysis system?
YES/NO
3 Does the Hazard Analysis System indicate that products such as this
are always subjected to metal detection?
YES/NO
4 If available please forward a copy any documented procedure relevant
to metal detection.
YES/NO
5 From your knowledge does the company always put this procedure
into practice?
YES/NO
6 Are the metal detectors checked for correct operation? YES/NO
7 If yes, how often? Every 15 mins.
Every ½ hour.
Every hour.
Every 2 hours.
Other. Specify …..…………………..
Complaint Ref. No.:
54
8 Who checks the metal detectors? ……………………………………………………….
……………………………………………. …………………………………………….
9 Is there an independent check of metal detectors (e.g. QC Dept.)
YES/NO
10 What size of test pieces are used? ……………… mm ferrous
……………… mm non ferrous
11 Do the metal detector records for the time period during which this product was
manufactured give any indication of failure?
YES/NO
12 If yes, what remedial action was taken ………………………………
………………………………………………………………………..
13 If possible please forward photocopy of metal dector records for the period in question.
14 Are you aware of any similar current or past non compliances and/or investigations?
YES/N
O
15 If yes, please supply brief details:-
16 Has your authority given advice to the company in relation to prevention of complaints
of this nature?
YES/N
O
17 If yes, please supply brief details.
18 Has the company received advice in relation to prevention of complaints of this nature
from independent advisors or consultants?
YES/N
O
19 If yes, please supply brief details.
20 If you wish to express an opinion on the companies overall systems that might contribute
to due diligence or if you have any further information which you consider may be
relevant to this case please indicate below:-
Signed ……………………………………. Date ………………………………….
55
FC14 Standard Letter to Accompany Home Authority Referral to be Forwarded to Department of Agriculture
and Rural Development
STANDARD LETTER TO ACCOMPANY HOME AUTHORITY REFERRAL TO BE
FORWARDED TO DEPARTMENT OF AGRICULTURE
[DISTRICT COUNCIL LETTERHEAD]
THE FOOD SAFETY (NI) ORDER 1991 as amended
Dear Sir/Madam,
FOOD COMPLAINT INVESTIGATION
This department has received the enclosed enquiry from
relating to a product manufactured by
As the Department of Agriculture is responsible for enforcing food hygiene requirements in the
establishment/part of the establishment* where the product was manufactured, I would be grateful if
you would provide the information requested directly to the person indicated.
Thank you for your co-operation in this matter.
Yours faithfully,
_________________________________________
* Delete as appropriate
Complaint Ref. No.:
56
FC15 Request for Detailed Information from Manufacturer/Distributor/Importer Where no Response Received
from Home/Originating Authority
REQUEST FOR DETAILED INFORMATION FROM MANUFACTURER/DISTRIBUTOR/
IMPORTER WHERE NO RESPONSE HAS BEEN RECEIVED FROM
HOME/ORIGINATING AUTHORITY
[DISTRICT COUNCIL LETTERHEAD]
THE FOOD SAFETY (NI) ORDER 1991 as amended
Dear Sir/Madam,
Food Safety (NI) Order 1991 as amended - Food Complaint Investigation
Further to earlier notification from this District Council on
(copy attached) I would inform you of the following:-
[INCLUDE SUMMARY OF FINDINGS TOGETHER WITH ANALYST‟S/EXAMINER‟S
OR OFFICER‟S FINDINGS]
I would be pleased to receive your comments on these findings, in particular the precautions taken
by your company to prevent such complaints arising and any other relevant information which may
indicate that you have taken all reasonable precautions and exercised all due diligence in respect of
this matter.
In accordance with the provisions of the Police and Criminal Evidence (NI) Order 1989 and Code
of Practice C issued thereunder I am obliged to inform you that you do not have to reply to this
letter but I must caution you that if you do not mention something which you later rely on in court,
it may harm your defence. If you do mention anything, it may be given in evidence.
You may wish to seek legal advice before responding to this letter and any such response should be
made by a person entitled to speak on behalf of your business.
Yours faithfully,
___________________________________________
Complaint Ref. No.:
57
FC16 Request for Detailed Information from Manufacturer/Distributor/Importer Where no Response Received
from Home/Originating Authority Indicates that Formal Action Would be Appropriate
REQUEST FOR DETAILED INFORMATION FROM MANUFACTURER/DISTRIBUTOR/
IMPORTER WHERE RESPONSE RECEIVED FROM HOME/ORIGINATING
AUTHORITY INDICATES THAT FORMAL ACTION WOULD BE APPROPRIATE
[DISTRICT COUNCIL LETTERHEAD]
THE FOOD SAFETY (NI) ORDER 1991 as amended
Dear Sir/Madam,
Food Safety (NI) Order 1991 as amended - Food Complaint Investigation
Further to earlier notification from this District Council on
(copy attached) I would inform you of the following:-
[INCLUDE SUMMARY OF FINDINGS (INCLUDING
HOME/ORIGINATING AUTHORITY‟S FINDINGS) TOGETHER WITH
ANALYST‟S/EXAMINER‟S OR OFFICER‟S FINDINGS]
As there are reasonable grounds for suspecting that an offence has been committed under [INSERT
RELEVANT LEGISLATION] I am giving you this opportunity to comment.
In accordance with the provisions of the Police and Criminal Evidence (NI) Order 1989 and Code
of Practice C issued thereunder I am obliged to inform you that you do not have to reply to this
letter but I must caution you that if you do not mention something which you later rely on in court,
it may harm your defence. If you do mention anything, it may be given in evidence.
You may wish to seek legal advice before responding to this letter and any such response should be
made by a person entitled to speak on behalf of your business.
Yours faithfully,
___________________________________________
Complaint Ref. No.:
58
FC17 Notification of Complainant of Outcome of Prosecution
NOTIFICATION TO COMPLAINANT OF OUTCOME OF PROSECUTION
[DISTRICT COUNCIL LETTERHEAD]
THE FOOD SAFETY (NI) ORDER 1991 as amended
Dear
Food Safety (NI) Order 1991 as amended
I refer to my previous letter to you of in connection with your
complaint made/referred* to this District Council on relating to
I wish to advise you that the case against
was heard on
at Magistrates‟ Court.
The outcome of the case was as follows:-
I would thank you for your assistance in this matter and if you require any further information
please do not hesitate to contact me.
Yours faithfully,
___________________________________________
* Delete as appropriate
Complaint Ref. No.:
59
FC18 Notification to Vendor/Distributor/Manufacturer/Importer of Outcome of Prosecution
NOTIFICATION TO VENDOR/DISTRIBUTOR/MANUFACTURER/IMPORTER OF
OUTCOME OF PROSECUTION
[DISTRICT COUNCIL LETTERHEAD]
THE FOOD SAFETY (NI) ORDER 1991 as amended
Dear
Food Safety (NI) Order 1991 as amended
I refer to my previous letter to you of in connection with the
complaint made/referred* to this District Council on relating to
I wish to advise you that the case against
was heard on
at Magistrates‟ Court.
The outcome of the case was as follows:-
I would thank you for your assistance in this matter and if you require any further information
please do not hesitate to contact me.
Yours faithfully,
___________________________________________
* Delete as appropriate
Complaint Ref. No.:
60
FC19 UK Sample Liaison Body Notification
Notification of Incident to Home Authority LACORS …… promoting quality regulation
Exchange of Information : Routine Food Matters
Please complete all parts of this form in capital letters or type
Directed to Info Only* EA Ref:
Country Action Requested LACORS Ref:
Name and Address of Enforcing Authority
Contact Officer: Tel:
Fax:
Full product description (to include product name, or brand name, identification codes):
Nature of complaint/request:
Date of Notification Photo Yes No
Names and addresses of Manufacturer, Packer, Retailer, Wholesaler (where appropriate)
61
Details of investigation by EA: Please include details of who has been contacted i.e. importer; any appropriate
UK Home Authority and include details of measures or action taken and outcome of enquiry.
Action to be requested of HA: Please specify comprehensively the nature of the information required.
Is the information intended to be used for prosecution?
Yes No Maybe Please tick as appropriate
If “maybe” please be aware of time delays due to the need to reconfirm information for prosecution purposes. In
relation to offences under UK Food legislation please detail any time bars.
Signed: Date sent:
Please forward this form when complete to FSA (NI), 10A –C Clarendon Road, BELFAST, BT1 3BG
62
APPENDIX 2
GUIDANCE ON MINOR OR UNJUSTIFIED COMPLAINTS
63
METAL
There are no tests which will confirm that a piece of metal has been heat treated in a food. A simple
test with a magnet will determine if it is ferrous of non-ferrous (note – stainless steel with > 13% Cr
will not respond to a magnet. If it has been in contact with the complainant‟s mouth in contact with
saliva and dried out the adhering food matter proves nothing.
Note the dimensions of the metal and check with the home authority/premises on metal detection
measures and/or missing bolts, screws etc. in machinery. On-going repairs or maintenance in the
premises when the product was produced is often a source.
Submit a metal sample if:-
it is a swarf – it may need chemical analysis to determine what type of metal it is
if there are clearly baked-on residues and you are not confident in presenting this kind of
evidence before a court yourself.
INSECTS
Insects are generally submitted to the public analyst for evidence of heat treatment. This is sought
by the absence of enzyme activity. But enzymes are also found in body fluids and can be destroyed
by contact with acidic media (e.g. soft drinks) or in long dead insects. These limitations should be
borne in mind when determining whether or not a specific investigation will assist.
Insects found singly and alive should generally not be pursued unless further infestation is
suspected.
STRUVITE
Magnesium ammonium phosphate found in canned fish – it is naturally occurring.
FISH WHICH GLOW IN THE DARK
Plankton or Pseudomonas spp. – not radioactivity.
IRRIDESCENCE ON SLICED COOKED MEAT
This is caused by a pattern of striated muscle fibres mimicking a diffraction grating leading to
refraction of light into a spectrum.
SCAMPI/SHELLFISH
„Fingernail‟ – Pieces of shell
„Plastic‟ – Antennae
„Hair‟ – Filamentous seaweed
64
Appendix 3
COMPLAINT TYPE COMPUTER CODES
CATEGORY:
F01 URGENT
F02 NON-URGENT
TYPE:
FC2 HYGIENE OF PREMISES COMPLAINT
FC3 FOOD STANDARDS COMPLAINT
65
Appendix 4
PRODUCT COMPUTER CODES
ADDITIVES M71
CEREALS & BAKERY PRODUCTS M72
BEVERAGES M73
CONFECTIONERY M74
DAIRY PRODUCTS M75
DRINKS
Wine M76
Alcoholic M77
Non-Alcoholic M78
EGG & EGG PRODUCTS M79 FISH & SHELLFISH M80
NUTRITIONAL PRODUCTS M81
FRUIT & VEGETABLES M82
HERBS & SPICES M83
ICES & DESSERTS M84
CONTACT MATERIALS M85
MEATS M86
NUTS M87
PREPARED DISHES M88
SOUPS & SAUCES M89
OILS & FATS M90
OTHER M91
66
Appendix 5
SOME FACTORS INFLUENCING PROSECTION DECISIONS
FOR PROSECUTION AGAINST PROSECUTION SCORE
1 Serious Incident Minor Incident
2 Major injury or Illness involved No injury or illness
3 Deliberate or Fraudulent Act Unforseeable/error or judgement
4 Inadequate safety or hygiene systems All reasonable steps taken
5 Multiple or frequent occurrence Single incident
6 Previous advice already given to Company No precise information given by Inspector
7 Company aware of risk involved Company could not have been aware of risk
8 Management/Supervisor responsible for incident Employee or supplier responsible for incident
9 No or inadequate written policy Detailed and adequate Company Policy
10 General standards subjectively poor General standards high
11 Poor record of safety/hygiene Satisfactory record
12 Previous prosecution for similar offence First offence
13 No remedial action taken Remedial action already taken
14 No specific remedy proposed by management Specific remedy already proposed
15 Management obstructive in investigation Management co-operative with investigation
16 Attempt made to cover up true facts Attitude open and honest
17 Large Company that should have known better Small firm of limited resources
18 Council image tarnished if no prosecution Prosecution seen as over zealous enforcement
19 Subject of reliable complaint Complainant unreliable or unwilling to give
evidence
20 Council has previously prosecuted other firms for
similar offence
Similar offences not previously prosecuted
21 Trade Union or other organisation have previously
brought problem to notice of management
Trade Union or other organisations, disinterested or
opposed to proceedings
22 Inspector noted problem on previous occasions Inspector overlooked problem on previous
occasions.
23 Inspector seen to be following up previous warning Previous warnings never followed up.
24 Prosecution will secure definite results eg.
protection of workforce
No obvious improvement in safety or hygiene will
result from prosecution.
25 Prosecution will resolve important legal issue. Prosecution will not clarify legal issues.
26 Prosecution will resolve responsibility within the
Company.
Person at fault already known.
27 Publicity of prosecution may improve hygiene or
safety at other premises.
Publicity unlikely to have any good results.
TOTAL SCORE
If the statements in column 1 are true Score –1
If the statements in column 2 are true Score +1
If neither statements are true, or not applicable Score NIL
A total minus score will favour a prosecution decision.
However, a prosecution must be justifiable by a logical argument including such reasons as:
a) the protection of employees or members of the public
b) to remedy deficiencies due to incompetent or irresponsible actions
c) to discourage a prevalent contravention
d) to resolve an important legal issue
e) to reassure a complainant or group of complainants where a particular contravention has caused serious
concern.