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Steve Stich Director Safety and Inspection

Standard 6 Breakout Session Compliance and Enforcement Program. March 12, 2014 8:00am – 12:00 pm. Julie Loera Food Safety Officer Texas Department of State Health Services. Steve Stich Director Safety and Inspection. Agenda Strengthening Compliance and Enforcement .

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Steve Stich Director Safety and Inspection

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  1. Standard 6 Breakout Session Compliance and Enforcement Program March 12, 2014 8:00am – 12:00 pm Julie Loera Food Safety Officer Texas Department of State Health Services Steve Stich Director Safety and Inspection

  2. AgendaStrengthening Compliance and Enforcement • Welcome and Introductions • Current Status of Standard 6 Implementation • Developing an Enforcement Program • Q & A • Brainstorming • Summary and Challenge • Reporting out

  3. Housekeeping • Honor time schedule • Stay on topic • Get input from everyone • Be willing to share • Respect different program cultures • Do not reference specific audits • Be creative, ask questions – parking lot • Facilitators – responsible for process • Participants – responsible for content

  4. Focus for Change • 31% - State programs have a compliance and enforcement program that has written procedures to ensure that compliance actions are supported. (Ref. MFRPS 6.4) • 15% - State programs conduct a performance review every 12 months(Ref. MFRPS 6.3) • 13% - State programs calculate an overall rating of compliance and enforcement (Ref. MFRPS 6.3) • 11% - State programs calculate and determine performance ratings (Ref. MFRPS 6.3) • 30% - State programs use a risk based program (Ref MFRPS 6.3)

  5. Breakout Sessions Objectives • Identify resources that currently exist • Identify best practices in SOP development and implementation that has been used by state programs • Identify what internal verification procedures are being utilized by state programs

  6. Standard Six

  7. Standard Six

  8. Standard 6 - Compliance and Enforcement Program Julie Loera Food Safety Officer Texas Department of State Health Services March 12, 2014 8:00 am

  9. Standard 6 Requirement The State program conducts a performance review of enforcement actions. • Enforcement actions are recorded on appendix 6.2 and an overall rating is calculated to determine if internal procedures for enforcement and compliance action are followed. • Performance ratings that fall below 80% indicate a need for improvement and require corrective action

  10. Development Process • Flow diagram compliance and enforcement process • Identify steps in the process that would affect enforcement if not handled correctly

  11. Development Process • Flow diagram compliance and enforcement process • Identify steps in the process that would affect enforcement if not handled correctly • Develop procedures for selection and conducting audits

  12. Compliance and Enforcement SOP • Definitions • Compliance • Enforcement • Audit Selection Procedures • Frequency • File Selection • Audit Completion • Roles • Audit Results

  13. Development Process • Flow diagram compliance and enforcement process • Identify steps in the process that would affect enforcement if not handled correctly • Develop procedures for selection and conducting audits • Develop auditing questions • Set of 17 questions for compliance • Set of 7 questions for enforcement

  14. Development Process • Flow diagram process compliance and enforcement process • Identify steps in the process that would affect enforcement if not handled correctly • Develop procedures for selection and conducting audits • Develop auditing questions • Set of 17 questions for compliance • Set of 7 questions for enforcement • Utilize Excel to determine element scoring

  15. Schedule for Implementation • Finalize procedures and forms April 2014 • Pilot the audit in May 2014 • Revisions based on Pilot in August 2014 • Finalize and perform first official audit in Oct-Nov 2014

  16. Contact Information Julie Loera Food Safety Officer Texas Department of State Health Services Email: Julie.Loera@dshs.state.tx.us

  17. Standard 6 – Compliance Decisions Steve Stich Director NYS Dept of Agriculture and Markets Division of Food Safety and Inspection Date Time

  18. STANDARD 6 COMPLIANCE PROGRAM • Written enforcement strategies • Tracking critical and chronic violators • Risk based system • Timeline for progressive actions • Communication system

  19. STATUTORY AUTHORITY • Article 2 §20 provides statutory authority for access to premises for inspection (refusal of access may result in request from the New York State Supreme Court for an inspection warrant). • Article 3 §39 and 40 provide authority for civil penalties for statutory and regulatory violations respectively. • Article 17 §199a provides statutory authority regarding adulterated foods • Article 17 §199b provides statutory authority regarding colors • Article 17 §199b provides statutory authority regarding tainted foods (additives) • Article 17 §202b provides statutory authority regarding violation of food seizure

  20. COMPLIANCE DECISIONS • All decisions made by Central Office • Reports submitted electronically • Reviewed by Compliance Unit • Supported by Counsel’s Office

  21. COMPLIANCE TOOLS • Warning letters • Civil penalties • Industry compliance sessions • Administrative hearings • Court injunctions • Warrants

  22. LEGAL ACTION POLICY • Insanitary conditions • Critical • General • Food Seizure • Violation of Food Seizure • Operating without a License • Adulterated Food (other) • Misbranding

  23. LEGAL ACTION POLICY (insanitary conditions) • First Inspection • Warning Letter • $600 Penalty for * Critical Def., and Appeal Instruction Letter • Second Inspection • $600 For Critical, and Appeal Instruction Letter • $1,200 For * Critical • Legal Letter (in both cases) • Third Inspection • $1,200 for Critical, and Industry Compliance Session • $1,200, or $400 per * Critical, and industry Compliance Session

  24. LEGAL ACTION POLICY Fourth Inspection • $1200 or $800 per * Critical • $1200 or $400 per Critical $100 per General $600 Adulterated Food • Hearing/Injunction Referral (both)

  25. LEGAL ACTION POLICY Fifth Inspection • $1200 or $800 per * Critical • $1,200, or $800 per Critical, and $200 per General $1,200 Adulterated food • Service of Commissioner’s final determination of hearing, or Order of injunction Sixth Inspection • $1,200, or $800 per Critical, and $200 per General $1,200 Adulterated food • Injunction referral • $1200 per * Critical • Contempt referral

  26. LEGAL ACTION POLICY • Interference/Harassment • Summary Suspension • Temporary Restraining Order • Inspection Warrant • Arrest Warrant

  27. APPEALS AND COLLECTION • Counsel’s office • Appeals • Penalty Reduction Program • Monthly Payment plan • Collection • 2nd Reminder Letter Initiating Pleadings Served • Default Judgment Within a Year • Present Case in Court • Can Settle at any Time During Process

  28. Contact Information Steve Stich Steve Stich Director NYS Dept of Agriculture and Markets Division of Food Safety and Inspection Email: stephen.stich@agriculture.ny.gov

  29. Questions

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