Commission Decision of 24 July 2008 on guidelines to assist Member States in preparing the annual report on the single integrated multiannual national control plan provided for in Regulation (EC) No 882/2004 of the European Parliament and of the Council (notified under document number C(2008) 3756) (Text with EEA relevance) (2008/654/EC)

9.2.2. Analysis of non-compliance U.K.

Analysis of non-compliance is an integral part of determining the appropriate corrective measures to be taken to ensure effective operation of control systems. This section includes examples of factors which may be taken into account in the performance of such an analysis and which may contribute to determining the subsequent actions to be taken to ensure the effectiveness of the national control plans (refer to Section 9.4).

That analysis of non-compliance, in line with best practice, may for each sector consider the occurrence, the risk arising and where relevant the root causes of non-compliance. Conclusions may be provided on the basis of the following analyses, and may assess the potential significant consequences of the non-compliances in terms of risks to humans, animals or plants, and where relevant the root causes of these non-compliances. In order to carry out such analysis it may be necessary to consider data collected over a period of years, and if appropriate, reference may be made to previous official controls.

9.2.2.1. Occurrence of non-compliance U.K.

The purpose of this section is to provide some guidance as to how an analysis of the frequency and type of non-compliances may be performed. The analysis may be broken down by sectors and/or competent authorities, as appropriate. The analysis may, where appropriate, provide answers to questions such as:

(a)

what was the frequency of non-compliances in various sectors? This is particularly relevant in cases where significant deviations from the overall compliance are evident in some sectors or in official controls carried out by certain competent authorities;

(b)

were the non-compliances randomly distributed in time and space or was there some clustering at particular points or production stages and were there indications of emerging trends?

(c)

the type of non-compliances, that is whether they were related to structural, operational or end-product related requirements? Other types may include non-compliances related to self-controls, administrative aspects or documentation (for example traceability). Non-compliances may also be categorised as major/minor, systematic/sporadic etc.;

(d)

were the non-compliances scattered all along the feed and food chain or concentrated at primary production or further down the chain?

(e)

were there possibly multiple clusters of non-compliances along certain chains?

(f)

does the pattern of non-compliances indicate that there are critical control stages along the production chain(s)?

(g)

are there any patterns indicating that different (types) of food and feed business operators and other relevant producers and business operators or production chains were more compliant than others?

9.2.2.2. Nature of the risk arising from non-compliance U.K.

The purpose of this section is to provide some guidance on the analysis required to provide information on the potential consequences of non-compliances. The analysis may include the following:

(a)

the identification of non-compliances that have a potentially significant impact on humans, animals or plants;

(b)

the description of the potential serious consequences or ‘risk’ of those non-compliances;

(c)

the description as to whether the risk is related to a specific hazard only or a general increase in risk arising from the incidence of multiple hazards or hazard-groups.

9.2.2.3. Root cause(s) of non-compliance U.K.

Where relevant, and in particular, where patterns of significant non-compliances or repeated offences are detected, an analysis of possible underlying causes may be carried out. Such analysis may contribute towards development and continual improvement of control systems in the Member State. While carrying out that analysis, consideration may be given to the following factors:

(a)

the lack of awareness by the food and feed business operators and other relevant producers and business operators and reasons therefor;

(b)

the lack of competence by the food and feed business operators and other relevant producers and business operators and reasons therefor;

(c)

the cost of compliance;

(d)

the insufficient tools and/or resources to enforce requirements;

(e)

the lack of effective and/or proportionate and/or dissuasive sanctions.