1. 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

2. Agenda Strengthening 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

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

12. 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

13. Compliance and Enforcement SOP Definitions – Compliance – Enforcement Audit Selection Procedures – Frequency – File Selection Audit Completion – Roles Audit Results

14. 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

16. 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

18. 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

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

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

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

22. 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

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

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

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

27. LEGAL ACTION POLICY 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

28. 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)

29. 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

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

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

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

33. Questions