Rating Regulators Food Standards Agency - Steve Brooker and Anne Taylor
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Rating Regulators Food Standards Agency Steve Brooker and Anne Taylor
About Consumer Focus Consumer Focus champions the needs of consumers across England, Wales, Scotland and, for postal services, Northern Ireland. We operate across the whole of the economy, persuading businesses and public services to put consumers at the heart of what they do. We take action where markets fail consumers and ensure a fair deal for all – especially vulnerable and disadvantaged people. We want to see consumers central to business and government decision making, and we’ll be working in Europe too, to make sure consumers’ needs are heard in Brussels. We don’t just draw attention to problems – we use a strong evidence base and work with a range of organisations to champion creative solutions that improve consumers’ lives.
Contents Introduction 2 Summary of findings 4 Legal framework 8 Culture and accountability 12 State of readiness 22 State of action 28 Impact and learning 36 Appendix: Methodology 40 References 42
Introduction
1.1 This report on the Food Standards Agency 1.4 This report should be read alongside our
(FSA) measures performance against a series compendium report, which draws together
of indicators of a consumer-focused regulator the common themes from the study. We
developed by Consumer Focus. Our findings hope the study will provide useful feedback
are based on an analysis of evidence for the regulators, provide a diagnostic tool
collected over the course of 2008 from desk for others to use, facilitate the spreading
research, stakeholder opinion, a consumer of good practice and identify the likely
survey and interviews with senior staff at the strengths and weaknesses of regulators
regulators. A note on our methodology across the economy, in order to inform
is in an Appendix. future policy and practice.
1.2 The FSA is one of six regulators that we 1.5 We would like to place on record our
have assessed in our Rating Regulators thanks to staff at the FSA who gave their
project. Each of the regulators we looked time generously and were open and
at was set up in law to further the interests constructive during the review process.
of consumers in markets where people We are also grateful to stakeholders
depend on essential goods and services for the useful comments they provided
– food, money, energy, water, post and in discussion groups and interviews.
communication – to go about their daily lives.
These regulators make a vital contribution
to consumer welfare, so it is important to
know if they providing the benefits they
were set up for.
1.3 Efforts so far to measure progress against the
better regulation agenda have mostly related
to calculating savings to business that have
resulted from reducing the costs of regulation.
This project takes a different look at the better
regulation agenda, by examining the work
of regulators through a consumer lens. While
regulators may have other non-consumer
objectives, the ultimate purpose of regulation
is to benefit end users.
2Data file: Food Standards Agency Summary of strategic targets
Description Food safety
The Food Standards Agency is a non- • reducing foodborne disease further
ministerial government department set up
• delivering proportionate BSE and
to protect the public’s health and consumer
TSE controls based on the latest
interests in relation to food across the UK.
scientific knowledge
It deals with all aspects of food safety and
standards throughout the food chain, • building and maintaining the trust
working with: of stakeholders in our handling of food
safety issues
• businesses across all industry fields
to help them keep consumers safe
Eating for health
• local authorities and other food law • enabling consumers to choose
enforcement agencies to help them take a healthier diet and helping to reduce
proportionate, timely and resolute action diet-related diseases
• consumers to provide reliable and up Choice
to date information so that they can make
healthy choices about food • enabling consumers to make
informed choices
Legislation
• to protect consumers from food fraud
Established by the Food Standards Act 1999 and illegal practices
and became operational in April 2000
How we will deliver
Budget 2008/09 • improving consumer protection
£140.4m (includes Meat Hygiene Service) by improving compliance
Location
London, Aberdeen, Cardiff, Belfast
Vision
Safe food and healthy eating for all
32 Summary
of findings
Overall assessment
2.1 Our analysis shows the Food Standards Agency has a strong
consumer-focused culture, operates transparently, works
effectively in a devolved setting and implements good practice
evaluation techniques. Areas of recent improvement include
a broader consumer engagement programme and a regulatory
style which empowers consumers to achieve change.
2.2 Whilst we did not find any areas of significant weakness, we
would encourage the Agency to give more visibility to its work
with consumers who are vulnerable and to engage more actively
with public policy issues, such as GM and nanotechnology,
which have important implications for consumers. The Agency
is implementing major reforms to its relationships with local
authorities; the success of this initiative will be crucial to its ability
to achieve improved levels of compliance.
4Legal framework
2.3 The FSA has a clear mandate to protect the The FSA also exhibits best practice in relation
interests of consumers across the spectrum to working in a devolved setting, operating
of food issues. A number of features of the with a structure and culture that allows it
legal framework give the Agency a helpful to capture and respond to the possible
steer in terms of working methods. These differences in the needs of consumers
include requirements in relation to Board across the nations.
membership, devolution, openness and
consultation. We would have preferred the 2.5 Stakeholders suggested that the Agency
statutes to include a more explicit duty with is very consumer-focused as a whole, but
respect to vulnerability, reflecting the specific there is some variation between departments.
health, religious and cultural needs of some The Consumer Branch has the right functions
consumers. Further, while the Agency has and location within the organisational
a comprehensive set of powers in relation structure to spread understanding of the
to local authorities it has few powers to consumer interest throughout the FSA.
address consumer detriment not directly The focus of its activities appears to relate
related to food safety. This means the Agency principally to consumer engagement and
must rely on consumer empowerment and intelligence gathering, with less input into
industry self-regulation; these tools might translating this information into policy design
be insufficient on their own to achieve and implementation. This structure appears
change in some circumstances. to limit the Agency’s ability to assess the
consumer interest in a consistent fashion
across all its work. We are encouraged
Culture and accountability
that the Agency is actively considering how
2.4 The FSA has a strong consumer-focused to improve the linkages between consumer
culture, to the extent that some observers engagement and policy development
– unfairly in our view – have claimed that following the report of the Advisory
the Agency has become a ‘champion’ Committee on Consumer Engagement.
rather than a ‘protector’ of the consumer
interest. We concur with stakeholders that the
circumstances in which the FSA was set up,
and the imbalance of power between
consumers and producers, mean it is
important for the Agency to be seen to be
‘on the side’ of consumers. This historical
backdrop also makes it especially important
for the FSA to operate transparently, so we
were pleased to find that the Agency is a
model regulator in this regard. Similarly,
it is encouraging to find evidence that the
FSA works hard to explain to the public the
science behind food and that it appears to
get risk communication right most of the time.
5State of readiness
2.6 Stakeholders commented positively on 2.8 The FSA has at times been reluctant to
the FSA’s engagement with them, including engage actively on some issues, such
the opportunity to influence at the highest as GM and nanotechnology, which have
levels of the organisation through the chief important implications for consumers.
executive’s forum and being involved early Its engagement on other controversial
on in the policy-making process. Interestingly, matters, such as cloned animals and the
stakeholders preferred this ongoing health benefits of organic foods, show how
engagement approach to the previous it can add value. We encourage the Agency,
committee-based model. The FSA has working in partnership with Government,
created a new team to improve its to facilitate public debate on these sorts
stakeholder engagement approach further. of issues. Stakeholders also commented
that the Agency has been slow to embrace
2.7 An independent review by the Advisory issues related to the sustainable consumption
Committee on Consumer Engagement, implications of food choices, although there
chaired by Philip Cullum, Deputy Chief are signs that this is beginning to change.
Executive of Consumer Focus, found good
examples of consumer engagement by the
Agency, but concluded that engagement
is not yet a fundamental part of how the
Agency operates, with the major part of
direct contact with consumers being
handled by the Consumer Branch rather
than the relevant content experts. Across the
organisation, it observed a patchy knowledge
and application of engagement approaches.
The creation of an the independent review
team – the Advisory Committee on Consumer
Engagement – is innovative of itself. We were
also encouraged that the Board has taken
an ongoing interest in the FSA’s consumer
engagement activity, which sends a strong
signal about the value of this work.
6State of action
2.9 The FSA is increasingly seeking to empower 2.11 Food regulations are largely enforced by local
consumers in order to achieve its objectives. authority regulatory services. Some consumer
It has made a substantial investment in stakeholders view enforcement as a weak
consumer education initiatives aimed at both point in the regulatory regime, but this is
children and adults, which it delivers through largely due to insufficient resources which
an often imaginative mix of communication are outside of the Agency’s control. However,
channels. The Agency has also successfully there has also been friction between the FSA
harnessed consumer power – for example, and local authorities in the past. The FSA
through traffic light labelling and the Scores has launched a major initiative to reform the
on the Doors scheme – to provide an processes that underpin its relationship with
incentive for food businesses to change their local authorities. It is too early to tell if this
behaviour in ways that are designed to will succeed in addressing these issues.
achieve improved public health outcomes.
The FSA has helped to achieve change by Impact and learning
encouraging industry self-regulation, although
2.12 The FSA has adopted an outcome-focused
some stakeholders consider that the Agency
language when describing its activities.
can be hesitant to call for mandatory
We found evidence of good practice in
approaches when necessary. Consumer
relation to evaluation, both at project and
Focus recognise that there are limitations in
organisational levels. The World Class
the powers currently available to the Agency.
Regulator initiative – a self-assessment
2.10 The FSA has re-defined its approach of its performance across the regulatory
towards defining vulnerability, which is aligned chain – is particularly innovative.
with the approach used by Consumer Focus.
We were pleased to find that the Agency’s
consumer engagement strategy has a strand
on ‘disadvantaged and vulnerable
consumers’, which has led to a number
of interesting research projects, often
undertaken in partnership with civil society
organisations. While we are impressed
by this work, it would benefit from higher
visibility externally. Further, we encountered
a feeling among stakeholders that the
Agency’s decisions do not always take
sufficient account of the needs of consumers
who are vulnerable.
73 Legal
framework
3.1 What we were looking for
• statutory objectives and duties enable the regulator
to adequately promote the interests of all consumers
• the right tools for the job
• structures are sensitive to devolved-working
• responsibilities between different actors are clearly defined,
without gaps or overlaps
3.2 What we found
• the FSA has a clear statutory mandate to protect consumers
• the statutes would ideally contain a more prominent duty
in relation to vulnerable consumers, reflecting the specific
health, cultural and religious needs of sections of the public
in relation to food matters
• duties in the legal framework – in relation to Board
membership, devolution, openness and consultation
– facilitate consumer-focused regulation
• powers with respect to the Agency’s relationship with local
authorities will inevitably cause tensions from time to time,
but these provide a useful backstop to deal with occasional
performance issues
• the FSA has few powers to address consumer detriment
which is not directly related to food safety; the Agency must
not hesitate to call on Government to introduce mandatory
action when the tools at the Agency’s disposal – consumer
empowerment and industry self-regulation – look unlikely
to succeed
8Objectives
3.3 Regulators should have a clear set of commented that there has long been a
statutory objectives, ordered in a hierarchy, lack of clarity over the respective roles of the
so they have a clear sense of purpose. FSA and the Department of Health around
The Food Standards Act 1999 does give nutrition and health issues. A Cabinet Office
the FSA clear objectives. These are to report on the future of food policy also
‘protect public health from risks which may identified the need for a more integrated
arise in connection with the consumption approach to consumer advice on food
of food and otherwise to protect the interests matters1. Following that report, the FSA has
of consumers in relation to food’. agreed to expand its current advice to provide
a one-stop shop to consumers looking for
3.4 The objectives are framed in a way that information and advice on nutrition, food
gives the Agency a permission slip to and sustainability, and food safety.
promote the interests of food consumers
in a wide sense. They enable it to engage
Consumers in a position of vulnerability
in matters other than food safety – the
main trigger for the creation of the FSA 3.6 Consumer Focus has a particular interest
– to embrace issues such as nutrition where in safeguarding the interests of individuals
its work is very welcome. The FSA also who face a higher risk of detriment due
supervises a considerable amount of quality to the particular situations they face as
standards legislation, which does not protect consumers, either due to their own
safety or health, but rather consumers’ wider circumstances or as a result of the actions
interests in relation to food. However, the of providers. We consider that a regulator’s
FSA does not regulate prices or have legal framework should give it duties to have
competition powers, which are the remit regard to the interests of consumers who
of the competition authorities. have additional requirements that would
not normally be sufficiently provided for
3.5 The broad wording of the objectives is by the market.
welcome because it provides the Agency
with the remit to tackle consumer detriment 3.7 The statutes do not place an explicit
across the waterfront as it emerges. Equally, duty on the FSA in relation to vulnerability.
it creates a need for the Agency to define This is surprising given that large parts
its priorities and work out a clear division of the population have specific dietary needs,
of labour with other public bodies in this for example pregnant women or people
arena. The FSA has Concordats with, in certain ethnic groups. Further, consumers
among others, the Department of Health can end up being disadvantaged when buying
and the Department for Children, Schools food due to their personal circumstances, for
and Families, which set out the policy example consumers with visual impairments
boundaries and ways of working. On this may have problems reading nutrition or
point, stakeholders allergy information on food labels. Access
by consumers on low-incomes to affordable
nutritious food is also a current area of public
policy concern; as the FSA does not regulate
price, its remit in this area is limited.
93.8 Recognition of the additional needs • openness – there is a duty to secure that:
of some consumers is perhaps implicit ‘records of its decisions, and the information
in the Agency’s statutory function of ‘providing on which they are based, are kept and made
advice and information to the general public available with a view to enabling members
(or any section of the public)’. Even so, we of the public to make informed judgments
would have preferred to see a more explicit about the way in which it is carrying out
and prominent duty given the potential health, its functions’. In particular, the Agency has
cultural and religious impacts of food the power to publish its advice to Ministers
choices. It is important to note that the
• consultation – there is a duty on the Agency
absence of an explicit statutory duty does
to ensure that those affected by its activities,
not preclude the Agency from intervening
including members of the public, are
on vulnerability grounds (see discussion
consulted with
under State of action).
3.10 Later sections of this report explore how
Duties the Agency implements these provisions
3.9 The legal framework can helpfully confer in practice. We identify them here to
specific requirements on regulators with demonstrate how the statutes can helpfully
respect to their working methods, without set the tone and approach of a regulator’s
becoming so prescriptive that these work without being overly prescriptive
inappropriately constrain regulators’ freedom about the exact methods it should use.
to act. The duties that should be covered
3.11 The FSA is a UK-wide government
in the statutes will depend on the context,
department operating within devolved
but they may relate to make-up of
competence. The statutes place a series
governance structures, requirements
of requirements on the Agency to put
to consult, transparency and devolution.
this into effect, which in many respects
When examining the FSA’s statutes,
correspond with the suggestions for good
we found a number of features that
practice made by stakeholders who
facilitate consumer-focused regulation:
attended our devolution discussion group.
• Board membership – the Agency must
have regard to the desirability of securing
a variety of knowledge and skills available
in its membership, including experience
in matters related to food safety or other
interests of consumers in relation to food
103.12 There is a requirement for the Board to issuing and enforcing directions to ensure
to contain members appointed by each compliance with the code of practice.
of the devolved governments, which helps The FSA can also issue guidance to local
to ensure its decisions are inclusive and authorities on the control of food-borne
responsive to the possible differences diseases, which local authorities must have
in the needs of consumers across the regard to. As written, the legislation appears
nations. In a similar vein, at executive level to create quite an assertive relationship
there is a requirement to appoint directors between the FSA and local authorities.
for Wales, Scotland and Northern Ireland The use of these powers, or the prospect
(reporting to the chief executive) to ensure of their use, will inevitably cause tensions from
that the Agency’s activities in these nations time to time, but we consider they provide
are carried out ‘efficiently and effectively’. a useful backstop to address any performance
Further, the FSA is required to establish issues that might occasionally occur.
advisory committees in Scotland, Wales
3.15 While the FSA has an extensive toolkit
and Northern Ireland. An advisory committee
with respect to food safety, it has few
for, or for any region of, England is also
powers related to other matters, such as
envisaged in the legislation. There is also
its role in promoting healthy eating. The
a duty to promote links with the devolved
Agency must therefore rely on consumer
administrations.
empowerment and encouraging voluntary
approaches from the food industry, or ask
Powers
Government to introduce change. The
3.13 Regulators need an effective toolkit, such as Agency told us it does not consider its
a sanctioning regime, in order to achieve their statutes inhibit it in this respect; however,
statutory objectives. A good set of statutory a lack of powers in this arena does reduce
objectives is undermined if regulators do its options and stakeholders will be aware
not have the powers they need to do their of these constraints in negotiations.
job properly. This makes it important for the FSA to show
it is ready to call on Government to introduce
3.14 The regulations for which the FSA
mandatory measures when necessary.
is responsible are largely enforced by local
Consumer Focus recognise that there are
authority regulatory services. It is important
limitations here, for example it is not possible
to note that the Agency does not fund this
to introduce legislation in areas which have
activity, although financial support is available
been fully harmonised at EU level. We discuss
for some particular initiatives. A statutory
the FSA’s regulatory approach later in the
code of practice, supplemented by practice
report (see State of action).
guidance, sets the general principles and
approach that the Agency expects local
authorities to follow. The legislation gives
the FSA a function to monitor the
performance of enforcement authorities.
This comes with a series of powers ranging
from setting performance standards through
114 Culture and
accountability
4.1 What we were looking for
• translates statutory objectives into consumer-focused priorities
and values
• embeds a consumer focus across all levels of the organisation
• transparent about its activities
• accessible to the general public, including disabled users
• works effectively in a devolved setting
4.2 What we found
• a commitment to the consumer interest is central to the FSA’s
values and comes across clearly in its corporate documents
• the FSA is sensitive to possible tensions between its statutory
duties and the better regulation agenda, which it should
continue to monitor closely
• the Board includes members with a background
in consumer affairs
• the Consumer Branch has produced a useful guide on
consumer engagement which helps to spread understanding
across the organisation. However, it appears to have less
input in policy design and implementation, so it is unclear
how the Agency is able to assess the consumer interest
in a consistent fashion across all its work
• the FSA puts much effort into trying to help the public
to understand the science behind food; stakeholders consider
that it gets its risk communication right most of the time
• the FSA is best in class for transparency
• the FSA is demonstrably committed to working effectively in a
devolved context and displays many features of good practice
12Language
4.3 A regulator’s level of consumer focus will 4.5 In fact, the Agency has been criticised
partly be reflected in how it translates its for taking its consumer responsibilities
statutory objectives into high-level priorities too far. The Hampton Implementation Review
and values. These statements set the tone concluded that the Agency went beyond
for how regulators approach their work, its statutory remit in that it ‘in some
sending a message both externally and circumstances presents itself more
internally. We looked at the language used as “championing” the consumer interest
by regulators in public, both in corporate as distinct from “protecting” those interests.’
documents such as annual reports and This pro-consumer stance was said
work plans and in reactive communications to complicate the Agency’s engagement
such as press statements. The FSA uses with and understanding of business2.
very consumer-focused language to describe
4.6 Consumer stakeholders took strong
the purpose of its work in key corporate
exception to this statement, arguing that
documents such as the annual report,
it was right for the FSA to be seen to be
forward work plan and other external
‘on the side’ of consumers in a market
communications. Indeed, this stems from
where the balance of power – due to wide
the Agency’s core values, one of which is
information asymmetries and a powerful
‘putting the consumer first’; this exemplifies
industry lobby – was so uneven. They
how it has successfully translated its statutory
stressed that the circumstances in which
objectives into consumer-focused
the FSA was set up give it a unique position
self-defined aims.
in the regulatory landscape. The Agency
4.4 We also asked consumer stakeholders, was created in the aftermath of the BSE crisis
through a mixture of discussion groups with a clear mandate to put the interests
and interviews, about their perceptions of consumers at the heart of the new regime
of whether the regulators operate with in order to restore public confidence in food
a consumer-focused culture. Stakeholders safety. We note that the review document
we spoke to who dealt with a range did not offer specific examples to illustrate
of regulators considered that the FSA when the FSA had inappropriately
has a strong consumer-focused culture, ‘championed’ the consumer interest.
although there is considered to be some
variation across policy areas. For example,
the Nutrition Team is seen to be driven
by a strongly consumer-focused agenda
whereas the Meat Hygiene Service
– an Executive Agency of the FSA
– was said to be less consumer-focused.
134.7 Food safety is supervised through We found the Board membership to be well
an inspection regime, so the FSA’s work balanced. The chair, Dame Deirdre Hutton,
inevitably involves costs on business and, has a strong background in the consumer
therefore, it is legitimate to ensure these movement and a number of other members
|costs do not become unnecessarily also have expertise in consumer affairs and
burdensome. However, stakeholders customer-facing businesses. As we noted
expressed concern to us that the focus earlier, the Food Standards Act provides a
of the better regulation agenda on reducing helpful steer to the Agency in this direction.
administrative burdens creates tensions
4.9 It is important that knowledge about the
with the Agency’s core concern to safeguard
consumer interest is spread across the
public health. Indeed, in June 2008, an FSA
organisation, rather than contained within
Board paper commented that the Agency
the one area, so that a consumer focus
is ‘acutely aware of its statutory obligations
filters across to all members of the staff
and the potential issues which may arise
team whose work impacts either directly
from working towards this reduction target’.
or indirectly on consumers. Our principal
There were mixed views as to whether the
means of assessing this was to interview
FSA is meeting this challenge successfully.
senior staff at the regulators, asking how
One stakeholder wanted the Board to take
they organised themselves internally and
a stronger stance on these issues, while
what techniques they use to hard-wire
another commented that the Board retained
a consumer focus throughout all levels
its independence from Government fiercely
of the organisation.
and was not slavish to the better regulation
agenda. This is clearly something that the 4.10 The day-to-day operations of the Agency
FSA is already sensitive to and should are managed by a Chief Executive,
continue to monitor. supported by an Executive Management
Board. A series of directorates are organised
Organisation to reflect the FSA’s strategic targets and
4.8 A consumer-focused culture is likely to flow other core activities. There is a dedicated
from the top of the organisation, so one Consumer Branch, which reports to the
indicator we investigated is the background Director of Communications. The Branch
of Board members. While the role of all Board has the following roles:
members is to work towards the same
• advising policy teams on how to engage
objectives rather than to represent specific
with individual consumers, specialising
causes, if the decision-making structures
in reaching those consumers that are
include individuals with an expertise in
disadvantaged and/or vulnerable
consumer affairs this can help regulators
be better attuned to the consumer interest; • making use of appropriate qualitative and
it can also bolster confidence externally. quantitative research methodologies to gain
a deeper understanding of consumer views
and attitudes
14• developing new engagement tools,
including the Citizens’ Forums on Food, Good practice: consumer
and the School Council Network engagement guide
In October 2007, the Consumer Branch
• building the capacity of the organisation
produced a good practice guide on
to understand the changing and complex
consumer engagement – ‘How to put the
consumer environment
consumer first’ – in collaboration with
• gathering intelligence from other Involve. The guide aims to ensure that the
Government departments, regulators, Agency follows best practice when it comes
think tanks and publicly-funded institutions to engaging with consumers, and makes use
to ensure that the Agency remains of the most up-to-date information and
innovative in its approach advice available. A printed copy of the guide
was disseminated to Heads of Branch and
4.11 A location in the communications directorate Heads of Division and an electronic version
should leave the Consumer Branch well is available to all staff.
placed to spread knowledge across the
organisation. One example of good practice The guide is organised into five sections:
is a guide to consumer engagement,
• what do we mean by consumers?
which the Branch has developed and
disseminated internally (see box ). In addition, • why is consumer engagement
it has brought together the Agency’s so important?
commissioned consumer research on the
intranet for easy reference. The main role • how do I engage effectively
of the Consumer Branch seems to relate with consumers?
to developing good practice on consumer • consumer engagement approaches
engagement and intelligence gathering,
with less focus on working with colleagues • helpful tips for planning consumer
to use this information at the policy design engagement
and implementation stages. This structure
appears to limit the Agency’s ability to assess
the consumer interest in a consistent fashion
across all its work. We are encouraged
that the Agency is actively considering how
to improve the linkages between consumer
engagement and policy development
following the report of the Advisory
Committee on Consumer Engagement.
15Openness and transparency
4.12 Regulators should be open and transparent 4.14 The FSA has been widely praised for its
organisations, providing information about openness and transparency. For example,
working methods, decisions and performance the House of Commons Science and
so that organisations and the media can Technology Committee said that the Agency
scrutinise their work. As an indicator of is ‘in many ways a model of transparency’.
transparency, we compared the regulators’ We endorse this finding. The legacy of the
websites to see if certain types of information BSE crisis once again makes it vital that
relating to decision-making and organisational the FSA meets best practice in this regard.
performance are easily available. It is also During 2008, the Agency set up a task
important for the public to be able to force to review its policy on publication
access the decision-making process; of information. The Board accepted the
as indicators of this we asked regulators recommendations of the group, which
if they hold annual public meetings and will improve openness further. For example,
we examined performance under freedom in future all food law enforcement monitoring
of information legislation. data will be published, including the names
of local authorities. However, consumer
4.13 The FSA meets all of our indicators and,
groups were disappointed that the FSA
indeed, goes further. The public is invited
decided it was not appropriate to explicitly
to attend open Board sessions, which are
name businesses that did not meet the
held at venues across the UK. A question
Agency’s best practice guidance, in contrast
and answer session is held at the end of
to the policy that businesses that do meet
Board meetings, at which members of the
the guidance will be named and praised.
public can raise issues of concern. Board
meetings are also webcast and there is a 4.15 There are potential adverse consequences
freephone listen-in service to ensure that from being an open regulator. For example,
cost is not a barrier to anyone who wants the FSA told us that some businesses
to engage in the decision-making process. are less willing to share information if they
In a further example of good practice, think the Agency will publish it. Further, the
minutes of meetings between senior staff Agency has adopted a policy of publishing
and key stakeholder groups are also made the advice of its scientific committees as soon
available on the Agency’s website. as it is available, often before it has decided
a policy position. This can cause difficulties
if lobby groups campaign openly in the media
before the FSA is ready to respond. However,
stakeholders agreed that it was preferable
to be open and suffer the occasional media
storm than be unable to see the workings-out
of policy. They said that the Agency’s scientific
committees had led the way in opening
up scientific advice and shown that this
could work.
16Table 1: Transparency indicators
Postcomm
FoodSA
Ofcom
Ofgem
Ofwat
FinSA
Board minutes ✓ ✓ ✓ ✓ ✓ ×
Board papers ✓ × × × × ×
Annual public meeting ✓ ✓ ✓ ✓ × ×
Performance data ✓ ✓ ✓ ✓ ✓ ×
Consultation responses ✓ × ✓ ✓ ✓ ✓
Organisation chart ✓ ✓ ✓ ✓ ✓ ✓
Internal complaint procedures ✓ ✓ ✓ ✓ × ✓
FOIA disclosure log ✓ ✓ × × × ×
FOIA decision notices* 0 18 2 1 0 0
* Decision notices issued by the Information Commissioner for England and Wales from its
inception until December 2008
17Accessibility
4.16 The FSA rightly puts great store on its policy 4.18 A consumer-focused regulator will make
of basing its decisions on scientific evidence. efforts to be accessible to the public at large
The Agency has seized on the need for as well as expert consumer representatives.
it to explain the science behind food in The Chief Scientist’s blog is one technique
an accessible way, in order to restore public that the Agency uses to try to explain the
confidence in food safety following the science behind food in lay terms. This was
BSE crisis. The public health impacts of the created to ‘show the importance of good
Agency’s decisions also present difficult science and how we use it to inform
challenges in terms of risk communication, FSA policies and advice’. The blog is an
creating a need to inform the public about innovative attempt to demystify technical
health risks without causing unnecessary issues and to connect with ordinary
panic. The Agency will often find itself dealing consumers. A blog entry timed for the
with emerging or unexpected issues, where New Year which debunked detox diets
the scientific evidence can be incomplete is a good example of this. The Chief Scientist
or uncertain. also publishes an annual report, written
in deliberately accessible language,
4.17 The FSA has made a commitment to always on scientific developments across the
put emerging evidence into the public domain Agency and summarising the ways in which
if there is a public health risk, highlighting the Agency uses and promotes science.
any uncertainties clearly. The FSA told us
that the science and communications teams 4.19 The FSA’s role to advise the public about
work together closely, using knowledge food safety makes it important for the
gained from the Agency’s consumer research Agency to be well-known among
– about what people think and feel about risk, consumers. The FSA has given itself an
and what information they might need objective to be the ‘most used and most
to make informed choices – to get messages trusted source of advice on food safety
across to the public that are both scientifically and information about food and nutrition’3.
accurate and understandable. Stakeholders Our omnibus survey indicated prompted
said that the FSA gets things right most public awareness levels of 73 per cent
of the time. One example given was changes – the highest of the regulators in this project.
to control measures for BSE – an extremely The FSA works to raise its profile in a series
sensitive policy area – where the Agency of ways, such as the EatWell website and
managed successfully to change its major media campaigns linked to policy
enforcement approach without losing initiatives, such as salt reduction. Maintaining
public confidence. a physical presence in the nations and
(some) regions of England, and involvement
in running projects in schools and local
communities, also helps the Agency
to maintain a profile and connect to the
local consumer experience.
18Table 2: Accessibility features
Postcommi
FoodSA
Ofcom
Ofgem
Ofwat
FinSA
Moneymade cleariii
Corporateii
Corporate
eatwell
Access keysiv ✓ ✓ ✓ ✓ ✓ ✓ ✓ ×
Variable text sizev ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
Colour optionsvi ✓ ✓ ✓ ✓ ✓ ✓x ✓ ✓
Screen-reader compatible webpagesvii ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
Plain English versions of consultation
× – × – some × × ×
documentsviii
Textphone numberix × × × ✓ ✓ × × ×
See page 42 for references or click here
4.20 Another dimension we examined was
the accessibility of the regulator’s websites
for disabled users. We tested the regulators’
websites based on criteria we developed
following a discussion group with
organisations representing consumers
with disabilities. We also looked for other
accessibility features signposted from the
website, such as the provision of a textphone
number. Table 2 shows that the FSA’s two
websites contain the more commonly-found
features, but there is scope for the Agency
to incorporate additional accessibility features.
19Devolved-working
4.21 On the face of it, the needs of consumers, • physical presence – a permanent office
particularly with respect to food safety, in each nation
should not differ across the UK. However,
due to differences in the demographic • board membership – Board members
make-up of the nations, such as different located in the nations or who have specific
proportions of economic deprivation or knowledge of how the sector works
rural communities, the needs of consumers in a national setting (other than England)
across the different nations may differ and • engagement with decision-makers
regulatory priorities may need to adapt – the quality of links with parliaments
to reflect this. Further, activity by regulators and governments in the nations
at a trans-national level impacts on the social,
environmental and economic fabric of each • stakeholder engagement – the quality
of the nations and permeates a range of of links with consumer stakeholder
devolved functions including: social inclusion; organisations in the nations
economic development; education and
• work planning – evidence of projects
lifelong learning; and rural development.
targeted at the needs of consumers
If regulators are not sufficiently tapped into
in the nations
the policy environments of the nations they
risk taking decisions that have unintended • reporting – annual report contains a section
negative consequences in these arenas. on the regulator’s activities in the nations
4.22 Therefore, even when policy decisions • consumer research – evidence of consumer
are reserved matters, it is important that research conducted in the nations
regulators embrace a culture that will deliver
a genuinely UK organisation, rather than 4.23 Stakeholders marked the FSA strongly
one organisation based in one part of the in this aspect of its work. As we highlighted
UK with a policy of outreach to its other in the section on legal framework, the statutes
parts. We looked for evidence, through place requirements on the Agency – Board
analysis of annual reports and work plans, membership, advisory committees – which
and interviews with stakeholders and staff, set a good tone from the start. The FSA
to see if the regulators are responsive is organised so that its offices in the nations
to possible differences in the needs are in effect mirror organisations of the
of consumers in the nations and the impact UK body. The FSA told us that a physical
of their work on the social and economic presence is necessary for both practical
fabric of the nations. As our starting point, and presentational reasons. For example,
we developed with organisations based the public service in one nation was
in the nations some criteria which indicate described as highly networked and you
if regulators are working successfully needed to be ‘part of the club’ in order
in a devolved context: to exert maximum influence.
20Table 3: Welsh language indicators
Postcomm
FoodSA
Ofcom
Ofgem
Ofwat
FinSA
Welsh language section on website ✓ ✓ ✓ × × ✓
Annual report ✓ × ✓ × × ✓
Forward work plan ✓ × ✓ × × ×
4.24 The FSA’s commitment to being a genuinely offices do not have the budget to fund
UK-wide regulator is manifested in a number major consumer research programmes,
of ways. Of the FSA’s eight open Board but the FSA’s UK-wide consumer research
meetings each year, two are held in one contains statistically representative samples
or other of the devolved administrations. for each of the nations. The FSA’s devolved
The Board uses this occasion as an structure means national offices can tap
opportunity to carry out a two-day public into national funding sources, for example
affairs programme, involving visits to local the Welsh Assembly Government provided
businesses and so on. It receives information funding to improve the National Diet and
papers from the national advisory committees Nutrition Survey.
on a regular basis. At UK level, the corporate
plan contains performance indicators for the 4.26 As another indicator of working effectively
nations, and one of the criteria in the FSA’s in a devolved context, we examined the
world class regulator initiative relates to regulators’ websites to see what information
devolution. There are separate corporate is made available in the Welsh language.
plans for each nation which take account The Welsh Language Act 1993 established
of national priorities. For example, FSA the principle that, in the conduct of public
Wales’s 2010-15 has a greater focus business and the administration of justice
on vulnerability, reflecting higher levels in Wales, the Welsh and English languages
of relative deprivation in parts of Wales. should be treated on a basis of equality.
We examined the FSA’s website to see
4.25 National offices facilitate partnership how this principle is implemented in practice.
working at national level. For example, Table 3 demonstrates that the FSA
there are national nutrition action plans meets each of our criteria. In 2007, a
for each country and FSA Scotland Welsh Language Unit was set up to increase
works in partnership with Community the Agency’s capacity to engage in Welsh,
Food and Health Scotland (part of Consumer including translation, proofreading,
Focus Scotland) to fund over 300 food- simultaneous translation and media work.
related initiatives. FSA Wales holds annual As well as parts of the FSA’s corporate site,
conferences, for example on healthy eating www.salt.gov.uk and www.eatwell.gov.uk
in north and south Wales, and presents are available in Welsh.
local awards for food innovation. The national 215 State of
readiness
5.1 What we were looking for
• identifies likely sources of consumer detriment, both now
and in the future, which shapes work priorities
• uses effective mechanisms to understand the consumer
perspective and translate this insight into sound decisions
• works effectively with others, including with consumer
organisations
• influences the wider regulatory agenda
5.2 What we found
• the FSA has comprehensive systems in place to identify food
safety risks, but it has sometimes been reluctant to take a lead
on other food policy matters, such as issues related to new
technologies and sustainability
• an independent review found good examples of consumer
engagement by the Agency, but concluded that engagement
is not yet a fundamental part of how the Agency operates
• stakeholders commented positively on the FSA’s engagement
with them
22Identifying consumer detriment Consumer engagement
5.3 It is important for regulators to know as far 5.6 Regulation works best when it is designed
as possible the likely and actual risks facing around the needs of those it is meant
consumers, both now and in the future, to benefit. A key means of achieving this
and for work priorities to reflect what is really is to have a direct dialogue with consumers.
important for consumers. Rather than make assumptions about what
consumers want or need, regulators should
5.4 The FSA has comprehensive systems
proactively engage consumers on tough
to keep up-to-date with the latest scientific
decisions. They should develop an awareness
developments and has plans to improve
of the available research techniques and use
these further. However, while stakeholders
a mix of quantitative and qualitative methods
considered the FSA to have a comprehensive
to get to the heart of an issue. This activity
and robust evidence base on the whole,
should be well resourced and genuinely feed
they were concerned that the Agency
into policy design. To examine the regulators’
is very dependent on local authority regulatory
performance in this area, we looked at major
services to identify problems on the ground
research exercises conducted by the
and questioned whether there are adequate
regulators supplemented by the views of the
resources and reporting mechanisms
stakeholders and staff who we interviewed.
to ensure that all relevant information is fed
back centrally. 5.7 The FSA places a strong emphasis on
consumer engagement as part of its
5.5 Stakeholders suggested that the FSA
commitment to evidence-based policy
struggles with horizon-scanning, but
making. One indicator of the importance
agreed this was a difficult area to get right.
of consumer engagement to the Agency
The Agency has put in place a series of
is that the Board receives updates on
measures to improve its performance in this
progress against the consumer engagement
area and we are encouraged that this part
strategy every six months. Another is the
of its work is measured as part of the World
Advisory Committee on Consumer
Class Regulator initiative. The Strategic Plan
Engagement, chaired by Philip Cullum,
contains a commitment to keep abreast
Deputy Chief Executive of Consumer Focus,
of developments in technology and to monitor
set up by the Agency to provide the Board
demographic trends and other changes
with an independent assessment of the
in society. Activities include a project with
extent to which the Agency is engaging
Demos on horizon-scanning, looking at future
effectively with consumers and to offer
developments in science and the impact this
advice to Agency staff on how best
might have on consumers. A new General
to engage consumers on particular issues.
Advisory Committee on Science will have
a role in horizon-scanning to identify new
issues and gaps and will take a more strategic
overview of the Agency’s science work.
23Good practice: Advisory 5.8 The ACCE issued its first report in
Committee on Consumer December 20084. It found good examples
Engagement (ACCE) of consumer engagement by the Agency,
and was struck by the commitment of
The ACCE reviews and assesses the
individual staff to engaging consumers.
Agency’s consumer engagement work
However the Committee concluded that
and provides external challenge to the
engagement is not yet a fundamental part
Executive that it is continuing to “put the
of how the Agency operates, with the major
consumer first”. The Committee is chaired
part of direct contact with consumers being
by Philip Cullum and contains members
handled by the Consumer Branch rather
drawn from a wide range of backgrounds.
than the relevant content experts. Across the
Topics discussed so far include:
organisation, it observed a patchy knowledge
• microbiological safety and application of engagement approaches.
• nutrition labelling 5.9 Our impression, albeit from a brief overview
of the FSA’s consumer engagement activities,
• disadvantaged and vulnerable consumers is that there are certainly examples of good
• building capacity practice and innovation to consolidate
and build on.
• engagement in Scotland, Wales and
Northern Ireland 5.10 A major annual tracking survey – the
Consumer Attitudes Survey – provides
The ACCE meets twice a year and makes a rich source of information on consumer
an annual report to the Board commenting views about a range of food issues over
on the extent to which consumer engagement time. Topics covered by the survey include:
is rooted in the Agency’s policies and shopping habits; eating habits; labelling;
functions via in-depth case studies. food safety and hygiene; information sources
used; and views of the FSA. The Agency
also carries out one-off substantial
quantitative research on specific subjects,
for example a survey on the eating habits,
nourishment and nutrition-related health
of people on low incomes to provide
evidence that could contribute to reducing
health inequalities.
245.11 The Agency uses a mix of consumer have clear methodologies to assess trade
engagement tools. One example of good offs when the interests of different groups
practice is the Citizens’ Forums on Food. of consumer conflict. For example, a measure
The Forums have a twofold purpose: to designed to benefit consumers in a position
develop a deeper, richer conversation with of vulnerability may impose costs on all
the public in order to understand some of consumers, and the interests of consumers
the ‘top of mind’ concerns that consumers in the present may conflict with the interests
have about food issues; and to gain of future consumers.
consumer input into the earliest stages of
policy development. Forums have been held 5.14 We asked staff at the regulators if they
so far on topics such as Scores on the Doors, used formal theoretical frameworks to aid
changing patterns of eating out and access the policy-making process. Like other
to healthy eating. regulators, the FSA appears to rely on the
judgement of staff based on their knowledge
5.12 Other examples of interesting consumer of the issues and experience to make
engagement methods used includes: decisions on a case-by-case basis, rather
than use a theoretical model to guide them.
• School Council Network – a mix of primary
In the absence of such a framework, it is
and secondary schools in England – to listen
difficult to see how regulators develop policy
and understand the views of young people
consistently across the organisation or over
• piloting the use of eye-tracking technology as time. The breadth and complexity of the
part of in-store audits asking consumers why issues that regulators deal with may make
they bought certain products such a framework impractical. However,
consumer organisations commonly use
• reconvened focus groups exploring attitudes a set of principles to guide their analysis
to folic acid in bread of a policy issue, which helps them to identify
potential areas of concern and develop
• a partnership with the Health Safety
policy solutions. We would encourage the
Laboratories to understand more about
FSA to explore the feasibility of applying
consumers’ changing perception of risk
something similar to their work, perhaps
integrated within impact assessments
Translating consumer insight into
or cost benefit analysis exercises.
decision-making
5.13 Regulators require the means to translate 5.15 It is important that regulators base their
the consumer insight they have obtained decisions on how consumers actually behave
from different sources into sound policy in markets rather than rely solely on models
decisions. This may involve a structured which view consumers as rational economic
analytical framework, a set of principles actors. In 2008, an NAO study on removing
or more informal methods, but the important retail price controls recommended that
thing is that decisions are consistent and regulators build an understanding of
based on a thorough understanding of the behavioural economics, which can provide
consumer interest. Further, regulators should insights into consumer participation
in markets which cannot be explained
25by traditional economic theory5. Stakeholders to work with all parts of the Agency to
considered that the FSA did not follow the enhance stakeholder engagement and there
economic text-book approach, but tried is now an emphasis on new approaches,
hard to develop policy in line with actual such as running workshops at an early stage
consumer behaviour. The FSA has set up in the policy development process.
an independent Social Science Research
5.18 Consumer stakeholders spoke positively
Committee (SSRC), chaired by Sir Roger
about the FSA’s engagement with them
Jowell, to help strengthen its capacity for
and their comments suggest that the
social science research, and to add to its
Agency’s initiatives are making some
evidence base. The SSRC will advise the
difference. They said that the Agency
Agency on how social science can best
is evidently keen to involve them in its work,
contribute to meeting the Agency’s strategic
being proactive in informing them of
goals, and critically assess how it gathers
developments and asking for their views.
and uses social science evidence.
The chief executive’s forum was appreciated
for providing stakeholders with an opportunity
Stakeholder engagement
to highlight issues with staff at the highest
5.16 It is important for regulators and consumer level of the organisation. An example of early
groups to have mature relationships, based engagement of stakeholders in policy
on respect and a clear understanding of roles development is a project on formula milk,
and responsibilities. The views of expert where the Agency has involved them
consumer representatives should be sought in designing the consumer research.
out at key stages of the policy-making
process, through a mixture of formal and 5.19 The FSA’s stakeholder engagement model
informal mechanisms designed to ensure is interesting because the Agency decided
meaningful participation. Regulators should to abandon its Consumer Committee, which
also actively reach out to hard-to-reach worked in a similar way to consumer panels
groups who represent consumers who may at other regulators, in favour of an ongoing
have distinct needs and priorities. In order engagement approach. While consumer
to examine experience in this area we panels can be organised in different ways,
interviewed consumer stakeholders and the FSA’s experience shows that a
staff at the regulators. committee-based model has advantages
and pitfalls. Stakeholders said they preferred
5.17 The FSA told us that improving stakeholder the Agency’s mixed-model approach to
engagement is a priority following the findings engagement over the consumer committee
of a stakeholder survey carried out in 2007, model. We discuss the implications of this
which suggested that the Agency needed in our compendium report.
to be more proactive in communicating
and more willing to develop face-to-face
and informal relationships. In response,
a new external affairs team has been set up
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