Evaluation of inter-authority and peer review processes

Many local authorities participate in Inter-Authority Audit (IAA) schemes as a means of benchmarking their feed and food law enforcement services against neighbouring authorities in their food liaison groups (FLGs). There is a considerable variety of approaches to IAA, both in the way the schemes are developed and implemented, and in the outcomes.

Although authorities, in general, found their schemes to be beneficial, there was little consistency in the production of action plans to address IAA findings or any systematic procedures to ensure that audit recommendations were implemented.

The main benefits identified from participating in IAA included service improvements, closer working relationships with colleagues from neighbouring authorities and the identification and dissemination of good practice.

Although IAA is widely seen as a resource intensive activity, the majority of authorities reported that they would want to continue with the process, particularly if the Agency accepted IAA as being valid and relevant when considering the selection of local authorities for central audit on a risk basis. The authorities generally recognised, however, that to inform that level of assurance, IAA schemes would have to be consistently robust and effective with evidence that they were successful in identifying problems or areas requiring improvement in feed and food services and ensuring that appropriate remedial actions were implemented in a timely manner.

As a result of reviewing the successes and areas for improvement in their current or previous IAA schemes, some food liaison groups were expanding their schemes to make them more structured and formal, with dedicated working groups overseeing the process. Key proposed changes included a defined process for developing action plans and monitoring their implementation to ensure that the IAA led to sustainable service improvements.

There was clear evidence of good practice demonstrated by local authorities in relation to IAA and this has been highlighted in the report.

As an increasing number of authorities were taking part in the Local Better Regulation Office (LBRO) Peer Challenge process, this audit programme also considered if IAA could successfully operate alongside this initiative to complement the scheme and prevent duplication of effort while maximising the use of local authority resources.

Fact finding discussions with some authorities that participated in the pilots for Peer Challenge indicated that the in depth self assessment followed by a searching, structured and evidence based external review required by this scheme, constituted a robust examination of the food service, which culminated in the production and implementation of an improvement plan.

The Excellence Framework that underpins the Peer Challenge scheme covers the main areas that comprise a robust service infrastructure, and therefore forms a good benchmark for general service review. However, it does not include reality checks of the files and records of front-line service activities to determine whether, in practice, officers are implementing the service procedures appropriately and achieving outcomes in accordance with legislation and official guidance.

The Agency fully supports both IAA and Peer Challenge and it is the intention that information from both these schemes be utilised to gain assurance on the delivery of food law enforcement services and consequently to inform the risk based selection of authorities for audit by the Agency and the type of audit that is undertaken.

In order to assist local authorities, the Agency will continue to work alongside LBRO, and other regulators, on several initiatives aimed at improving regulatory services while maximising the effective use of local authority resources. The Agency is keen to explore any other initiatives that may supplement the Peer Challenge programme and fill the information gap at service delivery level. The outcomes of this focused programme on IAA will be factored into future discussions.

Section 7 of the report summarises the issues that local authorities may wish to consider when developing IAA schemes to ensure that they broadly meet European Commission audit guidelines. These issues have been drawn from the audit programme, from discussions with local authority officers and the detailed responses provided by local authorities to structured questions exploring IAA. It is hoped that these will provide helpful and practical guidance for individual authorities and food liaison groups that are considering implementing an IAA programme in respect of their feed and food services.

Based on the findings of this audit programme, the Agency will produce an IAA toolkit of document templates to further assist FLGs and local authorities in the practical aspects of the IAA process.