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Compliance

6 Compliance responses

The ACVM Group has the following range of responses to compliance concerns.

• Education: The provision of general advice on responsibilities under the ACVM legislation, usually to groups of interested or affected parties.

• Specific advice/warnings: The provision of specific advice to individuals or companies about their products or processes and their responsibilities under ACVM legislation.

• Specific requirements for action to be taken: The provision of information on what must happen and the timeframe for action by those found to be not in compliance with ACVM legislation. Actions required might include providing information so that a class determination can be done on a product, relabelling a product, updating advertising claims, changing processes to comply with a standard etc.

• Initial Inspections or compliance checks: These comprise a physical inspection or check to confirm if there is non-compliance. Such an inspection will likely result in specific requirements for action and may be enforced by way of a hold notice or a prohibition notice under the ACVM Act, a suspension of authorisation or recognition or even withdrawal of either type of approval. Specific requirements can be extended to other parts of the supply chain if the information gained from the initial inspection provides additional information. The objective of an inspection is to get a ‘snapshot’ of the activities of the person or company that is the object of a compliance concern.

• Institution of short-term monitoring programmes or increased audit frequency: This is essentially a check over time for ongoing compliance where there has been a previous breach. This is likely to extend for a confidence building period and will mean increased audit frequency for those already part of regular programmes.

• Regular compliance checks: These programmes are put in place to confirm compliance on an ongoing basis against an ACVM standard or against the legislation. The frequency and ‘depth’ (for example, documentary confirmation versus a physical audit) of checking is set on the basis of the level of concern and risk.

• Investigation of suspicions or allegations involving preliminary work to establish the facts of the event.

• Investigation leading to prosecution: Usually undertaken where there is a potentially serious breach of the ACVM Act and Regulations, and NZFSA or MAF administered legislation in ACVM related areas.

• Prosecution: As already stated, this is considered and initiated in line with the NZFSA CIG Prosecution Policy.

The ACVM Act provides a toolbox of sanctions to draw from depending on the circumstances. Sanctions may be applied as a response at any stage of the compliance process, but it is the policy of the ACVM Group to concentrate on education and advice in the first instance unless the alleged breach is serious. Suspensions will be applied if continued operation is unacceptable during the time that a party is taking remedial action. Recalls will be used if justified from a risk management perspective and remedial action is not taken as instructed. Prosecutions will be taken if warranted and the matter meets public interest criteria.