Policy paper

Animal Health and Welfare Framework

Updated 22 September 2022

Local authorities working with communities to safeguard the farming industry, help prevent animal disease, protect public health and promote the welfare of animals

1. Executive summary

County councils, metropolitan boroughs and unitary authorities in England have a statutory duty to work with local communities to help them comply with laws that are aimed at preventing the spread of animal disease and protecting the welfare of animals. This Framework provides a set of practical principles that will help local authorities deliver these duties in a way that:

• is responsive and accountable to local communities
• focuses on high risk activities to make best use of limited resources
• recognises why national consistency is important for businesses, the public and to protect against animal disease
• delivers controls in a way that supports European and international trade agreements
• promotes collaborative working with other local authorities, delivery partners and industry

A thriving farming industry makes an invaluable contribution to our communities, shaping the landscape around us and providing a major contribution to the local economy through the food it produces, farm shops and markets, tourism and the many other local businesses help to keep farms operating. On a national scale, the UK food and drink export markets are worth £20 billion each year ^{[footnote 1]}.

However, there are stark examples of what can happen to our countryside and economy when this picture goes wrong. It only takes a moment to recall the vivid images of animals burning on pyres during the 2001 Foot and Mouth Disease outbreak or of desolate countryside closed to the public. That single outbreak cost the UK economy over £8 billion.

Every single day farmers must follow laws to prevent this situation occurring again and protect against the spread of diseases such as bovine TB and Avian Influenza. Rules are in place to ensure that the by-products of the farming industry do not threaten the health of animals, the human food chain or our countryside. There are laws in place to prevent illegal imports that could introduce rabies and to protect the welfare of animals transported within the UK.

Local authorities help farmers and businesses comply with these laws and they are also responsible for taking action when laws are breached, supporting businesses to ensure they can once again thrive. A robust and transparent regulatory system to support business compliance is critical to post EU Exit trading relations.

Sometimes the issues are not quite so innocent. Organised criminals are found in any industry where there is money to be made and farming is no exception. Cases can span across the country and internationally, ranging from trade in illegally imported puppies to food fraud, and may involve complex issues such as slavery and exploitation of the most vulnerable in society.

It is therefore imperative that local authorities deliver an effective Animal Health and Welfare service and the principles within this Framework will help ensure that local services:

• support the local economy
• help Great Britain meet EU and international obligations to trade freely
• prevent and control the spread of animal diseases
• protect the welfare of animals
• keep the food we eat safe and protects consumers from fraud
• help to identify criminal activity
• protect public health
• allow farming communities to flourish without red tape

The Animal Health and Welfare Framework has been developed by the Animal Plant and Health Agency (APHA) working in partnership with local authority officers from the National Animal Health and Welfare Panel (NAHWP) supported by the Association of Chief Trading Standards Officers (ACTSO) and the Department for Food, Environment and Rural Affairs (Defra). A parallel Framework is being developed working with the Welsh Government and local authorities in Wales.

2. Managing the Animal Health and Welfare Framework

This section supports the management of the Animal Health and Welfare Framework within local authorities and at a national level. It aims to:

• confirm the scope of the Framework
• provide support for managers by listing the responsibilities of local authorities under the Framework, including links to guidance where it is available
• promote the importance of collaboration and partnership work
• detail roles and responsibilities for all partners to promote a common understanding of what is expected
• outline the governance arrangements for the Framework

2.1 The scope of the Animal Health and Welfare Framework

The Animal Health and Welfare Framework has been produced to help county councils, unitary authorities and metropolitan boroughs in England deliver their statutory duties in relation to the health and welfare of farmed animals^{[footnote 2]}. These responsibilities are put in place by legislation made under the Animal Health 1981 Act (as amended) and various retained EU Regulations originally made under the European Communities Act and now implemented through the European Union (Withdrawal) Act 2018.

The legislation made under the Animal Health Act and relevant retained EU Regulations cover health and welfare matters that are traditionally associated with farmed animals, such as movement and identification, TB and animal diseases, animal by-products and restrictions during a disease outbreak. However, it also covers areas such poultry, horse identification, rabies controls on imported animals and the welfare of animals during commercial transportation or at markets. All of these laws apply to a hobby farmer or small holder just as much as to a commercial farm.

While the scope of the Framework is focused on legislation made under the Animal Health Act and European Communities Act, it remains vital that local authorities continue to consider how these responsibilities link to other areas of their work to deliver the most effective and efficient service for local businesses and communities. This will include other regulatory and licensing functions, but also links to strategic priorities such as the economy, public health and protecting vulnerable members of society from crime and exploitation.

2.2 Outcomes of the Animal Health and Welfare Framework

The Framework aims to build on existing working practices and relationships to improve the delivery of animal health and welfare controls in England. It recognises the need to move away from national prescription and give local authorities the ability to make best use of limited resources by focusing on partnership work, high risk activities and use of intelligence. Specifically, the Framework aims to:

• give local authorities the freedom to respond to local priorities
• focus limited resources at high risk activities and reduce burdens for responsible businesses
• increase the transparency of animal health and welfare services for local communities and the farming industry
• provide a set of common principles that can be embedded in every local animal health and welfare service to create a consistent national approach
• ensure that the enforcement of animal health and welfare law within England can meet the expectations of international trade agreements, including referencing standards required under the Official Controls Regulations 2019 where relevant
• increase the use of information and intelligence sharing
• improve the partnership work between local authorities and APHA
• introduce a system that effectively shares information about regional and national priorities with local authorities

2.3 The importance of collaboration

The Animal Health and Welfare Framework has been developed by APHA working in partnership with local authority officers from the NAHWP, supported ACTSO, and Defra. A parallel Framework is being developed with the Welsh Government and local authorities in Wales. Article 4(2) of the retained EU Regulation 2017/625 on official controls specifically requires consistency and coordination between domestic competent authorities.

As with all areas of regulation, it is vital that delivery partners work effectively together under the Animal Health and Welfare Framework to:

• minimise burdens on businesses
• maximise resources
• share information and intelligence to ensure all delivery is risk based
• develop a common understanding of the regional and local priorities that inform service delivery
• create an effective relationship between local authorities and APHA by increasing mutual awareness and promoting communication

A clear understanding of the roles of all partners is essential to support effective collaboration under this Framework.

2.4 Roles under the Animal Health and Welfare Framework

2.4.1 Responsibilities of local authorities

Under the Animal Health and Welfare Framework, local authorities are asked to:

	Action	Supporting guidance
1	Undertake annual service planning based on the principles in the Animal Health and Welfare Framework.	See section 3 of the Framework.
2	Develop a risk based, consistent and accessible process for responding to complaints relating to animal health matters on farms.	See section 3.1.1 of the Framework and guidance and examples on the KHub.
3	Provide transparency about how the local authority responds to animal welfare complaints, including collaborative arrangements with other partners and charities.	See section 3.1.2 of the Framework.
4	Identify high risk businesses and activities on an annual basis.	See section 3.1.3 of the Framework and local authority profile example.
5	Produce an annual programme of interventions for all high risk businesses and activities based on the risk presented by the activities carried out, intelligence, history of compliance and available resources.	See section 3.1.3 of the Framework.
6	Undertake an annual audit of each livestock market and collection centre in partnership with APHA to review documentation and procedures. Produce an annual programme of interventions based on the outcomes of the audit, which remains flexible to changing risk through the year.	See section 3.1.4 of the Framework and guidance for local authority officers working in livestock markets and guidance on assessing compliance levels at livestock markets.
7	Actively engage in regional animal health and welfare groups, attending meetings where possible and contributing to regional discussions about the implementation of the Framework. Ensure membership of the KHub.	See section 3.2 of the Framework. KHub can be located at www.khub.net
8	Work closely with other local authorities to share knowledge and expertise, including opportunities for shared training, joint inspections, opportunities for contracting and peer to peer reviews.
9	Proactively exchange and use information and intelligence to inform the delivery of animal health and welfare controls, using national intelligence databases where appropriate.	See section 3.3 of the Framework and specific guidance on using information and intelligence to support prioritisation of animal health and welfare controls.
10	Regional groups to discuss and agree how each local authority will be involved in the recording, accessing and analysis of intelligence relating to animal health and welfare with the aim of making a staged improvement in the level and quality of intelligence recorded and the influence this has on service planning across the region.	See section 3.3 of the Framework and online training facility. Online NTS IOM eLearning training is available. Please contact [email protected]
11	Each regional group to review the level of intelligence being recorded and use the intelligence to identify any potential threats on at least an annual basis. Steps should be taken to resolve any concerns about the level or type of intelligence being recorded and a response formulated to any criminal activity that has been identified.	See section 3.3 of the Framework and pending ACTSO guidance.
12	All local authorities should actively engage in the sharing of environmental, political, legislative or organisational changes at regional meetings that may influence service planning and activities.	See section 3.3 of the Framework and pending ACTSO guidance.
13	Ensure that services consider the requirements laid down in the On Farm Charter and Regulators Code where appropriate.	See On Farm Charter and Regulators Code
14	All services should consider how they meet the standards required from competent authorities delivering controls relating to animal health and welfare under Retained EU Regulation 2017/625 (implemented under the Official Control Regulations 2019) and any future standards that support trade agreements.	See [
section 3.4.3
15	Complete statutory data returns in a timely manner.	See section 3.4.2 and online single data list.
16	Each local authority must have an up to date animal disease contingency plan in place, (required under Article 5(1) of retained EU regulation 2017/625), which is shared internally and with partners. Contact details are to be revised as changes happen. The plan should be updated within two years of any changes to the national template.	See animal disease contingency plan template.
17	Local authorities should ensure that contact details on the Local Authority Master Contact List are updated in a timely fashion. This information is used by APHA to communicate details of possible animal disease outbreaks, make referrals and share intelligence.	Local authority Master Contact List is on the KHub.
18	Officers involved in the delivery of animal health and welfare controls should be trained and qualified in line with local standards and authorisation processes. Local processes should ensure officers are competent in the delivery of effective animal health and welfare controls. As with all responsible employers, local authorities should support staff with personal development processes and training. These principles are reflected in Article 5(4) of Retained EU Regulation 2017/625.	Section 3.4.3 and Article 5(4) of Retained EU Regulation 2017/625.
19	Use the Framework to promote the delivery of animal health and welfare controls to managers and local politicians.	A short brief will be made available with the Framework, which can be adapted locally.

2.4.2 Responsibilities of the Animal Plant and Health Agency (APHA)

Under the Animal Health and Welfare Framework, APHA will:

1. Proactively engage in regional local authority communication, ensuring a lead is assigned to each local authority region and appropriate attendance at all regional meetings.
2. Work with local authority regional groups to lead discussions about the implementation of the Framework, contribute to the identification of high risk activities / businesses, share national and regional priorities and influence the development of service plans for the forthcoming delivery year.
3. Ensure liaison takes place with the relevant local authority to carry out joint annual licensing visits at livestock markets and collection centres, providing input and support for annual programmes of interventions.
4. Provide support for local authority enforcement work, including sharing of information / data / intelligence and providing veterinary input and opinion to support investigations.
5. Work with each regional group to develop agreed ways of sharing information about inspections, suspect disease cases and areas of concern.
6. Ensure that regional and local APHA leads that work with local authorities have an awareness of the Local authority Master Contact List and KHub to support their communication with local authorities.
7. Ensure relevant regional and local APHA staff are aware of the communication required with local authorities and ACTSO during a suspect and confirmed animal disease situation.
8. Attend and contribute to meetings of the National Animal Health and Welfare Panel (NAHWP).
9. Lead work with Defra and the NAHWP to develop national priorities for animal health and welfare in England on an annual basis.
10. Ensure that national priorities are communicated to local authorities in a timely manner to inform service planning.
11. Identify opportunities for additional funding for local authorities for specific projects based on national priorities, intelligence or emerging risks.

2.4.3 Responsibilities of the National Animal Health and Welfare Panel (NAHWP)

Under the Animal Health and Welfare Framework, the NAHWP will aim to:

1. Provide the national forum for discussion of animal health and welfare matters relating to local authorities. This will be facilitated by clearly identified representation from each local authority region within England, Wales and Scotland.
2. Operate as a steering group for the Framework, which will require the Animal Health and Welfare Framework to appear as a routine agenda item to explore implementation progress and queries.
3. Lead in annual reviews of the Framework to understand how well it is supporting delivery and advise APHA whether updates are required.
4. Provide a regular forum for local authorities to raise queries about animal health and welfare matters and for policy makers, delivery partners and industry to engage with local authority officers.
5. Support the exchange of information and data about local authority activities in consideration of local authority resources and the priorities of the Local Government sector.
6. Continue to promote the use of intelligence to identify criminal activity relating to animal health and welfare.
7. Contribute to the development of national priorities for animal health and welfare (to be developed during 2018 for April 2019 onwards).
8. Discuss options for regional and local animal health and welfare projects should funding become available.
9. Actively seek the input from local managers and professional bodies in matters that impact on local authority resources or strategic priorities. This will include the involvement of ACTSO.

2.4.4 Responsibilities of the Department for Food, Environment and Rural Affairs (Defra)

Under the Animal Health and Welfare Framework, Defra will:

1. Actively engage with the National Animal Health and Welfare Panel (NAHWP), working with APHA where appropriate, to explore policy developments, changes in national priorities, drafting of legislation and share guidance relating to animal health and welfare in a timely manner.
2. Engage with ACTSO and the Local Government Association (LGA) on policy that relates to managing a service, may impact on resources / finances and / or links to local government strategic priorities, working with APHA where appropriate.
3. Ensure all information and data provided by local authorities is used to inform policy and provide feedback on how this has been used where possible.
4. Ensure relevant staff are aware of the communication required with local authorities and ACTSO during a suspect and confirmed animal disease, particularly in relation to changes in the disease situation, policy changes and national priorities.
5. Work with APHA and the NAHWP to develop national animal health and welfare priorities in England on an annual basis (during 2018 for April 2019 onwards).
6. Ensure APHA have the necessary information to discuss national and regional priorities with local authorities.
7. Promote the Animal Health and Welfare Framework and role of local authorities on farm within Defra, government departments and with relevant external partners.
8. Recognise the importance of local authorities retaining the ability to respond to local priorities and community needs when designing national animal health and welfare policy.

2.5 Governance of the Animal Health and Welfare Framework

The Animal Health and Welfare Framework has been produced in partnership and it is important that the ongoing management of the Framework is undertaken in a similar manner. The NAHWP will provide the main forum for ongoing maintenance and review of the Animal Health and Welfare Framework, as all partners are represented on the Panel and it will prevent creating additional burdens by using an existing meeting and communication structure. Governance of the Framework will therefore be carried out by:

Ongoing: Local authority NAHWP representatives will ensure that the Framework is included on the agenda for all regional meetings to monitor implementation and resolve queries. Ongoing: The Framework will be included on every NAHWP meeting agenda to provide the opportunity for local authorities to discuss implementation, queries and issues. Annual: After each financial year the NAHWP will request feedback about implementation of the Framework from regional representatives and APHA. This will be documented in the minutes of the NAHWP and shared with all partners for further views. As required: Partners will be able to request a wholesale review of the Framework should the policy, political, financial, delivery or legal context make this necessary.

2.6 Queries about the Animal Health and Welfare Framework

If local authorities have day to day queries about the Framework, these should be discussed regionally in the first instance or posted on the Local Government Animal Health and Welfare KHub. If queries cannot be resolved at this level then they should be shared with the NAHWP.

Queries about the Framework from other individuals or organisations other than local authorities should be directed to APHA in the first instance by email to: [email protected]

3. Principles to support the delivery of animal health and welfare controls by local authorities

This section details the principles that local authorities should use when carrying out annual service planning and day to day delivery of their statutory duties relating to the health and welfare of farmed animals. It aims to:

• help local authorities to deliver their statutory duties in a way that is flexible to local priorities and the unique needs of farming communities
• make the most effective use of limited resources
• encourage local authorities to develop easily accessible policies about how local services respond to complaints about animal health and welfare based on risk
• support the identification of high risk businesses and focus available resources at these
• promote regional collaboration to share intelligence and mutual support between local authorities and wider delivery partners
• recognise that the regulatory role of local authorities is instrumental in ensuring international trade agreements are adopted and maintained
• detail national expectations and how changing national priorities will be developed and shared with local authorities to influence annual service planning
• highlight where the principles in the Framework contribute to standards expected from local authorities under the Official Control Regulations 2019

3.1 Local priorities

Local authorities are uniquely placed to understand the people and businesses within their own communities and provide services that meet their needs. Communities directly influence the services they receive by voting, communicating with local politicians and responding to requests for views. Local authorities remain accessible to businesses and individuals in their area through their websites, easy to reach contact details and transparent complaints procedures.

The needs of communities will always be a primary concern for the delivery of local authority services. To recognise this, the Animal Health and Welfare Framework recommends that local service plans should include:

1. A risk based, consistent and accessible process for responding to complaints relating to animal health matters.
2. Transparency about how the local authority responds to animal welfare complaints, including collaborative arrangements with other partners and charities.
3. Identification of high risk businesses and activities.
4. Produce an annual programme of interventions for high risk businesses and activities based on the risk presented by the activities carried out, intelligence, history of compliance and available resources.
5. Undertake an annual audit of each livestock market and collection centre in partnership with APHA to review documentation and procedures. Produce an annual programme of interventions based on the outcomes of the audit, which remains flexible to changing risk through the year.

Effective service planning is not only key to delivering a service that is transparent, accountable and targeted at local priorities. Retained EU Regulation 2017/625 (implemented under the Official Control Regulations 2019) includes principles that must be applied by all competent authorities delivering animal health, food and feed controls. These include taking a risk-based approach (under Article 9(1)), minimising burdens on businesses (Article 9(5)), operating transparently (Article 11(1)), planning and acting in accordance with documented procedures (Article 12(1)) and maintaining accurate records from controls undertaken (Article 13(1)).

3.1.1 Responding to complaints, partner referrals and public concern

The need for a structured and risk based approach to responding to complaints has gained importance in recent years as local authorities have moved away from carrying out planned inspections and increasingly rely on intelligence, referrals and complaints to decide when an intervention is required.

A survey carried out by ACTSO suggested that almost 70% of all on farm visits made by local authorities for animal health and welfare during 2015/16 were because of queries or complaints from other delivery partners, charities or the public. It is important that these queries are managed in a fair and transparent manner that can be easily accessed and explained to local communities.

A transparent, risk based and consistent approach to responding to complaints about animal health on farms is important to:

• provide reassurance and evidence to local communities, businesses, charities and local politicians how queries are managed fairly
• support the allocation of available resources based on risk
• consider local, national and international priorities
• contribute to the effective use and management of intelligence
• contribute to the government objective to reduce farm visits
• embody the principles of the Farm Regulators Charter

Most local authorities already have an informal approach to assessing complaints about the health and welfare of livestock on farms and deciding what action is appropriate, however, a structured and documented approach ensures limited resources are consistently prioritised and provides transparency and fairness for local communities.

While it is recognised that standard procedures may not cover all situations, under the Framework local authorities are asked to consider how a transparent and consistent approach to complaints will be achieved for their community. Guidance has already been produced by the NAHWP and ACTSO, which has been shared on the KHub along with examples of existing local authority processes.

3.1.2 Responding to complaints about animal welfare on farms

Under The Welfare of Animals at Market Order 1990 and the Welfare of Animal (Transport) Order 2006, county councils, unitary authorities and metropolitan district councils have a statutory duty to enforce laws that are aimed at ensuring animals do not suffer unnecessarily during sale or transportation.

Local authorities are also given unique powers under the Animal Welfare Act 2006 that can be used to respond to complaints about animal welfare issues more widely, including on farms. There is no duty on the local authority to enforce this Act or specific funding to support welfare work under the Act, however, because of the frequent link between welfare cases and animal disease risks, public interest in animal welfare and a general moral duty to ensure animals are not suffering, it is recommended that each local authority has a transparent policy or simple statement about how they will respond to complaints relating to the welfare of farmed animals and ensure officers are authorised appropriately.

Protecting the welfare of farmed animals in all situations is important because:

• welfare concerns about farmed animals rarely take place in isolation - commonly animal disease, animal by-product and bio security issues will be present as well
• animal disease issues have the potential to create a public health risk
• animal welfare complaints are an important source of intelligence
• local authorities should consider the moral duty to use powers available to them to protect the welfare of farmed animals
• the public and charities have an understandable interest in animal welfare related issues and will place additional scrutiny on the decisions made by local authorities in such cases
• media interest
• potential for links to wider local authority services, including social services, mental health issues, waste management and other criminal activity

Local authorities do not need to undertake the burden of welfare cases alone and collaboration with APHA and national and local charities can be immensely helpful. Local authorities may be able to establish partnerships with charities that will make the best use of resources and expertise depending on each case and this approach can be reflected in a transparent statement about responding to welfare complaints.

Any statement about handling welfare complaints will need to remain flexible enough to accommodate each unique case, accommodate limited resources and differing working relationships with partners. It could reference other areas of welfare work that unitary authorities and metropolitan borough councils cover as part of their licensing functions and provide links to other helpful organisations.

3.1.3 Identification of high risk activities and businesses and prioritisation of interventions

Local authorities have long recognised the importance of reducing burdens on businesses and have moved away from carrying out routine visits to responsible farmers. Instead available resources are focused on responding to complaints and using intelligence to target criminal activity and encourage businesses to comply.

However, it remains important that local authorities have a clear picture of what high risk activities and businesses are in their area to effectively service plan and prioritise interventions where resources are available and inspections are deemed appropriate.

Under the Framework, local authorities are expected to have a current and clear picture of what high risk businesses and activities are in their area. To identify high risk businesses and activities for the purposes of animal health and welfare, local authorities should consider the following:

1. A business may be considered high risk because of the activities it carries out.

In relation to animal health and welfare, this would include activities that pose an increased risk of spreading animal disease or causing welfare issues. This will include business activities that move animals about, bring animals from different premises together and move animals on again. Activities such as this not only bring animals from different areas into close contact, but also vehicles and people and businesses with differing approaches to complying with the law and will often be subject to additional provisions for the control of disease risks. Veterinary input through APHA can support the identification of such premises. Examples of such businesses include livestock markets, slaughterhouses, collection centres and dealers. Local authorities may also want to discuss the risk of shows and transporters with APHA.

2. A business may be considered high risk because of concerns about their compliance levels.

This could include any business that is of significant concern to the local authority based on local knowledge, including their history of non-compliance, complaints from the public and / or delivery partners, veterinary input, incomplete records, intelligence or non-compliance with other areas of regulatory legislation.

The identification of high risk businesses can be updated through the year, but should specifically be updated annually ahead of the service planning process.

Under the Framework, local authorities are expected to produce an annual programme of interventions for high risk businesses and activities in their area. This would take into consideration:

• risk presented by the activities carried out
• history of compliance
• intelligence
• outcomes of annual audits (for livestock markets and collection centres)
• available resources
• input from APHA at regional meetings
• other businesses may be prioritised for a visit or intervention because they link to the national or regional priorities

Local authorities are best placed to determine the level and type of interventions required at high risk premises in their area or whether any are appropriate during a delivery year. Local authorities may need to amend this programme as local and national risks change through the year.

Under the Framework it is expected that local authorities will have considered what interventions are required at all APHA licensed animal gatherings, livestock dealers, slaughterhouses, livestock dealers and high risk businesses in their area. Details of any programmed interventions at high risk premises can be shared with APHA.

3.1.4 Working with livestock markets and collection centres

Livestock markets and collections centres are often the hub of farming communities and make a vital contribution to local economies, however, the very nature of their business means that will be always be considered high risk from an animal disease and welfare perspective. They are licensed by APHA due to this inherent risk.

Livestock markets and collection centres regularly bring people, vehicles and animals from different areas together and then move them on again. In addition to the individual responsibilities of farmers, dealers and transporters attending each sale, the market operator themselves must ensure that bio security standards are maintained, movement documentation is correct and welfare concerns are acted upon.

ACTSO has worked with APHA to produce specific guidance to support work with markets:

• guidance for local authority officers working in livestock markets – includes summary of legislation, licensing, welfare issues and includes template inspection forms
• assessing compliance levels at livestock markets – provides a matrix to assess compliance and tailor planned activity and interventions accordingly, including when and how to engage APHA

The ACTSO report on local authority activity in livestock markets and training material from APHA, ACTSO and the Livestock Auctioneers Association are also useful resources.

Due to the high risk nature of livestock markets and the importance of a consistently robust approach across England, under the Animal Health and Welfare Framework local authorities are expected to:

1. Know where all licensed livestock markets and collection centres are in their area and have up to date contact details and knowledge about the timing of sales. Up to date local authority contact details should also be shared with the market operator.

2. Ensure regular liaison with APHA and market operators about any concerns relating to livestock markets.

3. In partnership with APHA, conduct an annual audit of each livestock market and collection centre to review the systems, processes and paperwork arrangements in place to meet the market’s obligations in relation to animal health and welfare law and confirm how the market will act when concerns are identified. Engagement should focus on the identification and management of hazards. This should be carried out as part of the annual renewal of the approval given by APHA for the market to operate.

4. Based on the activities taking place at the market or collection centre, history of compliance, intelligence national / regional / local priorities, resources, the annual audit and discussions with APHA, agree a programme of visits during operating hours to be put into the local authority service plan. Any visits during sale time should be conducted in an irregular pattern and at different times during sales / gatherings. If there are concerns about compliance levels at the market / collection centre then visits should always be unannounced.

5. Consider whether national and regional priorities require visits to livestock markets and collection centres.

3.2 Regional collaboration

Collaboration across regulatory delivery partners is an essential way of sharing information, identifying high risk activities and businesses, resolving queries, providing mutual support and training, maximising resources and discussing local and regional priorities. This type of cooperation between competent authorities is also required in Article 4(2) of the retained EU Regulation 2017/625. Under the Framework, local authorities are asked to:

1. Actively engage in regional animal health and welfare groups, attending meetings where possible and contributing to regional discussions about the implementation of the Framework. Ensure membership of the KHub.
2. Work closely with other local authorities to share knowledge and expertise, including opportunities for shared training, joint inspections, opportunities for contracting and peer to peer reviews.

For local authorities, the well-established regional networks and groups provide a vital route for regional collaboration and means to feed into discussions at a national level through the NAHWP.

Under the Framework the regional groups will also be expected to:

• provide a forum for regular discussions about the Framework and resolution of queries about implementation
• on an annual basis provide the opportunity for a review about progress made under the Framework, effectiveness of provisions, any improvements required and report to the NAHWP
• each year, ahead of service planning, ensure that a meeting is held to discuss local and regional priorities, trends, emerging areas of concern and to share intelligence about high risk activities and businesses - the nominated APHA representative will need to be invited to these discussions to provide information about national priorities and veterinary risks

To do this, each regional group will be expected to:

• ensure that they have details of a nominated animal health contact in each local authority
• have an agreed approach to communication within their region, including emails, use of the KHub for queries and at least one meeting each year
• ensure that the regional group have a nominated representative on the NAHWP and all local authorities within the region know who this is
• invite the nominated APHA contact to all meetings and ensure they are aware how to liaise with the regional group at other times
• consider inviting other delivery partners and industry to relevant meetings

3.3 Sharing intelligence

Under the Framework, local authorities are asked to:

1. Regional groups to discuss and agree how each local authority will be involved in the recording, accessing and analysis of intelligence relating to animal health and welfare with the aim of making a staged improvement in the level and quality of intelligence recorded and the influence this has on service planning across the region.
2. Each regional group to review the level of intelligence being recorded and use the intelligence to identify any potential threats on at least an annual basis. Steps should be taken to resolve any concerns about the level or type of intelligence being recorded and a response formulated to any criminal activity that has been identified.
3. All local authorities should actively engage in the sharing of environmental, political, legislative or organisational changes at regional meetings that may influence service planning and activities.

To achieve these aims local authorities should refer to the ACTSO guidance on using information and intelligence to support animal health and welfare delivery.

3.3.1 Understanding the NTS Intelligence Operating Model (IOM)

The National Trading Standards (NTS) Intelligence Operating Model (IOM) has been developed by NTS to support local authority trading standards services in England and Wales. The IOM is not a database, but rather an intelligence framework that helps to provide a systematic and structured approach to gathering and sharing intelligence. The IOM has a set of procedures, effective tasking arrangements and a training and development programme including IOM eLearning.

Intelligence is recorded, evaluated and disseminated in a standard format. It can be used to manage and task local, regional and national prioritised threats and risks.

The model can easily be applied to any areas of regulation where there is the potential for criminal activity, including environmental health.

3.3.2 Local and regional intelligence officers

Each local authority is encouraged to have a local intelligence liaison officer, although it is recognised that as resources are constrained this role may be carried out in addition to other duties. They work closely with the regional intelligence analysts and will influence the wider regional issues.

NTS has provided funding for each regional trading standards group to have a regional intelligence function that is deployed in each regional trading standards group and embedded into regional structures. This function helps to improve intelligence capacity regionally and locally. Regional intelligence analysts work with their local intelligence liaison officers, other regional intelligence analysts and the national NTS Intelligence Team to provide an effective intelligence network across England and Wales.

3.3.3 Local authority intelligence databases

There are currently two national intelligence databases (Memex/SAS and IDB) that are used by trading standards services, both have fields for animal health and welfare. Each local authority will take their own decisions on which intelligence database to use and who can access and use the database.

To support the IOM, NTS currently provides funding to help maintain these two national intelligence databases and also provides funding to help local trading standards authority in England and Wales cover the licence costs to access and use one of the intelligence databases.

The standardised recording of information and subsequent analysis to produce intelligence is critical to the IOM. Since April 2017, a new intelligence report has been used to record intelligence. User’s grade the intelligence, providing a handling code and the justification for these codes. It is not envisaged that general non-compliance reports should be recorded on the national intelligence databases.

3.3.4 Using the IOM to gather and share intelligence about animal health and welfare

Step 1 – Local responsibilities and processes

Each local authority animal health and welfare officer is encouraged to identify their local intelligence liaison officer to understand which intelligence database is used by their local authority, how this can be accessed and how information is graded, analysed and recorded within their authority using the standard processes. The IOM provides standard operational procedures and guidance on how information becomes intelligence and how this is recorded, however, local intelligence officers will be best placed to advise how the processes and responsibilities are operating locally.

Each authority will take their own decisions on who can access and use their intelligence database, which will often depend on the number and type of licences purchased. If an enforcement officer has not been trained on the IOM operational procedures and does not have direct access to the intelligence database then they should contact their line manager and local intelligence officer to establish how they will be able to search the database, submit intelligence or interrogate the database for potential cross boundary threats on an ongoing basis. It would also be appropriate to discuss the type of information and intelligence expected.

Step 2 – Regional liaison

Once clarification has been sought about local roles and processes, then it would be appropriate for regional groups to discuss and agree the priorities and approach to recording and use of intelligence. This would need to include:

• ensuring all local authorities understand how the IOM works and how they contribute to this, including where animal health and welfare enforcement is not carried out directly within the Trading Standards function ^{[footnote 3]}
• consider whether the regional group invites their regional intelligence analyst or other regional intelligence support officer to discuss how officers can contribute to the intelligence picture for feed and interrogate intelligence regularly or when there is a perceived threat
• agree the priorities for recording intelligence, particularly if there is a specific area of non-compliance or business type that is of concern
• discuss other environmental, political, legislative or organisational changes that may influence priorities
• agree a regional approach to checking the national intelligence databases for animal health and welfare related intelligence, which will require liaison and agreement with the regional intelligence function

3.4 Understanding national requirements

Local authorities are in a unique position of working with their communities every single day and focusing on their needs. However, in many cases, including animal health and welfare, local authorities are also delivering a service that is delegated by national government and forms a vital part of European and international trade agreements.

It is important for local authority animal health and welfare services to consider the expectations and priorities of national government because:

• duties relating to the enforcement of animal health and welfare have been created under national legislation
• national government and industry want to promote a consistent and coordinated approach to delivery of these duties
• national government have a unique overview of the delivery of all regulation relating to farms and can work to remove duplication of resources, reduce burdens and work to promote the role of industry
• local authority work on animal health matters contribute to the regulatory system that is a vital way of maintaining trade agreements within Europe and internationally
• national government will be able to help identify and advise local authorities on emerging animal disease risks, new legislation and changes in policy

3.4.1 National expectations

Under this Framework, Defra and APHA expect local authority delivery of animal health and welfare controls to be underpinned by the following principles:

1. Each local authority to undertake annual service planning based on the principles in the Animal Health and Welfare Framework outlined in section 3.1. This specifically includes the identification of high risk businesses and activities, annual audits at livestock markets and collection centres and the development on an annual programme of interventions.
2. Actively engage in regional animal health and welfare groups, attending meetings where possible and contributing to regional discussions about the implementation of the Framework. Ensure membership of the KHub. As outline in section 3.2.
3. Proactively exchange and use information and intelligence to inform the delivery of animal health and welfare controls, using national intelligence databases where appropriate. Guidance on all the information and intelligence sources available to support animal health and welfare delivery and how to use these has been produced by ACTSO.
4. Ensure that services consider the requirements laid down in the On Farm Charter and Regulators’ Code where appropriate.
5. All services should consider how they meet the standards required from competent authorities delivering controls relating to animal health and welfare under Retained EU Regulation 2017/625 (implemented under the Official Control Regulations 2019) and any future standards that support trade agreements.
6. Each Local authority to complete statutory data returns in a timely manner.
7. Each Local authority must have an up to date animal disease contingency plan in place, (required under Article 5(1) of retained EU Regulation 2017/625), which is shared internally and with partners. Contact details are to be revised as changes happen. The plan should be updated within two years of any changes to the national template where this is used.
8. Local authorities should ensure that contact details on the Local Authority Master Contact List are updated in a timely fashion. This information is used by APHA to communicate details of possible animal disease outbreaks, make referrals and share intelligence.
9. Officers involved in the delivery of animal health and welfare controls should be trained and qualified in line with local standards and authorisation processes. Local processes should ensure officers are competent in the delivery of effective animal health and welfare controls. As with all responsible employers, local authorities should support staff with personal development processes and training. These principles are reflected in Article 5(4) of Retained EU Regulation 2017/625. See further details in section 3.4.3 below.

3.4.2 National data returns and reporting

Government has a single data list which includes all mandatory data returns to be completed by Local authorities on an annual basis. The government focus has been to encourage local accountability for services rather than burdensome central monitoring, but the vastly reduced list still remains a way of monitoring individual services. Individual government departments cannot amend the number or content of data returns without approval.

The single data list includes the following specific returns related to delivery of animal health and welfare controls:

1. Return of expenditure incurred and prosecutions undertaken under the Animal Health Act 1981 and incidences of disease in imported animals.
2. Animal Health & Welfare Management and Enforcement System (AMES) or equivalent information on a local database (as agreed by APHA at a national level).
3. Animal Welfare: during transport.

Any other requests for data or information by APHA, Defra or the Welsh Government will be on a voluntary basis. Anyone requesting additional data will communicate the reasons why the data is needed clearly and ensure that any outcomes are shared with the NAHWP.

3.4.3 Meeting the international / EU requirements

Local authorities are asked to remain aware of any EU legislation or international trade agreements that include standards to be met by those delivering animal health and welfare controls. The effective delivery of controls relating to animal health and welfare are instrumental to the maintenance of successful trade agreements and minimal burdens on UK businesses that want to export their products.

Specifically, local authorities should be aware of requirements under retained EU Regulation 2017/625 (implemented under the Official Control Regulations 2019), which includes principles that must be applied by all competent authorities delivering animal health, food and feed controls. This includes overarching themes such as taking a risk based approach to controls, processes, recording data, transparent service delivery and competency of officers, as well as more detailed information on the notice period given to businesses before inspections. Article 6 of retained EU Regulation 2017/625 requires all competent authorities to have transparent and accountable audit processes in place.

Local authorities should also be aware of the requirements of Article 5(4) of Retained EU Regulation 2017/625, which specifically states that officers performing official controls shall, ‘Receive, for their area of competence, appropriate training enabling them to undertake their duties competently and to perform official controls and other official activities in a consistent manner; keep up-to-date in their area of competence and receive regular additional training as necessary; and receive training in the subject matters set out in Chapter I of Annex II and on the obligations of the competent authorities resulting from this Regulation, as appropriate.’

3.4.4 Sharing national priorities to support service delivery

The principles contained within this Framework provide the foundation for effective management and delivery of animal health and welfare controls by local authorities, however, the national priorities that influence the focus of daily activities undertaken by local authorities can be subject to rapid and regular change because of new policy developments, environmental factors, intelligence, emerging disease risks and changes in industry practices. The Framework will therefore be supported by regular communication about national priorities.

National priorities for animal health and welfare are considered alongside regional and local priorities to influence the delivery of local authority animal health controls. The following process will be carried out (during 2018, for priorities from April 2019 onwards) on annual basis to provide Local authorities with clarity about national priorities and areas of concern to be considered during service planning:

• (Annually – 1 July) each year, APHA will issue a request to all Framework partners for their feedback on what the national priorities should be for animal health and welfare for the forthcoming year
• (Annually - July) during each July, APHA will also collate additional sources of intelligence and data that may influence national priorities and liaise with relevant Defra policy contacts for emerging policy changes, trends or priorities
• (Annually - September) APHA will present a paper to the NAHWP in September that includes proposed national priorities for the forthcoming delivery year for discussion
• (Annually - October) Defra to formally communicate annual national priorities by the end of October each year. Information will be made available through NAHWP representatives, shared by APHA at regional meetings and placed on the Local Government Animal Health and Welfare KHub

Should national priorities or risk change during a financial year then these will be discussed in a timely manner with the NAHWP and appropriate communication agreed.

1. https://www.gov.uk/government/news/food-and-drink-export-sales-soar-in-brexit-boost ↩

2. The Framework does not cover the animal establishment licensing or companion animal responsibilities that are also carried out by unitary and metropolitan borough councils. ↩

3. Online NTS IOM eLearning training is available. Please contact [email protected] ↩