Guidance

Cross compliance 2019: inspection results

Published 29 January 2021

Applies to England

Total number of non-compliances applied to rural payments

SMR or GAEC	Number of selected inspections failed	Number of inspections selected	% of selected inspections failed	Number of standalone inspections failed	Warning letter (EWS)	1% penalty	3% penalty	4% penalty	5% penalty	Over 5% to 15% penalty	Over 15% penalty	Total number of inspections failed
SMR 1	224	805	27.8%	6	84	45	76	0	8	10	7	230
SMR 2	1	37	0%	0	0	0	0	0	1	0	0	1
SMR 3	0	36	0%	2	0	2	0	0	0	0	0	2
SMR 4 TB	N/A	N/A	N/A	283	8	81	111	0	47	18	18	283
SMR 4	33	660	5.0%	0	2	2	11	0	14	1	3	33
SMR 6	10	87	11.5%	0	2	4	1	0	2	1	0	10
SMR 7	590	1,251	47.2%	0	115	139	221	4	45	56	10	590
SMR 8	263	1,216	21.6%	0	23	112	46	0	70	9	3	263
SMR 9	2	420	0%	0	1	1	0	0	0	0	0	2
SMR 10	29	373	7.8%	1	1	0	15	0	12	0	2	30
SMR 11	9	138	6.5%	3	0	0	4	0	7	0	1	12
SMR 12	12	110	10.9%	8	0	1	13	0	1	2	3	20
SMR 13	119	477	24.9%	63	0	12	68	0	37	8	57	182
GAEC 1	32	765	4.2%	14	8	27	6	0	4	0	1	46
GAEC 2	1	32	3%	2	0	0	2	0	0	0	1	3
GAEC 3	0	859	0.0%	0	0	0	0	0	0	0	0	0
GAEC 4	0	860	0%	0	0	0	0	0	0	0	0	0
GAEC 5	1	862	0%	3	1	3	0	0	0	0	0	4
GAEC 6	0	568	0%	4	0	2	1	0	1	0	0	4
GAEC 7a	30	902	3.3%	29	13	26	10	0	8	2	0	59
GAEC 7b	32	572	5.6%	46	27	34	14	0	2	1	0	78
GAEC 7c	5	864	0.6%	1	1	0	4	0	0	1	0	6
GAEC 7d	1	71	1%	3	0	3	0	0	1	0	0	4
GAEC 7e	0	44	0%	0	0	0	0	0	0	0	0	0
Totals	1,394	12,009	11.61%	468	286	494	603	4	260	109	106	1,862

Number of individual non-compliances found (claimants and non-claimants)

SMR 1

Requirement	Type of non-compliance	Number of non- compliances	Warning letter (EWS)	1% penalty	3% penalty	5% penalty	Over 5% penalty	Intentional penalty
SMR 1 - A1 (2016)	Current year records incomplete, not presented or do not exist.	229	91	49	72	2	15	3
SMR 1 - A10 (i) (2018)	Poultry manure and/or other types of solid manure have not been stored either: in a vessel; on an impermeable surface; in a roofed building (this includes greenhouses); or in a temporary field heap.	6	0	0	4	0	2	0
SMR 1 - A2 (2016)	Historic records incomplete, not presented or do not exist.	10	3	2	5	0	0	0
SMR 1 - A9 (2016)	Sufficient storage capacity has not been provided during the specified storage periods.	3	0	0	0	3	0	0
SMR 1 - B1 (2016)	Closed period for organic manure with high readily available nitrogen breached.	3	0	0	0	3	0	0
SMR 1 - B9 (ii) (2016)	Temporary field heaps have been in a single position for more than 12 consecutive months, or in the same place as an earlier heap constructed within the last two years.	15	0	0	13	0	2	1
SMR 1 - B9 (i) (2016)	Temporary field heaps have been sited in a high risk location (i.e. one of the first five bullet points in the farmer requirement).	2	0	0	0	2	0	0
SMR 1 - C1 (2016)	Failure to notify Environment Agency within 14 days of construction works beginning.	4	0	1	3	0	0	0
SMR 1 - C3 (2016)	Failure to meet the installation requirements and/or field site rules	3	0	0	0	3	0	0

SMR 2

Requirement	Type of non-compliance	Number of non- compliances	Warning letter (EWS)	1% penalty	3% penalty	5% penalty	Over 5% penalty	Intentional penalty
SMR 2 - A1	The farmer has carried out, caused or permitted a specified operation for which no notice/consent has been given. The farmer will not break the rules for a SPA if they have a reasonable excuse. or: The farmer has carried out, caused or permitted a specified operation on land where a special nature conservation order is in force for which no notice/consent has been given. The farmer will not break the rules for a SPA if they have a reasonable excuse. or: The farmer has carried out, caused or permitted an operation with notice/consent but has failed to adhere to the terms of the consent. The farmer will not break the rules for a SPA if they have a reasonable excuse.	1	0	0	0	1	0	0

SMR 3

Requirement	Type of non-compliance	Number of non- compliances	Warning letter (EWS)	1% penalty	3% penalty	5% penalty	Over 5% penalty	Intentional penalty
SMR 3 - A1	The farmer has carried out, caused or permitted a specified operation for which no notice/consent has been given. A specified operation means one which has been identified as likely to damage the special interest features of the area. This information forms part of the notification package of Sites of Special Scientific Interest. The farmer will not break the rules for a SAC if they have reasonable excuse. or: The farmer has carried out, caused or permitted a specified operation on land where a special nature conservation order is in force for which no notice/consent has been given. The farmer will not break the rules for a SAC if they have reasonable excuse. or: The farmer has carried out, caused or permitted an operation with notice/consent but has failed to adhere to the terms of the consent. The farmer will not break the rules for a SAC if they have reasonable excuse.	2	0	2	0	0	0	0

SMR 4

Requirement	Type of non-compliance	Number of non- compliances	Warning letter (EWS)	1% penalty	3% penalty	5% penalty	Over 5% penalty	Intentional penalty
SMR 4 - A2	There is evidence that unsafe feed has been fed to food producing animals.	1	0	0	1	0	0	0
SMR 4 - C1/C2	Key pieces of information are missing, or information is not kept at all.	9	0	2	4	2	1	0
SMR 4 - C1/C2 (2018)	Key pieces of information are missing, or information is not keep at all, or cannot be produced on demanding taking into account a test reasonableness.	2	0	0	0	2	0	0
SMR 4 - C3	Information is kept but not in a systematic manner: it cannot be produced on demand, taking into account a test of reasonableness.	3	0	0	1	0	2	0
SMR 4 - D1	There is evidence of waste or hazardous substances not being handled separately and securely. Whilst not an exhaustive list, waste and hazardous substances may include: slurry, dirty water/run-off, silage effluent, waste metal, batteries, sheep dip, plant protection products and biocides, fertilisers, veterinary products, noxious chemicals, diesel, swarf. or: Waste or hazardous substances not stored separately or securely. Whilst not an exhaustive list, waste and hazardous substances may include: slurry, dirty water/run-off, silage effluent, waste metal, batteries, sheep dip, plant protection products and biocides, fertilisers, veterinary products, noxious chemicals, diesel, swarf.	3	2	0	1	0	0	0
SMR 4 - D10 (ii)	Failure to abide by the statutory pre-movement testing of animals – inspection standard will be where animals have been moved off farm in the 60 days prior to date of inspection without test having been carried out. Note: pre-movement testing is not a requirement in all counties/herds; farmer must keep test chart TB52 for 60 days plus 3 years.	1	0	0	0	1	0	0
SMR 4 - D10 (i)	Failure to ensure that all eligible animals conform to national herd/flock health surveillance and testing intervals for TB. Further aspects of these control measures are covered by specific standards for raw milk.	417	6	120	159	70	62	26
SMR 4 - D13 (ii)	The results of any analysis carried out indicate a possible risk to human health and the farmer has not taken any action to stop the risk.	2	0	0	0	2	0	0
SMR 4 - D13 (i)	No records kept or records incomplete and/or not produced at inspection. Note: (a) Inspectors likely to restrict check to one that verifies that veterinary medicine records exist and look reasonably complete. Only a veterinarian will have the skills and competence to check records in detail; (b) Possible example is herd milk recording carried out to establish the offending animals with high somatic cell counts; (c) Possible example is TBC/SCC/antibiotic records from purchaser. For b and c the inspector is verifying that the results being kept by the farmer in his farm records exist; there is no requirement under this standard for the inspector to interpret the results.	28	2	1	11	12	2	2
SMR 4 - D9 (iii)	The farmer has sold or supplied an animal for slaughter, or has sold/supplied milk, eggs or honey that, on analysis of a sample, has been found to contain residues of authorised veterinary medicinal products that exceed the maximum residue limit (MRL) for the medicine used or an unauthorised substance.	1	0	0	0	0	1	0
SMR 4 - D9 (ii)	The farmer has placed food on the market that, on analysis of a sample, and taking account of measurement uncertainty, has been found to contain a pesticide residue that exceeds the statutory maximum residue level (MRL) for a pesticide found in the food tested.	1	0	0	1	0	0	0
SMR 4 - D9 (i)	Evidence of feed additives, veterinary medicines or biocides being used incorrectly or inappropriately. for example: not mixed or stored correctly; not labelled; past their use-by dates; not used in accordance with the instructions/dosage on the label (evidence from records of application); withdrawal periods have been contravened (evidence from veterinary medicines record).	2	0	0	2	0	0	0

SMR 6

Requirement	Type of non-compliance	Number of non- compliances	Warning letter	1% penalty	3% penalty	5% penalty	Over 5% penalty	Intentional penalty
SMR 6 - A1	Applicant details not correctly registered with competent authority, nor maintained.	3	0	0	0	3	0	0
SMR 6 - A3/A4/A5/A6/A7/A9	Movement documents not maintained in accordance with the legal requirements. and/or: Records not maintained in accordance with the legal requirements.	11	3	4	2	0	2	0
SMR 6 - A8	No record has been made of the maximum number of pigs normally kept or actual number of pigs is not recorded on the date maximum number is recorded.	5	0	5	0	0	0	0

SMR 7

Discrepancy code	Number of non compliant animals	Number of non compliant farmers
Failure to report movement (FM)	6,250	341
Dam ID error - DBES impact (ID)	126	46
Animal not found in farm records (NF)	968	95
Movement details not recorded or incorrectly recorded (MV)	2,358	274
Incorrect date of birth (DB)	586	50
Dead animal, death not reported (DD)	2,834	312
Animal never been tagged or lost all tags (TG1)	139	42
Tags lost over 28 days (TG2)	807	171
Total	14,068	1331

SMR 8

Requirement	Type of non-compliance	Number of non- compliances	Warning letter (EWS)	1% penalty	3% penalty	5% penalty	Over 5% penalty	Intentional penalty
SMR 8 - A1/A2/A4 (ii) (2016)	Sheep and/or goats have never been tagged (i.e. not in accordance with Council Regulation/ SAGRIMO).	4	0	0	0	3	1	1
SMR 8 - A1/A2/A4 (i) (2016)	Sheep and/or goats are incorrectly tagged (i.e. not in accordance with Council Regulation/ SAGRIMO).	16	5	4	2	4	1	1
SMR 8 - A3 (2018)	Animals with lost or illegible means of identification that are not replaced within 28 days.	12	6	3	2	0	1	1
SMR 8 - A5 (iii) (2016)	Records (SAGRIMO) - Where known, missing breed and/or genotype information in flock/herd register.	27	12	14	1	0	0	0
SMR 8 - A5 (ii) (2016)	Records (SAGRIMO) - Any or all of the following requirements are missing: ID of holding; address and geographical co-ordinates (CPH); production type.	13	1	8	3	0	1	1
SMR 8 - A5 (iv) (2016)	Records (SAGRIMO) - Movements.	172	5	61	37	58	11	1
SMR 8 - A5 (i) (2016)	Records (SAGRIMO) - Annual stocktake (inventory) missing	77	60	14	1	0	2	2
SMR 8 - A5 (vii) (2016)	Records (SAGRIMO) - Date of ID, ID number(s), number of animals identified, and year of birth	113	6	32	29	37	9	0
SMR 8 - A5 (vi) (2016)	Records (SAGRIMO) - Deaths.	96	4	83	8	0	1	0
SMR 8 - A5 (v) (2016)	Records (SAGRIMO) - Replacement Tags.	113	5	98	9	0	1	1
SMR 8 - A6 (2016)	Failure to retain records for the required period or failure to make records available on request. (This is only to be used where there are no records being kept at all or where no records are made available.)	4	0	0	0	4	0	0

SMR 9

Requirement	Type of non-compliance	Number of non- compliances	Warning letter (EWS)	1% penalty	3% penalty	5% penalty	Over 5% penalty	Intentional penalty
SMR 9 - A3	The farmer is producing feed for non-ruminants which contains restricted proteins and does not have authorisation (in the form of a letter from Defra) to do so. Requirement applies to all farms producing feed using restricted proteins. email: [email protected] to confirm current authorisation status. Restricted proteins are animal proteins restricted to non-ruminant feed origin, such as fishmeal, blood products & dicalcium phosphate and tricalcium phosphate of animal origin. Also included are processed animal proteins of non ruminant origin, including pig and poultry meal for aquaculture animals.	1	1	0	0	0	0	0
SMR 9 - A4	The farmer does not have registration/permission to store or use feed containing restricted proteins where required. Requirement applies to all farms where ruminants are present. All registrations/permissions previously issued can be considered as adequate authorisation.	1	0	1	0	0	0	0

SMR 10

Requirement	Type of non-compliance	Number of non- compliances	Warning letter (EWS)	1% penalty	3% penalty	5% penalty	Over 5% penalty	Intentional penalty
SMR 10 - A1 (2016)	The farmer has used an unauthorised product and/or a product for which a permit is required (e.g. a product whose authorisation has lapsed, been revoked; an imported product that does not have a permit for use in this country or ‘own-use’ parallel imports where an equivalent UK label in English is not available).	10	0	0	6	2	2	2
SMR 10 - B1 (2016)	The farmer has used an authorised and/or permitted product but has not complied with all relevant requirements for, or conditions of, use or extension of use, e.g.: Product not authorised or permitted for intended use, crop, land or situation; Product not authorised or permitted for intended method of application; Maximum dose exceeded; Maximum number of treatments/total dose exceeded; Application dates/harvest intervals not observed; Access restrictions for workers and/or livestock ignored; Notifications not given where appropriate (e.g. the requirement to notify beekeepers or the beekeepers liaison officer); LERAP decisions are recorded. Appropriate PPE is used where spraying is observed. Other.	21	0	0	8	12	1	1
SMR 10 - B2 (i) (2016)	The farmer has used PPPs in a manner that is not in accordance with the relevant legislation, good plant protection practice1 as set out in the Code of Practice. 1 This means a practice whereby the treatments with plant protection products applied to given plants or plant products, in conformity with the conditions of their authorised uses, are selected, dosed and timed to ensure acceptable efficacy with the minimum quantity necessary, taking due account of local conditions and of the possibilities for cultural and biological control.	4	0	0	3	1	0	0

SMR 11

Requirement	Type of non-compliance	Number of non- compliances	Warning letter (EWS)	1% penalty	3% penalty	5% penalty	Over 5% penalty	Intentional penalty
SMR 11 - A1	Housed calves have not been inspected twice each day. or: Calves kept outside have not been inspected once each day.	2	0	0	1	1	0	0
SMR 11 - A10	Calves are fed less than twice per day (if not fed ad libitum).	2	0	0	0	0	2	2
SMR 11 - A12	Sick calves do not have continuous access to water. This requirement is additional to the general requirement to provide animals with suitable and adequate water in SMR 13 (requirement A17). and / or: In hot weather calves do not have continuous access to water. This requirement is additional to the general requirement to provide animals with suitable and adequate water in SMR 13 (requirement A17).	8	0	0	0	8	0	0
SMR 11 - A14	Evidence of no or insufficient fibrous food provision (less than 50g per day per calf at 8 weeks to less than 250g per day per calf at 20 weeks). and / or: Diet present during inspection not suitable for calves.	3	0	0	0	1	2	2
SMR 11 - A3 (ii)	No perforated walls for individual pens so calves have no direct visual and physical contact with other calves.	2	0	0	2	0	0	0
SMR 11 - A4	Unobstructed floor space too small for the weight of the calves.	1	0	0	1	0	0	0
SMR 11 - A6	Calf does not have access to a lying area which is clean, comfortable and/or well-drained and which does not adversely affect it.	4	0	0	2	0	2	2
SMR 11 - A8	Inspector observation and/or farmer admission that artificial light provided between 9.00am and 5.00pm for housed animals is not equivalent to natural light during this time.	1	0	0	1	0	0	0
SMR 11 - A9	Evidence that cleaning and disinfection procedures are inadequate. and / or: Evidence that faeces, urine and uneaten or spilt food has not been removed frequently enough to avoid attracting flies or rodents.	9	0	0	6	1	2	2

SMR12

Requirement	Type of non-compliance	Number of non- compliances	Warning letter (EWS)	1% penalty	3% penalty	5% penalty	Over 5% penalty	Intentional penalty
SMR 12 - A10	Pigs over 2 weeks old have not been given permanent access to an adequate supply of fresh water. This requirement is additional to the general requirement to provide animals with water in SMR 13 (requirement A17)	16	2	0	9	1	4	3
SMR 12 - A2/B2	Pig(s) unable to stand up and/or lie down and/or rest without difficulty. and / or: Pig(s) do not have a clean, and/or physically comfortable and/or adequately drained lying area to rest, or that bedding is not suitable/maintained to avoid harm/discomfort. and / or: Pig(s) are unable to see other pigs (unless the pig is isolated for farrowing or for veterinary reasons). and / or: Pig(s) cannot maintain a comfortable temperature; includes the use of accommodation defined as the sweat box system. and / or: Insufficient space for all pigs to lie down at the same time.	9	0	0	8	0	1	0
SMR 12 - A4	Flooring is found to be one or more of: not smooth, slippery, not suitable for size and weight of pigs, uneven/unstable (when no litter has been provided), not designed, constructed or maintained to prevent injury or suffering to pigs when standing or lying on it.	2	0	0	2	0	0	0
SMR 12 - A5	Openings are too wide between slats for category of pig. or: Slat width too small for category of pig.	1	0	0	1	0	0	0
SMR 12 - A6	Pigs exposed to light of less than 40 lux in buildings where pigs are dependent on artificial lighting. and / or: Pigs exposed to less than 8 hours of light in buildings where pigs are dependent on artificial lighting.	11	0	0	10	0	1	1
SMR 12 - A7	No or insufficient manipulable material available to enable proper investigation and manipulation activities. and / or: Material provided which compromises pig health.	7	0	0	1	0	6	5
SMR 12 - A8	Inadequate measures are taken to minimise aggression in groups of pigs. and / or: Persistent aggressors, or their victims, are not isolated from the rest of the group.	2	0	0	0	0	2	2
SMR 12 - F1	Boar unable to turn around in pen. and / or: Boar unable to hear and/or see and/or smell other pigs.	2	0	0	2	0	0	0
SMR 12 - F2	Boar pen does not contain clean resting areas and the lying area is not dry and comfortable.	3	0	0	1	0	2	2
SMR 12 - G1	Insufficient floor area for the weaners or rearers assessed by inspector.	1	0	0	1	0	0	0
SMR 12 - G3	When pigs are mixed adequate opportunities are not provided for pigs to escape and hide from other pigs.	2	0	0	2	0	0	0
SMR 12 - A10	Pigs over 2 weeks old have not been given permanent access to an adequate supply of fresh water. This requirement is additional to the general requirement to provide animals with water in SMR 13 (requirement A17)	16	2	0	9	1	4	3
SMR 12 - A2/B2	Pig(s) unable to stand up and/or lie down and/or rest without difficulty. and / or: Pig(s) do not have a clean, and/or physically comfortable and/or adequately drained lying area to rest, or that bedding is not suitable/maintained to avoid harm/discomfort. and / or: Pig(s) are unable to see other pigs (unless the pig is isolated for farrowing or for veterinary reasons). and / or: Pig(s) cannot maintain a comfortable temperature; includes the use of accommodation defined as the sweat box system. and / or: Insufficient space for all pigs to lie down at the same time.	9	0	0	8	0	1	0

SMR 13

Requirement	Type of non-compliance	Number of non- compliances	Warning letter (EWS)	1% penalty	3% penalty	5% penalty	Over 5% penalty	Intentional penalty
SMR 13 - A1	Number of staff available insufficient to prevent welfare problems occurring. or: Evidence that stockperson demonstrates lack of professional competence and/or ability in livestock care, which is not covered by any other specific criteria listed in the schedule. For example: 1) Where any animals (other than poultry) are kept in a building and do not have access at all times to, a lying area which either has well-maintained dry bedding or is well-drained); 2) Where animals are kept in a building where the maintenance of bedding etc. restricts their freedom of movement but US has not been caused. Note: from 2012 these situations will be a breach for cross compliance purposes even without evidence of US. Where US is disclosed in example 2 the breach should be recorded under B1 (freedom of movement).	133	0	3	53	16	61	45
SMR 13 - A10	Sharp edges or protrusions in accommodation or fittings likely to cause injury.	73	0	0	45	3	25	14
SMR 13 - A11	Air circulation, dust levels, temperature, relative air humidity or gas concentrations either singly or in combination are harmful to the animals.	9	0	0	6	0	3	3
SMR 13 - A12	No supplementary lighting provided when natural light provided is insufficient to meet the physiological and ethological needs of animals.	14	0	0	12	0	2	2
SMR 13 - A13	Evidence of no well drained lying area for stock that are not kept in buildings. or: Lack of protection from adverse weather conditions, predators and/or other risks to health.	86	0	0	46	1	39	28
SMR 13 - A15	Lack of appropriate back-up system and/or alarm system. or: Lack of evidence and response from stockperson indicates that back-up system and/or alarm system is not inspected at least every 7 days. or: Back-up system and/or alarm system is present but fails to operate when inspector requests demonstration at time of inspection (i.e. there are faults in the system(s)).	3	0	0	2	0	1	0
SMR 13 - A16	Feed that is available is not wholesome and/or is inappropriate for the age and species of livestock inspected. or: Feed has failed to maintain good health and satisfy nutritional needs. or: Animals are being fed less frequently than once per day and/or not as appropriate to their physiological needs, and this is not because of veterinary advice. There are specific requirements relating to calves in SMR 11.	58	3	0	28	7	20	12
SMR 13 - A17	Insufficient or no water supply (or other suitable means) such that animals cannot meet their fluid intake needs.	41	0	0	28	4	9	6
SMR 13 - A18	Contamination of feed and/or water due to design, construction or location of equipment. and / or: Direct observation of harmful/excessive competition between animals for feed and/or water resource.	26	0	0	16	1	9	3
SMR 13 - A2	Livestock have not been inspected to the required frequency. There are specific requirements relating to calves in SMR 11 (requirement A1).	45	0	0	26	11	8	6
SMR 13 - A3	No or inadequate fixed or portable lighting available to enable thorough inspection of animals.	10	0	0	9	1	0	0
SMR 13 - A4	Animal has not been cared for appropriately. or: There has been an unacceptable delay in the care of the sick animal (this may relate to the inspector’s subjective assessment of how frequently such animals should be inspected). or: Stockperson has failed to seek veterinary advice if inspector believes that any competent stockperson would have done so.	129	0	0	33	43	53	39
SMR 13 - A5	Animal not isolated when, in the inspector’s opinion on the day of inspection, the animal required isolation in suitable accommodation with, where appropriate, dry comfortable bedding. or: Isolation facilities are not suitable (taking into account sick animals’ injury/illness).	47	2	0	21	3	21	13
SMR 13 - A6	The farmer will be in breach if one or more of the following points relating to medicine records are found: no records are kept or are not made available to the inspector at the time of inspection; records kept but are inaccurate or missing information; records have not been kept for the required period of time from the date of treatment. Records for medicines are not kept/kept but do not agree with products/veterinary invoices/animals undergoing treatment found on farm at the time of inspection. NB Where more than one bulleted breach is identified each should be recorded separately on the Control Report Form under the summary of breach findings along with an appropriate justification for each.	96	0	50	19	0	27	22
SMR 13 - A7	The farmer will be in breach if one or more of the following points relating to mortality records are found: no records are kept or are not made available to the inspector at the time of inspection; records kept but are inaccurate or missing information; records of the number of deaths have not been kept for the required period of time from the date of the relevant inspection. Records for mortality are not kept/kept but do not agree with evidence found on farm; e.g. carcasses and/or relevant database information. NB Where more than one bulleted breach is identified each should be recorded separately on the Control Report Form under the summary of breach findings along with an appropriate justification for each.	64	0	20	25	0	19	14
SMR 13 - A8	Animal(s) caused unnecessary suffering or injury by method of tethering or confinement. There are specific tethering requirements relating to calves in SMR 11 (requirement B1) and pigs in SMR 12 (requirement B1)	3	0	0	0	3	0	0
SMR 13 - A9	Material used means that accommodation is not capable of being thoroughly cleaned and disinfected.	16	0	0	12	0	4	4
SMR 13 - B1	Animal(s) caused unnecessary suffering or injury due to restricted freedom of movement. Note: Where animals are kept in a building where the maintenance of bedding etc. restricts their freedom of movement but US has not been caused the breach should be recorded under A2.	4	0	0	0	4	0	0
SMR 13 - B2	Harmful materials have been used in the construction of accommodation, pens and/or equipment.	19	0	0	13	0	6	4
SMR 13 - B4	Provision of feed and/or liquid that may cause unnecessary suffering or injury.	14	0	0	9	0	5	3
SMR 13 - B6 (iii)	Permitted procedure which has specific requirements attached to it has been carried out without those specific requirements e.g.: Need for anaesthetic, Age at which procedure is permitted, Method used to carry out the procedure, Absolute requirement for veterinary surgeon to carry out procedure, That procedure should be a last resort, Procedure carried out at appropriate stage of breeding cycle.	15	0	0	0	12	3	3
SMR 13 - B6 (ii)	Permitted procedure has been carried out but not by a veterinary surgeon or an experienced/adequately trained person as required by law. For example, this may include short tail docking of sheep where no US has resulted.	8	0	0	0	5	3	3
SMR 13 - B6 (i)	Mutilation that is not listed as a permitted procedure has been carried out on farmed animal.	6	0	0	0	6	0	0
SMR 13 - B7	Inappropriate breeding has taken place which is likely to cause or has caused suffering or injury.	20	0	0	13	0	7	7
SMR 13 - B8	Animals kept for farming purposes whose genotype or phenotype is likely to have a detrimental effect on their health or welfare.	6	0	0	3	0	3	3

GAEC 1

Requirement	Type of non-compliance	Number of non- compliances	Warning letter (EWS)	1% penalty	3% penalty	5% penalty	Over 5% penalty	Intentional penalty
GAEC 1 - A2	Organic manure has been applied within 10 metres (or 6 metres where precision equipment is used) of surface water on land that is not land covered by the exception that allows spreading on land managed for breeding wader birds or as a species-rich semi-natural grassland. or: Organic manure has been applied within 10 metres (or 6 metres where precision equipment is used) of surface water on land that is covered by the exception mentioned above, but has been applied in a way that does not comply with all restrictions. Restrictions are listed in Article 21(2) of the Nitrate Pollution Prevention Regulations 2008.	2	0	0	1	1	0	0
GAEC 1 - B1	The farmer has failed to produce and/or keep a map of their holding showing: all surface waters and land within 10 metres of them; all springs, wells and boreholes and land within 50 metres of them or the boundary of the holding.	28	1	24	3	0	0	0
GAEC 1 - B2	Failure to update map within 3 months from the date of change.	1	1	0	0	0	0	0
GAEC 1 - C1/C2	The farmer has applied pesticide, fertilizer or cultivated within the 1- or 2-metre protection zone. The farmer will not break these rules if they have cultivated land for one of the following reasons: to establish a green cover where one does not exist and the land is part of a field which is being newly created (whether by merger or division); to establish a green cover where one does not exist and the land was previously outside the scope of cross compliance.	21	7	9	3	2	0	0
GAEC 1 - D1/D2	The farmer has not taken all reasonable steps to maintain the green cover on the 1- or 2-metre protection zone throughout the year. For example, storing material such as bales, dredgings or excess trafficking on the protection zones. The rules of this standard (GAEC 1) do not apply in the following circumstances: to land forming part of a parcel of 2 hectares or less;	7	4	2	0	1	0	0

GAEC 2

Requirement	Type of non-compliance	Number of non- compliances	Warning letter (EWS)	1% penalty	1% penalty	5% penalty	Over 5% penalty	Intentional penalty
GAEC 2 - A1	The farmer has failed to comply with the conditions of any abstraction licence. The inspector will check that the licence holder is complying with the licence conditions. This is intentional only where there is clear evidence of the legal meaning of intent – i.e. cause or permit.	4	0	0	2	0	2	0

GAEC 5

Requirement	Type of non-compliance	Number of non- compliances	Warning letter (EWS)	1% penalty	3% penalty	5% penalty	Over 5% penalty	Intentional penalty
GAEC 5 - A1 2018	The farmer has not put adequate measures in place to limit soil erosion. Or, erosion is seen and is below the ‘excessive soil erosion’ definition.	5	1	4	0	0	0	0

GAEC 6

Requirement	Type of non-compliance	Number of non- compliances	Warning letter (EWS)	1% penalty	3% penalty	5% penalty	Over 5% penalty	Intentional penalty
GAEC 6 - B1	Burning has been carried out outside the burning season without a licence issued by Natural England or contrary to the terms of such a licence.	2	0	1	0	1	0	0
GAEC 6 - B2/B3	Burning has been carried out without adhering to the necessary controls for its entire period.	1	0	0	1	0	0	0
GAEC 6 - C1	The farmer has carried out a relevant project affecting an area of 2ha or more on uncultivated land without obtaining permission from Natural England.	4	0	2	1	1	0	0

GAEC 7a

Requirement	Type of non-compliance	Number of non- compliances	Warning letter (EWS)	1% penalty	3% penalty	5% penalty	Over 5% penalty	Intentional penalty
GAEC 7A - A1	The farmer has not taken all reasonable steps to maintain the green cover on the 2-metre protection zone throughout the year. For example, storing material such as bales, dredgings or excess trafficking on the protection zones. The rules do not apply in any of the following circumstances: - to land either side of a hedgerow which is less than 5 years old (the farmer will need to keep documentary evidence to prove this);-to land forming part of a parcel of 2 hectares or less; - to hedgerows within the curtilage of a dwelling house; - to the side of any hedgerow facing a dwelling house when the hedgerow marks the boundary of the curtilage of the dwelling house - to casting up of a traditional hedge bank between 1 September and the last day of February.	21	4	12	1	3	1	1
GAEC 7A - A2	The farmer has applied pesticide, fertiliser or cultivated within the 2 metre protection zone. The farmer will not break these rules if they have used pesticides for spot application or they have cultivated land for one of the following reasons: - to establish a green cover where one does not exist and the land is part of a field which is being newly created (whether merger or division);- to establish a green cover where one does not exist and the land was previously outside the scope of cross compliance.	47	12	19	7	8	1	0
GAEC 7A - A3	The farmer has illegally cut or trimmed any hedgerow between 1 March and 31 August.	8	3	3	0	2	0	0
GAEC 7A - A4	The farmer has removed relevant hedgerows without seeking permission of local authority (or National Park Authority). The farmer has removed relevant hedgerows after seeking permission of the local authority, but has not waited the appropriate amount of time for a response (42 days, or a longer amount of time that the farmer has agreed to). The farmer has removed relevant hedgerows after seeking permission of the local authority, but permission was not granted (authority issued a hedgerow retention notice).	4	0	0	1	2	1	1
GAEC 7A - B1/B2	Removal of a stone wall or stone from a stone wall The farmer will not break these rules if they have removed a stone wall, stone bank or earth bank, or earth or stone from a stone wall, stone bank or earth bank for one of the following reasons: to widen an existing gateway in a stone wall, stone bank or earth bank to allow machinery or livestock access. The gateway should be no wider than 10 metres and the newly created ends finished to a vertical face; to repair another stone wall on your holding which is in a better condition than the one you removed the stone from; have written permission from the Secretary of State to do so, in order to enhance the environment, improve public or agricultural access, or for reasons relating to livestock or crop production.	1	0	0	0	1	0	0

GAEC 7b

Requirement	Type of non-compliance	Number of non- compliances	Warning letter (EWS)	1% penalty	3% penalty	5% penalty	Over 5% penalty	Intentional penalty
GAEC 7B - A1 (2016)	The surface of a visible, field-edge public right of way or cross-field restricted byway (RB) or byway open to all traffic (BOAT) has been disturbed. The farmer will not break these rules if they have lawful authority or excuse. This includes times when there is a need to disturb the surface of a footpath or bridleway across a field to plough the land or bring it into agricultural use and it would be inconvenient and difficult to avoid disturbing the surface of the way. In this case there are rules for making good the surface, detailed at B2 below.	1	0	1	0	0	0	0
GAEC 7B - A2 (2016)	A visible public right of way has been wilfully obstructed. This can be classed as a breach even if there is no proven intention to obstruct the public right of way, the statutory offence is one of causing an obstruction. The farmer will not break these rules if they have lawful authority or excuse. This includes times when there is a need to disturb the surface of a footpath or bridleway across a field to plough the land or bring it into agricultural use and it would be inconvenient and difficult to avoid disturbing the surface of the way. In this case there are rules for making good the surface, detailed at B2 below.	73	26	26	16	3	2	2
GAEC 7B - B1 (2016)	A stile(s) and/or gate(s) has not been maintained to a standard of repair which ensures it is safe and reasonably easy to use.	6	3	2	1	0	0	0
GAEC 7B - B2 (2016)	The surface of a visible, cross-field footpath or bridleway has been disturbed and has not been re-instated to meet the minimum width requirement and/or within the specified time(s). Where an emergent crop obscures the line of the way and this is not marked out by other means, treat as ‘obstruction’.	9	5	2	2	0	0	0

GAEC 7c

Requirement	Type of non-compliance	Number of non- compliances	Warning letter (EWS)	1% penalty	3% penalty	5% penalty	Over 5% penalty	Intentional penalty
GAEC 7C - A1	The farmer has felled licensable tree(s) without the necessary Felling Licence.	2	0	0	2	0	0	0
GAEC 7C - A2 (ii)	The farmer has unlawfully failed to comply with a restocking notice.	4	1	0	2	0	1	0
GAEC 7C - C1	The farmer has cut, topped, lopped, trimmed etc. any tree during the no cutting dates of 01st March to 31st August.	1	0	0	1	0	0	0

GAEC 7d

Requirement	Type of non-compliance	Number of non- compliances	Warning letter (EWS)	1% penalty	3% penalty	5% penalty	Over 5% penalty	Intentional penalty
GAEC 7D - A1	The farmer has carried out, caused or allowed an operation for which no prior written consent has been given (or other conditions fulfilled). The farmer will not break any of these rules if they have a reasonable excuse to carry out certain operations. or: The farmer has carried out, caused or allowed an operation with consent but has failed to adhere to the terms of the consent. The farmer will not break any of these rules if they have a reasonable excuse to carry out certain operations.	5	0	3	1	1	0	0