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Section 9: Enforcement, Offences, Penalties and Appeals

Enforcement

Who carries out enforcement and will this change?

9.1. Primary responsibility rests with Local Authorities ( LAs). They carry out welfare checks on animals and means of transport from farm to fork (e.g. farms, hauliers' premises, at markets, roadside checks, at abattoirs) and take appropriate enforcement activity up to and including prosecution. These inspections also include documentary checks and are often carried out alongside compliance checks for other animal health and welfare legislation.

9.2. The State Veterinary Service ( SVS) also carries out enforcement work at a variety of places such as, markets, ports, roadside checks and supervised loadings of export consignments. The SVS enforces compliance with export journey times of livestock and unregistered horses through checking Route Plans before and after journeys and taking appropriate follow up action. Unlike LAs, the SVS do not generally prosecute offenders but report serious non-compliance to LAs for consideration for prosecution.

Will new areas need enforcing?

9.3. Regulation 1/2005 like its predecessor Directive ( WATO implements the Directive in GB) has common objectives that have not changed - animals must not be caused any unnecessary suffering, animals must be fit for their intended journey, vehicles must be suitable, the same journey time limits and space allowances plus Route Plans/Journey Logs. Given this the types of compliance checking will be much the same.

Will this require more input from inspectors/enforcers?

9.4. The extension of authorisation requirements to journeys under 8 hours, particularly to non farmed species (e.g. dogs, reptiles, etc) will increase the number of inspections slightly, and there are the extra documentary checks to be carried out (vehicle approval for long journeys, authorisations, and competence certificates from 2008). However, the introduction of compulsory competence training and, for long journeys, vehicle approval, should offset this by reducing the time spent on inspections, and time taken on enforcement action. There should therefore be a neutral impact on the time taken by Inspectors in enforcing the new Regulation.

9.5. There are no plans to increase the time spent on enforcement. To do so would take resources away from other areas of animal health and welfare. However better use can be made of the time by, for example targeting enforcement by risk assessment.

9.6 A working party consisting of UK Agriculture Departments, the SVS and Local Authorities is being set up by Defra to establish an enforcement programme to usher in the new Regulation and enforce it in the longer term. Consideration will be given to such risk assessment areas as:

• targeting areas subject to new rules (e.g. the transport of unbroken horses)
• targeting specific areas of non compliance
• a proportionate light touch approach to non-compliances in the early months of next year where suffering to animals is not involved.

9.7. Detailed guidance on the operation of the new Regulation will be prepared for transporters and inspectors alike. We are also hoping to ensure appropriate publicity and information is available at suitable opportunities over the coming months (see Section 10). We recognise that however much effort is put into publicity there will be those who either do not understand or are still unaware of the new requirements, particularly with the introduction of mandatory transporter authorisations for all journeys over 65km, the extension of authorisations to non farmed species, plus vehicle approval and competence requirements. There may also be delays in the issue of authorisations, vehicle approvals and competence training certificates which transporters would not be responsible for. Enforcement must be sensible, consistent and proportionate.

Monitoring compliance checks and enforcement activity and use of data

9.8. Compliance checks, non-compliances found and enforcement action taken will continue to be recorded on the Animal Health and Welfare Management and Enforcement System ( AMES) database as at present. The information will be used to target monitor areas of non compliance, make reports to the EU Commission and will be used in consideration of whether to grant, revoke, suspend or put conditions on Authorisations in cases of serious infringements. Information may be made available to enforcement authorities to assist investigations or prosecutions.

Offences and Penalties

9.9. Penalties in the new WATO will remain the same as in WATO 1997 i.e. Level 5 (i.e. a fine of up to £5,000 and/or 6 months imprisonment on summary conviction).

9.10 The new WATO will also contain offences equivalent to those in WATO 1997 and WASPO 1998, updated to take account of the new requirements of the Regulation (e.g. authorisation, vehicle approval, competence certification).

Powers of Entry, Powers of Inspectors

9.11 Similar enforcement provisions will be provided in the new WATO as exists in the current WATO 1997 (e.g. Articles 17-21) and WASPO 1998.

Appeals

9.12. We propose to provide an appeals mechanism for refusal, suspension or revocation of transporter authorisations and Control Post approvals, but not for refusal of vehicle approvals. A vehicle will either meet the required technical standard or not. A system is currently in place under WATO 1997 for transporter authorisations and we propose to extend this to Control Posts as well.

9.13 The current transporter appeal system relies on an independent person, gathering evidence with the help of Defra and presenting an opinion to the Secretary of State for a decision. However this has heavy resource implications and the complex procedure is lengthy.

9.14. We are, therefore, considering a simpler and more rapid system where an appointed person would deal with the appeal. For example, someone internal within the SVS for authorisations and for control posts to a higher authority in the SVS or, depending on the circumstances, an external person such as a barrister.

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