Hampton Principle

The few businesses that persistently break regulations should be identified quickly and face proportionate and meaningful sanctions.

Regulators' Compliance Code

• To reward those regulated entities that have consistently achieved good levels of compliance though positive incentives taking account of the circumstances of small regulated entities.
• To discuss the circumstances with those suspected of a breach and take these into account when considering formal enforcement action [Not applicable where immediate action is required.
• To ensure that their sanctions and penalties policies are consistent with the principles set out in the Macrory Review.
• Follow the Macrory characteristics by publishing an enforcement policy; measure outcomes not just outputs; justify their choice of enforcement actions year on year; follow up enforcement actions where appropriate; enforce in a transparent manner; be transparent in applying and determining penalties; avoid perverse incentives that might influence the choice of sanctioning response.
• To give clear reasons, confirmed in writing, for any formal enforcement action being taken. Complaints and relevant appeals procedures for redress should also be explained at the same time.
• To enable inspectors and enforcement officers to interpret and apply relevant legal requirements and enforcement policies fairly anc consistently between like-regulated entities in similar situations. To ensure that staff interpret and apply their legal requirements and enforcement policies consistently and fairly.

Enforcement Policy

Animal Health along with Defra and other members of the Defra network are responsible for enforcing a wide range of legal obligations. Animal Health is currently included in Defra’s Enforcement Policy statement which sets out the general principles we follow in relation to regulation and its enforcement options when legal obligations are breached. In these cases a proportionate and risk-based approach is deployed

Evidence of changes made to programmes, programmes delivered or ways in which activities are run that reflects the code:

Animal Health undertakes little enforcement activity itself as its main enforcement agents are the Local Authorities. For some of these activities, there is direct funding with a Framework Agreement in place to provide a context. This was established after the FMD outbreak in 2001

Future work and long term ambitions that will reflect the code

In conjunction with the LAs, the Framework agreement is currently being reviewed with the aim of introducing a revised version on 1 April 2009. This will include as a reference point the new Animal Health indicator for LAs which also comes into effect on that date.