Agricultural Quality Assessment Division QAD 1060A Checklist 

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Service Washington, DC 20250 Page 1 of 7 

USDA is an equal opportunity provider, employer, and lender. 

Date Issued: 07/20/17 Approved by __________JW 

USDA ISO TS Animal Welfare Assessment Checklist

 Audit the Program against the following Program requirements:

PROGRAM REQUIREMENTS – QAD 1060 Procedure and ISO TS 34700 Animal welfare 

management – General requirements and guidance for organizations in the food supply chain

(1) Identify animal welfare scheme program documents and sections that address each criterion. 

(2) Explanations and/or comments must be provided to provide enough evidence of conformance 

or non-conformance, as applicable. 

NOTE: When this checklist is complete, print to ADOBE and add to the audit documentation. 

ISO TS 34700 Animal Welfare 

Management Criteria

Applicant 

Reference 

Document

Conform 

(Y/N?)

Objective Evidence/Findings/

Remarks

1.0 Main Principles in Developing an Animal Welfare Plan

1.1 The Organization Developing an Animal Welfare Plan SHALL Ensure the Plan:

1.1.1 Enables the implementation of OIE 

animal welfare principles and guidelines or 

other provisions from private or public 

standards that meet, at least, the OIE TAHC; 

the general principles for the welfare of 

animals in livestock production systems 

(Article 7.1.4) and other relevant Section 7

chapters of OIE TAHC that provide valuable 

guidance to develop an animal welfare plan, 

which complies with at least the OIE TAHC;

1.1.2 Ensures a commitment to maintaining 

good animal welfare that begins with 

management and is instilled in all staff; this 

may include identification of an animal 

welfare manager, or other means appropriate 

for the organization, to ensure accountability 

for animal welfare;

1.1.3 Covers all stages of the lives of the 

animals under the responsibility of the 

organization and verifies, as far as possible, 

the continuity of animal welfare during 

transfer of responsibility from or to its 

organization;

1.1.4 Facilitates implementation and 

communication of the plan within the 

organization; and

1.1.5 Encourages continual improvement 

through implementing small or large-scale 

changes to prevent non-conformances or to 

ensure conformance to the plan, as well as 

incorporating other relevant changes to better 

ensure animal welfare as needed; this 

encouragement of continual improvement is 
Agricultural Quality Assessment Division QAD 1060A Checklist

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USDA is an equal opportunity provider, employer, and lender. 

Date Issued: 07/20/17 Approved by __________JW

not intended to imply that changes need to be 

made if not necessary to maintain good animal 

welfare.

1.2 The Organization SHALL Establish and Maintain the Appropriate Documentation and Records

Related to the Plan, such as:

1.2.1 The externally developed animal welfare 

guidelines, standards or codes of good 

practice from which the animal welfare plan 

has been developed, and

1.2.2 Any documents or records developed by 

the organization related to carrying out or 

managing the plan, including the results of 

previous evaluations and reviews, as well as 

data used to establish and reach thresholds for 

animal-based measures.

2.0 Developing an Animal Welfare Plan

2.1 The development of an animal welfare 

plan SHALL be based on the following steps: 

assessing the current management of animal 

welfare within the organization, drafting the 

animal welfare plan, implementing the 

defined plan, and evaluating and reviewing 

the animal welfare plan.

2.2 Step 1 — Identification of Gaps

2.2.1 General

2.2.1.1 Persons undertaking the development 

of an animal welfare plan SHALL have 

adequate knowledge of for example practices, 

behavior and needs of animals, effective 

management and animal care practices, local 

conditions, national or regional legislation.

2.2.2 Identification of Relevant Documents

2.2.2.1 Prior to conducting the gap analysis, 

the relevant documents to be used as reference 

for the gap analysis SHALL be identified, and 

SHALL include at least the OIE TAHC, 

especially the general principles of the animal 

welfare in Article 7.1.4 and specific chapters 

of the OIE TAHC that are relevant for the 

organization.

2.2.3 Methodology for the Identification of Gaps

2.2.3.0 Local conditions of the organization 

can vary and SHOULD be taken into 

consideration when performing the gap 

analysis (e.g. region, climate and production 

system).

2.2.3.1 The gap analysis SHALL be based on 

an evaluation of the level of implementation 

of each of the general principles of animal 

welfare (Article 7.1.4 of the OIE TAHC), 

taking into account both resource-based 

measures and animal-based measures.
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USDA is an equal opportunity provider, employer, and lender. 

Date Issued: 07/20/17 Approved by __________JW

2.2.3.2 The gap analysis SHALL take into 

account the different animal species and their 

needs in accordance with the life stage of the 

animals that are under the responsibility of the 

organization, and according to the available 

OIE TAHC specific technical chapters.

2.2.3.3 The gap analysis SHALL define the 

life stages of the animals under the 

responsibility of the organization, in all units 

handling animals.

2.2.3.4 The gap analysis SHALL identify the 

animal welfare objectives of the organization. 

This step SHALL identify the practices and 

resources that need to be implemented and 

particularly animal based measures that can be 

used to monitor these objectives and the level 

of their implementation.

2.2.3.5 The gap analysis SHALL step-by-step 

identify differences between usual practices

implemented/utilized by the organization, 

including monitoring systems and the 

resulting animal welfare conditions in units 

handling animals, and the requirements from 

OIE TAHC and other relevant documents 

identified.

2.2.3.6 “Gaps” will result from a synthesis of 

b) and c) by identifying missing items in 

animal welfare management. The identified 

gaps and necessary continual improvements 

SHALL be prioritized based on frequency and 

severity for animal welfare and also the ability 

to easily remedy identified gaps and undertake 

improvements which will have the greatest 

impact on animal welfare.

2.2.3.7 If an animal welfare plan already 

exists for the organization, the gap analysis 

SHALL assess the implementation of and 

compliance with that plan and also with the 

OIE TAHC requirements.

2.2.3.8 The gap analysis SHALL assess the 

need for a contingency plan in case of, for 

instance, failure of power, water and feed 

supply systems, and natural disaster when 

they could compromise animal welfare.

2.2.3.9 At the end of step 1, the gaps between 

the organization’s usual practices and the OIE 

principles and other relevant documentary 

materials that meet at least the OIE TAHC 

SHALL be identified.

2.3 Step 2 — Drafting of the Animal Welfare Plan

2.3.1 To ensure its feasibility, the animal 

welfare plan SHALL be based on the 

assessment of the relevant resources and 
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practices necessary to meet the animal welfare 

objectives in compliance at least with the OIE 

TAHC, taking into account the local 

geographical and climatic conditions. This 

SHOULD include human (including 

competencies), financial and environmental 

aspects. The animal welfare plan SHALL take 

into account animal health and disease 

management based on, for example, the local 

epidemiologic context and the regulatory 

animal health programs. The level of detail of 

the assessment SHOULD be commensurate 

with the size and nature of the operations 

linked to animals to which the plan is to be 

applied. If needed, emergency measures 

within a contingency plan SHOULD be 

defined.

2.3.2 The animal welfare plan SHALL 

identify competencies for animal handlers to 

ensure appropriate animal welfare conditions.

2.3.3 The animal welfare plan SHALL 

identify relevant monitoring of animal care 

and measureable indicators as per the OIE 

TAHC, for example animal-based and 

resource-based measures.

2.3.4 Where there is scientific evidence that 

specific practices would have benefit or 

drawback on animal welfare, emphasis 

SHOULD be on monitoring the corresponding 

resource-based measures.

2.3.5 Where there is scientific evidence that a 

possible welfare issue is of multi-factorial 

origin, emphasis SHALL be on the monitoring 

of animal-based measures. The acceptable 

thresholds for these indicators SHALL be 

determined on a scientific basis.

2.3.6 The response to gaps in the animal 

welfare plan SHOULD define a scheme and a 

timeline to improve animal care, taking into 

account the prioritization of the gaps in step 1.

2.3.7 The animal welfare plan SHALL 

identify or describe methods for evaluation 

and review.

2.3.8 The animal welfare plan SHALL be 

reviewed by experienced farmers and 

operators, or other experienced experts, to 

ensure practical and achievable outcomes.

2.3.9 At the end of step 2, the written animal 

welfare plan SHALL be available for the 

organization.

2.4 Step 3 — Implementation of the Animal Welfare Plan

2.4.0 The implementation step sets out what 

needs to be done to execute the animal 
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Date Issued: 07/20/17 Approved by __________JW

welfare plan described in step 2, to maintain 

and improve animal welfare. It covers both 

the human and other resources required as 

well as supervision of how the provisions of 

the plan are being followed. It takes into 

account the size and nature of the operations 

to which the plan is to be applied. It 

emphasizes that remedial actions SHOULD 

attempt to address root causes of noncompliances with the defined animal welfare 

plan.

2.4.1 According to the plan developed in step 

2, the required resources, (e.g. equipment, 

material, systems, housing, facilities, human 

resources) SHALL be available to implement 

the animal welfare plan. The gaps identified in 

step 1 SHALL be addressed.

2.4.2 Persons undertaking animal 

management practices SHALL be competent 

to undertake these tasks, and, where 

necessary, appropriate mentoring or training 

SHALL be provided to assist those needing to 

learn new or refresh skills.

2.4.3 Relevant coordination and management 

procedures SHALL be defined to ensure the 

efficient implementation of the animal welfare 

plan where necessary, depending on the size 

and nature of the operations.

2.4.4 Key requirements described in the 

animal welfare plan (including animal care 

skills) SHALL be explained to all relevant 

staff of the organization according to their 

tasks and responsibilities, through appropriate 

communication means.

2.4.5 The implementation of the plan SHALL

be monitored and supervised. The monitoring 

SHALL be based on the resource-based 

measures and animal-based measures defined 

in step 2. The organization SHALL evaluate 

the level of implementation of the plan, with 

appropriate indicators.

2.4.6 If monitoring and supervision show that 

understanding is unclear or incomplete, 

appropriate communication SHALL be 

ensured and corrective action follow-up 

SHALL be provided.

2.4.7 A process SHALL be available for the 

definition and implementation of corrective 

actions in case of unacceptable results. 

Animal abuse SHALL be immediately 

remedied.
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2.4.8 Key information SHALL be recorded, 

including records of resource-based measures, 

animal-based measures and corrective actions.

2.5 Step 4 — Evaluation and Review

2.5.1 The organization SHALL define the 

frequency of review for the animal welfare 

plan based on updates of the relevant 

documentary materials, especially the 

routinely reviewed OIE TAHC, relevant 

changes within the organization and the 

overall performance of the animal welfare 

plan.

2.5.2 The evaluation SHALL be undertaken 

by the animal welfare manager, or the person 

responsible for developing the animal welfare 

plan or any person with relevant skills 

regarding management of animal welfare as 

appointed by the organization. The evaluation 

SHALL assess the animal welfare achieved 

and the conformity of the organization’s 

practices with its animal welfare plan.

The evaluation SHALL include:

— an assessment of the implementation of the 

animal welfare plan;

— an assessment of the effectiveness of the 

animal welfare plan through an evaluation of

appropriate indicators used in step 3;

— feedback from the organization with a 

combination of input from persons doing the 

relevant tasks and discussion of key animal 

welfare areas on which to focus;

— a combination of observations and 

document/record reviews;

— an assessment of the relevance of the 

animal welfare plan to the organization’s 

current activity and context of its operations.

2.5.3 The review is an assessment of the 

capacity of the animal welfare plan to fill the 

gaps from step 1 and to ensure animal welfare 

according to the OIE TAHC and other 

identified documents.

The review SHALL be conducted by the 

management of the organization, including the 

animal welfare manager or the person 

responsible for developing the animal welfare 

plan or any person with relevant skills 

regarding management of animal welfare as 

appointed by the organization.

The review SHALL take into account:

— all results from the implementation, and 

evaluation of the animal welfare plan;
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USDA is an equal opportunity provider, employer, and lender. 

Date Issued: 07/20/17 Approved by __________JW

RECOMMENDATION: 

Identify the recommendation for each program if there is more than one. 

Ready for Initial Audit (Desk Audit)

Not Ready for Initial Audit (Desk Audit)

Program Approval with No Conditions (Initial 

Audit)

Program Approval with Conditions (Initial Audit)

 State the conditions that SHALL apply

Continued Program Approval with No Conditions 

(Surveillance Audit)

Continued Program Approval with Conditions 

(Surveillance Audit)

 State the conditions that SHALL apply

Program Denial (Initial Audit) 

Program Suspension (Surveillance Audit) 

Program Withdrawal (Surveillance Audit)

NOTE: When this checklist is complete, print to ADOBE and add to the audit documentation. 

— any new knowledge, practice or technology 

relevant to the improvement of welfare of 

animals within the organization;

— any update or changes of the relevant 

documents (e.g. OIE TAHC, legislation) to 

verify that these changes have been taken into 

account in the animal welfare plan.

The review SHALL demonstrate that the 

relevant persons within the organization have 

contributed to the plan evaluation, have 

provided some input to the animal welfare 

plan review and have ensured its practicality.