Glossary of Terms

Airport inspection—Individual airline inspections of cargo
and baggage areas made at airports for compliance with
the AWA regulations and standards.

Alleged violation—A violation of the Animal Welfare Act
regulations or standards that has been documented as
existing but has not been legally concluded.

Carrier—The operator of any airline, railroad, motor
carrier, shipping line, or other enterprise that is engaged
in the business of transporting any animals for hire.

* Commerce—Trade, traffic, or transportation that is
between a place in a State and any place outside of such
State (including foreign countries), or between points
within the same State but through any place outside of the
State.

Complaints—{1) A civil or administrative complaint
informs the alleged violator of the AWA about allegations
charged against him/her. (2) A public complaint is
information received from citizens, humane groups, or
others concerning possible violations of the AWA,
tegulations, or standards at animal facilities.

Compliance—Compliance indicates that a facility meets
all of the regulatory requirements set forth in the AWA
regulations and standards.

Dealer—Any person who, in commerce, for compensation
or profit, delivers for transportation, or transports (except
as a carrier), buys, or sells, or negotiates the purchase or
sale of (1) any dog or other animal whether alive or dead
(including unborn animals, organs, limbs, blood, serum, or

‘ other parts) for research, teaching, testing,
experimentation, exhibition, or for use as a pet; or (2) any
dog for hunting, security, or breeding purposes. The term
dealer does not include a retail pet store unless such
store sells any animals to a research facility, an exhibitor,
or to a dealer (wholesale); or any person who does not
sell, or negotiate the purchase or sale, of any wild or
exotic animal, dog, or cat and who derives no more than
$500 gross income from the sale of animals, dogs, or
cats, during any calendar year.

Enforcement—The activities undertaken by USDA and
APHIS/REAC personnel to ensure that the AWA’s
regulations and standards are met. Enforcement includes
developing alleged violation cases and taking action in the
form of Letters of Warning, warning tickets, stipulations,
administrative complaints, hearings, trials, and other legal
procedures and methods to obtain compliance.

Exhibitor—Any person (public or private) exhibiting any
animals which were purchased in commerce or the

18

intended distribution of which affects commerce, or will
affect commerce, to the public for compensation.
Exhibitors include carnivals, circuses, animal acts, Zoos,
and educational exhibits, whether exhibiting for profit or
not. The term exhibitor excludes most retail pet stores,
horse and dog races, organizations sponsoring, and all
persons participating in State and county fairs, livestock
shows, rodeos, field trials, coursing events, purebred dog
and cat shows, and any other fairs or exhibitions intended
to advance agricultural arts and sciences.

Inspections—

* Attempted inspection—An inspection that could not be
completed, including those where representatives of the
inspected entities were not onsite or transportation
facilities were found to have no animals present.

* Compliance inspection—An unannounced inspection
completed, after licensing or registration, to determine the

facility's compliance with the AWA regulations and
standards. Compliance inspections include reinspections.

* Prelicensing or Preregistration inspection—An
announced inspection made, after application for
licensure or registration has been submitted, to ascertain
compliance with the AWA regulations and standards prior
to licensing or registering the facility. Prelicensing
inspections are required. Preregistration inspections,
although not required, are often performed upon request
of the facility.

* Reinspection—An inspection made following a
compliance inspection in which one or more violations
were documented.

Intermediate handler—Any person who is engaged in any
business receiving custody of animals in connection with
their transportation in commerce. This definition excludes
dealers, research facilities, exhibitors, operators of auction
sales, and carriers.

Investigation—inquiries and examination of allegation(s)
that a person or facility is not complying with the AWA or
its regulations or standards.

License classes—There are three categories of licensees,
Class A, Class B, and Class C.

* A Class A licensee is anyone meeting the definition of
“dealer” whose business consists only of animals that are
bred and raised on the premises in a closed or stable
colony and those animals acquired for the sole purpose of
maintaining or enhancing the breeding colony.


Licensed Dealers

Dealers—defined as persons selling regulated animals for
research or teaching; wild or exotic animals in retail
channels for exhibition, or for pets; or domestic pet
animals at the wholesale level—must be licensed by
APHIS/REAC. There are two classes of dealer licensees.
The Class A licensees are breeders dealing only in
animals that they breed and raise. The Class B licensees
include brokers, “bunchers,” and operators of auction
sales. In FY 1995, there were 2,967 licensed A dealers
(with a total of 3,056 sites) and 1,113 licensed B dealers
(with a total of 1,269 sites). Of this number, APHIS
estimates that there are fewer than 50 Class B dealers
supplying animals to research. This is down from about
75 in FY 1994.

The number of Class A and B licensed dealer sites for

FY 1993 through 1995 is listed in the next tabulation. The
number of compliance inspections for dealers during the
same period is shown on chart 7.

Licensed Dealers, FY 1993-95

Total Class A Class B
FY sites sites sites
1995 4,325 3,056 1,269
1994 4,556 3,230 1,326
1993 4,154 3,042 1,112

A and B Dealers
FY 1993-95
10,000
9,000 O 1993
8,000 O 1994
7,000 m 1995
6,000
5,000
4.154 peiOBS_ 4,325
4,000 a
3,000
2,000 oT
ae
1,000 beat ae 4
0 a s
Total sites
Numbers from Work-Based Budget System (WBBS) reports

2
Total inspections

Chart 7

12


Appendix

Table 3. Animals Used in Research, No Pain or Distress—No Drugs (FY 1995)

Number of Number of Guinea Farm
registrants ailanimals Dogs Cats Primates. pigs © Hamsters = Rabbits animals. = Other
Total United States 983 754,712 38,577 12,617 29,654 195,186 111,432 189,312 97,651 80,283
Total Research 893 693,327 38,279 12,459 26,429 189,259 102,998 185,430 61,692 76,781
Federal Agencies 90 61,385 298 158 3,225 5,927 8,434 3,882 35,959 3,502
Alabama 12 6,817 1,108 380 551 1,024 490 606 2,583 75
Alaska 1 144 0 4 (0) 0 0 0 0 140
Arizona 7 1,972 51 0 80 405 333 393 481 229
Arkansas 7 1,011 146 18 13 0 196 517 61 60
California 119 97,828 1,210 1,775 2,216 25,294 6,653 37,086 9,125 14,469
Colorado 15 5,897 1,049 306 2 1,784 443 1,693, 204 416
Connecticut 14 2,001 141 2 13 577 536 507 15 210
Delaware 7 17,041 688 7 8 4,653 9,297 2,207 7 104
District of Columbia 4 434 14 5 ) 185 94 84 ) 52
Florida 15 3,343 125 97 32 838 315 960 645 331
Georgia 12 11,998 1,141 584 980 387 3,720 622 312 4,252
Hawaii 1 166 to) 2 42 ) 105 13 0 4
{daho 3 154 () 0 0 20 0 23 ) 111
Ilinois 35 32,952 1,753 737 229 9,175 6,704 11,578 1,507 1,269
Indiana 15 16,795 788 255 323 5,022 329 5,288 4,611 179
lowa 10 15,251 2,013 833 O 2,322 3,355 2,612 3,929 187
Kansas 17 15,273 2,020 563 0 1,353 8,237 1,295, 1,257 548
Kentucky 6 1,100 98 46 t) 39 46 514 212 145
Louisiana 6 10,409 291 420 6,212 256 289 383 706 1,852
Maine 10 764 9 17 ) 4 28 410 266 30
Maryland 31 12,594 66 9 697 2,560 2,299 3,698 1,272 1,993
Massachusetts 60 25,475 461 18 596 10,133 6,118 6,533 711 905
Michigan 21 25,561 1,765 594 449 5,257 726 5,894 1,489 9,387
Minnesota 16 9,556 1,141 389 42 2,528 765 3,068 1,568 55
Mississippi 2 295 15 ) 0 0 ) 12 258 10
Missouri 29 20,544 2,723 2,050 3 2,629 3,207 5,087 2,423 2,422
Montana 4 1,544 oO 4 20 39 0 1,084 i) 397
Nebraska abl 31,134 983 306 51 1,792 15,929 1,868 9,532 673
Nevada 2 1,909 138 0 821 544 113 ) 29 264
New Hampshire 3 351 0 18 0 26 173 123 3 8
New Jersey 43 64,486 2,639 94 1,606 31,374 7,390 17,541 372 3,470
New Mexico 5 687 98 o 279 48 20 2 239
New York 74 29,715 2,783 460 942 9,492 3,590 6,064 321 6,063
North Carolina ai 17,683 969 371 1,306 3,845 3,946 2,678 1,796 2,772
North Dakota 2 309 20 21 t) 19 197 52 ) )
Ohio 34 34,372 2,103 459 409 17,915 401 11,079 632 1,374
Oklahoma 10 2,765 233 106 i) 413 115 520 842 536
Oregon 4 954 20 10 190 128 385 10 1 210
Pennsylvania 60 71,920 4,490 637 870 30,742 4,618 26,521 1,779 2,263
PuertoRico 8 1,383, 17 O 792 47 91 431 3 2
Rhode Island 5 1,299 2 3 0 oO 178 107 277 732
South Carolina 4 1,409 to) ty) ti) 185 262 200 ) 762
South Dakota 4 501 12 9 0 15 26 193 121 125
Tennessee 14 3,322 150 34 111 402 805 1,334 288 198
Texas 50 28,048 1,081 472 2,206 5,110 1,831 11,359 4,197 1,792
Utah 6 3,960 125 22 0 1,308 479 1,313 14 699
Vermont 2 812 t) 5 0 260 55 80 2 410
Virgin Islands to) 0 oO i) oO O i!) ty) iY) te)
Virginia 13 14,999 938 9 762 442 137 3,591 1,009 8,111
Washington 14 11,355 289 105 1,252 817 1,352 1,592 387 5,561
West Virginia 2 553 i) i) O 350 90 107 0 6
Wisconsin 21 32,357 2,373 133 2,324 7,538 6,496 6,478 6,435 580
Wyoming 2 125 0 0 0 10 6 2 8 99

22


Animal Welfare Accomplishments for
FY 1995

Inspections for Compliance Made During FY 1993-95

Total Average Number
number number of of Total Total
of — inspections —_inspections facilities compliance
sites! per site by category FY (sites) inspections
. 724 14,722
Inspections for Compliance” 1995 (16108)
Dealers 4,325 1.48 6,418 1994 7,869 14,778
10,71
Research (10,708)
facilities 2,688 1.31 3,520 1993 7,695 17,593
1

Exhibitors 2,339 1.32 3,083 eat)
Intransit
handlers 303 1.03 312
Intransit
carriers® 453 3.07 1,389
Total 10,108 41.46 14,722
Other Types of Inspections
Prelicensing and
preregistration
inspections® NA NA 1,934
Auction market
inspections NA - NA 91
Attempted inspec-
tions of dealers
and exhibitors NA NA 1,413
Total 3,438

Total of Inspections for
Compliance and
Other Inspections 18,160

*See the glossary of terms for the definition of “site.”

2Inspections for compliance are “unannounced” inspections and reinspections.
These do not include prelicensing or preregistration inspections, auction
market inspections, or attempted inspections. (Prelicensing/preregistration
inspections are “announced.” Inspections of licensed and unlicensed auction
markets are made to locate unlicensed dealers. Attempted inspections could
not be performed for certain reasons—usually because there was no one
available at the facility when the inspector arrived unannounced.)

Sintransit Carriers is a category representing commercial airlines. Each airline
may have two of more animal transpor “sites” at each airport it serves.
Due to frequent changes in airline activities and other factors, the number of
sites may vary.

“The average inspection rate is obtained by dividing the total number of
unannounced compliance inspections by the total number of regulated sites.

sPrelicensing/preregistration audits include 36 preregistration inspections,
which are not requited. Many faciltles request that REAG inspect ther facilty
for compliance before they begin to use animals. To ensure the highest lev
of compliance, Animal Care personnel perform these requested inspections
whenever possible.


A Class B licensee is anyone meeting the definition of a
“dealer” whose business includes the purchase and/or
resale of any animal. Class B licensees include brokers
and operators of auction sales, as such individuals
negotiate or arrange for the purchase, sale, or transport of
animals in commerce.

* A Class C licensee is anyone meeting the definition of
an “exhibitor” whose business involves the showing or
displaying of animals to the public.

Random source dogs and cats—Animals acquired from
animal pounds and shelters, auction sales, or from any
person who did not breed and raise the animals on his or
her premises.

Registrant—Any research facility, carrier, intermediate
handler, or any exhibitor whose primary business is not
required to be licensed by the AWA. If a registered facility
conducts an activity that requires a license, then they will
also be licensed for that activity. For example, some
research facilities have a dealer license in addition to their
registration because they occasionally sell surplus
animals to other research facilities.

Research facility—Any school (other than elementary or
secondary), institution, organization, or person that uses
or intends to use live animals in research, tests, or
experiments, and that; (1) purchases or transports live
animals in commerce or, (2) receives funds under a grant,
award, loan, or contract from a department, agency, or
instrumentality of the United States for the purpose of
carrying out research, tests, or experiments.

+ An active registered research facility is a USDA-
registered research facility that currently utilizes animals
covered by the AWA for teaching, testing, or
experimentation.

* An inactive registered research facility is a USDA-
registered research facility that currently does not utilize
animals covered by the AWA for teaching, testing, or
experimentation.

Retail pet store—Any outlet where only the following
animals are sold or offered for sale, at retail, for use as
pets: dogs, cats, rabbits, guinea pigs, hamsters, gerbils,
rats, mice, gophers, chinchillas, domestic ferrets,
domestic farm animals, birds, coldblooded species, and
other common small pets. Retail pet stores do not include
any establishment or persons who: (1) deal in dogs used
for hunting, security, or breeding purposes; (2) exhibit,
sell, or offer to exhibit or sell, any wild or exotic or other
nonpet species of warmblooded animals (except birds)
such as skunks, raccoons, nonhuman primates, squirrels,
ocelots, foxes, coyotes, etc.; (3) sell warmblooded

animals (except birds and laboratory rats and mice) for
research or exhibition purposes; (4) wholesale any
animats (except birds and laboratory rats and mice);

(5) exhibit pet animals in a room that is separate from or
adjacent to the retail pet store, or in an outside area, or
anywhere off the retail pet store premises.

Search—Activity associated with finding unlicensed or
unregistered entities.

Site—The physical location where animals are used,
housed, or maintained by a licensed or registered facility.
A licensed or registered facility may have one or more
animal sites. A site may be a room, building, outdoor run
area, or similar type of facility used to hold or work on
animals.

Stipulation—An agreement by a violator to accept
assessment of a civil penalty, license suspension, or
combination of both. The stipulation procedure is used
instead of formal administrative hearings. Alleged
violators are offered the opportunity to waive a hearing by
agreeing to enter into a stipulation, in which case they will
pay a specified civil penalty and/or have their license
suspended for a specified period.

Violation—An area or item, at a registered or licensed

facility, found to be out of compliance with the regulations
or standards of the AWA.

19


Appendix

Table 6. Number of Animals Used by Research From the First Reporting Year (1973) to the Present

Other
Guinea Farm covered
FY Dogs Cats Primates pigs Hamsters Rabbits animals animals’ Totals
1973 195,157 66,195 42,298 408,970 454,986 447,570 38,169  *1,653,345
1974 199,204 74,259 51,253 430,439 430,766 425,585 81,021 1,692,527
1975 154,489 51,439 36,202 436,446 456,031 448,530 42,523 “1,625,660
1976 = 210,330 70,468 50,115 486,310 503,590 527,551 73,736 1,922,100
1977 176,430 62,311 53,116 348,741 393,533, 439,003 46,535 ‘1,519,669
1978 197,010 65,929 57,009 419,341 414,394 475,162 58,356 1,687,201
1979 211,104 69,103 59,359 457,134 419,504 539,594 76,247 = 1,832,045
1980 188,783 68,482 56,024 422,390 405,826 471,297 49,102 1,661,904
1981 188,649 58,090 57,515 432,632 397,522 473,922 50,111 41,658,441
1982 161,396 49,923 46,388 459,246 337,790 453,506 69,043 “1,577,292
1983 174,542 53,344 54,926 485,048 337,023 466,810 108,549 = 1,680,242
1984 201,936 56,910 55,338 561,184 = 437,123 529,101 232,541 2,074,133
1985 194,905 59,211 57,271 598,903 414,460 544,621 284,416 2,153,787
1986 176,141 54,125 48,540 462,699 370,655 521,773 144,470 1,778,403
1987 180,169 50,145 61,392 538,998 416,002 554,385 168,032 1,969,123
1988 140,471 42,271 51,641 431,457 331,945 459,254 178,249 1,635,288
1989 156,443 50,812 51,688 481,712 389,042 471,037 153,722 1,754,456
1990 109,992 33,700 47,177 352,627 311,068 399,264 266,702 *257,569 1,578,099
1991 107,908 34,613 42,620 378,582 304,207 396,046 214,759 363,685 1,842,420
1992 124,161 38,592 55,105 375,063 369,585 431,432 210,936 529,308 2,134,182
1993 106,191 33,991 49,561 392,138 318,268 426,501 3165,416 9212,309 1,704,505
1994 101,090 32,610 55,113 360,184 298,934 393,751 180,667 202,300 1,624,649
1995 89,420 29,569 50,206 333,379 248,402 354,076 163,985 126,426 1,395,463

‘This category includes other covered species not specifically
stated in the regulations, such as bears, armadillos, squirrels,
wild rodents, etc. It does not include noncovered species,
such as rats and mice bred for laboratory use, frogs, lizards,
birds, etc.

?Traditional farm animals used for research purposes have
been reported only since 1990. Also, beginning in 1990, the
category of “Wild Animal” was renamed to “Other Animal.”

®* These numbers have been corrected from what was reported
in the annual report of enforcement for FY 1993. The reported
numbers were: Farm Animals (365,233); Other Animals
(677,556); and Total (2,369,439). The error was due to the
inadvertent counting of noncovered species in these catego-
ties.

“These numbers reflect minor corrections from what was
reported in the original annual reports of enforcement for the
specified fiscal years.

25


Appendix

Table 2. Animals Used in Research (FY 1995)

Number of Number of Guinea Farm
registrants all animals og Cats Primates pigs = Hamsters. Rabbits. «animals. Other
Total United States 1,709 1,395,463 89,420 29,569 50,206 333,379 248,402 354,076 163,985 126,426
Total Research 1,486 1,280,449 85,983 28,094 44,257 317,163 230,873 336,430 119,269 11 8,380
Federal Agencies 223° «115,014 3,437 1,475 5,949 16,216 17,529 17,646 44,716 8,046
Alabama 15 11,793 2,649 654 582 1,057 609 2,443 3,517 282
Alaska 3 318 10 4 O ) 0 0 0 304
Arizona "1 4,758 541 136 112 825 693 1,410 803 238
Arkansas 9 1,872 212 67 13 196 225 937 162 60
California 200 = 167,555 4,152 4,230 3,508 35,149 22,295 64,589 15,470 18,162
Colorado 27 11,803 1,248 572 102 3,427 1,460 2,822 1,318 854
Connecticut 21 10,493 1,049 102 234 1,794 1,543 3,842 1,201 728
Delaware 7 24,972 1,549 83 74 8,299 11,843 2,862 79 183
District of Columbia 7 2,052 327 305 15 290 130 370 506 109
Florida 35 7,706 533 444 104 1,323 407 2,624 1,819 452
Georgia 22 32,618 2,271 897 2,475 1,095 7,675 = 10,308 2,722 5,175
Guam 0 0 0 0 0 to) 0 0 ) 0
Hawaii 2 442 0 2 42 62 140 181 8 7
Idaho 4 700 8 t) ) 36 0 125 ) 531
tMlinois 55 53,680 4,143 1,311 792 13,148 12,710 16,366 3,339 1,871
Indiana 30 25,071 2,611 449 352 8,282 1,175 6,636 5,163 403
lowa 18 44,631 3,193 1,330 16 5,279 22,658 6,650 5,121 384
Kansas 21 31,805 2,386 1,158 25 8,249 13,134 3,862 2,026 965
Kentucky 11 6,193 517 312 105 691 1,460 1,495 397 1,216
Louisiana "1 16,314 1,244 533 7,785 1,167 373 2,237 1,050 1,922
Maine 20 890 16 32 i) 4 28 420 360 30
Maryland 43 29,632 1,181 645 1,447 6,576 3,433 7,491 1,996 6,863
Massachusetts 96 60,280 1,856 241 1,663 17,207 16,195 16,229 4,432 2,457
Michigan 40 44,254 3,763 1,452 688 8,708 2,490 10,246 4,056 12,851
Minnesota 31 37,567 3,826 690 89 8,237 13,983 5,974 4,300 468
Mississippi 8 2,255 664 25 124 0 261 471 588 122
Missouri 40 41,172 4,549 2,622 81 6,823 10,822 8,755 3,785 3,735
Montana 6 2,551 0) 4 20 207 0) 1,774 36 510
Nebraska 14 47,136 1,232 748 75 2,303 27,525 3,542 10,229 1,482
Nevada 3 2,371 142 0 841 658 113 0 353 264
New Hampshire 4 947 W 30 0) 26 173 440 249 18
New Jersey 64 = 106,910 5,583 579 2,746 48,163 11,259 30,363 2,858 5,359
New Mexico 10 2,073 215 ° 428 3 472 62 252 641
New York 126 60,891 6,104 1,475 1,890 15,740 8,890 12,414 3,370 11,008
North Carolina 28 36,692 3,143 803 2,347 7,267 4,600 7,386 4,993 6,153
North Dakota 3 596 20 21 0 39 197 77 242 )
Ohio 60 56,724 5,130 949 787 21,882 2,782 = 16,595 5,695 2,904
Oklahoma 19 4,752 851 264 81 721 117 1,062 1,102 554
Oregon 12 4,647 199 71 786 1,620 580 771 362 258
Pennsylvania 99 106,892 5,916 1,692 1,648 50,095 6,229 31,775 4,117 5,420
Puerto Rico 13 2,600 103 0 1,892 47 91 431 3 33
Rhode Island 1 2,367 23 126 92 117 178 163 792 876
South Carolina 7 4,139 269 160 406 427 620 653 341 1,263
South Dakota 4 940 23 9 3 171 209 193 207 125
Tennessee 22 10,224 1,181 301 300 744 1,104 4,435 1,873 286
Texas 87 53,526 3,883 1,003 3,471 6,934 6,506 21,938 7,085 2,706
Utah 9 5,615 412 89 10 1,416 479 2,214 245 750
Vermont 5 1,374 45 12 i) 260 55 590 2 410
Virgin Islands o 0 0 i) 0 0 oO 0 0 0
Virginia 16 26,202 1,892 404 1,597 1,058 2,807 6,852 1,767 9,825
Washington 33 26,097 847 254 1,653 10,199 2,634 3,795 736 5,979
West Virginia 5 1,766 74 104 (1) 920 108 282 110 168
Wisconsin 37 41,415 4,166 692 2,756 8,212 7,397 9,271 8,016 905
Wyoming 2 179 ral 8 0 10 6 7 16 111


A joint project between USDA, the Federal Aviation
Administration, and carrier industry—begun in 1992—
continued to measure and evaluate physical conditions
within the cargo holds of commercial aircraft transporting
regulated animals. When completed, this study will make
available more information on monitoring ventilation,
humidity, and temperature aboard aircraft to benefit the
well-being of animals transported in cargo holds.

During the past year, AC personnel in the four regional
offices attended and/or conducted at least 217 significant
meetings with industry, animal welfare groups, and
Officials from other government agencies.

In FY 1995, AC regional personne! published three
papers in the “Synapse,” a newsletter of the American
Society of Laboratory Animal Practitioners (ASLAP). The
purpose of these publications is to better inform the
research industry of AC’s regulations, standards, policies,
and program activities. The three papers were “The
USDA/ASLAP Research Preceptorship Program,” “Airline
Animal Shipment,” and “Enforcement Procedures Under
the Animal Welfare Act.”

In FY 1995, REAC personnel, working closely with
representatives from several regulated entities, finalized
the second research intern preceptor program. This
program, to be held in FY 1996, will train three AC
personnel in the technical and business aspects of
medical research. We believe that a better knowledge of
the research industry will enable our veterinary medical
officers to perform inspections which reflect greater insight
and better interface with the research industry in gaining
compliance with the AWA.

16

Public Information

APHIS issued 93 press releases (up from 33) concerning
animal welfare during FY 1995. Subject matter in these
teleases included reports of animal welfare cases
resolved, suspensions of licenses, and new regulations.
REAC personnel also gave numerous local and national
television, radio, and newspaper interviews on various
issues relating to the AWA.

In FY 1995, APHIS expanded its presence on the Internet
and posted a factsheet entitled Safeguarding Your Pet at
http://www. aphis.usda.gov/OA/pettheft.htmi.

Public Correspondence

During FY 1995, APHIS received and responded to
numerous inquiries about animal welfare from individual
citizens, concerned groups, the Office of the President,
and Members of Congress. Other Federal agencies also
refer animal welfare concerns to APHIS for appropriate
responses. Listed in the next tabulation are the numbers
of animal welfare inquiries received by APHIS during

FY 1993 through 1995.

Animal Welfare Correspondence Received by APHIS,
FY 1993-95

Correspondence Correspondence
received/dispatched teceived/dispatched
FY by headquarters by sector offices
1995 5,853 28,162
1994 6,594 7,403
1993 6,359 12,221

Freedom of Information Act (FOIA)
Requests

In FY 1995, APHIS received 507 FOIA requests related to
animal welfare. The following tabulation lists the numbers
of such requests received for the past 3 fiscal years.

Animal-Welfare-Related FOIA Requests Received by
APHIS, FY 1993-95

FOIA

FY requests
1995 507
1994 486
1993 482



Registered Research Facilities,
Total Sites, and Inspections

FY 1993-95
5,000 4,907
oO 1993
Oo 1994
4,000 m 1995
3,149
3,000
2,000 e
1,000

Number of facilities Total sites Inspections

Numbers from Work-Based Budget System (WBBS) reports

Chart 2

Reports From Research Facilities

Each research facility registered under the AWA and each
Federal research facility is required to submit an annual
report, signed and certified by the Institutional Official,
covering the previous fiscal year. The report lists the
number and species of animais used in research, testing,
and experimentation, and indicates whether pain/distress-
relieving drugs were administered. If such drugs were not
administered, the report must explain why their use would
have interfered with the research or experiment. The
report must also assure that professionally acceptable
standards, including the appropriate use of pain/distress-
relieving drugs, were followed; that each principal
investigator considered alternatives to painful/distress-
causing procedures; and that the facility adhered to the
regulations under the AWA and that any exception to
such adherence was justified by the principal investigator
and approved by the institutional Animal Care and Use
Committee.

In FY 1995, 1,395,463 warmblooded animals were used
in research, testing, or experimentation by USDA-
registered and Federal research facilities. This number
excludes birds, laboratory rats and mice, and farm
animals used exclusively in agricultural research. Chart 3
shows the number and species of animals used in
research for FY 1995. Chart 4 shows the number of
animals used in research that involved no pain/distress, or
that involved pain/distress alleviated with drugs, or that
involved pain/distress without relief because use of pain/
distress-relieving drugs would interfere with the results of
the research or testing. Tables 1 through 5 of the
appendix contain further details. Table 6 reports the total
of animals used by research since the first published
report in 1973.

In FY 1995, there were 31 research facilities (26 non-
Federal and 5 Federal) whose data are not included in
this report because they either did not submit a report or
submitted it too late for tabulation. It is a violation of the
AWA for a facility, whether active or inactive, not to submit
a timely report. REAC initiated the appropriate corrective
actions.


Animal and Plant Health Inspection Service

Oftice of the
Administrator
Associate Administrator
National
Facnmeloy Biological
Services Control
Institute
i Plant Regulatot
International bannage Protection Veterinary Enforcement
Services Control and Services and
Quarantine Animal Care
Biotechnology, Legislative Organizational Policy
Biologics, and ‘and and and Management
Environmental Public Affairs Professional Program ~and Budget
Protection Development Development



In FY 1994, two important legal decisions affected
USDA's regulations. On May 20, 1994, the U.S. Court of
Appeals for the District of Columbia Circuit reversed an
earlier order by the U.S. District Court (January 8, 1992)
that ordered USDA to cover rats, mice, and birds under
the AWA regulations. Under the Secretary of
Agriculture's discretionary authority, common rats and
mice bred for laboratory use and birds are not currently
regulated. The Appeals Court opinion said that the
plaintiffs lacked the legal standing to sue and the statutory
right to judicial review under the Administrative
Procedures Act.

In another ruling, on July 22, 1994, the U.S. Court of
Appeals reversed an earlier order by the U.S. District
Court, dated February 25, 1993, that would have
invalidated USDA's performance-based regulations
concerning exercise for dogs and psychological well-
being of primates. The Appeals Court opinion said that
the plaintiffs lacked the legal standing to bring suit against
the Government; therefore, the Court did not have
jurisdiction to rule.

A revision of portions of Title 9, CFR, Subchapter A,
Part 2 pertaining to licensing and renewal was published
as a final rule in FY 1995.

Appropriations for FY 1995

The FY 1995 Animal Welfare program was appropriated
$9,262,000 for activities related to animal welfare (exactly
the same appropriation as in FY 1994). The tabulation
below indicates APHIS’ animal-welfare-related
appropriations for FY 1995 and the preceding 2 fiscal
years.

Appropriations for Animal Welfare, FY 1993-95

Annual appropriation
for enforcement of the
FY Animal Welfare Act
1995 $9,262,000
1994 $9,262,000
1993 $9,188,000



Legislative History

In 1966, Congress enacted Public Law (P.L.) 89-544,
known as the Laboratory Animal Welfare Act. This law
regulated dealers who handle dogs and cats as well as
laboratories that use dogs, cats, hamsters, guinea pigs,
rabbits, and nonhuman primates in research.

The first amendment to the Laboratory Animal Welfare Act
was passed in 1970 (P.L. 91-579) and changed the name
of the law to the Animal Welfare Act (AWA). This
amendment authorized the Secretary of Agriculture to
regulate other warmblooded animals when used in
research, exhibition, or the wholesale pet trade.

An amendment in 1976 (P.L. 94-279) prohibited most
animal fighting ventures and regulated the commercial
transportation of animals. Another amendment was
added to the AWA in 1985 as the Improved Standards for
Laboratory Animals Act, which was part of the Food
Security Act. These amendments required the Secretary
to issue additional standards for the use of animals in
tesearch.

In 1990, provisions concerning injunctive relief and pet
protection were added to the AWA. These two provisions
were included in the Food, Agriculture, Conservation, and
Trade Act of 1990. The injunctive relief provision
authorizes the Secretary to seek an injunction to stop
certain licensed entities from continuing to violate the
AWA while charges are pending. (Injunctions are used in
cases of stolen animals and where an animal's health is in
serious danger or may become endangered.) The pet
protection provision mandated that the Secretary issue
additional regulations pertaining to random-source dogs
and cats. (Random source means “dogs and cats
obtained from animal pounds or shelters, auction sales, or
from any person who did not breed and raise them on his.
or her premises.”)

Regulations

With regard to animals used in research, the Improved
Standards for Laboratory Animals Act required the
Secretary of Agriculture to promulgate standards for the
exercise of dogs and for a physical environment adequate
to promote the psychological well-being of nonhuman
primates. Additional requirements of the 1985
amendments included the establishment of Institutional
Animal Care and Use Committees at research facilities;
standards to ensure that pain and distress are minimized,
and that anesthetics, analgesics, and tranquilizers are
used appropriately; and standards that require a
tesearcher to consider alternatives to painful procedures.
In order to implement the Improved Standards for
Laboratory Animals Act, the final regulations for parts 1
and 2 of Title 9, Code of Federal Regulations (CFR),
Chapter 1, Subchapter A, were published on August 31,
1989; those for Part 3 were published on February 15,
1991.

Revised standards for guinea pigs, hamsters, and rabbits
were published in final form in the Federal Register on
July 15, 1990, and became effective on August 15, 1990.
These standards increased the minimum space
requirements and provided additional requirements to
protect animals being transported via common carrier.

On April 5, 1990, the U.S. Department of Agriculture's
(USDA) APHIS published a notice in the Federal Register
Of its intent to regulate horses used for biomedical or other
nonagricultural research, and other farm animals used for
biomedical or other nonagricultural research or for
nonagricultural exhibition. The final rule became effective
on June 4, 1990. Until specific regulations can be
promulgated, the standards in Title 9, CFR, Chapter 1,
Subchapter A, Part 3, Subpart F, for “other warmblooded
animals” will be applied.

The Pet Protection Act, which was passed in November
1990 by Congress as part of the Food, Agriculture,
Conservation, and Trade Act of 1990, sets specific
holding periods for animals in public or private pounds or
shelters and requires certification that the holding period
has been met. The regulations for this Act, proposed on
November 15, 1991, were published as a final rule on
July 22, 1993, and became effective August 23, 1993.


Legislative and Regulatory
Recommendations

USDA is proceeding with the negotiated rulemaking
process to revise Title 9 CFR, chapter 1, subchapter A,
part 3, subpart E (Marine Mammal Captive Care and
Maintenance).

Also under Departmental review during FY 1995 is the
proposed revision of Title 9, CFR, Chapter 1, Subchapter
A, Part 3, Subpart F, for the humane care, treatment, and
transportation of horses used for biomedical or other
nonagricultural research, and other farm animals used for
biomedical or other nonagricultural research or for
nonagricultural exhibition.

As part of AC's longrange strategic planning that took
place during FY 1995, several legislative and regulatory
changes were targeted for consideration. These
proposed changes include, but are not limited to, the
subject areas of enforcement authority, transportation
issues and concerns, facility requirements, random-
source dogs, requirements for handlers of certain
animals, and the publishing of the final rule for the “Swim-
With-the-Dolphins” programs.

17


In FY 1995, the AWIC staff responded to approximately
6,685 requests for reference services and specific
publications. About 12,000 internet users accessed
AWIC materials on the NETVET system (located at
Washington University in St. Louis). More than 40,000
publications, including a 4-volume set of electronic
documents, were distributed. The quarterly “AWIC
Newsletter” continues to be sent to approximately 6,000
requestors in the United States and 38 foreign countries.

In FY 1995, 462 individuals attended an AWIC workshop
entitled “Meeting the Information Requirements of the
Animal Welfare Act” that was held at the NAL and at other
locations throughout the country. Presentations about
AWIC and the Animal Welfare program were given to
about 600 persons at various universities, conferences,
and professional meetings.

Training

In FY 1995, each of the four AC regional offices
participated in regulatory training functions. They all held
a 1-week, in-office workshop session for their AC field
inspectors; conducted several 2- to 3-day onsite sessions
with groups of field personnel participating throughout the
year until the entire field force was reached; and
conducted informational teleconferences on a regular
basis. Headquarters staff participated in many of these
regulatory training functions.

Also in FY 1995, there were two separate weeks of
specialized regulatory training and planning sessions for
all regional supervisory animal care specialists and the
headquarters AC staff. An offshoot of these two meetings
was the formation of a training committee comprised of
AC regional and headquarters personnel. From this start,
AC has begun to create a complete and comprehensive
training manual as a resource for all personnel.

Planning for the annual Research Preceptor Program was
completed during FY 1995, although the program had to
be delayed due to scheduling conflicts. The number of
AC personnel involved in this training program will
increase from two trained in FY 1994 to three in FY 1996.
This important program gives REAC a better knowledge
of the research industry, which enables our veterinary
medical officers to perform inspections with greater insight
and to better communicate with the research industry in
the overall goal of gaining maximum compliance with the

Licensing and Registration

The AWA regulations require the licensing of animal
dealers, exhibitors, and operators of animal auction sales
where animals regulated under the AWA are sold.
Licenses are valid unless the licensee terminates the
license voluntarily or fails to renew it, or an administrative
law judge suspends or revokes the license in an
enforcement proceeding. The Department terminates
licenses that are not renewed within the time
requirements set forth in the regulations. Following the
investigation of an alleged violation, a license may be
revoked or suspended by an administrative law judge
after notice and opportunity for a hearing. Licensing fees
for dealers and exhibitors are determined by a graduated
schedule listed in the regulations [9 CFR 2.6(5)(c)].
Dealers pay between $30 and $750 and exhibitors pay
between $30 and $300 per year. These fees are
deposited as “miscellaneous receipts” in the U.S.
Treasury.

The AWA also requires all carriers, intermediate handlers,
exhibitors not subject to licensing, and non-Federal
research facilities to register with the Secretary of
Agriculture. There is no charge to register.

Research Facilities

Research facilities that use animals include hospitals,
colleges and universities, diagnostic laboratories, and
many private firms in the pharmaceutical and
biotechnology industries.

All such research facilities are required to comply with the
AWA’s regulations. Even though Federal facilities are not
registered or inspected under the AWA, they are
responsible for maintaining compliance with the AWA’s
regulations and standards. The AWA requires that non-
Federal research facilities receive at least one
unannounced inspection per year to determine
compliance. Listed below are the number of research
facility sites for FY 1993 through 1995. In FY 1995, there
were 1,300 research facilities with a total of 2,688 sites.
Chart 2 shows the number of inspections of research
facilities for FY 1993 through 1995.

Registered Research Facility Sites, FY 1993-95

Total

FY sites
1995 2,688
1994 2,992
1993 3,149



Appendix

Table 4. Animals Used in Research, With Pain or Distress—With Drugs (FY 1995)

Number of Number of Guinea Farm
registrants all animals Dogs Cats Primates pigs Hamsters Rabbits animals. = ther
Total United States 959 517,377 49,290 16,332 19,712 81,534 85,783 158,048 63,139 43,539
Total Research 839 470,143 46,399 15,015 17,336 74,696 78,470 144,467 54,418 39,342
Federal Agencies 1320 47,234 2,891 1,317 2,376 6,838 7,313 13,581 8,721 4,197
Alabama 9 4,866 1,483 274 31 33 119 1,785 934 207
Alaska 3 174 10 0 ) 0 t) 0 ) 164
Arizona 6 2,785 490 136 32 419 360 1,017 322 9
Arkansas 6 861 66 49 Y 196 29 420 101 to)
California 100 64,477 2,839 2,455 1,287 6,629 14,743 26,488 6,343 3,693
Colorado 17 4,079 199 266 83 539 618 1,097 1,097 180
Connecticut 14 7,662 897 100 144 1,217 1,007 2,600 1,179 518
Delaware 5 3,487 852 6 66 1,321 579 512 72 79
District of Columbia 5 1,618 313 300 15 105 36 286 506 57
Florida 13 4,185 408 347 52 385 92 1,606 1,174 121
Georgia 15 18,491 1,026 268 1,495 708 2,015 9,667 2,397 915
Guam 0 0 ) 0 0 0 0 0 i) 0
Hawaii 2 276 ) 0 to) 62 35 168 8 3
Idaho 2 517 8 0 0) 16 0) 73 0 420
illinois 30 18,357 2,359 563 563 2,740 5,398 4711 1,463 560
Indiana 16 6,391 1,798 194 26 1,571 846 1,321 552 83
lowa 10 9,683 832 248 16 2,893 267 4,038 1,192 197
Kansas 1 5,108 366 595 25 834 642 2,103 126 417
Kentucky 6 5,093 419 266 105 652 1,414 981 185 1,071
Louisiana 5 5,902 953 113 1,573 911 84 1,854 344 70
Maine 4 126 7 15 0 0) 0 10 94 0
Maryland 26 16,727 1,115 636 747 3,716 1,134 3,785 724 = 4,870
Massachusetts 66 34,162 1,395 223 1,041 6,623 10,025 9,694 3,609 1,552
Michigan 23 15,100 1,956 804 208 2,363 1,129 4,190 1,307 3,143
Minnesota ral 24,485 2,593 1 47 5,699 10,188 2,702 2,732 413
Mississippi 5 1,947 649 25 111 (i) 261 459 330 112
Missouri 27 13,488 1,773 572 78 2,509 2,266 3,665 1,362 1,263
Montana 3 839 ) 0 0 oO (0) 690 36 113
Nebraska 12 5,523 233 442 24 505 1,144 1,674 692 809
Nevada 3 462 4 tC) 20 114 to) 0 324 0
New Hampshire 3 423 11 12 ) ) i) 144 246 10
New Jersey 39 37,216 2,932 485 1,093 13,098 3,869 11,372 2,478 1,889
New Mexico 7 1,370 105 °O 145 2 424 42 250 402
New York 72 29,286 3,194 1,015 928 5,929 5,036 6,329 3,049 3,806
North Carolina 17 16,623 2,115 426 1,041 2,041 594 4,148 2,877 3,381
North Dakota 1 287 0) 0 0 20 to) 25 242 0
Ohio 37 19,787 2,935 490 272 2,339 2,181 5,269 5,063 1,238
Oklahoma 9 1,953 618 158 81 308 2 542 226 18
Oregon 8 3,693 179 61 596 1,492 195 761 361 48
Pennsylvania 49 17,277 1,315 990 773 2,110 1,596 4,998 2,338 3,157
Puerto Rico 2 1,217 86 t) 1,100 0 0) 0 o 31
Rhode Island 3 1,068 21 123 92 117 oO 56 515 144
South Carolina 6 2,730 269 160 406 242 358 453 341 501
South Dakota 2 246 abl ) 3 156 oO 0 76 oO
Tennessee 12 6,902 1,031 267 189 342 299 3,101 1,585, 88
Texas 47 24,569 2,802 531 1,197 1,674 4,614 10,149 2,688 914
Utah 6 1,655 287 67 10 108 O 901 231 51
Vermont 2 562 45 7 to) ) 0 510 an) 0
Virgin Islands ie) 0 i) 0 0 tC) ) 0 0 t)
Virginia 9 11,158 954 395 790 616 2,670 3,261 758 1,714
Washington 23 5,468 558 149 399 110 1,282 2,203 349 418
West Virginia 5 1,213 74 104 ) 570 18 175 110 162
Wisconsin 13 8,516 1,793 559 432 662 901 2,427 1,422 320
Wyoming 2 53 21 8 0 0 oO 5 8 1


United States
Department of
Agriculture

Animal and
Plant Health
Inspection
Service

APHIS 41-35-042

Animal Welfare

Enforcement

Fiscal Year 1995

Report of the Secretary of Agriculture
to the President of the Senate and the
Speaker of the House of Representatives

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7



Animal Exhibitors

Licensed exhibitors operate animal acts, carnivals,
circuses, public zoos, roadside zoos, and marine mammal
displays. Most of the animals exhibited are species not
native to the United States (e.g., nonhuman primates,
hoof stock, carnivores, and wild rodents), but exhibited
species may also include domestic farm animals and wild
animals native to this country. During FY 1995, there
were 1,937 licensed exhibitors (with a total of 2,304 sites)
and 31 registered exhibitors (with a total of 35 sites).
Licensed exhibitors are those entities that either obtain or
dispose of animals in commerce or exhibit them for
compensation. Registered exhibitors do not buy, sell, or
transport animals and do not accept compensation.

Listed below are the number of exhibitor sites regulated
during FY 1993 through 1995. Chart 5 shows the number
of inspections for that same period.

Chart 5

Regulated Exhibitors, FY 1993-95

Exhibitors

Total

sites Licensed

Registered

1995
1994
1993

2,339 2,304
2,268 1,861
1,828 1,773

35
35

Exhibitors

FY 1993-95

4,000
oO 1993

fl 1994
3,000 m 1995

2,000 4,896 1,968

[a
oe

1,000

Number of facilities Total sites

Numbers from Work-Based Budget System (WBBS) reports

2,268 2,339
Terr

-

Inspections

10


Animals Used in Research, Experiments,
Tésting, and Teaching
FY 1995
1,500,000 11396,463
1,000,000 }
500,000
363,985 126,426
° Dogs Cats Primates Guinea Hamsters Rabbits Farm Other Total
pigs animals
LARIS recorded numbers from APHIS form 7023

Chart 3

Animals Experiencing Pain and/or Distress, Pain/
Distress Relief, or No Pain/Distress During Experiments

1,400,000 1,395,463
1,200,000
1,000,000
800,000 754.712
600.000 517,377
400,000
200,000 “123,374
°
Pain and/or Pain and/or No pain Total animals
distress with distress and/or used in
no drugs alleviated distress research

LARIS recorded numbers from APHIS form 7023

Chart 4



Organization and Administration of the
AWA

USDA is charged with developing and implementing
regulations to support the AWA. These regulations, which
appear in Title 9, CFR, Chapter 1, Subchapter A, Parts
1-3, provide minimum standards for the care and
handling of covered animals. Included are requirements
for handling, housing, feeding, sanitation, ventilation,
shelter from extreme weather, veterinary care, and
separation of species when necessary. Birds and
laboratory rats and mice are not currently included in the
regulations.

Within USDA, APHIS is responsible for administering the
AWA. The REAC unit of APHIS, created in 1988, has
direct responsibility to administer and enforce the AWA
and the Horse Protection Act.

By maintaining a separate component for animal care
under REAC, APHIS has provided a means for the
Animal Care (AC) program to benefit from its visibility and
unique position. AC employees are highly qualified and
have an excellent professional support system and
communication network. All of these individuals are well
trained, and many have specialized interest and expertise
in such areas as the care of laboratory animals, zoo
animals, and marine mammals.

The Regulatory Enforcement (RE) component of APHIS/
REAC brings together the professional investigators of the
Agency into a single unit. RE is an integral part of an
overall approach to achieving compliance with APHIS
regulations.

APHIS/REAC Headquarters Activities

The Assistant Deputy Administrator for AC supervises the
field inspection force. The AC staff provides technical
support and assists in developing program direction,
goals, priorities, policies, procedures, and regulations to
carry out the AC program effectively and efficiently. The
AC staff serves as the source of the Agency's expertise in
the areas of laboratory animals and research facilities,
horse protection, exhibition animals, transportation of
regulated animals, and animal dealers.

In cooperation with APHIS’ Organizational and
Professional Development group, the AC staff provides
program training for AC personnel. The staff also
cooperates with other Federal agencies in enforcing the
AWA and in maintaining liaison and working relations with
regulated professional groups, industry organizations,
humane groups, and other concerned groups or
individuals.

The RE staff is the investigative arm of APHIS that
ensures compliance with APHIS regulations concerning
plants and animals. Compliance with APHIS’ regulations
is accomplished through strong'educational efforts, sound
enforcement, and comprehensive investigations.

RE works closely with USDA's Office of the General
Counsel and other Federal agencies, State and local
governments, and industry groups. RE’s primary clients
within APHIS are AC; Biotechnology, Biologics and
Environmental Protection; Plant Protection and
Quarantine; and Veterinary Services. Each year, RE
handles approximately 850 violations of APHIS’
regulations.

APHIS/REAC Field Activities

The AC program is administered through regional offices
in Annapolis, MD, Tampa, FL, Sacramento, CA, and Fort
Worth, TX. Each regional office is responsible for
administering the AWA in the specific States within its
jurisdiction. Based in each office is a regional director
who manages the AC program. Licensing, registration,
and investigation of compiaints and alleged violations are
accomplished by administrative, technical, and clerical
employees also based at the regional offices. The AC
field force consists of veterinary medical officers and
animal care inspectors. It should be noted that due to the
Federal Government's reorganization initiative, AC plans
to merge the current four regional offices into two. As an
interim measure, AC will reduce the present regional
offices to three.

At the beginning of FY 1995, RE reduced their four sector
offices to two regional offices based out of Annapolis and
Fort Worth. Based in each regional office is a regional
director who manages the RE program. RE field
personnel investigate alleged compliance violations
across all APHIS’ line program areas.

Animal Welfare Information Center

The Animal Welfare Information Center (AWIC) is part of
the National Agricultural Library (NAL) at Beltsville, MD.
The Center was established in December 1986, as
mandated by the 1985 Improved Standards for
Laboratory Animals Act. AWIC is specifically directed to
provide information concerning (1) methods of humane
animal care and use, (2) alternatives to the use of live
animals in research, (3) methods to minimize pain and
distress to animals, (4) possible duplication of research
involving animals, (5) materials for the training of
personnel, and (6) other topics that support the
administration and regulatory requirements of the AWA.


Appendix

Table 1. Number of Licensees and Registrants (FY 1995)

Registered Registered

Intermediate Registered Licensed Licensed Registered research

handlers carriers dealers exhibitors exhibitors facilities
Total United States 275 98 4,080 1,937 31 4,300
Alabama 2 vo) 17 24 0 13
Alaska 1 4 0) 1 (0) 3
Arizona 13 1 1 32 0 9
Arkansas 1 t) 143 21 (0) 10
California 23 8 40 209 2 167
Colorado 7 2 22 23 0 24
Connecticut 6 2 7 39 0 19
Delaware 0 te) 1 2 Co) 7
District of Columbia 0 0 0 1 ti) 6
Florida 20 7 104 230 1 25
Georgia 19 2 37 35 2 20
Guam 0 to) te) ) 0 0
Hawaii 26 4 3 15 0 2
Idaho 0 0 7 10 t) 3
Illinois 7 2 92 112 3 44
Indiana 4 2 80 57 ) 23
lowa t) 1 362 23 1 17
Kansas i) 1 420 23 i) 22
Kentucky 4 1) 16 13 1 10
Louisiana 1 C1) 25 14 to) 13
Maine 0 1 7 7 0 12
Maryland 8 0 8 18 1 4
Massachusetts 5 3 20 31 1 91
Michigan 3 1 48 60 7 36
Minnesota 1 1 105 43 2 28
Mississippi to) 0 6 12 i) 7
Missouri 6 2 1,070 34 0 39
Montana i) 1 6 16 ) 4
Nebraska 2 1 165 14 0 13
Nevada 4 1 6 45 0 2
New Hampshire. 1 0 2 19 i) 3
New Jersey 6 2 22 40 0O 51
New Mexico 4 4 2 13 0 10
New York 17 9 58 109 i) 110
North Carolina 5 1 34 29 1 26
North Dakota 1 0 34 "1 1 2
Ohio 8 1 67 52 4 49
Oklahoma 1 1) 368 17 t) 17
Oregon 3 1 58 26 i) 1
Pennsylvania 13 3 157 74 0 86
Puerto Rico 1 6 5 1 0 11
Rhode Island 1 to) 1 9 0 7
South Carolina 2 O 14 12 0 7
South Dakota oO 0 84 17 2 4
Tennessee 5 1 23 23 O 20
Texas 20 8 237 153 0 84
Utah 3 3 2 8 0 8
Vermont 1 i) 4 4 0 2
Virgin Island ) iY) i) oO 0 iY)
Virginia 10 3 12 33 1 14
Washington 6 6 21 23 0 31
West Virginia to) (0) 12 8 ty) 5
Wisconsin 4 3 35 71 1 30
Wyoming 0 0 C) 1 Co) 2

‘The total count on table 1 is extracted from the listing of those research facilities that are active at the end of the
fiscal year. The total count on table 2 is derived from the annual reports submitted from those research facilities that
used covered animals during the fiscal year whether active or inactive at the end of the fiscal year.

20


Animal Care Headquarters Office:

U.S. Department of Agriculture

Animal and Plant Health Inspection Service
Regulatory Enforcement and Animal Care
4700 River Road, Unit 84

Riverdale, MD 20737-1234

(301) 734-7833

Eastern Animal Care Regional Office:

Connecticut, Delaware, District of Columbia, Illinois,
Indiana, Maine, Maryland, Massachusetts, Michigan,
Minnesota, New Hampshire, New Jersey, New York,
Ohio, Pennsylvania, Rhode Island, Vermont, Virginia,
West Virginia, Wisconsin

USDA, APHIS, REAC, AC
Regional Director

2568-A Riva Road, Suite 302
Annapolis, MD 21401-7400
(410) 962-7463

Central Animal Care Regional Office:

Arkansas, lowa, Kansas, Louisiana, Missouri, Nebraska,
North Dakota, Oklahoma, South Dakota, Texas

USDA, APHIS, REAC, AC
Regional Director

501 Felix Street, Building 11
P.O. Box 6258

Fort Worth, TX 76115
(817) 885-6910

Southeast Animal Care Regional Office:

Alabama, Florida, Georgia, Kentucky, Mississippi, North
Carolina, Puerto Rico, South Carolina, Tennessee, Virgin
Islands

USDA, APHIS, REAC, AC
Regional Director

501 East Polk Street, Suite 820
Tampa, FL 33602

(813) 225-7690

26

Western Animal Care Regional Office:

Alaska, Arizona, California, Colorado, Hawaii, Idaho,
Montana, Nevada, New Mexico, Oregon, Utah,
Washington, Wyoming

USDA, APHIS, REAC, AC
Regional Director

9580 Micron Avenue, Suite J
Sacramento, CA 95827
(916) 857-6205

Animal Welfare Information Center:

AWIC Coordinator

National Agricultural Library
10301 Baltimore Avenue
Beltsville, MD 20705

(301) 504-6212

Internet: awic@nal.usda.gov

USDA’s Voice Response Service:

(800) 545-USDA (-8732)

This menu-driven phone system has some animal care
requirements on the subjects of transportation,
recordkeeping, and identification.

REAC on the Internet

REAC maintains a home page on the World Wide Web. It
can be accessed at: http:/Avww.aphis.usda.gov/reac

To correspond with REAC via Internet E-Mail, address
correspondence to jdepoyster @ aphis.usda.gov


Report of 1995 Activities

Each year, the Secretary of Agriculture reports on
administration and enforcement activities under the
Animal Welfare Act (AWA) (7 U.S.C. 2131 et seq.) as
required by Section 25 of the AWA. Section 25 states
that: “[t]his report as well as any supporting documents,
data, or findings shall not be released to any other
persons, non-Federal agencies, or organizations unless
and until it has been made public by an appropriate
committee of the Senate or the House of
Representatives.”

The present report covers fiscal year (FY) 1995, from
October 1, 1994, through September 30, 1995.

Chart 1

Summary

In FY 1995, 14,722 unannounced compliance inspections
and reinspections were completed by the Animal and
Plant Health Inspection Service's (APHIS) Regulatory
Enforcement and Animal Care (REAC) field personnel at
10,108 regulated sites. There were 1,934 prelicensing
and preregistration audits, 91 auction market
observations, and 1,413 attempted compliance
inspections. The total of all categories of inspections for
FY 1995 was 18,160.

The AWA requires that APHIS perform at least one
compliance inspection per year at each research facility
that uses animals in experimentation. Agency policy sets
the same minimum for all other regulated entities using
animals. The average number of compliance inspections
for FY 1995 was 1.46 per facility (obtained by dividing the
total number of unannounced compliance inspections by
the total number of regulated sites). The number of field
inspectors (veterinary medical officers and animal care
inspectors) at the end of FY 1995 was 69. This is

140 fewer inspectors than in FY 1994 and 19 fewer than
FY 1993.

Chart 1 shows inspections completed for all facility
categories from FY 1993 through 1995.

FY 1993-95

Animal Welfare Program Inspections

18,718

Dealer

Research

Exhibitor

Intransit handler

Intransit carrier

Prelicensing

Auction market

Attempted

"9,000

Numbers from Work-Based Budget System (WBBS) reports



Summary of Inspections

APHIS/REAC performs prelicensing inspections because
license applicants are required by law to be in full
compliance with regulations and standards before a
license is issued. After a license has been issued, APHIS
performs unannounced inspections and reinspections to
ensure continued compliance with the AWA.
Reinspections are followup inspections conducted on
those facilities that were found to have one or more
violations.

In FY 1995, APHIS’ AC personnel conducted 14,722
unannounced inspections for compliance, 1,934
prelicensing/preregistration audits, 91 auction market
observations, and 1,413 attempted inspections. There
were also 1,728 searches for unlicensed or unregistered
sites, 31 holding facility inspections, 63 handler or carrier
registrations, and 566 inspections due to public
complaints. Furthermore, AC personnel handied various
legal matters including 240 alleged violator investigations,
570 case submissions, 85 prosecution-related support
activities, and 354 requests acted on to supply legal
documentation such as photos and affidavits.

Prelicensing/Preregistration Inspections
Before a license is granted to dealer or exhibitor

applicants, a prelicensing inspection must be performed to

determine that a facility is in compliance with the AWA.

For registration purposes, a preregistration inspection is
not required, but many facilities request REAC
consultation. Whenever possible, REAC honors these
requests in order to ensure the highest level of
compliance.

Prelicensing/Preregistration Inspections,
FY 1993-95

Preregistration
Prelicensing inspections of
inspections of tesearch
FY Total Dealers Exhibitors facilities
1995 1,934 1,369 529 36
1994 1,894 1,361 491 42
1993 2,260 1,568 645 47

Inspections for Compliance

APHIS/REAC routinely makes unannounced inspections
of all licensees and registrants to ascertain compliance
with the regulations. If conditions are discovered that are
not in compliance with the regulations, REAC establishes
a deadline for correction of these items. Inspectors are
required to make a reinspection following the deadline
date for correction. If the conditions remain uncorrected,
REAC documents them for possible legal action. Listed in
the next tabulation are the total number of unannounced
compliance inspections (including reinspections) for
dealers, exhibitors, research facilities, carriers, and
intermediate handlers for FY 1993 through 1995.

Inspections for Compliance, FY 1993-95

Unannounced
inspections for
FY compliance
1995 14,722
1994 14,778
1993 17,593

13


te oe

Liaison With Other Federal Agencies

APHIS/REAC has a representative on the Interagency
Research Animal Committee, whose members come from
Federal agencies involved in the care and use of animals
in biomedical research. This committee is responsible for
interagency coordination of animal care-and-use concerns,
for making contributions to policy development, and as a
forum for information exchange and regulation
development.

REAC works closely with the Animal Welfare Information
Center, a part of the National Agricultural Library. In

FY 1995, REAC staff personnel presented four training
sessions on alternative methods of research at the Center.

APHIS/REAC also maintains close working relationships
with the following Federal agencies regarding regulation
and enforcement of the AWA: U.S. Department of Health
and Human Services’ National Institutes of Health and
Food and Drug Administration; Department of Defense;
Department of Veterans Affairs; Marine Mammal
Commission; U.S. Department of Commerce's National
Marine Fisheries Service; U.S. Department of the Interior's
U.S. Fish and Wildlife Service; Environmental Protection
Agency; and USDA's Food Safety and Inspection Service.

Other Activities

APHIS published a proposed rule for Swim-With-the-
Dolphin programs on January 23, 1995. Public
comments were solicited and collected. A final rule
governing these programs under the AWA will be
published in FY 1996.

In June 1995, APHIS chartered a Marine Mammal
Negotiated Rulemaking Committee that consists of

16 members and includes representatives of various
interests with a stake in the rulemaking, including animal
welfare groups, industry groups, and other Federal
agencies. The first negotiating session was held
September 25-26, 1995. Revision of the animal welfare
regulations governing captive marine mammals (Part 3,
Subpart E) is expected to be completed in FY 1996 or
1997.

Amarine mammal liaison committee, consisting of
representatives of REAC, the National Marine Fisheries
Service, Fish and Wildlife Service, and Marine Mammal
Commission, continued to meet throughout FY 1995. The
purpose of this committee is to monitor the marine
mammal rulemaking process and address other common
marine mammal issues.

APHIS’ AC personnel actively participate in organizations
concerned with the humane care of animals. REAC
maintains an active role in the American Zoo and
Aquarium Association (AZA), the American Association of
Laboratory Animal Science, the International Association
for Aquatic Animal Medicine, the American Association of
Zoo Veterinarians, Alliance for Marine Mammal Parks and
Aquariums, the American Association for Accreditation of
Laboratory Animal Care, the Air Transport Association,
and the Society of Marine Mammalogy. REAC is also
represented in the United States Animal Health
Association and has members on both its animal welfare
and zoological committees. AC personnel from
headquarters and the field are often invited by Federal
agencies and nongovernmental organizations to give
presentations concerning animal welfare.

During FY 1995, APHIS and the AZA began laying the
groundwork for the second Exhibition Animal Internship
Program. Due to funding considerations, the internship
program was not held in FY 1995. Two field inspectors
will be selected to participate in FY 1996.

15


Contents

Report of 1995 Activities 2
Summary 2
Animal Welfare Accomplishments for FY 1995 3
Legislative History 4
Regulations 4
Appropriations for FY 1995 5
Organization and Administration of the AWA 6
APHIS/REAC Headquarters Activities 6
APHIS/REAC Field Activities 6
Animal Welfare Information Center 6
Training 7
Licensing and Registration 7
Research Facilities 7
Reports From Research Facilities 8
Animal Exhibitors 10
Carriers and Intermediate Handlers 11
Licensed Dealers 12
Summary of Inspections 13
Prelicensing/Preregistration Inspections 13
Inspections for Compliance 13
Complaints and Searches 14
Violations and Investigations 14
Liaison With Other Federal Agencies 15
Other Activities 15
Public Information 16
Public Correspondence 16
Freedom of Information Act (FOIA) Requests 16
Legislative and Regulation Recommendations 17
Glossary of Terms 18

Appendix

Table 1. Number of Licensees and Registrants 20
Table 2. Animals Used in Experimentation 21
Table 3. Animals Used in Experimentation,

No Pain or Distress—No drugs 22
Table 4. Animals Used in Experimentation,

With Pain or Distress—With Drugs 23
Table 5. Animals Used in Experimentation,

With Pain or Distress—No Drugs 24
Table 6. Animals Used in Experimentation,

From 1973 25

Attachments

Animal Welfare: List of Licensed Dealers

Animal Welfare: List of Registered Research Facilities

Animal Welfare: List of Licensed Exhibitors

Animal Welfare: List of Registered Exhibitors

Animal Welfare: List of Registered Carriers and
Intermediate Handlers


Appendix

Table 5. Animals Used in Research, With Pain or Distress—No Drugs (FY 1995)

Number of Number of Guinea Farm
registrants all animals Dogs Cats —_— Primates pigs Hamsters Rabbits animals. = Other
Total United States 184 = 123,374 = 1,553 620 840 56,659 51,187 6,716 3,195 2,604
Total Research 166 116,979 1,305 620 492 53,208 49,405 6,533 3,159 2,257
Federal Agencies 18 6,395 248 t) 348 3,451 1,782 183 36 347
Alabama 2 110 58 0 t) 0 0 52 0 0
Alaska (0) to) t) oO t) 0 0 0 0 t0)
Arizona 1 1 0 ) 0 1 0 0 0 t)
Arkansas 0 ) 0 0 0 0 ts) 0 0 0
California 15 5,250 103 0 5 3,226 899 1,015 2 )
Colorado 3 1,827 0 0 17 1,104 399 32 17 258
Connecticut 2 830 1 0 77 0 0 735 7 to)
Delaware 4 4,444 9 ) 0 2,325 1,967 143 i) tt)
District of Columbia 0 0 0 ty) ) 0 0 0 to) o
Florida 3 178 ) ty) 20 100 ty) 58 (i) i)
Georgia 2 2,129 104 45 tt) 0 1,940 19 13 8
Idaho 1 29 i) 0) 0 i) 0 29 0 t)
Itinois 7 2,371 31 "1 0 1,233 608 7 369 42
Indiana 3 1,885 25 0 3 1,689 0 27 0 141
lowa 4 19,697 348 249 0 64 19,036 0 0 i)
Kansas 3 11,424 0 0 0 6,062 4,255 464 643 0
Kentucky 0 0 0 0 to) 0 0 0 0 0
Louisiana 0 0 0 0 0 0 to) 0 0 ti)
Main 0 0 0 0 (i) 0 i) 0 0 (i)
Maryland 3 311 0 0 3 300 0 8 0 i)
Massachusetts 9 643 ) 0 26 451 52 2 112 )
Michigan 7 3,593 42 54 31 1,088 635 162 1,260 321
Minnesota 5 3,526 92 190 (0) 10 3,030 204 ) 0
Mississippi 1 13 i) 0 13 ) 1) 0 0 0
Missouri 5 7,140 53 i) 0 1,685 5,349 3 0 50
Montana 1 168 ti) ) 0 168 0 oy) 0 )
Nebraska 4 10,479 16 0 0 6 10,452 0 5 0
Nevada 0 0 0 ti) 0 0 0 0 0 tt)
New Hampshire 1 173 0 0 0 t) 0 173 O t)
New Jersey 15 5,208 12 0 47 3,691 0 1,450 8 0
New Mexico 1 16 12 oO 4 i) o 0 i) )
New York 16 1,890 127 i) 20 319 264 21 i) 1,139
North Carolina 9 2,386 59 6 () 1,381 60 560 320 to)
North Dakota to) t) 0 0 0 0 0 0 0 Oo
Ohio 8 2,565 92 ) 106 1,628 200 247 0 292
Oklahoma 1 34 tC) 0 to) t) to) 0 34 )
Oregon (o) 0 0 O 0 0 oO 0 i) 0
Pennsylvania 13 17,695 111 65 5 17,243 15 256 0 ti)
Puerto Rico 0 to) 0 to) 0 ti) 0 ) ) 0
Rhode Island (1) ) 0 0 0 0 t) 0 i) 0
South Dakota 2 193 ti) v) i) 0 183 Cy) 10 0
Tennessee 0 0 0 0 0 0 0 t) 0 0
Texas 9 909 te) 0 68 150 61 430 200 0
Utah O (0) 0 t) (i) to) 0 0 0 to)
Vermont 0 i) ) i) () oO i) 0 0 0
Virginia 1 45 (0) 0 45 0 ty) 0 i) (i)
Virgin Islands i) ) 0 to) (1) 0 0) to) 0 0
Washington 2 9,274 O te) 2 9,272 oO 0 0 0
West Virginia O i) o te) ) 0 O i} 0 0
Wisconsin 2 542 to) 0 0 12 i) 366 159 5
Wyoming 1 1 0 0 0 0 0 i) 0 1

24


The U.S. Department of Agriculture (USDA) prohibits
discrimination in its programs on the basis of race, color,
national origin, sex, religion, age, disability, political
beliefs, and marital or familial status. (Not all prohibited
bases apply to all programs.) Persons with disabilities
who require alternative means for communication of
program information (braille, large print, audiotape, etc.)
should contact the USDA Office of Communications at
(202) 720-2791.

To file a complaint, write the Secretary of Agriculture,
USDA, Washington, DC 20250, or call (202) 720-7327
(voice) or (202) 720-1127 (TDD). USDA is an equal
employment opportunity employer.

Issued July 1996


Regulatory Enforcement and Animal Care

Office of the
Deputy Administrator
Riverdale, MD
{ l
Regulatory Resource
Enforcement Animal Care Management
Riverdale, MD , Riverdale, MD
—____]
Regulat |_| Animal Care Staff
Enforcement Staff Riverdale, MD
Riverdale, MD
Northeast Region
Eastern Region | Annapolis, MD
Annapolis, MD
. |_| Southeast Region
Wertern Fegion Tampa, Fe
|| Central Region
Ft. Worth, TX
Ll Western Region
Sacramento, CA



Carriers and Intermediate Handlers

Carriers registered with USDA include airlines, motor
freight lines, railroads, and other shipping lines.
Registered intermediate handlers include ground freight
handlers. Intermediate handlers usually provide services
for animals between consignor and carrier and from
carrier to consignee. They also care for animals delayed
in transit. In FY 1995, there were 98 carriers (with a total
of 453 sites) and 275 intermediate handlers (with a total of
303 sites).

The number of sites for registered carriers and
intermediate handlers for FY 1993 through 1995 is listed
in the next tabulation. The number of carrier and
intermediate handler inspections for FY 1993 through
1995 is shown on chart 6.

Chart 6

Sites for Registered Carriers and Intermediate Handlers,
FY 1993-95

Registered Intermediate

FY carrier sites handler sites
1995 453 303
1994 613 276
1993 "129 280

‘ This number represents the registered carriers and does not include the
various sites; both are included in data for the following years.

Carriers and Intermediate Handlers

Numbers from Work-Based Budget System (WBBS) reports

FY 1993-95
3,000
2758
2280
1 1993
2,000 O 1994
Bw 1995
1,000
0
Carrier Carrier Handler Handler Total intransit
sites inspections sites inspections inspections

1


Complaints and Searches

AC personnel routinely conduct searches for unlicensed
or unregistered persons and also investigate public
complaints to determine (1) that regulated animals are
receiving proper care and/or (2) if the animal owner(s) fall
under the jurisdiction of the AWA and should be licensed
or registered. The number of complaints investigated and
searches for unlicensed or unregistered facilities during
FY 1993 through 1995 are tabulated next.

Complaints Investigated and Searches Made,
FY 1993-95

FY Complaints Searches
1995 566 1,728
1994 642 2,354
1993 689 2,984

14

Violations and Investigations

APHIS’ RE personnel investigate alleged violations when
corrective measures have not been taken by licensees or
registrants as required.

Investigations disclosing violations are acted on ina
variety of ways depending on their severity. Less serious
infractions may be settled with an official notice of
warning. More serious cases may be settled with a
stipulation offer. Stipulations allow alleged violators to
pay a fine, have their licenses suspended, or both, in lieu
of formal administrative proceedings.

Cases appearing to warrant formal prosecution undergo
Departmental review for legal sufficiency prior to issuance
of a formal administrative complaint. Formal cases may
be resolved by license suspensions, revocations, cease-
and-desist orders, civil penalties, or combinations of these
penalties through administrative procedures.

Numbers of Investigations Conducted and Disposition,
FY 1993-95

Cases Investigated and Reviewed
Submitted to
Regulatory Submitted
Enforcement for formal
FY Cases staff prosecution
1995 425 150 79
1994 719 147 91
1993 921 92 69
Cases Resolved
Administrative
Official Stipulations law judges’
FY warnings _offered/settled decisions
1995 263 1431/85 35
1994 389 108/78 44
1993 597 181/141 29
Sanctions Imposed
Revocations,
Fines imposed suspensions,
by administrative Fines imposed and
FY law judges by stipulation disqualifi-cations
1995 $401,750 $49,975 19
1994 $296,000 $49,900 23
1993 $97,750 $67,500 13

*Ten stipulations were settled with penalties other than monetary. These
penalties required the alleged violator to conduct training sessions for
employees handling animals.