Glossary of Terms

Airport inspection—Individual airline inspections of
cargo and baggage areas made at airports for compli-
ance 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 allega-
tions charged against him/her. (2) A public complaint is
information received from citizens, humane groups, or
others concerning possible violations of the AWA,
regulations, 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 compensa-
tion or profit, delivers for transportation, or transports,
except as a carrier, buys, or sells, or negotiates the
purchase or sale of 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 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.

18

Exbibitor—Any person (public or private) exhibiting any
animals which were purchased in commerce or the
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 inspection completed,
after licensing or registration, to determine the facility's
compliance with the AWA regulations and standards.
Compliance inspections include reinspections.

° Prelicensing inspection—An inspection made, after
application for licensure has been submitted, to ascer-
tain compliance with the AWA regulations and standards
prior to licensing the facility. 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 bandler—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. APHIS estimates that in FY 1994 there were about
85 B dealers supplying animals for research. These
dealers are usually bunchers and obtain their animals
from random sources which include pounds, individu-
als, and other B dealers.

The number of Class A and Class B licensed dealers for
FY 1992-94 is listed in the next tabulation. The number
of compliance inspections for dealers during the same
period is shown on chart 7.

Chart 7

Licensed Dealers, FY 1992-94

FY

Total
sites

Class A
sites

Class B
sites

1994
1993
1992

4,556
4,154
4,324

3,230
3,042
3,334

1,326
1,112
990

Dealers
FY 1992-94

10,0005
8,000-4

6,000
4,000

2,000—

T
Total sites Total inspections
‘Numbers from Work-Based Budget System (WBBS) reports

O 1992
1993
Mm 1994

12


Appendix

Table 3. Animals Used in Research, No Pain or Distress—No Drugs Needed for Relief (FY 1994)

Number of Number of

Guinea

Farm
Rabbits animals Other
i

22

registrants allanimals Dogs Cats Primates pigs Hamsters
Total United States 985 884,591 42,065 14,796 32,020 211,550 154,749 220,539 107,867 101,005
Total Research 880 790,368 41,512 14,409 29,440 203,456 139,948 216,274 61,784 83,545
Federal Agencies 105 93,223 553 387 2,580 8,094 14,801 4,265 46,083 17,460
Alabama 10 8,441 757 200 898 1,114 1,230 522 3,604 116
Alaska 1 145 0 6 0 0 i) 0 0 139
Arizona 4 1,599 80 0 79 647 109 633 17 34
Arkansas 7 1,063 120 40 16 60 175 451 167 34
California 118 126,534 1,363 1,716 3,905 25,090 20,110 51,403 12,415 10,532
Colorado 16 4,403 1,215 473 18 695, 423, 1,001 215 363
Connecticut 16 3,281 167 4 75 925 965 562 18 565
Delaware 8 16,652 827 20 58 5,549 7,980 1,345 78 795
District Of Columbia 4 345 9 0 8 137 160 31 0 0
Florida 17 4,048 315 135 72 900 577 799 741 509
Georgia 12 25,403 1,192 403 1,714 162 5,247 12,877 528 3,280
Hawaii 1 524 0) 2 18 487 0 1 0 16
Idaho 4 117 0 0 0 27 0 62 26 2
Illinois 37 35,991 2,070 692 418 12,099 7,865 10,948 1,271 628
Indiana 13 10,482 550 272 410 4,651 381 2,931 1,067 220
Towa 10 18,041 1,288 633 7 2,546 4,567 3,556 5,185 259
Kansas 16 21,810 1,477 950 0 1,373 8,988 1,602 1,587 5,833
Kentucky 7 2,662 55 50 Y 95 183, 635 1,608 36
Louisiana 7 11,709 933 657 6,497 147 196 271 474 2,534
Maine 9 598 5 6 o 4 10 372 181 20
Maryland. 28 9,795, 106 6 657 2,541 2,428 3,263 32 762
Massachusetts 57 24,979 315 34 548 8,353 4,308 8,358 1,944 1,119
Michigan 18 25,737 2,131 222 342 4,918 1,214 4,902 2,939 9,069
Minnesota 14 13,898 829 792 38 2,411 4,93, 2,539 2,098 253
Mississippi 2 461 39 3 0 12 2 19 283 103
Missouri 29 24,683 4,962 3,040 32 3,017 3,179 6,755 2,732 966
Montana 4 2,034 i) 4 19 87 7 956 22 939
_ Nebraska 10 36,378 1,094 393 49 2,482 20,141 2,685 8,883 651
Nevada 2 2,547 131 0 290 832 0 137 0 1,157
New Hampshire 3 332 0 55 0 5 108 157 2 5
New Jersey 40 79,934 3,675 110 1,878 38,879 10,977 19,924 237 4,254
New Mexico 5 1,228 169 2 374 35 191 153 0 304
New York 70 42,867 2,578 631 841 14,026 11,341 5,974 283 7,193
North Carolina 20 23,392 1,216 371 1,072 8,616 2,111 7,909 1,028 1,069
North Dakota 2 762 0 i) 0 2 527 6 159 5
Ohio 35 45,736 2,299 423 211 21,254 1,271 12,804 1,006 6,468
Oklahoma 13 1,763 450 229 0 17 88 300 514 165
Oregon 6 1,361 30 38 245 200 461 18 0 369
Pennsylvania 60 56,542 4,095 736 595 21,279 2,137 24,086 1,732 1,882
Puerto Rico 7 2,177 0 0 1,500 20 39 618 0 0
Rhode Island 6 1,100 1 0 9 to) 128 9 126 737
South Carolina 4 3,093, 0 0 0 112 642 300 10 2,029
South Dakota 2 558 8 13 0 14 4 9 10 500
Tennessee 14 4,165 270 46 156 1,047 876 1,457 104 209
Texas 53 34,775 872 585 2,284 4,997 2,297 11,481 4,828 7,431
Utah 6 4,175 123 68 2 833 436 1,528 105 1,080
Vermont 3 446 2 2 0 143 114 174 1 10
Virgin Islands 0 0 0 0 0 0 0 O oO 0
Virginia 13, 10,782 1,206 68 798 1,020 472 2,311 395 4,512
Washington 16 8,675 448 63 1,240 507 2,300 752 316 3,049
West Virginia 2 482 0 0 0 292 163 21 i) 6
Wisconsin 18 31,499 2,040 216 2,067 8,797 7,882 6,493 2,813 1,191
Wyoming 1 164 0 0 0 0 0 21 i) 143


Animal Welfare Accomplishments for
FY 1994

Total Average Number
number number of of
of inspections _ inspections
sites’ per site by category
Inspections for Compliance”
Dealers 4,556 1.28 5,854
Research
facilities 2,992 1.32 3,953
Exhibitors 2,268 1.44 3,274
Intransit
handlers 276 1.05 290
Intransit
carriers? 613 2.30 1,407
Totals 10,705 1.38 14,778
Other Types of Inspections
Prelicensing
inspections‘ NA NA 31,894
Auction
market
inspections NA NA 114
Attempted
inspections
of dealers
and exhibitors NA NA 2,275
Total 4,283
Total of Inspections
for Compliance and
Other Inspections 19,061

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

Inspections for compliance are “unannounced” inspections/reinspections and
do not include prelicensing, auction market, or attempted inspections.
Prelicensing inspections are “announéed” inspections. Inspections at auction
markets are made at unlicensed markets to locate unlicensed dealers.
‘Attempted inspections could not be performed.

Sintransit Carriers is a category representing commercial airlines. Each airline
may have two or more animal transportation “sites” at each airport it serves.
Due to frequent changes in airline activities and other factors, the number of
sites is constantly changing. Prior to FY 1994, Intransit Carriers were not
included in Inspections for Compliance.

*Prelicensing Inspections includes 42 preregistering inspections. Preregistering
inspections are not required, but many facilities request REAC to perform them,

Inspections for Compliance Made During FY 1992-94

Total Total
facilities inspections
FY (sites) for compliance
1994 7,869 14,778
(0,705)
1993 7,695 "17,593
(9,411)
1992 7,751 17,764
(9,483)

'For FY 1992 and 1993, these totals do not include inspections of intransit
carriers.


*° 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 that is not required to be
licensed by the AWA.

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 experimen-
tation.

© 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, domes-
tic 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 animals (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 persons or animal facilities.

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 regula-
tions or standards of the AWA.

19


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

Northeast Animal Care Sector 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
Sector Supervisor

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

Central Animal Care Sector Office:

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

USDA, APHIS, REAC, AC
Sector Supervisor

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

Fort Worth, TX 76115
(817) 885-6910

Southeast Animal Care Sector Office:

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

USDA, APHIS, REAC, AC
Sector Supervisor

501 East Polk Street, Suite 820
Tampa, FL 33602

(813) 225-7690

Western Animal Care Sector Office:

Alaska, Arizona, California, Colorado, Hawaii, Idaho,
Montana, Nevada, New Mexico, Oregon, Utah, Washing-
ton, Wyoming

USDA, APHIS, REAC, AC
Sector Supervisor

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

Animal Welfare Information Center:

AWIC Coordinator

National Agricultural Library
10301 Baltimore Blvd.

Beltsville, MD 20705

01) 504-6212

Internet: AWIC@NALUSDA.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.


Appendix

Table 2. Animals Used in Research (FY 1994)

Number of Number of

Guinea

Farm
Rabbits animals Other

registrants all animals Dogs Cats Primates pigs Hamsters

Total United States 1,761 1,624,649 101,090 32,610 55,113 360,184 298,934 393,751 180,667 202,300
Total Research 1,511 1,470,574 96,440 30,791 48,864 344,789 275,621 373,119 124,852 176,098
Federal Agencies 250 154,075 4,650 1,819 6,249 15,395 23,313 20,632 55,815 26,202
Alabama 15 14,125 2,338 470 932 1,156 1,516 2,871 4,147 695
Alaska 3 238 21 6 0 0 0 0 211
Arizona 12 5,329 493 131 106 1,099 765 2,000 682 53
Arkansas 10 2,733 317 52 16 198 267 1,110 335 438
California 207 200,596 = 4,490 3,659 «4,729 «36,402 37,213 80,551 18,932 14,620
Colorado 28 10,976 1,588 965 48 2,422 931 2,618 1,897 507
Connecticut 23 12,363 1,095 124 315 2,120 2,008 4,975 895 831
Delaware 8 29,659 1,400 51 116 «14,521 8,580 3,368 135 1,488
District Of Columbia 7 2,563 477 473, 15 267 213 527 535, 56
Florida 42 9,397 795 487 127 1,751 736 2,704 2,088 709
Georgia 23 40,588 2,504 675 (3,652 827 8,233 16,433. 3,744 4,520
Guam 0 0 0 0) 0 0 0 0 0 0
Hawaii 2 1,261 0 7 26 487 415 258 B 25
Idaho 5 414 49 7 0) 27 15 94 26 196
Ilinois 61 62,347 4,849 1,351 794 19,315 14,069 17,246 = 3,101. ‘1,622
Indiana 28 19,243 2,478 529 457 7,604 1,343 4,707 1,602 523
Iowa 18 94,116 3,860 1,189 56 7,909 31,804 7,592 6,048 35,658
Kansas 20 40,957 1,938 1,009 53 7,435 =: 13,687 4,299 1,891 10,645
Kentucky 11 9,770 453 313 103 548 2,117 1,664 1,887 2,685
Louisiana 13 18,098 1,511 942 7,814 1,131 329 2,558 930 2,883
Maine 18 871 53 56 0 16 15, 392 299 40
Maryland 4 28,683 1,501 767 ‘1,289 5,907 3,358 7,891 1,880 6,090
Massachusetts 94 62,599 1,723 232 (2,867 16,830 14,021 «17,985 5,779 3,162
Michigan 41 42,188 4,204 1,288 828 7,084 3,242 8,170 4,691 12,681
Minnesota 30 41,636 = 4,022 1,455 77 7,419 13,315 5,797 8,744 807
Mississippi 7 2,198 664 46 96 16 298 289 600 189
Missouri 41 48,385 6,394 3,609 104 8,84013,1769,741 4,005 2,516

Montana 5 3,084 2 8 19 347 7 1,394 121,186
Nebraska 13 52,036 1,420 955 85 2,870 31,492 3,950 9,533 1,731
Nevada 3 3,078 139 0 522 1,111 0 145 4 1,157
New Hampshire 4 854 ln 95 0 26 165 273 260 24
New Jersey 63 127,558 7,307 598 3,415. 59,715 15,937 32,191 2,436 5,959
New Mexico 10 2,587 353 2 574 66 570 185 251 586
New York 131 73,546 6,120 1,496 = -2,003 20,065 16,250 12,754 3,360-=«:11,498
North Carolina 30 44,614 «3,921 1,048 1,958 13,724 2,744 13,449 4,441 3,329.
North Dakota 3 1,077 27 19 0 27 527 104 368 5
Ohio 62 68,792 4,790 787 374 25,825 4,154 «17,184 6,011 (49,667
Oklahoma 20 4568 1,053 550 135 327 158 844 670 831
Oregon 15 5,452 241 115 680 1,674 856 1,103 394 389
Pennsylvania 96. 90,611 6,905 1,730 1,288 36,220 5,663» 30,027 3,676 = 5,102
Puerto Rico 14 4,650 154 2 3,636 36 107 663 34 18
Rhode Island 11 2,401 65 105 106 78 128 250 832 837
South Carolina 7 7,279 303 238 303 701 954 808 279 (3,693
South Dakota 4 1,691 28 13 3 45 15 152 531,382
Tennessee 23 13,251 1,463 271 339 1,683 1,452 5,188 1,816 1,039
Texas 86 = 63,900 4911 1,277 3,328 7,670 6,042 23,762 8,530 8,380
Utah 9 5,835 357 118 2 1,116 436 2,157 517 1,132
Vermont 5 1,657 39 19 0 298 114 710 70 407
Virgin Islands 0 0 0 0 0 0 0 0 0) 0
Virginia 17 23,724 2,174 490 1,536 1,341 3,125 5,723 1,323 8,012
Washington 31 23,901 1,304 177 1,563, 8,820 4,098 3,529 819 3,591
West Virginia 5 1,654 92 91 0 611 348 144 107 261
Wisconsin 33 41,185 4,022 686 2,375 9,062 8613 10,569 4,020 1,838
Wyoming 3 256 22 8 0) 0 0 21 n 194

21


A joint project between USDA, the Federal Aviation

tion, and the carrier industry continued a
study begun in 1992 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 monitor-
ing ventilation, humidity, and temperature aboard
aircraft to benefit the well-being of animals transported
in cargo holds.

In FY 1994, REAC personnel worked closely with
representatives from several regulated entities to
enhance and update the Research Intern Preceptor
Program. Joint meetings between REAC and the regu-
lated industry were held to discuss the strengths and
weaknesses of the 6-week FY 1994 program and to plan
the FY 1995 training.

16

Public Information

APHIS issued 33 press releases concerning animal
welfare during FY 1994. These included reports of
animal welfare cases resolved, suspension of licenses,
and new regulations.

Public Correspondence

During FY 1994, APHIS received and responded to
numerous inquiries about animal welfare from indi-
vidual citizens and concerned groups. Also, APHIS
received correspondence referred through 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 1992-94.

Animal Welfare Correspondence Received by APHIS, FY
1992-94

Correspondence Correspondence
received/dispatched —_ received/dispatched
FY by headquarters by sector offices
1994 6,594 7,403
1993, 6,359 12,221
1992 16,424 NA

Freedom of Information Act (FOIA) Requests

In FY 1994, APHIS received 486 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 1992-94

FOIA
FY requests
1994 486
1993 482
1992 573



Registered Research Facilities and Total Sites
FY 1992-94
5,000 4 4,907
4,303
4,000 4 3,953
3,205 3,149 Oo 1992
3,000 a BB 1903
i994
2,000 +
1,827, 4,433 1,980
1,000 +
0
Number of Total sites Inspections
facllities
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 animals used in
research, testing, and experimentation, and indicates
whether pain-/distress-relieving drugs were adminis-
tered. 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 1994, 1,624,649 warmblooded animals were used
in research, testing, or experimentation. 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 1994, 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-/stress-relieving drugs would interfere with the
results of the research or testing. Tables 1 through 5 of
the appendix contain further details.

In FY 1994, there were 16 facilities (9 non-Federal and 7
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. The violating parties are subject to legal
action. In FY 1993, 153 facilities (74 non-Federal and 79
Federal) were in violation. The improvement in FY
1994 is largely due to a new system of collecting and
reporting annual report information. At the start of FY
1994, REAC implemented the Licensing Applications and
Registrant Information System in each of REAC’s four
sector offices. Decentralizing of the data-collection
system enables sector offices to keep closer watch on
the submitted annual reports, follow up on missing
reports, and obtain corrections more efficiently.


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 Animal Welfare regulations. Under the Secretary of
Agriculture's discretionary authority, common rats and
mice bred for laboratory use, and birds, are not cur-
rently regulated. The Appeals Court opinion said that
the plaintiffs lacked the constitutional standing to sue
and the statutory right to judicial review under the
Administrative Procedure 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 invali-
dated 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.

Appropriations for FY 1994

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

Appropriations for Animal Welfare, FY 1992-94

Annual appropriations

for animal welfare
FY enforcement
(Millions)
1994 $9.262
1993 $9.188
1992 $9.094



Legislative History

In 1966, Congress enacted Public Law 89-544, known as
the Laboratory Animal Welfare Act. This law regulated
dealers who handle dogs and cats, as well as laborato-
ries 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. In 1985, the Improved
Standards for Laboratory Animals Act was enacted as
part of the Food Security Act and further amended the
AWA. These amendments required the Secretary to
issue additional standards for the use of animals in
research.

Injunctive relief and pet protection provisions were
passed as part of the Food, Agriculture, Conservation,
and Trade Act of 1990. The injunctive relief provision
authorized the Secretary to seek an injunction to stop a
licensed entity from continuing to violate the AWA while
charges are pending. (Injunctions pertain to cases of
stolen animals or in cases where an animal's health is in
serious danger.) 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 Institu-
tional Animal Care and Use Committees at research
facilities; standards to ensure that pain and distress are
minimized, and that anesthetics, analgesics, and tranquil-
izers are used appropriately; and standards that require
a researcher to consider alternatives to painful proce-
dures. In order to implement the Improved Standards
for Laboratory Animals Act, the final regulations for Parts
1 and 2 of 9 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 require-

ments 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, Code of
Federal Regulations (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 regulatory rulemaking
process to revise 9 CFR, Chapter 1, Subchapter A, Part 3,
Subpart E (Marine Mammal Captive Care and Mainte-
nance).

A proposed rule for Swim-With-the-Dolphins program
was prepared in FY 1994 and published in January 1995.
(Swim-With-the-Dolphins is an interactive public display
program that allows direct contact of people and
dolphins under controlled conditions.)

Also in the rulemaking process during FY 1994 is the
proposed revision of 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.

A proposal to revise portions of 9 CFR, Subchapter A,
Part 2 pertaining to licensing and records was also
initiated in FY 1994. The final rule is expected to be
published in FY 1995.

17


Training

Two veterinary inspectors completed the 6-week
Research Intern Preceptor Program, a training program
developed to augment the interns’ knowledge of
research and improve inspection abilities. Participants
will use their newly acquired knowledge and skills to
instruct other inspectors.

The Preceptor Program was implemented with assis-
tance and cooperation from the American Society of
Laboratory Animal Practitioners, an organization com-
posed of veterinarians who work in research-related
fields. Since completing the 6-week Preceptor Program,
the FY 1994 participants have presented their insights at
a joint meeting with headquarters personnel, Society
members, and a representative from the Animal Welfare
Institute; planned the next Preceptor Program; given a
presentation at the “Public Responsibility in Medicine
and Research” annual conference; given training presen-
tations at sector work conferences; and prepared several
informational papers.

In FY 1994, the sector offices held a 1-week workshop
session to train and inform their REAC field inspectors,
conducted 2- or 3-day training sessions with all field
personnel participating a few at a time throughout the
year, and conducted training and informational telecon-
ferences on a regular basis.

Also in FY 1994, a team comprised of headquarters,
sector, and field personnel (AC and RE) conducted a
monthlong internal program review to evaluate the
quality of inspection and the level of compliance. The
team examined the administrative methods used by the
sector offices and how the field went about the day-to-
day enforcement of the AWA. Results from this program
review will be used to plan future training so that REAC
can continue to ensure the high quality of inspection
and increase compliance with the AWA.

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 administra-
tive law judge suspends or revokes the license in an
enforcement proceeding. The Department terminates
licenses that are not renewed within the time require-
ments 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\()]. Dealers pay between $30 and $750, and
exhibitors pay between $30 and $300 per year. These
fees are deposited as “miscellaneous receipts” in the
USS. Treasury.

The AWA also requires all carriers, intermediate han-
diers, 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 biotech-
nology 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 unan-
nounced inspection per year to determine compliance.
Listed below are the number of active and inactive
registered research facilities for FY 1992-94. Inactive
facilities are those where no regulated animals are kept
at the present time. Chart 2 shows the number of
inspections of research facilities for FY 1992-94.

Registered Research Facilities, FY 1992-94

Total Active Inactive Additional
FY sites facilities _ facilities sites
1994 2,992 1,380 56 1,556
1993 3,149 1,400 33 > 1,716
1992 3,205 1,473, 54 1,678



Appendix

Table 4. Animals Used in Research, With Pain or Distress—Drugs Used for Relief (FY 1994)

Number of Number of
registrants

Guinea Farm
Cats Primates pigs Hamsters = Rabbits animals Other

allanimals Dogs
Total United States 1,002 560,871 56,441 16,894 22,374 94,409 81,458 162,586 65,734 60,975
Total Research 866 507,692 52,666 15,465 19,069 89,639 75,060 146,530 56,700 52,563
Federal Agencies 136 53,179 3,775 1,429 3,305 4, 6,398 15,056 9,034 8,412
Alabama 10 5,648 1,557 270 34 42 286 2,337 543 579
Alaska 3 93 2 0) 0 0 0 0 0 72
Arizona 8 3,730 413 131 27 452 656 1,367 665 19
Arkansas 7 1,089 55 12 0 138 92 220 168 404
California 103 68,084 «2,999 1,943, 803 7,051 16,760 28,048 = 6,412 «4,068
Colorado 15 5,701 358 492 30 909 508 1,598 1,682 124
Connecticut 15 7,194 892 120 232 1,177 1,043 2,599 865 266
Delaware 5 6,415 554 31 58 2,527 600 1,895 57 693
District Of Columbia 5 2,218 468 473 7 130 53 496 535 56
Florida 14 5,137 480 352 34 765 159 1,800 1,347 200
Georgia 17 14,276 1,207 238 1,938 665 2,326 3,556 3,141 1,205
Hawaii 2 737 ) 5 8 0 415 257 43 9
Idaho 2 297 49 7 0 0 15 32 0 194
Ilinois 31 23,288 ~—2,699 623, 376 5,264 5,552 6,126 1,654 994
Indiana 13 7,104 1,883 257 42 1,447 922 1,770 535 248
Towa 11 12,681 ‘1,843 281 49 5,307 290 4,022 863 26
Kansas 12 7,734 461 59 53 700 699 2,332 241 (3,189
Kentucky 7 7,108 398 263 103 453 1,934 1,029 279 2,649
Louisiana 8 6,389 578 285 1,317 984 133 2,287 456 349
Maine 4 273 48 50 0 12 5 20 118 20
Maryland 27° «18,187 1,388 761 630 2,686 930 4616 1,848 5,328
Massachusetts 64 35,823 1,391 198 2,295 7,526 9,071 9,589 3,710 2,043
Michigan 23°«:12,957 1,864 905 476 1,176 1,468 2,929 532 3,607
Minnesota 19 15,769 3,014 326 39 4997 1,074 3,116 2,649 554
Mississippi 3 1712 625 B 83 4 296 258 317 86
Missouri 25° 13,800 1,393 569 65 2,879 3,485 2959 1,273, 1,177
Montana 4 677 2 4 0 0 0 408 16 247
Nebraska 12 4,500 269 562 36 372 267 1,265 649 1,080
Nevada 3 531 8 0 232 279 0 8 4 0)
New Hampshire 3 522 11 40 0 21 57 116 258 19
New Jersey 38 = 40,311 3,630 488 1,464 15,087 4,960 = :10,799 2,178 ~——1,705
New Mexico 7 1,336 172 0 189 31 379 32 251 282
New York 77 ~~ -27,732——-3,422 865 1,132 5,822 3,402 6,764 3,077 3,248
North Carolina 18 16,305 2,597 633 886 1,932 633 4496 2,993 2,135
North Dakota 2 315 27 19 0 25 0 35 209 0
Ohio 41 19,057 2,443 364 125 1,742 2,603 3,843 5,005 2,932
Oklahoma 12 2,276 603 321 135 310 70 544 127 166
Oregon 10 4,091 211 7 435 1,474 395 1,085 394 20
Pennsylvania 49 28,431 (2,733 964 693 9,833 3,507 5,561 1,944 3,196
Puerto Rico 6 2,473 154 2 2,136 16 68 45 34 18
Rhode Island 4 1,266 64 105 97 78 0 151 671 100
South Carolina 6 4,186 303 238 303, 589 312 508 269 1,664
South Dakota 2 910 20 0 3 31 att 143 37 665
Tennessee AL 7,697 1,193 225 183 636 576 2,342 1,712 830
Texas 50 28,785 4,039 692 1,029 2,628 3,681. :12,065 3,702 949
Utah 5 1,660 234 50 0 283 0 629 412 52
Vermont 2 1,211 37 7 0 155 0 536 - 69 397
Virginia 9 12,867 968 422 663 321 (2,653 3,412 928 3,500
Virgin Islands 0 0 0 0 0 0 0 0 0) 0
Washington 20 6,945 792 114 321 146 1,798 2,746 503 525
West Virginia 5 1,172 92 91 0 319 185 123 107 255
Wisconsin 15 8911 1,982 470 308 218 731 3,616 ‘1,207 379
Wyoming 2 81 22 8 0 0 0 0 11 40

23


Iture

Icu

imal Welfare

Enforcement

Fiscal Year 1994
Speaker of the House of Representatives

to the President of the Senate and the

Report of the Secretary of Agr’

An

-35-034

United States
Department of
Agriculture
Plant Health
Inspection

Animal and
Service

APHIS 41

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Ri i Yan
WS

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a NE REERS

NOES FST
es
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EON iy



Animal Exhibitors

Licensed exhibitors operate animal acts, camivals,
circuses, public zoos, roadside zoos, and marine mam-
mal displays. Most of the animals exhibited are species
Not native to the United States (e.g., nonhuman pri-
mates, hoof stock, carnivores, and wild rodents), but
exhibited species may also include domestic farm
animals and wild animals native to this country. During
FY 1994, 1,861 exhibitors held USDA licenses, and 35
were registered. 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 exhibi-
tors regulated during FY 1992-94. Chart 5 shows the
number of inspections for that same period.

Chart 5

Regulated Exhibitors, FY 1992-94

Exhibitors
Total Licensed Registered
FY sites facilities facilities
1994 12,268 1,861 35
1993 1,828 1,773 55
1992 1,672 1,618 . 54

‘This figure includes 372 additional sites managed by the licensed and
registered facilities; totals for prior fiscal years do not include additional sites.

Exhibitors
FY 1992-94

4000 —
3500 =
3000 +
2500 -+]
2000 4 1,896
1500 +
1000 +

500 —

Numberof Numberof Total sites Inspections
facilities additional sites

‘Numbers from Work-Based Budget System (WBBS) reports

O 1992
M1993
M1994

10


Animals Used in Research, Experiments,

Testing, and Teaching
FY 1994

1,800,000 7
1,600,000 +
1,400,000 —
1,200,000 +
1,000,000 —

800,000 +

600,000 —

400,000 +

180,667 202,300
101,080

200,000 +
32,610 55,113

o4

Cats Primates Dogs Farm Other Hamsters Guinea Rabbits Total

AnimalsAnimals Pigs

Numbers recorded from APHIS form 7023 as collected in APHIS' Licensing
‘Applications and Registrant Information System

Chart 3

Animals Experiencing Pain and/or Distress, Pain/Distress

Relief, or No Pain/Distress During Experiments
FY 1994
1,800,000

1,624,649

1,600,000

1,400,000
1,200,000
1,000,000
800,000
600,000
400,000

200,000

Pain and/or Pain and/or. += Nopain —Total animals
distress with distress and/or used in
nodrugs alleviated — distress. research

Numbers recorded from APHIS form 7023 as collected in APHIS' Licensing Applications and Registrant Information System

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 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 currently excluded from
these regulations.

Within USDA, APHIS is responsible for administering the
AWA. The REAC unit of APHIS has direct responsibility
for administration of this program. REAC was estab-
lished within APHIS in 1988 to administer and enforce
the AWA and the Horse Protection Act (HPA).

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 through sound enforcement and
strong educational efforts.

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 exper-
tise in the areas of laboratory animals and research
facilities, horse protection, exhibition animals, and
animal dealers.

In cooperation with APHIS’ Recruitment and Develop-
ment group, the AC staff provides program training for
AC personnel. The staff also cooperates with other
Federal agencies in enforcing the AWA and in maintain-
ing liaison and working relations with regulated profes-
sional 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 conceming
plants and animals. Compliance with APHIS’ regulations
is accomplished through comprehensive investigations,
sound enforcement, and strong educational efforts.

RE works closely with USDA’s Office of the General
Counsel (OGC) 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 an average of 850 violations of APHIS regula-
tions.

APHIS/REAC Field Activities

The AC program is regionally administered through
sector offices in Annapolis, MD, Sacramento, CA, Fort
Worth, TX, and Tampa, FL. Each sector office is respon-
sible for administering the AWA in the specific States
within its jurisdiction. Based in each sector office is a
supervisory veterinary medical officer who manages the
AC program and a supervisory investigator who man-
ages the RE program. Licensing, registration, and
investigation of complaints and alleged violations are
accomplished by APHIS/REAC administrative, technical,
and clerical employees also based at the sector offices.
The AC field force consists of veterinary medical officers
and animal care inspectors. RE field personnel are
investigators who are responsible for investigating
alleged compliance violations.

Animal Welfare Information Center

The Animal Welfare Information Center (AWIC) is part
of the National Agricultural Library at Beltsville, MD.
The Center was established in December 1986, as
mandated by the 1985 Improved Standards for Labora-
tory Animals Act. AWIC is specifically mandated 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 adminis-
tration and regulatory requirements of the AWA.

In FY 1994, the AWIC staff responded to approximately
3,000 requests for information and publications and
distributed about 45,000 publications, newsletters, and
promotional items. AWIC’s quarterly informational
newsletter was distributed to about 6,000 scientists and
other interested parties,


Appendix

Table 1. Number of Licensees and Registrants (FY 1994)

intermediate ‘Registered Licensed Animal exhibitors research
handlers carriers dealers Licensed Registered facilities
Total United States 246 109 4,238 1,861 35 1,380
Alabama 2 0 14 18 0 15
Alaska 2 5 0 14 0 3
Arizona 13 2 14 32 0 11
Arkansas 0 i) 132 20 0 10
California 23 9 48 210 2 179
Colorado 6 3 25 25 0 25
Connecticut 6 2 9 39 0 20
Delaware 0 i) 3 1 0 7
District of Columbia i) tt) 0 2 0 7
Florida 18 6 108 224 0 33
Georgia 15 2 27 31 2 20
Guam 1 0 0 1 0 0
Hawaii 25 4 6 14 0 2
Idaho 1 1 8 11 0 4
Mlinois 5 3 9 106 3 49
Indiana 3 3 80 53 0 26
Jowa 0 1 385 14 6 17
Kansas 0 1 428 20 0 20
Kentucky 2 0 7 12 1 9
Louisiana 1 0 25 13 0 14
Maine tt) 1 8 7 0 19
Maryland 7 1 i 17 1 38
Massachusetts 5 3 21 31 1 89
Michigan 1 0 45 53 7 36
Minnesota 1 1 104 42 2 26
Mississippi 0 0 4 12 0 6
Missouri 4 1 1,057 36 0 39
Montana 0 0 7 16 0 5
Nebraska 2 2 186 13 0 14
Nevada 4 1 6 47 0 3
New Hampshire 0 0 2 18 0 3
New Jersey 7 2 26 35 0 57
New Mexico 5 4 7 B 0 9
New York 12 il 57 105 0 122
North Carolina 2 0 30 25. 1 26
North Dakota 1 0 31 10 1 2
Ohio 6 2 69 50 4 55
Oklahoma 1 0 365 19 ty 7
Oregon 5 1 79 28 0 12
Pennsylvania 14 3 159 76 0 94
Puerto Rico 1 6 6 9 0 12
Rhode Island 0 0 0 7 0 11
South Carolina 0) 0 12 11 0 7
South Dakota 0 1) 83 16 2 4
Tennessee 3 2 24 21 0 20
Texas 17 8 313 140 0 86
Utah 4 4 4 9 0O 8
‘Vermont o 0 5 5 0 5
Virgin Islands 0 0 0 0 0 0
Virginia 9 3 14 29 1 14
Washington 7 8 25 24 0 32
West Virginia 0 0 12 9 0 5
Wisconsin 5 3 38 67 1 31
Wyoming 0 0 0 1 0 2

20


Report of 1994 Activities

Each year, the Secretary of Agriculture reports on
administration and enforcement activities of the Animal
Welfare Act (AWA) (7 U.S.C. 2131 et seq.) as required
by Section 25 of the AWA. Furthermore, Section 25
states that: “[tlhis 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) 1994, from
October 1, 1993, through September 30, 1994.

Chart 1

Summary

In FY 1994, 14,778 compliance inspections and
reinspections were conducted by the Animal and Plant
Health Inspection Service’s (APHIS) Regulatory Enforce-
ment and Animal Care (REAC),field personnel at 10,705
facilities and sites. Several important categories of
inspection work that do not meet the definition of
compliance inspections were excluded. These inspec-
tions include prelicensing (1,894), inspections at auction
markets (114), and attempted inspections (2,275). The
total of all categories of inspection for FY 1994 was
19,061.

The AWA requires that APHIS perform at least one
compliance inspection per year on 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 1994 was 1.38. The number of field
inspectors (veterinary medical officers and animal care
inspectors) at the end of FY 1994 was 79, 9 fewer than
in FY 1993.

Chart 1 shows inspection numbers for all categories for
FY 1992-94.

FY 1992-94

Dealer

Research
Exhibitor
Intransit handlers
intransit carriers
Prelicensing
Auction markets

Attempted

Animal Welfare Program Inspections

T T T T y 1
0 2,000 4,000 6,000 8,000 10,000

‘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. Reinspec-
tions are mandatory followup inspections conducted on
those facilities that were found to have one or more
violations that might endanger the health or well-being
of the animal.

In FY 1994, APHIS conducted 14,778 inspections for
compliance, 1,894 prelicensing/preregistration inspec-
tions, 114 auction market inspections, and 2,275
attempted inspections. In addition, there were 2,354
searches for unlicensed/unregistered facilities and 642
inspections due to public complaints.

Prelicensing/Preregistration Inspections

Before a license is granted to dealer or exhibitor appli-
cants, their facilities must pass a prelicensing inspection.
Prelicensing inspections are done to determine if a
facility is in compliance with the AWA before it is
granted a license.

For registration purposes, a preinspection is not
required. However, many facilities request REAC consul-
tation. Whenever possible, REAC honors these requests.

Prelicensing/Preregistration Inspections, FY 1992-94

Preregistration
Prelicensing inspections
inspections of of research
FY Total Dealers — Exhibitors facilities
1994 1,894 1,361 491 42
1993 2,260 1,568 645 47
1992 3,022 3,022 NA NA

Inspections of Animals in Transit

APHIS/REAC conducts unannounced inspections of
registered carriers and intermediate handlers for animals
in transit. Registrants are required to refuse to ship
animals if the shipper does not meet regulatory stan-
dards. REAC inspectors perform unannounced inspec-
tions at airports and intermediate handler facilities to
ensure humane care and handling of animals in transit.
Inspectors choose times when animals are most likely to
be present for inspections.

Intransit Inspections, FY 1992-94

Intransit
FY inspections
1994 1,697
1993 2,754
1992 2,379
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
number of compliance inspections (including
reinspections) for dealers, exhibitors, research facilities,
carriers, and intermediate handlers for FY 1992-94. The
numbers do not include inspections for prelicensing,
auction market, or attempted inspections.

Inspections for Compliance, FY 1992-94

Inspections for

FY compliance
1994 114,778
1993 717,593
1992 217,764

*The decrease in the total number of inspections performed in FY 1994 is due
in part to the continued erosion of all other dollars available for program
delivery. Salary and benefit costs continue to rise as the Animal Care program
is responsible for absorbing increases in locality and regular pay.

“hese figures do not include cartier inspections.

13


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 and for making contributions to policy
development. It also serves as a forum for information
exchange and regulation development.

REAC works closely with the Animal Welfare Informa-
tion Center, a part of the National Agricultural Library.
In FY 1994, REAC staff personnel presented four training
sessions on alternative methods of research at the
Center's training sessions and contributed two articles
on regulatory issues to the AWIC quarterly newsletter.

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

Other Activities

Animal welfare regulations governing captive marine
mammals are undergoing review and revision. An
Advanced Notice of Proposed Rulemaking announcing
the proposed revision was published in August 1993. A
liaison committee from REAC, the National Marine
Fisheries Service, the Fish and Wildlife Service, and the
Marine Mammal Commission was formed to monitor the
rulemaking process and address other common marine
mammal issues.

Also in the rulemaking process is a revision of the
regulations concerning the humane care, treatment, and
transportation of farm animals used for nonagricultural
activities regulated by the AWA. To ensure that the
regulation addresses all concerns, REAC has conducted
two public meetings with participants from the general
public, the regulated industry, animal welfare organiza-
tions, and Federal agencies.

APHIS’ AC personnel actively participate in organiza-
tions 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 Associa-
tion for Aquatic Animal Medicine, the 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.
REAC AC personnel from headquarters and the field are
often invited by Federal agencies and nongovernmental
organizations to give presentations concerning animal
welfare.

The AC staff published four papers during FY 1994.
Two papers, “Zoo Animal Welfare” and “The Federal
Regulation of Experimental Animal Use in the United
States,” were submitted to the Office International des
Epizooties (OIE) and published in OIE’s Scientific and
Technical Review. “Marine Mammal Welfare: The Role
of USDA, APHIS” and “Future Development of USDA
Standards for Farm Animals Under the Authorities of the
Animal Welfare Act” were published by the Animal
Welfare Information Center.

During FY 1994, REAC continued working with member
institutions of the AZA toward successful completion of
the first Exhibition Animal Intern Program, a program
that trained two field inspection personnel. -This intern-
ship was revised in FY 1994 and will be implemented in
the revised form in FY 1995.

15


Contents

Report of 1994 Activities 2

Summary 2

Animal Welfare Accomplishments for FY 1994 3

Legislative History

Regulations 4

Appropriations for FY 1994 5

Organization and Administration of the AWA 6
APHIS/REAC Headquarters Activities 6
APHIS/REAC Field Activities 6
Animal Welfare Information Center (AWIC) 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 of Animals in Transit 13
Compliance Inspections 13

Complaints 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

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 Used for Relief (FY 1994)

Number of Number of Guinea Farm
registrants allanimals Dogs Cats Primates pigs Hamsters Rabbits = animals Other
Total United States 198 179,187 2,584 920 719 54,225 62,727 10626 7,066 40,320
Total Research 178 172,514 2,262 917 355 51,694 60,613 10,315 6,368 39,990
Federal Agencies 20 6,673 322 3 364 2,531 2,114 311 698 330
Alabama 1 36 24 oO 0 0 0 12 0 0
Alaska 0 0 0 0 0 0 0 0 0 to)
Arizona 0 0 0 0 0 0 0 0 0 0
Arkansas 1 581 142 0 0 0 0 439 0 0
California 7 5,978 128 0 21 4,261 343, 1,100 105 20
Colorado 6 872 15 0 0 818 0 19 0 20
Connecticut 4 1,888 36 0 8 18 0 1,814 12 0
Delaware 3 6,592 19 0 0 6,445, 0 128 0 0
District of Columbia 0 0 0 0 0 0 0 0 0 0
Florida 4 212 t) 0 21 86 0 105 0 0
Georgia 1 909 105 34 0 0 660 0 75 35
Idaho 0 0 0 to) 0 0 ty 0 i) 0
Illinois 8 3,068 80 36 ty 1,952 652 172 176 0
Indiana 3 1,657 45 0 5 1,506 40 6 0 55
Towa 3 63,394 729 275 0 56 26,947 4 0 35,373
Kansas 5 11,413 ti) 0 0 5,362 4,000 365 63 1,623
Kentucky 0O 0 0 0 0 0 tt) 0 0 0
Louisiana 0 0 0 0 0 tv) 0 0 0 0
Main 0 0 0 0 0 0 0 0 0 0
Maryland 5 701 7 0 2 680 0 12 0 0
Massachusetts 13 1,797 7 0 24 951 642 38 125 0
Michigan 6 3,494 209 161 10 990 560 339 1,220 5
Minnesota 4 11,969 179 337 0 i 7,303 142 3,997 0
Mississippi 1 25 0 0 13 0 0 12 0 0
Missouri 7 9,902 39 0 7 2,944 6,512 27 0 373
Montana 3 373 0 0 0 260 0 30 83 0
Nebraska 3 11,158 57 0 0 16 11,084 0 1 0
Nevada tt) 0 0 i) 0 1) 0 0 0 0
New Hampshire 0 0 0 0 0 0 0 0 0 0
New Jersey 16 7,313 2 0 73 5,749 0 1,468 21 0
New Mexico 1 23 12 0 ul 0 0 0 i) 0
New York 12 2,947 120 0 30 217 1,507 16 0 1,057
North Carolina 8 4917 108 44 i) 3,176 0 1,044 420 125
North Dakota i) 0 0 0 0 0 0 0 0 0
Ohio 9 3,999 48 0 38 2,829 280 537 0 267
Oklahoma 2 529 0 0 0 0 0 0 29 500
Oregon 0 0 0 0 0 0 0 0 0 0
Pennsylvania 15 5,638 7 30 0 5,108 19 380 0 24
Puerto Rico 0 oO 0 0 0 0 0 0 0 0
Rhode Island 1 35 0 0 0 v0) 0 0 35 0
South Dakota 1 223 0 oO 0 0 0 0 6 217
Tennessee 1 1,389 0 0 0 0 0 1,389 0 0
Texas 6 340 0 i) 15 45 64 216 0 0
Utah 0 0 0 0 i) 0 tt) O 0 0
Vermont 0 0 0 0 0 0 0 0 0 0
Virginia 1 75 0 0 75 0 i) O- 0 0
Virgin Islands 0 ) 0 0 0 0 0 0 0 0
Washington 3 8,281 64 0 2 8,167 0 31 0 v7
West Virginia 0 0 0 0 0 0 0 0 0 0
Wisconsin 3 775 0 0 0 47 0 460 c¢) 268
Wyoming 1 11 0 ti) 0 0 0 0 0 il

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 communi-
cation of program information (braille, large print,
audiotape, etc.) should contact the USDA Office of
Communications at (202) 720-5881 (voice) or

(202) 720-7808 (TDD).

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

Issued June 1995


Carriers and Intermediate Handlers

Carriers registered with USDA include airlines, motor
freight lines, railroads, and other shipping lines. Regis-
tered 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.

The number of registered carriers and intermediate
handlers for FY 1992-94 is listed in the next tabulation.
The number of carrier and intermediate handler inspec-
tions for FY 1992-94 is shown on chart 6.

Chart 6

Registered Carriers and Intermediate Handlers,
FY 1992-94

Registered Intermediate
FY carriers/sites handlers/sites
1994 109/613 246/276
1993 129/NA 280/NA
1992 136/NA 282/NA

FY 1992-94
3,000

2,754
2,500 4
2,000 +

1,500 +

1,000 +

Carrier
facilities inspections

Carrier Handler Handler

Total
sites inspections it

intransit
Inspections

Numbers from Work-Based Budget System (WBBS) reports

Carriers and Intermediate Handlers

1,697

1 1902
HE 1993
HE 1994

11


Complaints

APHIS/REAC investigates complaints about licensed or
registered facilities to ensure that regulated animals are
receiving proper care. APHIS searches continually for
dealers, exhibitors, or research facilities that are unli-
censed or unregistered. The number of searches for
unlicensed or unregistered facilities and the number of
complaints investigated during FY 1992-94 are tabulated
next.

Complaints Investigated and Searches Made,
FY 1992-94

FY Complaints Searches
1994 642 2,354
1993 689 2,984
1992 589 2,490

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 in a
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, revoca-
tions, cease-and-desist orders, civil penalties, or
combinations of these penalties through administrative
procedures.

Numbers of Investigations Conducted and Disposition,
FY 1992-94

Cases Investigated and Reviewed

Submitted to

Regulatory Submitted
Enforcement for formal
FY Cases staff prosecution
1994 719 147 91
1993 921 92 69
1992 980 105 107
Cases Resolved
Administrative
Official Stipulations law judges’
FY warnings offered/settled decisions
1994 389 108/ 78 44
1993 597 181/141 29
1992 616 169/115 63
Sanctions Imposed
Revocations,
Fines imposed suspensions,
by administrative Fines imposed and
FY law judges by stipulation —disqualifications
1994 $296,000 $49,900 23
1993 $97,750 $67,500 13
1992 $236,700 $49,750 20