Appendix

Table 4
ANIMALS USED IN EXPERIMENTATION WITH PAIN - NO DRUGS (FY 1989)
NUMBER NUMBER
OF OF ALL GUINEA WILD

STATES REGISTRANT ANIMALS DOGS —-CATS_-«- PRIMATES = PIGS: HAMSTERS = RABBITS ANIMALS
TOTAL U.S. 129 116,587 2,708 143 -1,742 49,835 36,091 21,717 4,351
ALABAMA 0 0 0 0 0 ty) 0 0 0
ALASKA 0 0 0 0 0 0 0 0 0
‘ARIZONA 0 0 ) 0 0 0 C) C) 0
ARKANSAS 1 48 ) 0 t) 30 18 ) 0
CALIFORNIA z 7,130 165 0 5 4,147 1,481 802 530
COLORADO 0 0 ) 0 C) 0 0 0 0
“CONNECTICUT 5 1,747 440 8 80 172 0 1,047 0
DELAWARE 3 8,042 20 22 0 7,704 0 296 )
FLORIDA 0 0 0 0 0 0 ty) 0 0
GEORGIA 1 26 0 0 0 0 26 0 0
HAWAII 1 662 0 0 0 0 0 662 0
IDAHO 0 0 0 0 0 0 0 0 0
ILLINOIS 2 650 0 0 0 490 0 160 0
INDIANA 3 191 0 0 0 0 0 191 0
1OWA 2 2,276 60 0 0 267 1,385 564 0
KANSAS 3 27,931 0 0 0 7,846 18,973 1,112 0
KENTUCKY 0 0 0 0 0 0 0 0 0
LOUISIANA 1 518 0 0 518 Cy) 0 0 0
MAINE 0 0 0 0 0 0 0 0 )
MARYLAND 2 1,010 0 0 0 52 0 34 924
MASSACHUSETTS 4 205 0 18 C) 40 124 0 23
MICHIGAN 4 780 0 0 0 630 0 138 12
MINNESOTA 2 2,276 0 0 0 1,620 0 656 0
MISSISSIPPI 1 36 ) 0 0 0 ) 36 0
MISSOURI 3 11,170 24 0 0 598 10,380 0 168
MONTANA 0 0 0 0 0 0 0 0 0
NEBRASKA 0 0 0 0 0 0 0 0 0
NEVADA 0 0 ) 0 0 0 0 0 0
NEW HAMPSHIRE 0 0 0 0 0 0 ) ) 0
NEW JERSEY 4 5,053 961 0 192 2,052 760 1,088 C)
NEW MEXICO 1 22 0 ty) 0 10 0 12 0
NEW YORK 10 3,751 352 34 0 2,434 300 631 0
NORTH CAROLINA 2 91 0 16 16 0 0 959 0
NORTH DAKOTA 0 0 ) 0 0 0 0 ) 0
OHIO 8 5,660 85 0 300 1,268 0 © 4,007 0
OKLAHOMA 0 0 0 0 0 0 C) 0 0
OREGON 10 ) r) 0 r) 0 0 0 0
PENNSYLVANIA 0 5,406 0 0 0 3,396 0 1,765 245
RHODE ISLAND 1 0 0 0 0 0 0 0 0
SOUTH CAROLINA 0 204 ) ) 0 0 0 204 C)
SOUTH DAKOTA 2 0 9 0 0 0 0 0 )
TENNESSEE 6 4,130 0 4 0 0 0 4,126 0
TEXAS 0 1,375 37 24 3 302 188 801 0
UTAH 0 ) 0 0 0 0 0 0 0
VERMONT 3 1,809 0 0 0 0 Cy) 0 0
VIRGINIA 3 7,544 319 14 90 895 ) 12 479
WASHINGTON 0 0 0 0 17,345 198 0 0
WEST VIRGINIA 3 2,682 0 0 C) C) ry) 0 0
WISCONSIN 0 0 0 0 0 0 0 950 1,732
WYOMING Cy) 0 0 0 0 0 0 0 0
PUERTO RICO C) 0 Cy) C) 0 C) r) 0 0
VIRGIN ISLANDS Cy) Cy) Cy) C) 0 0 C)
DISTRICT OF COLUMBIA ) ) 0 0 ) t) 0 0 0
FEDERAL AGENCIES 21 13,262 225 3 537 8,537 2,258 1,464 238


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2. REAC Headquarters Activities

The Assistant Deputy Administrator for Animal Care
supervises the inspection field force and the Director of
the Animal Care Staff. The Animal Care Staff (ACS)
provides technical support and assists in developing
and providing program direction, goals, priorities,
policies, procedures, and regulations in order to carry
out the program in an effective and efficient manner.
The ACS serves as the source and location of the
Agency’s expertise in the areas of Laboratory Animals
and Research Facilities, Horse Protection, Exhibitors,
and Animal Dealers.

The Animal Care Staff, in cooperation with the Recruit-
ment and Development Staff, provides program training
for animal care personnel. The ACS is also responsible
for cooperating with other Federal agencies in enforc-
ing the Act, and for maintaining liaison and working
relations with regulated professional groups, industry
organizations, humane groups, and other concerned
groups and individuals.

The Regulatory Enforcement Staff (RES) has the en-
forcement function for APHIS programs. This includes
investigation of violations of the Animal Welfare Act,
regulations, and standards; the documentation of
evidence; and the development of alleged violation
cases for prosecution. The RES works closely with the
Office of the General Counsel in the prosecution of
violators.

3. Training

During FY 1989, the first year of APHIS’ reorganization,
the Recruitment and Development staff along with the
Animal Care staff of REAC developed and presented
five formal training courses for about 65 field person-
nel, These courses were held at various locations
across the country.

A basic course in Animal Welfare that included policies,
procedures, and regulations was presented three times.
This course served as a backbone of information for
new employees and updated experienced inspectors.
Following this course, additional specialized and in-
depth courses were developed in areas such as animal
transportation and zoo animal husbandry, biology, and
medicine. The advanced courses are scheduled for FY
90.

Because of the need for qualified individuals to con-
duct inspections of marine mammal facilities, a select
group of Animal Care veterinarians were given an in-
depth training course in marine mammal husbandry,
biology, and medicine. The instructors included
experts from various Federal and State agencies, as well
as from the private sector.

An additional orientation training course in Animal
Welfare was given to a class of 25 veterinarians partici-

6

pating in the 1989 Public Veterinary Practice Career
(PVPC) program. Many of these trainees have ex-
pressed an interest in joining REAC.

The following training courses were given in FY 1989:

PVPC Animal Care Course October, 1988
Marine Mammal Course November, 1988
Basic Animal Welfare Course March, 1989
Basic Animal Welfare Course April, 1989
Basic Animal Welfare Course = May, 1989

In addition to formal courses, numerous work sessions
were held at the sector level to refine inspection
procedures and clarify regulations. Many Animal Care
personnel also attended and participated in local,
regional, and national meetings addressing issues of
animal care.

Steps were taken during FY 1989 to develop advanced,
in-depth training in specialized fields of study. Extern-
ship training programs in laboratory animal medicine
and zoo animal medicine are proposed to be imple-
mented in FY 1990.

Licensing and Registration

‘The AWA regulations require the licensing of animal
dealers, exhibitors, and the operators of animal auction
sales where animals regulated under the AWA are sold.
Licenses are valid unless the licensee terminates the
license voluntarily, fails to renew the license, or the
license is suspended or revoked by an Administrative
Law Judge. 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 sus-
pended by an Administrative Law Judge after a notice
and opportunity for a hearing.

The fees for dealers and exhibitors are determined by a
graduated schedule listed in the regulations (9 CFR).
Dealers pay between $5 and $500, and exhibitors pay
$5 to $100. These fees are deposited as “miscellaneous
receipts” with the U.S. Treasury and do not directly
support the APHIS budget.

1. Research Facilities

Research facilities include hospitals, colleges, universi-
ties, diagnostic laboratories, and many private firms in
the pharmaceutical and biotechnology industry. The
list includes both Federal and non-Federal research
facilities.

All Federal and non-Federal research facilities are
required to comply with the AWA regulations. Federal
facilities are not registered or inspected under the AWA;
however, agency heads (Federal) are responsible for
maintaining compliance with the AWA regulations and
standards. Non-Federal research facilities receive


Appendix

Table 5
ANIMALS USED IN EXPERIMENTATION NO PAIN - NO DRUGS (FY 1989)
NUMBER NUMBER
oF OF ALL GUINEA WILD

STATES REGISTRANT ANIMALS DOGS = CATS-—«- PRIMATES PIGS HAMSTERS RABBITS ANIMALS
TOTAL U.S. 666 1,019,350 53,356 20,127 29,370 292,281 234,925 280, 162 109,129
ALABAMA 10 4,496 248 141 0 247 3,152 665 4B
ALASKA 2 294 66 4% 16 12 54 54 78
ARIZONA ‘6 2,568 0 238 160 2,104 0 42 24
ARKANSAS 4 385 70 26 0 202 1 8 2
CALIFORNIA 68 57,991 885 2,166 1,721 14,133 4,837 31,721 2,528
COLORADO 8 =—-33,450 1,738 578 2 2,608 «23,454 5,018 52
CONNECTICUT 12 12,133 27 256 167 2,269 2,682 6, 072 390
DELAWARE 4 32,981 926 26 140 25,310 3,223 3,352 4
FLORIDA 13 15,275 1,109 359 129 991 1,333 7,406 3,948
GEORGIA 9 8,635 1,211 213 66 253 6,180 712 0
HAWAIT 1 442 0 2 0 0 0 440 0
IDAHO 2 116 ) 0 0 110 0 ) 6
ILLINOIS 23 52,622 1,733 191 291 19,319 9,131 21,607 350
INDIANA 10 12,138 1,738 15 246 2,621 4,193 2,238 1,087
1OWA 7 34,962 1,329 871 0 5,316 23,465 3,094 887
KANSAS 16 12,468 al 609 0 1,677 4,804 2,436 1,971
KENTUCKY 3 2,441 232 18 1 259 659 1,250 22
LOUISIANA 10 6,727 271 972 «3,797 155 512 676 34h
MAINE 6 1,319 0 0 0 42 81 1,016 180
MARYLAND 8 7,657 24 9 72 1,422 4,838 1,032 170
MASSACHUSETTS. 52 51,656 371 29 372 9,190 23,974 16,217 1,503
MICHIGAN 16 22,858 3,628 408 611 9,062 2,261 6,398 490
MINNESOTA 11 24,346 3,322 580 207,434 «5,184 7, 180 626
MISSISSIPPI 3 446 1 0 4 304 8 119 0
MISSOURI 15 19,623 3,908 2,511 18 4,950 1,372 6,424 440
MONTANA 2 2,008 0 0 0 878 4 526 600
NEBRASKA 4 46,302, 1,974 1,106 0 5,912 31,576 5,080 654
NEVADA 1 697 0 0 0 379 90 163 65
NEW HAMPSHIRE 3 595 105 324 0 0 3 “9 16
NEW JERSEY 29° 78,592 «5,575 16 1,136 36,776 11,900 21,265 1,946
NEW MEXICO 6 2,468 853 4 465 62 849 %6 129
NEW YORK 41 76,830 3,403 850 1,492 44,025 5,465 19,757 1,838
NORTH CAROLINA 17 38,669 4,948 2,637 2,809 14,615 1,416 9,920 2,324
NORTH DAKOTA 1 104 0 14 0 80 10 0 0
OHIO 28 «= 38,330 1,990 575 895 15,698 2,904 15,772 496
OKLAHOMA 7 2,503 541 50 158 383 992 379 0
‘OREGON 1 4 0 0 0 2 2 0 0
PENNSYLVANIA 47 «57,621 2,810 616 1,396 25,183 4,299 21,780 1,537
RHODE ISLAND 3 560 0 4 18 10 4 324 200
SOUTH CAROLINA 2 2,592 399 145 30 124 959 779 156
‘SOUTH DAKOTA 2 592 % 24 0 0 392 80 )
TENNESSEE 12 14,253 7 234 277—«3,472 6,752 2,519 52
TEXAS 42 54,638 878 212 2,711 3,630 3,113, 12,854 31,240
UTAH 3 2,608 30 24 Cc) 4 740 1,810 C)
VERMONT 2 94 0 12 0 0 30 12 40
VIRGINIA 14 15,463 1,033 167 1,266 «2,978 1,743 3,145 5, 131
WASHINGTON 12 36,409 356 380 1,709 492 1,148 . 1,607 30,717
WEST VIRGINIA 3 1,222 0 0 0 398 580 116 128
WISCONSIN 13 54,532. 3,100 1,234 «= 4,888 = 7,692 12,870 18,994 5, 754
WYOMING 2 1,630 40 24 0 504 954 86 22
PUERTO RICO 5 995 0 0 639 t) 3 353 0
VIRGIN ISLANDS 0 0 Cy) 0 0 0 0 C) 0
DISTRICT OF COLUMBIA 2 382 0 0 8 123 2 ) 249
FEDERAL AGENCIES 43 70,628 190 1,145 1,640 18,871 20,727 17,363 10,692

U.S. Government Printing Office : 1990 - 261-484/20125


Appendix

Table 2
ANIMALS USED IN EXPERIMENTATION (FY 1989)
NUMBER NUMBER
OF OF ALL GUINEA WILD

‘STATES REGISTRANT ANIMALS boGs CATS PRIMATES PIGS HAMSTERS RABBITS ANIMALS
TOTAL U.S. 4,006 1,754,456 156,443 50,812 51,688 481,712 389,062 471,037 153,722
ALABAMA 13° 11,801 2,389 510 44 405 3,767 6,643 43
ALASKA 2 348 66 1% 16 42 78 54 78
ARIZONA 9 5,400 1,096 238 288 2,106 0 1,636 38
ARKANSAS 5 4,538 249 7 0 527 119 564 2
CALIFORNIA 107 120,874 7,314 «4,745 4,306 26,761 17,954 57,432 4,362
COLORADO 15 (37,868 «2,952 1,888 4 2,788 24,094 6,090 52
CONNECTICUT 16 32,665 3,598 619 389 4,460 5,769 10,012 7,818
DELAWARE 5 79,648 1,922 187 166 41,530 28,193 6,046 1,604
FLORIDA 35 26,006 2,668 830 210 1,184 «2,693 11,380 5,039
GEORGIA 15 26,761 2,885 636 123 373 17,721 5,015 8
HAWAII 4 2,278 0 12 0 t) 840 1,266 180
IDAHO 3 202 0 0 0 110 30 0 62
ILLINOIS 36 68,444 «5,717 1,106 746 21,587 11,359 26,592 1,337
INDIANA 17 18,998 + 4,380 426 268 «3,023 5,445 4,309 1, 147
TOWA 10 48,234 4,502 -2,556 149 7,357 25,037 7,382 1,251
KANSAS 22 41,891 1,606 717 5 9,709 23,850 3,964 2,040
KENTUCKY 5 3,882 680 431 1 289 659 1,800 22
LOUISIANA 14 19,472 1,362 1,226 4,791 698 854 2,157 384
MAINE 10 1,771 0 0 66 811,094 530
MARYLAND 12 38,500 2,411 914 980 17,283 6,698 8,241 1,973
MASSACHUSETTS 63 80,254 3,721 800 1,257 16,603 29,422 26,355 2,096
MICHIGAN 32 43,897 8,435 2,420 1,316 12,608 += 5,207 12,594 1,319
WINNESOTA 17 52,278 10,814 1,522 96 18,354 6,060 12,902 2,530
MISSISSIPPI 3 901 382 42 4 304 8 161 0
MISSOURI 19 41,902 5,835 2,836 198 8,077 14,497 9,582 877
MONTANA 2 2,906 0 104 0 1,076 4 1,422 600
NEBRASKA 7 = 48,058 += -2,014 1, 108 0 5,912 31,576 6,796 654
NEVADA 1 852 155 0 0 379 90 163 65
NEW HAMPSHIRE 4 1,299 209 735 0 0 18 290 27
NEW JERSEY 39 146,255 12,870 639 «3,732 72,570 16,882 31,131 6,431
NEW MEXICO 7 3,621 1,232 18 7 86 932 154 488
NEW YORK 64 139,317 10,824 2,990 2,661 68,984 16,392 33,412 4,054
WORTH CAROLINA 22 60,510 12,374 4,160 3,648 15,114 2,039 19,765 3,410
WORTH DAKOTA 2 386 42 42 0 80 40 212 0
onIO 47 68,022-7,961 2,398 += '1,363 22,748 + 5,463 27,302 807
OKLAHOMA B 5,390 1,201 309 27% 390 1,296 1,916 4
OREGON 8 416 2 43 0 22 2 341 6
PENNSYLVANIA 75 «491,030 9,292 4,381 1,805 33,585 6,295 30,928 4, 744
RHODE ISLAND 7 1,612 26 198 18 10 4 996 360
SOUTH CAROLINA 5 8,421 1,076 820 42 146 3,967 2,126 248
SOUTH DAKOTA 2 1,240 210 48 0 32 784 166 0
TENNESSEE 13 25,058 1,681 380 410 4,829 8,855 8,851 52
TEXAS 61 82,862 5,341 1,141 5,668 5,121 7,135 22,717 35,739
UTAH 5 5,208 785 216 12 526 780 2,889 0
VERHONT 4 3,708 210 168 2% 796 400 2,052 60
VIRGINIA 16 23,609 2,803 637 1,632 «4,558 2,121 6,186 5,672
WASHINGTON 19 53,138 1,754 628 2,347 8,149 5,976 3,507 30,777
WEST VIRGINIA 4 2,610 134 164 0 936 580 526 272
WISCONSIN 17 67,868 «5,698 += 1,824 «5,278 8, 822_15,210 22,574 8, 462
WYOMING 2 1,984 120 44 0 508 1,082 88 142
PUERTO RICO 7 2,176 0 11,819 0 3 353 0
VIRGIN ISLANDS 0 t) 0 0 0 0 0 0 o
DISTRICT OF COLUMBIA 7 2,282 727 849 8 127 149 24 398

FEDERAL AGENCIES 58 = 110,807 2,740 1,995 4,881 31,968 30,562 23,203 15,458


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unannounced inspections on a regular basis to deter-
mine compliance with regulations and standards. Listed
below are the number of registered research facilities
for FY 1987-1989. Chast 1 shows the number of
inspections of these facilities for FY 1987-1989.

2. Reports from Research Facilities

An Annual Report is required to be submitted by each
research facility registered under the AWA and each
Federal research facility. The report lists the number
and types of animals used in research, testing, and
experimentation and whether pain relieving drugs were
administered. If pain relief was not administered, the
report must include justification that the use of pain
relieving drugs would have interfered with the research
or experiment. The report must also include certifica-
tion by the attending veterinarian or the Institutional
Animal Care Committee that the type and amount of
anesthetic, analgesic, and tranquilizing drugs used on
animals during actual research or testing was appropri-
ate to relieve pain and distress.

In FY 1989, 1,754,456 warmblooded animals were used
in research, testing, or experimentation. This number
excludes birds, rats and mice, and farm animals. Chart
2 shows the number and species of animals used in
research for FY 1989. Chart 3 shows the number and
percent of animals used in research that did not experi-
ence pain or distress, those that received drugs for the
relief of pain, and those that did not receive drugs for
pain relief because of interference with research or test
results.

3. Animal Exhibitors

Licensed exhibitors operate animal acts, carnivals,
circuses, public zoos, roadside zoos, and marine
mammal exhibits. Most of the animals exhibited are
wild or exotic species such as lions and other large cats,
hoof stock, and bears. During FY 1989, 1,446 exhibitors
were licensed and 58 were registered. Licensed exhib-
itors are those who either obtain or dispose of their
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 exhibitors regulated during FY
1987-1989. Chart 4 shows the number of inspections
for that same period.

FY Registered and.
1989 1,504
1988 1,475
1987 1,411

4. Carriers and Intermediate Handlers

Carriers registered with the U.S. Department of Agricul-
ture (USDA) include airlines, motor freight lines,
railroads, and other shipping lines. Registered interme-
diate handlers include ground freight handlers.

x

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 the past 3 years is listed below. The
number of carrier and intermediate handler inspections
is shown on Chart 5.

FY Registered Intermediate
1989 145 282
1988 143 275
1987 140 250

5. Licensed Dealers

Persons selling animals for research or teaching, wild
animals for exhibition, or pet animals at the wholesale
level must be licensed with the USDA. There are two
classes of licensees. The A class licensees are breeders
and deal only in animals which they breed and raise.
The B class licensees include brokers, bunchers, and
operators of auction sales. The number of licensed
dealers for FY 1987 through FY 1989 are listed below.
The number of dealer inspections for the same period is
shown on Chart 6.

FY Dealers ClassA Class B
Got Dealers Dealers

1989 4,415 3,259 1,156

1988 4,233
1987 3,811
Inspections

Because license applicants are required by law to be in
full compliance with regulations and standards before a
license is issued, APHIS performs prelicense inspections
to ensure that an applicant is in compliance. After a
license has been issued, APHIS performs unannounced
inspections periodically to ensure continued compli-
ance. APHIS conducted 1,854 prelicensing inspections
and 11,056 compliance inspections and reinspections in
FY 1989.


Appendix
Table 3

NUMBER:
OF

STATES REGISTRANT

TOTAL U.S.

ALABAMA
ALASKA
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
CONNECTICUT
DELAWARE
FLORIDA
GEORGIA
HAWAIT

IDAHO
ILLINOIS
INDIANA

TOWA

KANSAS
KENTUCKY
LOUISIANA
MAINE
MARYLAND:
MASSACHUSETTS
MICHIGAN
MINNESOTA
MISSISSIPPI
MISSOURT
MONTANA
NEBRASKA
NEVADA

NEW HAMPSHIRE
NEW JERSEY
NEW MEXICO.
NEW YORK
NORTH CAROLINA
NORTH DAKOTA
OHIO
OKLAHOMA
OREGON
PENNSYLVANIA
RHODE ISLAND
SOUTH CAROLINA
SOUTH DAKOTA
TENNESSEE
TEXAS

UTAH

VERMONT
VIRGINIA
WASHINGTON
WEST VIRGINIA
WISCONSIN
WYOMING
PUERTO RICO
VIRGIN ISLANDS

DISTRICT OF COLUMBIA
FEDERAL AGENCIES

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ANIMALS USED IN EXPERIMENTATION WITH PAIN - WITH DRUGS (FY 1989)

NUMBER
OF ALL
ANIMALS:

619,219

7,305
54
2,832
1,105
35,753
4,418
18,785
38,625
8,729
18,100
1,176
86
15,172
6,669
10,996
1,492
1,441
4,227
452
29,833
28,393
20,259
25,656
419
11,109
898
1,756
155
704
60,610
1,131
58,736
20,850
282
26,032
2,887
412
28,003
1,052
5,625
648
6,675
26,849
2,600
3,616
6,337
9,185
1,388
10,654
354

1,88
0

1,900
26,917

Docs
100,379

2,141
0
1,096
179
6,264
1,214

2,86
976
1,559
1,674
0

0
3,986
2,642
3,113
635
448
1,091
0
2,387
3,350
4,807
7,492
371
1,903
0

40
155
104

6,336
379
7,069
7,426
42
5 ,B66
660

2
6,482
26
675
114
734
4,406
755
210
1,451
1,398
134
2,598
80

0

0

727
2,325

CATS
30,542

369
0

o

51
2,579
1,310
355
139
471
423
10

0
15
a
1,685
108
413
254
0
815
753
2,012
942
42
325
104

2

0

431
625

2,106
1,507
28
1,823
259
3,765
194
675
26
142
905
192
156
456
248
164
590
20

B49
847

PRIMATES
20,576

bh
oO
128
0
2,580
2

142
26
81
57

0
0

455
22

149

5
oO
476
0

908

885

703
76

GUINEA
PIGS

139,596

158

33,762
%
22,525
499

0
5,782
7

20
5,006
0

20
32
1,357
1,189
522
79%
685
312
538
1,130
4

0

0

4
4,560

HAMSTERS
118,026

615
2

0

100
11,636
640
3,087
24,970
1,360
14,515
840
30
2,228
1,252
187

B

0

342

0
1,860
5,326
2,946
876

0
2,745
0

0

0

15
4,222
83
10,627
623

2,559
304

0
1,996
0

3,008

392
2, 103
3,836

370
378
4,630
0

2,340
128

147
7,577

RABBITS
169, 158
3,978
0

1,596
480
24,909
1,072
2,893
2,398
3,97%
4,303
146

0
4,825
1,880
3,724
416
550
1,481
78
7,175
10,138
6,058
5,066
6

3,158
596
1,714
0

11
8,798

46
13,026
8,886
212
7,523
1,537
34
7,383
672
1,143
86
2,206
9,062
1,079
2,040
3,029
1,900
408
2,630
2
0
0

2%
4,376

WILO
ANIMALS

40,262

C)

0

4

0
1,304
0

7,428
1,600
1,091

180

987

69

40
350
879
570
817

1,904
0

269

13
4,685

359
2,216
1,086

311
2,962
160
92
4,499
)

20
62

144
976
120

149
4,528


10

Chart 3

Animals Used in Experiments
Involving Pain

Animal Welfare Act

1989

Re
oO
re}

No Pain or Distress

Pain Alleviated

Pain - No Drugs Used



Animal Welfare Enforcement

Fiscal Year 1989

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

United States Animal and Regulatory
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Agriculture Inspection Animal Care

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3. In procedures that may involve pain, investigators
must consider alternative procedures and a veterinarian
must be consulted in the planning of such procedures.

4, Adequate presurgical and postsurgical care must be
provided.

Because of the exceptionally large number of com-
ments received on Part 3 for the exercise of dogs and
the psychological well being of nonhuman primates, a
great deal of time was required to catalog, read, and
analyze the comments. It is anticipated that subsection
A, dealing with the exercise of dogs, and subsection D,
dealing with the provision of an environment adequate
to promote the psychological well-being of nonhuman
primates will be reproposed some time in FY 1990.

Appropriation for FY 1989

The FY 1989 Animal Welfare Program was appropriated
$6.19 million. Table 3 indicates the AWA appropria-
tions for FY 1989 and the preceding two fiscal years,
plus the adjusted appropriation.

Table 3
Appropriation for Animal Welfare in FY 1987-1989.
FY Appropriation Appropriation
Available to
APHIS
1989 $6.19M $6.19 M
1988 $6.19M $6.19 M
1987 $5.88M $5.13 M
Legislation

In 1966, Congress enacted Public Law 89-655, known as
the Animal Welfare Act. This law regulated dealers
who handled dogs and cats, as well as laboratories that
used dogs, cats, hamsters, guinea pigs, rabbits, and
nonhuman primates in research.

The first amendment to the Animal Welfare Act was
passed in 1970 (P.L. 91-579). This amendment ex-
tended the regulations to cover other warmblooded
animals when used in research, exhibition, or the
wholesale pet trade.

An amendment in 1976 (P.L. 94-279) prohibited animal
fighting ventures, and regulated the commercial trans-
portation of animals. In 1985, the Improved Standards
for Laboratory Animals Act was enacted as part of the
Food Security Act (P.L. 99-198). Included in these
amendments were more stringent standards for the use
of animals in research.

Regulations

The USDA is charged with developing and implement-
ing regulations to support the AWA. These regulations,
which appear in Title 9, Code of Federal Regulations,
Parts 1, 2, and 3, provide minimum standards for care
and handling of animals. Included are minimum
requirements for handling, housing, feeding, sanitation,
ventilation, shelter from extreme weather, veterinary
care, and separation of species if necessary. Birds as
well as rats and mice bred for laboratory use are
currently excluded from these regulations.

Organization for Implementation of the
Act

Within the USDA, APHIS is responsible for administer-
ing the AWA. As a result of a reorganization of APHIS
in FY 1989, administration of the AWA became the
direct responsibility of a new APHIS unit, Regulatory
Enforcement and Animal Care (REAC).

The Animal Care component of REAC, a unit whose
mission is solely animal care, allows APHIS to give
animal care better attention and visibility. The people
who work in Animal Care have chosen to devote 100%
of their work time to this important function. These
people are better qualified, and have a better profes-
sional support system and communication network than
was possible under the previous structure. All of these
individuals are better trained, with some having special-
ized interest and expertise in such areas as the care of
laboratory animals, zoo animals, and marine mammals.

The Regulatory Enforcement component of REAC
brings together the professional investigators of the
Agency into a single unit. Regulatory Enforcement is an
integral part of an overall approach to achieving
compliance with APHIS regulations through sound
enforcement and strong educational efforts.

1. REAC Field Activities

The 1988 organization of REAC created five sector
offices strategically located throughout the United
States. Each sector office has a Supervisory Veterinary
Medical Officer heading the Animal Care unit and a
Sector Supervisor heading the Regulatory Enforcement
unit. Licensing, registration, inspections, and investiga-
tion of complaints and alleged violations are accom-
plished by a field force of REAC employees directed by
the Sector Supervisors and Animal Care Specialists who
are based in the sector offices. The field force consists
of Veterinary Medical Officers, Animal Health Techni-
cians, and Investigators who perform the compliance
inspections and investigations.

Sector offices are located in: Annapolis, Maryland;
Minneapolis, Minnesota; Sacramento, California, Fort
Wont, Texas; and Tampa, Florida.


APHIS Animal Care is also represented in the United
States Animal Health Association (USAHA) and has
members on both the Animal Welfare Committee and
the Zoological Committee of this organization. These
committees have a broad membership that represents
the public’s concern in animal welfare.

Additionally, APHIS represents the Department of
Agriculture on the Interagency Research Animal Com-
mittee (IRAC), a committee that is composed of Federal
Agencies involved in the care and use of animals in
biomedical research. The IRAC is responsible for
interagency coordination of animal matters and for
making contributions to policy development. This
committee also serves as a forum for information
exchange and regulation development.

APHIS also maintains close working relationships with
the following Federal Agencies in regard to regulation
and enforcement of the Act: National Institutes of
Health, Health and Human Services (HHS); Food and
Drug Administration, HHS; Department of Defense;
Veterans Administration; Marine Mammal Commission;
National Marine Fisheries Service, Department of
Commerce; and U.S. Fish and Wildlife Service, Depart-
ment of the Interior.

Public Information
APHIS issued 33 press releases on animal welfare

during FY 1989. These included reports of animal
welfare compliance and horse protection compliance.

16

1. Public Correspondence

During FY 1989, APHIS received inquiries about animal
welfare from individual citizens and concerned groups.
Also, APHIS received correspondence referred through
the Office of the President and members of Congress.
Other Federal Agencies refer animal welfare concerns to
APHIS for appropriate responses. Listed below are the
number of animal welfare inquiries received by APHIS
Executive Correspondence during FY 1987-1989.

1989 64,913

1988 52,078
1987 22,112

2. Freedom of Information Act Requests

Numerous requests for material and records available
through the Freedom of Information Act are received by
APHIS. In FY 1989, APHIS received requests that
resulted in the release of 31,833 sheets of paper. Listed
below are the number of FOIA requests received for the
past three fiscal years.

1989 $50

1988 498
1987 384
Legistative Recommendations

‘The Department has no recommendations for amending
the AWA at this time.


Appendix

Table 1
NUMBER OF ACTIVE LICENSEES AND REGISTRANTS, (FY 1989)
INTERMEDIATE ANIMAL EXHIBITORS REGISTERED
HANDLERS/ — LICENSED RESEARCH
STATES CARRIERS DEALERS LICENSED REGISTERED FACILITIES
TOTAL U.S. 391 4,082 1,342 46 1,328
ALABAMA 2 an) Ww 0 14
ALASKA 2 0 6 0 4
ARIZONA 8 7 14 0 10
ARKANSAS 2 163 18 0 8
CALIFORNIA 35 9 173 1 181
COLORADO 10 “i 7 2 21
CONNECTICUT 7 7 18 0 19
DELAWARE ) 1 1 0 7
FLORIDA 32 7? 171 2 44
GEORGIA 20 33 7 4 21
HAWAIT 29 3 15 Q 4
IDAHO J 5 9 0 5
ILLINOIS 12 115 61 3 31
INDIANA 4 66 26 0 23
TOWA 1 436 16 3 7
KANSAS 1 603 20 2 3
KENTUCKY 4 7 4 2 6
LOUISIANA 1 21 13 ) "
MAINE 1 7 6 1 13
MARYLAND 4 9 15 0 3]
MASSACHUSETTS: 6 25 31 1 80
MICHIGAN 2 4h 46 4 43
MINNESOTA 6 83 20 2 3
MISSISSIPPI 1 " "1 0 4
MISSOURI 16 915 26 C) 37
MONTANA 0 8 6 0 3
NEBRASKA 2 19% 13 C) 12
NEVADA 2 3 32 ty)
NEW HAMPSHIRE 1 6 9 oO 4
NEW JERSEY 6 20 26 1 64
NEW MEXICO 5 4 6 1 8
NEW YORK 3 58 65 0 9
NORTH CAROLINA 9 24 3 6 27
NORTH DAKOTA 1 16 5 0 3
OHIO 4 66 46 5 59
OKLAHOMA 2 303 13 1 4
OREGON 2 63 19 0 18
PENNSYLVANIA 13 143 63 C) 95
RHODE ISLAND 0 1 6 0 "1
SOUTH CAROLINA 9 W 1% C) 8
SOUTH DAKOTA C) 59 6 0 3
TENNESSEE 2 21 5 C) 16
TEXAS 37 192 90 2 76
UTAH 8 5 7 0 "
VERMONT 0 7 2 0 3
VIRGINIA 7 20 20 0 18
WASHINGTON % 3 19 t) 26
WEST VIRGINIA t) 3 8 C) 5
WISCONSIN 12 33 58 1 23
WYOMING C) 0 1 1 4
PUERTO RICO 6 8 9 1 8
VIRGIN ISLANDS 7 C) t) 0 0
DISTRICT OF COLUMBIA 1 o 0 i) 7

FEDERAL AGENCIES


Report of 1989 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 Act. Section 25 also states that,
“This 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) 1989, which
began October 1, 1988, and ended September 30, 1989.

Summary

1, Inspections

U.S. Department of Agriculture (USDA) officials con-
ducted 11,056 inspections at 7,497 facilities (9,052 sites)
licensed or registered under the AWA. These figures do
not include pre-licensing inspections or inspections of
carriers. The average rate of inspections per site during
FY 1989 was 1.22 (Table 1). This is a decrease from FY
1988 Inspections. During FY 89, a new unit was
created within APHIS, the Regulatory Enforcement and
Animal Care unit. The Animal Care section is devoted
entirely to achieving compliance with the Animal
Welfare Act (also the Horse Protection Act). Now that
this unit is established and fully staffed, we expect the
inspection activities to increase. During the upcoming
fiscal year, we will increase both the frequency and,
more importantly, the quality of inspections.

Table 1

Number of inspections made during FY 1987-89.

FY Total Total Average
Facilities Inspections Inspection
Gites)" Rate (per site)

1989 7,497 11,056 1.22
9,052)

1988 7,434 15,296 1.73
(8,861)

1987 6,872 14,675 1.78
(8,244)

“Research facilities have an average of 2.2 animal sites per facility.

2. Violations

When APHIS inspectors discover noncompliant items
during an inspection, the necessary corrective measures
are discussed with the owner/manager or official of the
facility.

If violations are flagrant or recurrent, APHIS takes
appropriate action. The following table shows the
resolution of these actions for FY 1987 through FY
1989.

Table 2
Resolution of cases submitted to OGC for FY 1987
through FY 1989.

FY Cases Suspension, Letters of
Submitted to Revocation, Waring,
Office of Cease and Warning
General Counsel Desist Orders Notices

1989 79 55 298

1988 184 179 314

1987 145 44 328

3. Regulations

The Improved Standards for Laboratory Animals Act
was passed in December 1985 as part of the Food
Security Act of 1985 (Public Law 99-198). The amend-
ments include a requirement that standards be issued
providing for the exercise of dogs and for an appropri-
ate environment to promote the psychological well-
being of nonhuman primates. In addition, research
facilities that are registered under the AWA are required
to establish an Institutional Animal Care and Use
Committee to approve animal research protocols and to
assess the research facility's animal program, facilities,
and procedures.

On March 31, 1987, proposed regulations for Parts 1
and 2 (9 CFR) were published in the Federal Register to
implement the 1985 amendments to the Act. Regula-
tions for the exercise of dogs and the psychological
well-being of nonhuman primates were not included at
that time. In all, 7,856 comments were received on this
proposal. Parts 1 and 2 were rewritten and published
in the Federal Register on March 15, 1989, along with
the first proposed standards in Part 3 for the exercise of
dogs and the psychological well-being of nonhuman
primates. A total of 5,582 comments were received on
Parts 1 and 2, and 10,686 comments were received on
the proposed standards for the exercise of dogs and the
psychological well-being of nonhuman primates in Part
3. The regulations contained in Parts 1 and 2 were
published in final form on August 31, 1989 and became
effective on October 30, 1989. Research facilities will
pe allowed one year to implement the required changes
mandated by Parts 1 and 2. These newly implemented
regulations include the following requirements:

1. The establishment of an Institutional Animal Care
and Use Committee in each registered research facility
to oversee the facility’s program of animal use.

2. Standards to ensure the proper use of anesthetics,
analgesics, and tranquilizers when necessary.



Contents

Report of 1989 Activities 4
Summary 4
1. Inspections 4
2. Violations 4
3. Regulations 4
Appropriation for FY 1989 5
Legislation 5
Regulations 5
Organization for Implementation
of the Act 5
1. REAC Field Activities 5
2. REAC Headquarters Activities 6
3. Training 6
Licensing and Registration 6
1, Research Facilities 6
2. Reports from Research Facilities 7
3. Animal Exhibitors 7
4. Carriers and Intermediate Handlers 7
5. Licensed Dealers 7
Inspections 7
1. Prelicensing Inspections 14
2. Compliance Inspections 14
3. Inspections of Animals in Transit 14
Complaints 14
Investigations 14
Other Activities 14
Public Information 16
1, Public Correspondence 16
2. Freedom of Information Act Requests 16
Legislative Recommendations 16
Glossary of Terms 17

Appendix

Table 1. Number of active licensees and
registrants

Table 2, Animals used in experimentation

Table 3. Animals used in experimentation
with pain - with drugs

Table 4. Animals used in experimentation
with pain - no drugs

Table 5. Animals used in experimentation
no pain - no drugs

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


1. Prelicensing Inspections

The number of prelicensing inspections performed by
APHIS for FY 1987 through FY 1989 is listed below.

1989: 1,854

1988 1,913
1987 1,543

2, Compliance Inspections

APHIS routinely makes unannounced inspections of all
licensees and registrants to ascertain compliance with
the regulations. If noncompliant items are disclosed
when inspections are made, APHIS establishes a
deadline for correction of these items. Inspectors are
required to make a reinspection following the deadline
date for correction. If the noncompliant items are still
uncorrected, APHIS documents them for possible legal
action. Listed below are the number of compliance
inspections for dealers, exhibitors, research facilities,
and intermediate handlers for FY 1987-1989. Chart 7
shows the number of compliance inspections for each

type of facility.

1989 11,056

1988 13,383
1987 11,349

3. Inspections of Animals in Transit

APHIS conducts unannounced inspections of registered
carriers and intermediate handlers for animals in transit.
Registrants are required to refuse shipments of animals
if the shipment does not meet regulatory standards.
APHIS inspectors perform inspections to ensure hu-
mane care and handling of animals in transit.

APHIS inspections of intermediate handlers include
ensuring that animals are provided care when there is a
delay in transit. The number of inspections for 1989 is
down because REAC was not fully staffed during most
of the year. Airports and intermediate handlers have
received selected inspections based on the volume of
animals handled, but are not viewed as the program’s
first priority. Thus, when faced with a critical shortage
of professional investigators in FY 1989, the decision
was made to temporarily focus most of the program's
existing resources on continued inspection and resolu-
tion of complaints and on inspection of licensees and
registrants, at the expense of air terminal inspections.
We expect the frequency of air terminal inspections to
increase in FY 1990 with improved staffing levels. The
number of inspections of in-transit shipments is listed
below for FY 1987 through FY 1989.

1989 980

1988 2,643
1987 1,948

14

Complaints

APHIS attaches top priority to complaints about li-
censed or registered facilities in order to ensure regu-
lated animals are receiving proper care. Searches are
also continually being made for unlicensed/unregis-
tered persons.

The number of searches made and the complaints
investigated during FY 1987 through FY 1989 are
indicated below.

Complaints and Searches

FY ‘Complaints Searches
1989 962 1,138
1988 951 1,320
1987 694 661
Investigations

APHIS personnel conduct reviews and investigate
alleged violations. When investigation reveals apparent
violations, a case report and documentation are submit-
ted to the Regulatory Enforcement Staff. If, after careful
review, a case appears to warrant prosecution, it is
submitted to the Office of General Counsel. OGC
reviews these cases and pursues prosecution through
the Administrative Law procedures.

License suspension or revocation, cease and desist
orders, civil penalties, or a combination of these may be
used to settle a case through Administrative Law
procedures. Official Notices of Warning are also used
to close some lesser cases. Investigation activities for
FY 1987 through FY 1989 are listed below.

rr of Alleged _ Sbaiaed ee ecision
Violations and/or Orders

1989 568 122 15

1988 639 411 33

1987 685 322 44

Other Activities

APHIS Animal Care personnel maintain an active role in
participating with organizations concerned with the
humane care of animals.

APHIS is represented on committees of the American
Association of Laboratory Animal Science (AALAS) and
participates in its annual meetings. APHIS also main-
tains an active role in the American Association of
Zoological Parks and Aquariums (AAZPA) and the
International Association of Aquatic Animal Medicine


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 Act, regulations or
standards that has been documented as existing but
has not been legally concluded.

Complaints - (1) A civil or administrative complaint:
Informs the alleged violator of the AWA allegations
charged against him/her. (2) A public complaint is
information received from citizens, humane groups, or
others concerning possible violations of the Act,
regulations or standards at animal facilities.

Compitance - Compliance is meeting all the regulatory
requirements set forth in the AWA regulations and
standards.

Compliance Inspection - An inspection completed, after
licensing or registration, to determine the facility's
compliance with the AWA regulations and standards.

Enforcement - Enforcing the AWA regulations and
standards by developing alleged violation cases and
taking action in the form of Letters of Warning, warn-
ing tickets, administrative complaints, hearings, trials,
and other legal procedures and methods to attain com-
pliance.

Investigation - Inquiries and examinations of certain
allegation(s) that a person or facility is not complying
with the AWA, regulations, or standards.

Prelicensing Inspection - Inspection made, after applica-
tion for license has been submitted, to ascertain com-
pliance with the AWA regulations and standards prior
to licensing the facility.

Reinspections - Inspections made following a compli-
ance inspection in which one or more violations were
documented.

Searches - Activity associated with finding unlicensed/
unregistered persons or animal facilities.

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

Violation - An area or item, at a registered or licensed
facility, alleged by the APHIS inspector as not being in
-compliance with the regulations or standards of the
AWA.

17