1

United States

Department of

Agriculture

Animal and

Plant Health

Inspection

Service

APHIS 41–35–071

Report of the Secretary of Agriculture

to the President of the Senate and

the Speaker of the House of Representatives

Animal Welfare Report

Fiscal Year 2000
2

The U.S. Department of

Agriculture (USDA) prohibits

discrimination in all its programs

and activities on the basis of race,

color, national origin, sex, religion,

age, disability, political beliefs,

sexual orientation, or marital or

family status. (Not all prohibited

bases apply to all programs.)

Persons with disabilities who

require alternative means for

communication of program

information (Braille, large print,

audiotape, etc.) should contact

USDA’s TARGET Center at (202)

720–2600 (voice and TDD).

To file a complaint of

discrimination, write USDA,

Director, Office of Civil Rights,

Room 326–W, Whitten Building,

1400 Independence Avenue, SW,

Washington, DC 20250–9410 or

call (202) 720–5964 (voice and

TDD). USDA is an equal

opportunity provider and

employer.

Each year, the Secretary of

Agriculture reports on

administration and enforcement

activities under the Animal Welfare

Act (AWA) (7 U.S.C. 2131 et seq.)

as required by Section 25 of the

AWA. The present report covers

fiscal year (FY) 2000, from

October 1, 1999, through

September 30, 2000.

July 2001
3

CONTENTS

Report of Fiscal Year 2000 Activities 1

Performance-Based Management

The AWA: A Legislative and Regulatory History 2

The Law

The Regulations

How USDA Administers the Law 5

Animal Care

AC Appropriations for FY 2000

Investigative and Enforcement Services

Animal Welfare Information Center

Inspection Highlights 7

Risk-Based Inspection System

Class B Dealer Tracebacks Continue Sucess

Complaints and Searches

After the Inspection

New Database Up and Running

Inspections by Business Type 11

Animal Dealers

Animal Exhibitors

Carriers and Intermediate Handlers

Research Facilities

Reports From Research Facilities

Enforcement Highlights 16

APHIS’ Enforcement Strategy Yields Results

Stronger Cases Through Digital Photography

Maximum Fines Raised Due to Inflation

The High-Priority Designation

The Results Are in the Numbers

Public Outreach 19

Industry Report in Fourth Year of Updating Stakeholders

Safe Pet Travel Video Flies the Airways

Automated Telephone Service Assists Travelers

AC Makes Web Site Accessible to the Visually Impaired

Dealer Inspection Guide Available on the Web

AC Holds Public Meeting on Training and Handling

Assisting the Media

Answering Public Inquiries

E-FOIA Access to AC Data

Liaison With Other Federal Agencies

Cooperating and Communicating With Stakeholders

i
4

Regulatory and Policy Initiatives 24

Groups Continue To Push for Coverage of Rats,

Mice, and Birds

Pain Categorization Change and Definition for “Distress”

Considered

More Options for Alternatives to Painful Procedures

Comments Sought on Proposed Licensing Changes

Comments Reviewed on Environmental Enrichment Policy

Guidelines Adopted for Nonagricultural Use of Farm Animals

More Comments Received on Training and Handling of Dangerous

Animals

Perimeter Fencing Rule Completed

Work Progresses on Swim-With-the-Dolphins Rule

Policies Completed

Other Policy Initiatives

Other Initiatives

Glossary of Terms 29

Appendix 31

Table 1. Number of Licensees and Registrants by Facilities

and Number of Sites (FY 2000)

Table 2. Animals Used in Research (FY 2000)

Table 3. Animals Used in Research, No Pain or Distress—

No Drugs Needed for Relief (FY 2000)

Table 4. Animals Used in Research, With Pain or Distress—

With Drugs Used for Relief (FY 2000)

Table 5. Animals Used in Research, With Pain or Distress—

No Drugs Used for Relief (FY 2000)

Table 6. Animals Used by Research From the First Reporting

Year (1973) to the Present

Attachments

Animal Welfare: List of Licensed Dealers

Animal Welfare: List of Registered Research Facilities

Animal Welfare: List of Licensed Exhibitors and

Registered Exhibitors

Animal Welfare: List of Registered Carriers and

Intermediate Handlers
5

Each year, the Secretary of Agriculture reports

on the administration and enforcement of the

Animal Welfare Act (AWA) (7 U.S.C. 2131 et

seq.) as required by Section 25 of the Act.

This report covers such activities for fiscal

year (FY) 2000, October 1, 1999, through

September 30, 2000.

REPORT OF FISCAL YEAR 2000 ACTIVITIES

Under the mandate of the Government

Performance and Results Act, the Animal Care

(AC) unit of the U.S. Department of

Agriculture’s (USDA) Animal and Plant Health

Inspection Service (APHIS) has taken an active

role in measuring its effectiveness in meeting

the provisions of the AWA. The primary

measure used in FY 2000 was the percentage

of facilities in compliance with regulations.

Based on data available as of November 30,

2000, the overall level of facility compliance

Performance-Based

Management

remained about the same, 59 percent in FY

1999 and 58 percent in FY 2000. This change

reflects a slight downward trend in compliance

figures, mainly in the dealer class. The

appearance of lessened compliance may be a

result of increased oversight through the

Enhanced Enforcement Team, which

documented more noncompliances at this type

of facility.

In addition to identifying facilities and

reporting on investigations and inspections as

required by Section 25 of the Act, this report

provides information on related enforcement

and regulatory initiatives. This report and the

data and findings in it are not released outside

the Federal Government until it has been made

public by Congress.

The AC management team continued

development of several additional measures of

program effectiveness. A customer

satisfaction survey was conducted for

regulated facilities in February 1997 and

established a baseline level of satisfaction.

Before repeating the facility survey, AC plans

to survey animal protection organizations.
6

THE AWA: A LEGISLATIVE AND REGULATORY HISTORY

In 1966, Congress enacted Public Law (P.L.)

89–544, known as the Laboratory Animal

Welfare Act. This law regulated dealers who

handle dogs and cats, as well as laboratories

that use dogs, cats, hamsters, guinea pigs,

rabbits, or 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 AWA.

This amendment authorized the Secretary of

Agriculture to regulate other warmblooded

animals when used in research, exhibition, or

the wholesale pet trade.

An amendment in 1976 (P.L. 94–279)

prohibited most animal fighting ventures and

regulated the commercial transportation of

animals. Another amendment was added to

the AWA in 1985 as the Improved Standards

for Laboratory Animals Act, which was part of

the Food Security Act. These amendments

required the Secretary to issue additional

standards for the use of animals in research.

In 1990, provisions concerning injunctive

relief and pet protection were added to the

AWA. These two provisions were included in

the Food, Agriculture, Conservation and Trade

Act of 1990. The injunctive relief provision

authorizes the Secretary to seek an injunction

to stop certain licensed entities from

continuing to violate the AWA while charges

are pending. (Injunctions are used in cases of

stolen animals and where an animal's health is

in serious danger or may become

endangered.)

The pet protection provision mandated that the

Secretary issue additional regulations

pertaining to random-source dogs and cats.

(Random source means “dogs and cats

obtained from animal pounds or shelters,

auction sales, or from any person who did not

breed and raise them on his or her premises.”)

The Law

In April 2000, a Department of Transportation

(DOT) law was enacted requiring air carriers to

report incidents involving animals. The

Wendell H. Ford Aviation Investment and

Reform Act for the 21st Century (P.L. 106–

181, also known as the Federal Aviation

Administration [FAA] reauthorization bill)

requires carriers to submit monthly reports to

the Secretary of Transportation regarding any

incidents involving the loss, injury, or death of

an animal (as defined by the Secretary of

Transportation). The Transportation and

Agriculture secretaries will enter into a

memorandum of understanding (MOU) to

share this information. The law also calls for

data based on these incidents to be published

as the FAA does for other consumer

complaints and incident data.

Provisions of the law also include improving

training for air carrier employees concerning

the air transport of animals and notifying

passengers of the conditions under which the

animals are traveling. For example, under the

new law, airline personnel would explain the

difference in climate between the cargo hold,

where the animal is traveling, and the

passenger cabin. USDA expects to be working

with DOT on developing the MOU, related

regulations, and educational materials.
7

USDA is charged with developing and

implementing regulations to support the AWA.

These regulations, which appear in Title 9,

Code of Federal Regulations (CFR), Chapter 1,

Subchapter A, Parts 1–3, require the licensing

of animal dealers, exhibitors, and operators of

animal auction sales where animals regulated

under the AWA are sold. (Birds and laboratory

rats and mice are not currently included in the

regulations.)

Licenses are valid unless the licensee

terminates the license voluntarily or fails to

renew it or an administrative law judge

suspends or revokes the license in an

enforcement proceeding. Licensing fees for

dealers and exhibitors are determined by a

graduated schedule listed in the regulations

[9 CFR 2.6(5)(c)]. Dealers pay between $30

and $750, and exhibitors pay between $30

and $300 per year. These fees are deposited

as miscellaneous receipts in the U.S. Treasury.

The regulations also require all carriers,

intermediate handlers, and exhibitors not

subject to licensing and all non-Federal

research facilities using animals to register

with the Secretary of Agriculture. There is no

charge to register. Table 1 in the appendix

provides a list of the number of licensees and

registrants for each State, Guam, Puerto Rico,

and the U.S. Virgin Islands.

All licensees and registrants must provide

their animals with care that meets or exceeds

USDA's standards for veterinary care and

animal husbandry. These standards include

requirements for handling, housing, feeding,

sanitation, ventilation, shelter from extreme

weather, veterinary care, and separation of

species when necessary.

Over the years, USDA has made substantive

The Regulations

changes to the AWA regulations. In the late

1980's, USDA amended the requirements

pertaining to the use of animals in research.

In response to the Improved Standards for

Laboratory Animals Act, these amendments

established standards for the exercise of dogs

and psychological well-being of nonhuman

primates. The amendments also set standards

to minimize the pain and distress of animals;

ensure the proper use of anesthetics,

analgesics, and tranquilizers; and require

researchers to consider alternatives to painful

procedures.

To ensure that these standards are met, the

amendments require each research facility to

establish an Institutional Animal Care and Use

Committee to approve and monitor all

research conducted at the institution. USDA

published the final regulations for Parts 1 and

2 of Title 9, CFR, Chapter 1, Subchapter A, on

August 31, 1989; those for Part 3 were

published on February 15, 1991.

USDA published revised standards for guinea

pigs, hamsters, and rabbits in final form in the

Federal Register on July 15, 1990. These

standards increased the minimum space

requirements for cages and provided

additional requirements to protect animals

being transported via common carrier.

In 1993, USDA established holding periods for

animals in pounds and shelters and

certification requirements to ensure that

animals have been held for the duration of

these periods. The regulations were published

as a final rule on July 22, 1993, and became

effective August 23, 1993.

In 1997, USDA published a final rule that

removed the provisions allowing the

permanent tethering of dogs as a means of

primary enclosure. The temporary tethering of

dogs for health or other reasons is permitted if

licensees obtain approval from their AC

inspector or regional office. The final rule on

this matter went into effect September 12,

1997.
8

In FY 1998, USDA published new standards

pertaining to wire flooring for dogs and cats

and revised the AWA temperature

requirements, which included clarification of

climatic conditions for housing facilities,

conveyances used for transportation, and

holding areas at airport terminal facilities.

In February 2000, USDA adopted two guides

that facilities can use to clarify accepted

standards of care for agricultural animals used

in nonagricultural research or exhibition.

USDA began regulating horses used for

biomedical or other nonagricultural research

and other farm animals used for biomedical or

other nonagricultural research or for

nonagricultural exhibition in June 1990.

Previously, the standards in Title 9, CFR,

Chapter 1, Subchapter A, Part 3, Subpart F,

applied. In 1999, USDA requested and

received comments on adopting in the

regulations two existing guides on standards

as they apply to the handling, care, treatment,

and transportation of these animals. The

guides are the “Guide for the Care and Use of

Agricultural Research and Teaching,”

published by the Federation of American

Societies of Food and Science, and the “Guide

for the Care and Use of Laboratory Animals,”

published by the Institute of Laboratory Animal

Research. More information on the guides can

be found in AC Policy 29, posted on the web

at www.aphis.usda.gov/ac/policy/policy29.pdf

In July 1999, USDA published its final

decision to not change the definition of “retail

pet store” but did decide to license wholesale

dealers of hunting, security, and breeding

dogs, based on a petition and several

thousand comments received during the

rulemaking process.

During FY 2000, USDA developed and

published several more rules, policies, and

other tools to provide more consistent

interpretation of the requirements through

clarifications and details:

• In October 1999, AC published its final rule

on perimeter fencing requirements for

animals covered under the AWA, with

emphasis on wild and exotic animals. In

general, the rule requires a perimeter fence

at least 6 feet high for most animals and

8 feet high for dangerous animals, such as

elephants, bears, and large cats. All

requirements are designed to better contain

the animals and to keep out unwanted

animals and the uninvited public. For more

details, see the section on regulatory

initiatives.

• In February 1999, USDA published for

comment a proposed rule based on the

consensus language regarding marine

mammal regulations (subpart E). This

language was derived from the negotiated

rulemaking committee of stakeholders

established under the Federal Advisory

Committee Act. USDA reviewed the

comments during FY 2000 and expects to

publish a final rule in FY 2001.

Negotiations regarding these regulations

were held in 1995 and 1996 to identify

major stakeholders to participate in the

committee.

• On July 10, 2000, AC requested comments

on possible changes to the pain and

distress categorization system and the

creation of a definition for “distress” in the

AWA regulations. Comments were accepted

for 4 months and will be reviewed during FY

2001.

• In FY 2000, AC published a revised draft of

the policy regarding training and handling

of potentially dangerous wild and exotic

animals and accepted comments for 2

months. More than 250 comments were

received and are being reviewed.
9

HOW USDA ADMINISTERS THE LAW

Within USDA, the APHIS AC program is

responsible for administering the AWA. AC's

mission is to provide leadership in

establishing acceptable standards of care and

treatment and to monitor and achieve

compliance through educational and

cooperative efforts.

The AC program is headquartered in Riverdale,

MD, and has regional offices in Raleigh, NC,

Fort Worth, TX, and Sacramento, CA. These

offices are charged with administering the

AWA in each of their respective areas.

In October 1999, the Eastern Region moved to

the Centennial Campus of North Carolina State

University in Raleigh, NC. This move was in

conjunction with APHIS’ consolidation of

regional offices into hubs in Raleigh, and Fort

Collins, CO. In FY 2001, AC’s Western and

Central Regions will begin consolidation into

one region with the new Western Region office

in Fort Collins. The current offices in Fort

Worth and Sacramento will remain open as

satellite offices until the physical office

consolidation can be completed.

The map on this page shows AC's regional

structure current to the end of this reporting

period (September 30, 2000). The box

provides the addresses, phone numbers, and

fax numbers for all AC offices, as well as AC's

homepage on the World Wide Web and e-mail

address for incoming correspondence.

Animal Care

Headquarters Office

4700 River Road, Unit 84

Riverdale, MD 20737–1234

Phone: (301) 734–7833

Fax: (301) 734–4978

Eastern Region

920 Main Campus Drive, Suite 200

Raleigh, NC 27606

Phone: (919) 716–5532

Fax: (919) 716–5696

Western Region—Fort Collins

1629 Blue Spruce

Suite 204

Fort Collins, CO 80524

Phone: (970) 494–2542

Fax: (970) 494–2576

Western Region—Sacramento

9580 Micron Ave., Suite J

Sacramento, CA 95827

Phone: (916) 857–6205

Fax: (916) 857–6212

Western Region—Fort Worth

P.O. Box 915004 (letters)

501 Felix Street, Building 11 (packages)

Fort Worth, TX 76115–9104

Phone: (817) 885–6923

Fax: (817) 885–6917

World Wide Web

Homepage

www.aphis.usda.gov/ac

E-mail Address

ace@aphis.usda.gov

USDA–APHIS–ANIMAL CARE

WA

OR ID

CA

NV UT

AZ NM

CO

WY

MT ND

MO

AR

TX LA

OK

KS

NE

SD

IA

MN

WS

IL IN

KY

TN

MS AL GA

SC

NC

MI

RI

MD

NJ

ME

MA

CT

NH

VT

NY

PA

VA

OH

WV

FL

P.R.

DE

AK

HI

V.I.

Western Region

Central Region

Eastern Region AK

ANIMAL CARE
10

Each regional AC office employs a cadre of

field veterinary medical officers and animal

care inspectors. The number of field inspector

positions at the end of FY 2000 was 75. These

employees are highly qualified and have an

excellent professional support system and

communication network. Many also have

specialized interest and expertise in such areas

as the care of laboratory animals, zoo animals,

or marine mammals.

In enforcing the AWA, APHIS inspectors work

closely with other Federal agencies and

frequently interact with regulated professional

groups, industry organizations, humane

groups, the scientific community, and other

concerned associations or individuals. In FY

2000, AC personnel attended about 318

industry training sessions and meetings and

gave presentations at 127 of them.

The biennial National Work Conference

provided practical and diverse training and

educational seminars to more than 80 AC

personnel April 18–21, 2000, in Oklahoma

City. Attendees included field inspectors,

supervisors, regional directors, headquarters

staff officers, and the deputy administrator.

The program was organized into three areas:

nonhuman primates, dangerous animals, and

miscellaneous topics (including the basic

inspection process). Individual seminars

covered thermoregulation in elephants, exhibit

design, regulatory and policy updates,

transportation issues, carnivores, and violence

in the workplace.

In FY 2000, the AC program received

appropriations totaling about $10 million for

activities related to animal welfare. The next

tabulation shows APHIS' animal-welfarerelated appropriations for FY 1995–00 in

unadjusted dollars.

AC Appropriations for

FY 2000

 Annual appropriation

 for enforcement of the

 FY Animal Welfare Act

 2000 $10,167,000

 1999 $ 9,175,000

 1998 $ 9,175,000

 1997 $ 9,182,000

 1996 $ 9,185,000

 1995 $ 9,262,000 Complementing AC's efforts is APHIS'

Investigative and Enforcement Services (IES)

program. IES supports all APHIS programs in

the goal of enhancing compliance with agency

regulations. Toward this end, IES utilizes

comprehensive investigations and sound

enforcement actions. IES also works closely

with USDA's Office of the General Counsel,

other Federal agencies, State and local

governments, and industry groups. IES is

headquartered in Riverdale and has regional

offices in Raleigh and Fort Worth. IES has

also begun the process of moving its Western

Region office to Fort Collins, where all APHIS

western regional offices will be located,

beginning in June 2002.

Investigative and

Enforcement Services

The National Agricultural Library's (NAL)

Animal Welfare Information Center (AWIC)

also supports AC's efforts. AWIC was

established in December 1986 to provide

valuable information pertaining to possible

duplication of research involving animals,

methods of humane animal care and use,

alternatives to the use of live animals in

research, and methods to minimize pain and

distress to animals. AWIC also provides

materials for the training of personnel and

other products and services that support the

administration and regulatory requirements of

the AWA.

Animal Welfare

Information Center

APPROPRIATIONS FOR

ANIMAL WELFARE,

FY 1995–2000

USDA–NAL–AWIC

AWIC Coordinator

National Agricultural Library

10301 Baltimore Blvd.

Beltsville, MD 20705

(301) 504–6212

E-mail

awic@nal.usda.gov
11

AC personnel perform two major types of

inspections: prelicensing/preregistration

inspections and unannounced compliance

inspections.

To determine whether prospective licensees

are in compliance with the AWA, AC personnel

perform prelicensing inspections of dealers

and exhibitors prior to granting them licenses.

INSPECTION HIGHLIGHTS

Since FY 1993, APHIS has conducted an

intensive traceback effort on dogs sold by

random-source, class B animal dealers. These

dealers, who supply animals to the research

community, typically obtain them from pounds

and shelters, pet owners who wish to

relinquish ownership, and other legitimate

sources. However, there has always been

concern that some of these dealers may be

trafficking in stolen animals.

Under the AWA, random-source dealers are

required to maintain accurate records of the

acquisition and disposition of their animals.

APHIS' traceback effort has focused on making

sure these records are accurate and complete.

To optimize this effort, APHIS has conducted

quarterly inspections of all random-source

dealers since the traceback project went into

effect in 1993. AC has also taken stringent

enforcement action when violations are found.

Since 1993, this includes issuing nearly

$525,000 in fines, suspending 6 licenses and

revoking 12 more. At the end of FY 2000, six

cases were under investigation.

The fruits of this effort have been tremendous.

From FY 1993 through 2000, the percentage

of animals traced back to their original source

has increased from a little more than 40

percent to nearly 95 percent. (This figure does

not include cases still being investigated at the

end of FY 2000.) At the same time, the

number of random-source dealers has

Class B Dealer Tracebacks Continue Success

The risk-based inspection system was put into

place in February 1998 to support AC’s

focused inspection strategy, allowing more

frequent and indepth inspections at problem

facilities and fewer at those consistently in

compliance. The system uses several

objective criteria, including past compliance

history, to determine the inspection frequency

at each licensed and registered facility.

Facilities meeting the criteria for lowfrequency intervals are subject to inspection

once every 2–3 years. Facilities determined to

require high-frequency inspections are subject

to inspection at least every 6 months. Those

in the middle are inspected about once per

year. Registered research facilities are

inspected at least once per year, as required by

the AWA. With this system, AC has been able

to provide more in depth inspections and

improve the agency’s interactions with

licensees and registrants—an approach that

APHIS firmly believes makes better use of

AC's inspection resources.

Risk-Based Inspection

System

decreased from more than 100 to fewer than

25. Moreover, the number of class B dealers

under investigation has decreased from a high

of 260 in 1992 to only 7 in FY 2000.

Efforts have also been stepped up by regularly

conducting tracebacks on dogs and cats

originating with owners, not just random

sources such as shelters.

In May 2000, AC instituted several new

practices to help assure researchers that the

dogs and cats they purchase from licensed

animal dealers originate from proper sources.

First, at least two to three tracebacks are now

conducted during every inspection, whether

the animals were obtained from random

sources or original owners or breeders.

Second, the traceback process now includes

asking the original source of the animal what

they were told about the animal’s future

disposition (e.g., were they told the animal

could be used in biomedical research).

For FY 2000, 85.1 percent of all tracebacks

were successful in reaching the original

owners. This number is lower than previous

years because one dealer closed his business

and did not have records available. That

closure terminated 25 tracebacks before

completion. Among tracebacks involving

other dealers in FY 2000, 95.6 percent were

successful. The number of Class B dealers

selling dogs and cats to research was 23 at the

end of FY 2000.

Preregistration inspections are not required

under the Act, but many facilities request AC's

consultation. Whenever possible, the program

honors these requests to promote the highest

level of compliance.

Unannounced compliance inspections are

performed at the facilities of all licensees and

registrants to ascertain whether they are

operating within the regulations. The AWA

requires that APHIS perform at least one

compliance inspection per year at each

research facility that uses animals in

experimentation. For nonresearch facilities,

APHIS uses a risk-based system to determine

inspection frequency.
12

Beginning in FY 2000, AC converted to its new

Licensing and Registration Information System

(LARIS) and discontinued the old system

January 1, 2000. This new database provides

a single storage center for licensing,

registration and inspection data on regulated

parties throughout the United States. At the

end of FY 2000, AC was testing the application

whereby field inspectors have access to the

database and will enter inspection data directly

from remote locations using their laptop

computers.

A prototype Web-based application has been

developed and is being further refined to allow

public access to portions of the database

through the Internet. Once this is finalized,

inspection reports for each facility will be

available. The new system allows for an array

of data to be collected, including a complete

compliance history, most common areas of

noncompliance, and number of animals

involved in those situations. Our risk-based

inspection system has been incorporated into

New Database Up and Running

In addition to conducting routine inspections

of licensed and registered facilities, AC

personnel also follow up on public complaints

to determine whether regulated animals are

receiving proper care and/or the animal

owner(s) should be licensed or registered.

APHIS regards these activities as critical to

successful enforcement of the AWA.

AC personnel also conduct periodic searches

to determine whether there are regulated

facilities operating without a license or

registration. In FY 2000, AC conducted 165

compliance inspections at unlicensed and

unregistered facilities.

Complaints and

Searches

If AC inspectors discover conditions and

records that are not in compliance with the

regulations, AC typically establishes a

deadline for correcting these items and

provides it in the inspection report. In

conjunction with IES, AC immediately

investigates any situations that may have

caused unnecessary animal suffering or death.

Inspectors are required to reinspect any

facilities where areas of noncompliance were

found that have, or are likely to have, an

impact on the well-being of the animals. If the

conditions remain uncorrected, AC documents

them for possible legal action. In cases of

unrelieved suffering, AC may confiscate the

animals or arrange for their placement

elsewhere. With the assistance of IES, AC

acted in four such situations in FY 2000,

following the reinforcement of this authority.

After the Inspection

the database, and inspectors now get reports

on their facilities based on risk-based criteria.

Additionally, at any given time, management

can track the status of compliance and

prelicensing inspections.

The next tabulation details the number of

inspections of licensees and registrants

conducted during FY 2000. Subsequent

tabulations chronicle the number of different

types of inspections conducted from FY 1998

through FY 2000.
13

Other Types of Inspections

Prelicensing and

preregistration

inspections NA 1,651

Compliance

inspections of

unlicensed,

unregistered facilities NA 165

Attempted inspections of dealers

and exhibitors NA 547

Total 2,363

Total of Inspections

for Compliance and

Other Inspections 11,090

Total number Number of

of facilities inspections

(and sites)1 by category

Inspections for Compliance2

Dealers3 4,612

(4,618) 4,306

Research 1,265

facilities (1,545) 1,557

Exhibitors 2,508

(2,822) 2,463

Intransit 302

handlers (422) 105

Intransit 86

carriers4 (800) 296

Total 8,773 8,727

(10,207)

1

 See the glossary of terms for the definitions of “facility” and

“site.”

2

 Inspections for compliance are unannounced inspections

and reinspections. These do not include prelicensing or

preregistration inspections, auction market observations, or

attempted inspections. (Prelicensing/preregistration

inspections are announced. Observations of licensed and

unlicensed auction markets are made to locate unlicensed

dealers. Attempted inspections could not be performed for

certain reasons—usually because there was no one available

at the facility when the inspector arrived unannounced.)

Total number Number of

of facilities inspections

(and sites)1 by category

3

 Dealer inspections for FY 2000 include auction market

inspections, which were previously counted under a separate

category.

4

 Intransit 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 may vary.

PRELICENSING/PREREGISTRATION

INSPECTIONS, FY 1998–2000

 Not Yet

 FY Total Dealers Exhibitors Research Classified

2000 1,651 938 369 7 337

1999 1,418 991 427

1998 1,579 1,074 505

 Total Total

 facilities compliance

 FY (sites) inspections

 2000 8,773 8,727

 (10,207)

 1999 7,958 9,096

 (9,897)

 1998 7,773 10,709

 (10,393)

 Total

 inspections

 FY conducted

 2000 11,090

 1999 11,263

 1998 13,136

1997 15,898

1996 15,989

FY 2000 AWA INSPECTIONS

TOTAL INSPECTIONS

CONDUCTED PER YEAR,

FY 1996–2000

COMPLIANCE

INSPECTIONS,

FY 1998–2000
14

Dealers are individuals who sell regulated

animals for research or teaching, wild or exotic

animals for exhibition or as pets, or domestic

pet animals in wholesale channels. Dealers

can hold a USDA license in one of two

classes.

Class A licensees are those individuals who

deal only in animals that they breed and raise.

Class B licensees may breed and raise some

of the animals they sell but typically buy and

resell animals from other sources. Class B

dealers include brokers, operators of auction

sales, and “bunchers.”

The numbers of Class A and B licensed

dealers and sites for FY 1998 through 2000

are listed in the next tabulation. The number

of inspections conducted during the same

period is shown on chart 1. It should be noted

that, of the 1,005 Class B dealers, APHIS

estimates that fewer than 25 supply dogs and

cats to research. In FY 1993, there were more

than 100 such dealers.

INSPECTIONS BY BUSINESS TYPE

Animal Dealers

 LICENSED DEALERS, FY 1998–2000

 Total Class A Class B

 dealers dealers dealers

 FY (sites) (sites) (sites)

2000 4,612 3,433 1,179

(4,618) (3,391) (1,227)

1999 4,071 2,986 1,085

(4,208) (3,039) (1,169)

1998 3,926 2,892 1,034

(4,168) (3,024) (1,144)

Chart 1

A AND B DEALERS, FY 1998–2000

Numbers from Licensing and Registration Information System (LARIS) database

Facilities Sites Inspections

3,926 4,071

4,612

4,168 4,208

4,618

4,298 4,306 5,000

3,000

1,000

0

2,000

4,000

4,922

6,000

FY 1998

FY 1999

FY 2000
15

Animal exhibitors may either be licensed or

registered under the AWA. Licensed exhibitors

are those entities that either obtain or dispose

of animals in commerce and exhibit them for

compensation. Registered exhibitors do not

buy, sell, or transport animals and do not

accept compensation.

Licensed exhibitors typically operate animal

acts, carnivals, circuses, public zoos,

“roadside zoos,” and marine mammal

displays. Many of the animals exhibited are

species not native to the United States (e.g.,

nonhuman primates and exotic cats), but

exhibited species may also include domestic

farm animals and wild animals native to this

country.

With increasing attention focused on the care

and handling of elephants in recent years, AC

has made it a priority to provide special

training to its personnel on these issues. The

course provided instruction on elephant care

and handling to about 60 inspectors and other

AC personnel, bringing the total number of

employees trained to about 75. In FY 2001,

AC will provide materials from prior courses

and an introductory elephant session to new

field employees as part of a basic training

course for new inspectors.

Listed next are the numbers of exhibitors and

sites regulated from FY 1998 through 2000.

Chart 2 shows the number of inspections for

the same period.

Animal Exhibitors Chart 2

EXHIBITORS, FY 1998–2000

Numbers from Licensing and Registration Information System (LARIS) database

2,198 2,293

2,508 2,696 2,720

2,822 2,803

2,591 2,463

0

1,000

2,000

3,000

Facilities Sites Inspections

FY 1998

FY 1999

FY 2000

2,500

1,500

500

REGULATED EXHIBITORS, FY 1998–2000

Total

exhibitors Licensed Registered

FY (sites) (sites) (sites)

2000 2,508 2,489 19

(2,822) (2,803) (19)

1999 2,293 2,276 17

(2,720) (2,701) (19)

1998 2,198 2,178 20

(2,696) (2,673) (23)

Exhibitors
16

Carriers registered with USDA include airlines,

motor freight lines, railroads, and other

shipping businesses. Registered intermediate

handlers are ground freight handlers.

Intermediate handlers usually (1) provide

services for animals between consignor and

carrier and from carrier to consignee, and (2)

care for animals delayed in transit.

The numbers of sites and registered carriers

and intermediate handlers for FY 1998 through

2000 are listed next. Chart 3 shows the

number of carrier and intermediate handler

inspections for the same period.

Carriers and

Intermediate Handlers

 Carrier facilities Carrier sites Carrier inspections Handler facilities Handler sites Handler inspections

Chart 3

CARRIERS AND INTERMEDIATE HANDLERS,

FY 1998–2000

Numbers from Licensing and Registration Information System (LARIS) database

FY 1998

FY 1999

FY 2000

90 86

893

800

858 901

292 296 302

276

292

432

465

422

105 99

206

1,000

400

0

200

600

800

86

 Registered Intermediate

 carriers handlers

 FY (sites) (sites)

2000 86 302

 (800) (422)

1999 86 276

 (893) (432)

1998 90 292

 (858) (465)

SITES AND REGISTERED

CARRIERS AND

INTERMEDIATE

HANDLERS, FY 1998–2000
17

Research facilities that use animals include

hospitals, colleges and universities, diagnostic

laboratories, and many private firms in the

pharmaceutical and biotechnology industries.

All 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 inspection per year to determine

compliance.

In spring 2000, AC’s field and supervisory

veterinary medical officers attended a course at

the Riverdale, MD, headquarters about issues

Research Facilities

related to inspecting research facilities. The

course was designed to clarify AC policies and

help veterinary medical officers better

understand the issues faced by these facilities.

Topics included Institutional Care and Use

Committees, pain and distress issues, and

alternative methods of research. This was the

first AC-sponsored conference since 1991

dedicated strictly to inspecting programs that

use animals in research, testing, and training

and the many complex and evolving issues

associated with them.

Throughout 2000, AC worked on guidelines

for its field personnel to use when conducting

AWA inspections of research facilities. This

guide, along with the dealer inspection guide,

will increase the quality and uniformity of

reports, inspection, and enforcement in the AC

program. The guide covers such areas as how

to document inspection findings and how to

conduct exit interviews. AC veterinary medical

officers and a research facility consultant

reviewed a draft of the research inspection

guide and the development team is reviewing

their comments. AC expects to distribute the

guide in FY 2001.

The next tabulation lists the numbers of

research facilities and sites for FY 1998

through 2000. Chart 4 shows the number of

inspections of research facilities conducted

during this period.
18

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-relieving drugs were

administered. If such drugs were not

administered for procedures that cause pain or

distress, 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-relieving drugs, were

followed and that each principal investigator

considered alternatives to painful or distresscausing procedures.

Reports From Research Facilities

Moreover, the report must demonstrate that the

facility adhered to the AWA regulations or that

any exception to such adherence was justified

by the principal investigator and approved by

the Institutional Animal Care and Use

Committee prior to experimentation.

Chart 5 shows the number and species of

animals used in research during FY 2000.

This number excludes birds and laboratory

rats and mice, as well as farm animals used

exclusively in agricultural research. Chart 6

shows the number of animals used in research

that involved no pain or distress, or that

involved pain or distress alleviated with drugs,

or that involved pain or distress without relief

because use of pain-relieving drugs would

interfere with the results of the research or

testing.

Tables 1 through 5 of the appendix contain

further details. Table 6 reports the total of

animals used by research since this report was

first published in 1973.

Data from 22 research facilities are not

included in this report because they either did

not submit a report or submitted it too late for

tabulation. Of these facilities, 5 were Federal

facilities and 17 were non-Federal. It is a

violation of the AWA for a facility, whether

active or inactive, not to submit a timely

report. AC initiated the appropriate corrective

actions.

REGISTERED RESEARCH FACILITIES,

TOTAL SITES AND INSPECTIONS, FY 1998–2000

Chart 4

Numbers from Licensing and Registration Inspection System (LARIS) database

Facilities Sites Inspections

1,232 1,267 1,265

1,644

1,545

2,206

1,816

2,557

2,262

3,000

0

1,000

2,000

FY 1998

FY 1999

FY 2000

*Decrease in number of sites is due primarily to new definition

of “site” implemented in FY 1999.

 Total Total

 FY facilities sites

 2000 1,265 1,545

 1999 1,232 1,644*

 1998 1,267 2,206

REGISTERED RESEARCH

FACILITIES AND SITES,

FY 1998–2000
19

Chart 5

ANIMALS USED IN RESEARCH, EXPERIMENTS,

TESTING, AND TEACHING, FY 2000

Numbers from Licensing and Registration Information System (LARIS) database

Dogs Cats Primates Guinea

pigs

Hamsters Rabbits Sheep Pigs Other farm

animals

Other

animals

Total

69,516

25,560 57,518

505,009

174,146

258,754

23,934

66,651 69,129

166,429

1,416,643

Millions

0.5

1.0

0

1.5

ANIMALS EXPERIENCING PAIN/DISTRESS, PAIN/

DISTRESS RELIEF, OR NO PAIN/DISTRESS DURING

EXPERIMENTS, FY 2000

Chart 6

Numbers from Licensing and Registration Information System (LARIS) database

Millions

104,202

415,215

897,226

1,416,643

Pain/distress— Pain/distress No pain/distress Total animals used

 no drugs alleviated in research

0.5

1.0

0

1.5
20

APHIS' IES personnel investigate alleged

violations when corrective measures have not

been taken by licensees or registrants to come

into compliance with the AWA.

Investigations disclosing violations are acted

on in a variety of ways depending on their

severity. Many infractions can be settled with

an official notice of warning or a stipulation

offer. (Stipulations allow alleged violators to

pay a fine, have their license suspended, or

both, in lieu of formal administrative

proceedings.)

Cases warranting formal prosecution undergo

Department-level review for legal sufficiency

prior to issuance of a formal administrative

complaint. Formal cases may be resolved by

license suspensions, revocations, cease-anddesist orders, civil penalties, or combinations

of these penalties through administrative

procedures.

In FY 2000, AC and IES continued to employ a

two-pronged enforcement strategy. For

licensees and registrants who show an interest

in improving the conditions for their animals,

AC and IES actively pursue innovative

penalties that allow the individuals to invest

part or all of their monetary sanctions in

facility improvements, employee training,

research on animal health and welfare issues,

or other initiatives to improve animal wellbeing. In doing so, USDA enables the

individuals to immediately improve the

conditions for their animals while sending a

clear message that future violations will not be

tolerated. Prior to 1997, most such fines were

APHIS' Enforcement Strategy Yields Results

ENFORCEMENT HIGHLIGHTS

either suspended or paid directly to the U.S.

Treasury, but neither of those results directly

improved the care provided to the affected

animals.

On the other hand, for licensees and

registrants who do not improve the conditions

for their animals, AC and IES pursue

enforcement action. Such action typically

includes significant monetary penalties and/or

license suspensions or revocations. It may

also include confiscation of their animals and

relocation of the animals to another facility if

they are found to be suffering.

In FY 2000, all AC inspectors were equipped

with digital and traditional cameras as part of

the effort to build stronger cases. Video

cameras are also used for some cases.

Photographs are routinely taken if the

inspectors encounter serious or continuing

noncompliant items. Digital photos can be

transmitted to the regional office electronically

for quick consultation. These photos can then

be transferred onto a computer and shared

with the facility. Like other photographs,

digital photography and video footage can be

submitted with an investigation report and

could become part of an investigation.

Stronger Cases Through

Digital Photography
21

An important component of AC and IES'

enforcement strategy is the high-priority

designation for certain cases. Cases are

deemed high priority based on the following

criteria:

• Severity of animal suffering (death or severe

injury),

• Past compliance history of facility,

• Potential public or animal safety or health

concerns,

• Abusive or potentially violent nature of

licensee or registrant,

• Type of facility and species of animal

involved, and

• Severity of the issue resulting in extensive

public interest.

When a case is given this designation, AC,

IES, and USDA's Office of the General Counsel

put special emphasis on the investigation and

enforcement of a case to expedite its

resolution. This measure has been successful

in shortening the timeframes of significant

cases and providing quicker relief for animals

protected under the AWA.

High-Priority

Designation

Cases Investigated and Reviewed

 Submitted

 Submitted to for formal

 FY Cases IES staff prosecution

 2000 329 184 101

 1999 313 188 104

 1998 456 416 60

Cases Resolved

 Administrative

 Official Stipulations law judges’

 FY warnings offered/settled decisions

 2000 125 1

75/100 70

 1999 143 89/79 28

 1998 219 100/66 82

Sanctions Imposed

 Revocations,

 Fines imposed by suspensions,

 administrative Fines imposed and disqualifi-

 FY law judges by stipulation cations

 2000 $343,301 $110,848 23

 1999 $585,162 $ 82,152 16

 1998 $378,900 $ 89,763 34

In January 2000, the fines for AC and other

APHIS programs were adjusted for inflation

according to the terms of the Federal Civil

Penalties Act of 1990 (P.L. 101–410). This

action raised the maximum civil penalty for a

violation of the AWA from $2,500 to $2,750

per count. The Act requires the Secretary of

Agriculture to take inflation into account once

every 4 years when adjusting civil penalties.

Maximum Fines Raised

Due to Inflation

Through this multifaceted enforcement

strategy, the AC and IES staffs and the Office of

the General Counsel have been able to

virtually eliminate the backlog of AWA cases

awaiting resolution through the formal

administrative process. The results have been

shorter timeframes for resolving cases and the

ability to expedite high-priority cases. In

addition, APHIS imposed penalties totaling

more than $454,000.

The Results Are in the Numbers

The tabulation above provides detailed

information on the number of enforcement

actions conducted and resolved during

FY 2000. In the tabulation, it should be noted

that “Cases Submitted,” “Cases Resolved,”

and “Sanctions Imposed” are those actions

that actually occurred during the fiscal year

even though many of the settled cases were

submitted in previous years. This numerical

disparity occurs because it takes a case

considerable time to work its way through the

legal system and appeals process.

1

 Some of the 100 stipulations settled in FY 2000 were orginally offered in FY 1999.

NUMBERS OF ENFORCEMENT ACTIONS CONDUCTED

AND RESOLVED, FY 1998–2000
22

In FY 2000, AC carried out numerous outreach

activities, including moving forward with its

multiyear public affairs campaign to educate

During FY 2000, AC continued distributing its

Animal Care Report to nearly 2,000 mail

subscribers, double its distribution in FY

1997. In addition to providing these free mail

subscriptions, AC referred many people to the

report’s posting on the Internet. This report,

which provides brief overviews on all key

issues affecting AC's administration of the

AWA, is sent to program stakeholders to keep

them up to date on current program initiatives.

Editions of the report were prepared for spring

and summer. The Internet posting is on the

AC home page (www.aphis.usda.gov/ac).

This year, AC completed and distributed an

animated television public service

announcement (PSA) on safe pet travel on

airlines. It is estimated that by November 26,

2000, the 30-second spot had aired in 43

States and garnered more than $1.2 million

worth of free air time. Stations in Bermuda

also televised the PSA. Web users can watch

the PSA on the APHIS Web site at

www.aphis.usda.gov/lpa/video/index.html.

The video will continue to be shown in FY

2001, and other Web sites are expected link to

the video and other information.

AC employees continued to distribute the

“Traveling With Your Pet” brochure at travel

shows and referred people to the Web posting

(www.aphis.usda.gov/oa/pubs/petravel.pdf or

.html). The APHIS travel page

(www.aphis.usda.gov/travel/index.html) also

provides a link to the brochure and video.

In addition to brochures and kennel stickers

with a toll-free information number, AC also

distributed factsheets on pet travel. In March

2000, AC issued a Spanish-language version

of the “Traveling With Your Pet” factsheet.

More than 2,600 members of the general

public used AC’s toll free, 24-hour, automated

telephone voice response service (800–545–

USDA) during FY 2000. This service provides

information on the humane handling of cats

and dogs during transport, including the AWA

requirements for temperature, shipping

documents, food and water, and cage sizes.

Designed to be user friendly, the service is

recommended for inclusion in training courses

for airline cargo handlers, ticket agents, and

supervisors.

Automated Telephone

Service Assists

Travelers

PUBLIC OUTREACH

and inform all program stakeholders about the

AWA and AC's role in enforcing the law. To

support this effort, the program is upgrading

all of its existing public affairs materials and

creating new products where needed.

Safe Pet Travel Video

Flies the Airwaves

Industry Report in

Fourth Year of Updating

Stakeholders
23

Answering Public

Inquiries

APHIS received and responded to thousands

of inquiries about animal welfare from

individual citizens, concerned groups and

Members of Congress in FY 2000. Other

Federal agencies and the Office of the

President also referred animal welfare

concerns to APHIS for response. The next

tabulation lists the number of animal welfare

written inquiries received by APHIS during FY

1998 through 2000. Totals do not include the

hundreds of inquiries received through e-mail.

AC Makes Web Site

Accessible to the

Visually Impaired

In an effort to make information accessible to

more people, the AC Web site was the first in

APHIS to move into compliance with a new

requirement for government agencies to make

their Web sites usable by the visually disabled.

Some of the new site functions include

features that allow visitors to hear descriptions

of pictures on the page or listen to text on the

page. The audio is processed through special

hardware on the user’s system.

Many hours went into the update to comply

with Section 508 of the Rehabilitation Act (P.L.

105–200), which was amended in 1998. The

amendment requires that Federal agencies'

electronic and information technology be

accessible to people with disabilities,

including employees and members of the

public.

Dealer Inspection Guide

Available on the Web

In April 2000, AC posted on its Web site the

comprehensive guide it provided field

personnel to use when conducting AWA

inspections of animal dealers. AC hopes that

doing so will allow interested dealers quick

access to information that can help them better

comply with regulations. Posting the guide

allows interested individuals an easy way to

see what AC inspectors are looking for during

inspections.

AC Holds Public Meeting

on Training and

Handling

On March 7, 2000, USDA opened its doors for

a public meeting to discuss a new AC policy

for training and handling potentially

dangerous animals and other concerns of the

public and regulated parties. About 150

people attended the meeting which included

presentations, a question and answer session

with the deputy administrator, and breakout

sessions on specific topics. The four topics in

those sessions were training and handling

potentially dangerous animals, zoos, circuses,

and one combined session for dealers,

research, and transportation. Comments

received during the meeting related to training

and handling of potentially dangerous animals

were considered in policy development equally

to those responding in writing to a Federal

Register notice.

Correspondence Correspondence

received/dispatched received/dispatched

 FY by headquarters by regional offices

2000 3,589 26,667

1999 3,729 24,092

1998 2,495 22,280

ANIMAL WELFARE CORRESPONDENCE

RECEIVED BY APHIS, FY 1998–2000
24

Assisting the Media

AC assisted media officials in various ways

during the year. Altogether, the program

fielded more than 1,300 calls from members of

the media and issued 89 press releases. Most

of these releases provided information

concerning enforcement actions taken against

licensees and registrants (such as settlements,

fines, suspensions, and confiscations). The

other releases addressed matters such as AC’s

request for comments about possible changes

in the pain and distress categorization system

for animals used in research.

AC personnel gave numerous local and

national television, radio, newspaper, and

magazine interviews on various issues relating

to the AWA. These included interviews with

CNN, NBC’s Dateline, The New York Times,

USA Today, and the Wall Street Journal.

Outreach efforts also included interviews with

local media outlets in all 50 States and several

foreign countries.
25

In December 1999, AC, the New Jersey

Association for Biomedical Research, and the

Pennsylvania Society for Biomedical Research

jointly sponsored an education symposium in

Plainsboro, NJ, for about 140 professionals

from the three organizations. The main

topics—animal care and use in research,

regulation, and oversight—were addressed in

panel discussions and smaller workgroups.

AC and representatives from the National

Institutes of Health, the Food and Drug

Administration, the Institute for Laboratory

Research, and the Association for Assessment

and Accreditation of Laboratory Animal Care

International provided information about their

roles in regulation and oversight.

In FY 2000, APHIS and the research

community cosponsored a research

preceptorship program that sent three AC

veterinarians to 4 intensive weeks of training at

various research facilities and teaching

institutions, plus 1 week at national meeting of

the American Association for Laboratory

Animal Science. This very successful

Cooperating and Communicating With Stakeholders

AC serves 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 acts as a forum for

information exchange and regulation

development.

AC also maintains close working relationships

with other Federal agencies that deal with

animals on regulation and enforcement of the

AWA. APHIS cooperated on numerous issues

with the U.S. Department of Health and Human

Services' National Institutes of Health, CDC,

E–FOIA Access to Liaison With Other Federal Agencies

AC Data

APHIS is working diligently to develop a new

Web-accessible Freedom of Information Act

(FOIA) site where inspection reports could be

obtained. These reports can also be obtained

from the regional offices at the addresses

listed earlier in this report.

On October 1, 1999, LARIS, AC’s new

database, became functional. The LARIS

database will maintain inspection reports and

other information, such as numbers of

violations. Once the E-FOIA site is

operational, inspection reports and certain

licensee and registrant information will be

available by electronic retrieval.

In addition to work on the database and EFOIA site, AC and APHIS also responded to

numerous animal-welfare-related FOIA

requests the old-fashioned way. The next

tabulation lists the number of FOIA requests

received for the past 3 fiscal years.

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

FWS; and the Environmental Protection

Agency.

In July 2000, a veterinary medical officer from

the U.S. Army Veterinary Corps completed a

yearlong detail to AC to work on researchrelated policies. In addition, he was a key staff

officer and was instrumental in the success of

the research training AC held for its employees

in the spring.

program, which previously had been

conducted at research facilities in the

Northeast, moved to the Chicago area in FY

1999.

AC personnel also attended and participated in

national meetings held by various

organizations, including the American Zoo and

Aquarium Association, the American

Association of Laboratory Animal Science, the

Applied Research Ethics National Association,

the College of Laboratory Animal Medicine

Forum, the North American Veterinary

Conference, Public Responsibility in Medicine

and Research, the Scientists Center for Animal

Welfare, and the Society of Marine

Mammalogy.

AC personnel attended about 318 industry

meetings and training sessions in FY 2000

and presented papers or informal talks at 127

of them. APHIS employees also staffed an

exhibit booth at several of these meetings to

answer questions and provide information on

AC's enforcement of the AWA. In addition,

ANIMAL-WELFARERELATED FOIA

REQUESTS RECEIVED

BY APHIS, FY 1998–20001

1

These figures include both official FOIA requests

processed through APHIS’ FOIA office, with assistance

from AC at headquarters, and requests for inspection

reports processed through AC’s regional offices. Before FY

1997, all such requests were processed through the FOIA

office at headquarters.

2

Figure corrected from FY 1999 annual report.

 FOIA

 FY Requests

2000 734

1999 2824

1998 657
26

AWIC Focuses on Educational Efforts

In FY 2000, staff from the Animal Welfare

Information Center (AWIC) responded to about

18,000 requests for information and

publications, including copies of the AWIC

Newsletter, and distributed more than 40,000

published documents to requesters. The AWIC

Newsletter was published twice in FY 2000

and sent to its 7,500 subscribers in the United

States and 38 foreign countries.

AWIC's Web site (www.nal.usda.gov/awic)

underwent many changes during the year. The

site and its subject areas were restructured,

and many documents and new links were

added. Press releases from USDA’s

Agricultural Research Service and APHIS

regarding research relevant to animals were

regularly updated. Other news links were also

posted when the information was relevant and

from reliable sources. The average number of

hits per month grew from about 30,000 in

October 1999 to more than 58,000 in

September 2000. Hits for the year totaled

559,000 with about 27 million kilobytes

transferred.

AWIC trained 645 individuals in its workshop

entitled "Meeting the Information

Requirements of the Animal Welfare Act,"

which is held at the National Agricultural

Library in Beltsville, MD, three times a year

and at other locations throughout the country

upon request. In FY 2000, two military

AC’s deputy administrator represented the

United States as an observer of the Council of

Europe’s meetings for developing minimum

standards of care for laboratory animals used

by member countries.

In addition, AC personnel actively interacted

with organizations such as the American Zoo

and Aquarium Association, the American

Veterinary Medical Association, the National

Association for Biomedical Research,

Americans for Medical Progress, the American

Association of Zoo Veterinarians, the Alliance

for Marine Mammal Parks and Aquariums, the

Association for the Assessment and

Accreditation of Laboratory Animal Care

International, the International Association of

Aquatic Animal Medicine, the Association of

Aquatic Life Support System Operators, and

the Scientists Center for Animal Welfare.

Additional cooperators include The Humane

Society of the United States, the Animal

Welfare Institute, the American Humane

Association, the Animal Protection Institute,

the Association of American Veterinary

Medical Colleges, and the Air Transport

Association. AC is also represented in the

United States Animal Health Association and

has members on both its animal welfare and

captive wildlife committees.

facilities, four universities, two pharmaceutical

companies, and one Federal regulatory agency

requested the training.

The electronic slides used for the workshop

have been made available on the AWIC Web

site. Other institutions are using them in their

training materials. In addition, AWIC

continues to develop materials for an online,

interactive tutorial that will provide access to

the workshop for more of the regulated

community.

AWIC staff exhibited and disseminated

materials at eight conferences and meetings

during FY 2000. Roughly 5,300 pieces of

information were distributed to around 3,600

attendees.

AWIC continues to distribute original

information products directed to the regulated

community. The Center produced seven new

documents and either printed or made them

available through the AWIC Web site. The

following publications are available in both

print and electronic form:

• Allen, T; Kreger, M. (September 2000) A

revised edition of Information

Resources for Animal Care and Use

Committees 1985–1999. AWIC

Resource Series Number 7.

• Kreger, M. (May 2000) Information

Resources for the Care and Use of

Invertebrates. AWIC Resource Series

No. 8.

• Larson, J.; Jensen, D. (March 2000)

Audio-Visuals Relating to Animal

Care, Use, and Welfare. AWIC Series

No. 2000-01.

• Smith, C. (September 2000) Animal

Welfare and Ethics for Youth and

College Agricultural Educators. AWIC

Resource Series No. 6–Revised and

Enlarged.

Two new documents are available in electronic

format only:

• Swindle, M.; Smith, C. (February 2000)

Information Resources for Swine in

Biomedical Research 1990–2000.

• Krause, W. (April 2000) Information

Resources on the North American

Opossum (Didelphis virginiana): A

Bibliography on Its Natural History

and Use and an Animal Model in

Biomedical Research. AWIC Resource

Series No. 9.
27

In March 1999, the Alternative Research and

Development Foundation, a group affiliated

with the American Antivivisection Society—

with In Vitro International and Kristine Gausz,

a college student—filed a lawsuit against

USDA seeking an order requiring USDA to

revise its regulations issued under the AWA to

delete the exclusion of rats, mice, and birds

from the regulatory definition of “animal.”

During FY 2000, the U.S. District Court for the

District of Columbia denied USDA’s motion to

dismiss the lawsuit. USDA and the plaintiffs

reached a settlement at the end of September

2000.

In the settlement, USDA agreed to initiate and

complete the rulemaking process, though no

outcome to the process was predetermined. In

early October, the court ruled the settlement

valid, but in subsequent appropriation

legislation, Congress prohibited USDA from

taking any rulemaking action during FY 2001.

The issue started in spring 1998, when the

Alternative Research and Development

Foundation filed a petition that would have

USDA exercise its authority under the AWA to

regulate rats, mice, and birds.

In January 1999, AC published the petition in

the Federal Register to solicit public input on

whether rats, mice, and birds should be

regulated and, if so, how the increased

workload should be prioritized. In March

1999, the comment period was extended

through May 28, 1999. By the end of FY

1999, AC had received more than 34,000

comments and was still reviewing them

throughout FY 2000. AC has also

commissioned a study by the Federal research

division of the Library of Congress to

determine the potential number of additional

facilities that might need to be regulated.

REGULATORY AND POLICY INITIATIVES

Groups Continue To Push for Coverage of Rats,

Mice, and Birds

Pain Categorization

Change and Definition

for “Distress”

Considered

On July 10, 2000, AC requested comments on

possible changes to the pain categorization

system and creation of a definition of

“distress” in the AWA regulations. Comments

were accepted through November 7, 2000, and

will be reviewed in FY 2001. The July 10

Federal Register notice is available on the

Internet at www.aphis.usda.gov/ppd/rad/

webrepor.html under docket 00–005–1.

More Options for

Alternatives to Painful

Procedures

On June 21, 2000, AC updated its Policy 12,

which provides guidance to regulated entities

on the requirement that they submit a written

narrative of the alternatives considered when

painful and/or distressful procedures must be

employed in laboratory experiments using

animals. The update expands the options

beyond the standard database search to

include symposiums, conferences, and

consultations. The full policy is available on

the Internet at

www.aphis.usda.gov/ac/policy/policy12.
28

Comments Sought on

Proposed Licensing

Changes

On August 4, AC requested comments on

several proposed changes to and clarifications

of AWA regulations, including licensing

requirements, procedures, and exemptions.

AC expects the changes will not only clarify

certain licensing regulations but also help AC

to better enforce the AWA. One change would

allow AC to use an applicant’s violation of

other Federal, State, or local laws or

regulations pertaining to animal cruelty and

handling to keep the party from getting a USDA

license. Other proposed changes include

• Expanding requirements of licensees who

maintain potentially dangerous animals,

• Changing APHIS’ method for notification of

license expiration,

• Clarifying requirements regarding the

number of female breeding dogs and/or cats

that may be maintained on a single premises

without a license, and

• Clarifying requirements regarding the

number of dogs and/or cats that can be sold

directly to research from a single premises

without a license.

The proposed rule is available in the August 4,

2000, Federal Register or on the Internet at

www.aphis.usda.gov/ppd/rad/webrepor.html

under docket 97–121–1.

In FY 2000, AC received and reviewed more

than 230 comments on the policy regarding

environmental enrichment for nonhuman

primates. A final policy taking the comments

into consideration was in clearance at the end

of FY 2000, and AC expects to issue the final

policy in FY 2001.

The policy, which will serve as a resource for

inspectors and regulated parties, will

complement the National Research Council’s

fall 1998 publication on this same issue. The

goal is to use both documents to best attain

enrichment for primates as mandated by the

1985 amendment to the AWA.

Comments Reviewed on Environmental

Enrichment Policy
29

In FY 2000, AC published a revised draft

policy regarding best practices for the training

and handling of potentially dangerous wild

and exotic animals. Among other things, the

notice sought input on suggested experience

requirements for animal handlers and trainers,

as well as on contingency plans for the

recapture of escaped or uncontrollable

animals. The revision was based on

More Comments Received on Training and

Handling of Dangerous Animals

Guidelines Adopted for

Nonagricultural Use of

Farm Animals

In February 2000, USDA adopted two guides

that facilities should follow for standards of

care for agricultural animals used in

nonagricultural research or exhibition as AC

policy 29. The guides are the “Guide for the

Care and Use of Agricultural Research and

Teaching,” published by the Federation of

American Societies of Food and Science, and

the “Guide for the Care and Use of Laboratory

Animals,” published by the Institute for

Laboratory Animal Research. Previously, the

standards in Title 9, CFR, Chapter 1,

Subchapter A, Part 3, Subpart F, applied.

Since June 1990, USDA has been regulating

horses used for biomedical or other

nonagricultural research and other farm

animals used for biomedical or other

nonagricultural research or for nonagricultural

exhibition. More information on the guides

can be found in the policy at

www.aphis.usda.gov/ac/policy/policy29.

comments received in FY 1998. The second

comment period was open from February 18

through April 18, 2000, and more than 250

comments were received. AC also held a

public meeting on the draft policy and other

exhibit animal issues. Comments made at the

meeting or submitted otherwise during the

comment period are being reviewed and will

be incorporated into the policy as appropriate.
30

On October 18, AC published its final rule on

perimeter fencing requirements for animals

covered under the AWA, with emphasis on

wild and exotic animals. It became effective

November 17. The rule does not apply to

nonhuman primates, which are already

covered under subpart D of the AWA

regulations. In general, the rule would require

a perimeter fence at least 6 feet high for most

animals and 8 feet high for dangerous

animals, such as elephants, bears, and large

cats. All requirements are designed to better

contain the animals and to keep out unwanted

animals.

AC is pursuing a technical amendment to the

rule to correct the inadvertent inclusion of

bobcats in a list of large felines. Bobcats are

wild felines that can range from 12 to 60 or

more pounds. The amendment would require

only a 6-foot perimeter fence for bobcats,

rather than an 8-foot fence. The amendment

was published November 28, 2000.

Perimeter Fencing Rule

Completed

On September 4, 1998, APHIS published a final

rule that establishes new requirements for

“swim-with-the-dolphins” programs. The new

rule includes requirements that facilities

maintain three separate pool areas: an

interactive area, a buffer zone, and a sanctuary

where the dolphins can swim free of public

contact. In early FY 1999, based on the nature

of shallow-water interactive or wading

programs, AC suspended the attendant-toparticipant ratio requirements and the

interactive space requirements for wading

programs. In April 1999, because of other

considerations, APHIS suspended enforcement

of the rule overall and solicited additional

comments to evaluate the appropriateness of

the rule given the extensive evolution of swimwith-the dolphins programs in recent years.

AC is developing proposed amendments to the

current rule that are more supportable based

on existing scientific data and more

appropriate to the nature of existing programs,

including the wading programs. AC is waiting

for economic impact analysis and clearance

before publishing the proposed amendments,

which is required as part of the regulatory

development process.

Work Progresses on Swim-With-the-Dolphins Rule
31

Other Initiatives

AC worked on several other initiatives during

FY 2000 and published them in the Federal

Register. These include

Notices:

Petition for regulation of rats, mice, and birds

Advance Notices of Proposed Rulemaking:

Definitions for and reporting pain and distress

(comments due 11/07/00)

Proposed Rules:

Inspection, licensing, and procurement of

animals (comments due 11/20/00)

Acclimation certificates for dogs and cats

(under review)

Final Rules:

Clarification of the definition of “field study”

(published 2/9/00)

Standards for marine mammals: consensus

language (under consideration)

Confiscation of animals (under consideration)

Technical Amendments:

Perimeter fencing: remove 8-foot requirement

for bobcats (under consideration)

Policies Completed

At the end of FY 2000, the following policies

had been issued:

Veterinary care (policy 3, revised)

Consideration of alternatives to painful/

distressful procedures (policy 12, revised)

Farm animals used for nonagricultural

purposes (policy 29, new)

Other Policy Initiatives

During FY 2000, AC worked on additional

AWA policies:

Space and exercise requirements for traveling

exhibitors (policy 6, being revised)

Capture methods of prairie dogs (policy 27,

being revised)

Environmental enrichment for nonhuman

primates (new)

Training and handling of potentially dangerous

animals (new)
32

GLOSSARY OF TERMS

Airport inspection—Individual airline

inspections of terminal, cargo, and baggage

areas made at airports for compliance with the

AWA regulations and standards.

Alleged violation—A violation of the AWA

regulations or standards that has been

documented as existing but has not been

legally concluded.

Carrier—The operator of any airline, railroad,

motor carrier, shipping line, or other enterprise

that is engaged in the business of transporting

any animals for hire.

Commerce—Trade, traffic, or transportation

that is between a place in a State and any place

outside of such State (including foreign

countries), or between points within the same

State but through any place outside of the

State.

Complaints—(1) A civil or administrative

complaint informs the alleged violator of the

AWA about allegations charged against him/

her. (2) A public complaint is information

received from citizens, humane groups, or

others concerning possible violations of the

AWA, regulations, or standards at animal

facilities.

Compliance—The status of a facility that

meets all of the regulatory requirements set

forth in the AWA regulations and standards.

Dealer—Any person who, in commerce, for

compensation or profit, delivers for

transportation, or transports (except as a

carrier), buys, or sells, or negotiates the

purchase or sale of (1) any dog or other

animal whether alive or dead (including

unborn animals, organs, limbs, blood, serum,

or other parts) for research, teaching, testing,

experimentation, exhibition, or for use as a

pet; or (2) any dog for hunting, security, or

breeding purposes. The term dealer does not

include a retail pet store unless such store

sells any animals to a research facility, an

exhibitor, or to a dealer (wholesale); or any

person who does not sell, or negotiate the

purchase or sale, of any wild or exotic animal,

dog, or cat and who derives no more than

$500 gross income from the sale of animals,

dogs, or cats, during any calendar year.

Enforcement—The activities undertaken by

USDA and APHIS AC and IES personnel to

ensure that the AWA's regulations and

standards are met. Enforcement includes

developing alleged violation cases and taking

action in the form of Letters of Warning,

warning tickets, stipulations, administrative

complaints, hearings, trials, and other legal

procedures and methods to obtain

compliance.

Exhibitor—Any person (public or private)

exhibiting any animals which were purchased

in commerce or the 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.

Facility—A facility is the holder of the

license or registration. Each facility may have

only one license or registration number but

may be physically divided into two or more

sites.

Inspections—

• Attempted inspection—An inspection that

could not be completed, including those

where representatives of the inspected

entities were not onsite or transportation

facilities were found to have no animals

present.

• Compliance inspection—An unannounced

inspection completed, after licensing or

registration, to determine the facility's

compliance with the AWA regulations and

standards. Compliance inspections include

reinspections.

• Prelicensing or Preregistration

inspection—An announced inspection

made, after application for licensure or

registration has been submitted, to ascertain

compliance with the AWA regulations and

standards prior to licensing or registering

the facility. Prelicensing inspections are

required. Preregistration inspections,

although not required, are often performed

upon request of the facility.

• Reinspection—An inspection made

specifically to follow up on one or more

violations documented during a compliance

inspection.

Intermediate handler—Any person who is

engaged in any business receiving custody of

animals in connection with their transportation

in commerce. This definition excludes

dealers, research facilities, exhibitors,

operators of auction sales, and carriers.

Investigation—Inquiries and examination of

allegation(s) that a person or facility is not

complying with the AWA or its regulations or

standards.

License classes—

• 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.
33

• 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 exhibitor whose

primary business is not required to be

licensed by the AWA. If a registered facility

conducts an activity that requires a license,

then it will also be licensed for that activity.

For example, some research facilities have a

dealer license in addition to their registration

because they occasionally sell surplus animals

to other research facilities.

Research facility—Any school (other than

elementary or secondary), institution,

organization, or person that uses or intends to

use live animals in research, tests, or

experiments, and that (1) purchases or

transports live animals in commerce or

(2) receives funds under a grant, award, loan,

or contract from a department, agency, or

instrumentality of the United States for the

purpose of carrying out research, tests, or

experiments.

• An active registered research facility is a

USDA-registered research facility that

currently utilizes animals covered by the

AWA for teaching, testing, or

experimentation.

• An inactive registered research facility is a

USDA-registered research facility that

currently does not utilize animals covered

by the AWA for teaching, testing, or

experimentation.

Retail pet store—Any outlet where only the

following animals are sold or offered for sale,

at retail, for use as pets: dogs, cats, rabbits,

guinea pigs, hamsters, gerbils, rats, mice,

gophers, chinchillas, domestic ferrets,

domestic farm animals, birds, coldblooded

species, and other common small pets. Retail

pet stores do not include any establishment or

persons who (1) deal in dogs used for

hunting, security, or breeding purposes;

(2) exhibit, sell, or offer to exhibit or sell, any

wild or exotic or other nonpet species of

warmblooded animals (except birds) such as

skunks, raccoons, nonhuman primates,

squirrels, ocelots, foxes, coyotes, etc.; (3) sell

warmblooded animals (except birds and

laboratory rats and mice) for research or

exhibition purposes; (4) wholesale any

animals (except birds and laboratory rats and

mice); or (5) exhibit pet animals in a room that

is separate from or adjacent to the retail pet

store, or in an outside area, or anywhere off

the retail pet store premises.

Search—Activity associated with finding

unlicensed or unregistered entities.

Site—All regulated components of a licensed

or registered facility within the same

geographical location, typically within a 35-

mile radius.

Stipulation—An agreement by a violator to

accept assessment of a civil penalty, license

suspension, or combination of both. The

stipulation procedure is used instead of formal

administrative hearings. Alleged violators are

offered the opportunity to waive a hearing by

agreeing to enter into a stipulation, in which

case they will pay a specified civil penalty and/

or have their license suspended for a specified

period.

Violation—An area or item, at a registered or

licensed facility, found to be out of compliance

with the regulations or standards of the AWA.
34

APPENDIX

TABLE 1. NUMBER OF LICENSEES AND REGISTRANTS,

BY FACILITIES AND NUMBER OF SITES (FY 2000)

Registered Licensed Licensed Active Inactive

intermediate Registered Class A Class B Licensed Registered research research

handlers carriers dealers dealers exhibitors exhibitors facilities facilities

Facilities Sites Facilities Sites Facilities Sites Facilities Sites Facilities Sites Facilities Sites Facilities Sites Facilities Sites

Total United States 302 422 86 800 3,433 3,391 1,179 1,227 2,489 2,803 19 19 1,231 1,509 34 36

Alabama 1 1 0 12 3 3 14 16 37 38 0 0 13 13 0 0

Alaska 2 4 4 20 2 1 0 0 10 10 0 0 4 4 0 0

Arizona 11 13 1 17 3 3 7 6 32 35 0 0 10 11 0 0

Arkansas 1 2 0 12 185 177 32 34 25 30 0 0 10 10 0 0

California 37 53 7 122 24 18 23 26 250 293 0 0 170 184 9 10

Colorado 5 11 1 12 7 7 8 8 32 33 0 0 23 22 1 1

Connecticut 6 10 0 7 0 0 11 11 40 43 0 0 18 25 0 0

Delaware 0 0 0 0 0 0 4 3 6 5 0 0 8 7 00

Dist. of Columbia 0 1 0 8 0 0 0 0 0 0 0 0 5 5 11

Florida 24 41 5 31 42 40 78 85 261 341 2 2 20 29 4 5

Georgia 12 15 3 17 24 24 12 12 56 64 2 2 15 28 0 0

Guam 1 1 0 2 0 0 0 0 3 3 0 0 0 0 0 0

Hawaii 17 17 4 28 0 0 0 0 20 20 0 0 2 2 0 0

Idaho 0 1 0 6 5 4 3 3 15 17 0 0 4 4 0 0

Illinois 13 11 1 13 55 55 47 47 140 162 2 2 41 41 1 1

Indiana 2 4 1 11 37 36 36 36 74 82 0 0 20 26 0 0

Iowa 0 3 0 9 311 312 58 57 47 48 0 0 17 21 0 0

Kansas 0 1 1 10 410 413 71 70 29 36 0 0 18 22 1 1

Kentucky 4 7 1 11 8 8 5 5 17 21 1 1 7 12 1 1

Louisiana 1 3 0 2 14 13 14 13 21 21 0 0 13 27 0 0

Maine 3 3 0 3 1 1 2 4 9 10 0 0 11 12 0 0

Maryland 5 9 0 10 5 5 14 13 26 24 0 0 47 55 0 0

Massachusetts 6 8 1 8 7 6 10 11 40 47 0 0 85 133 0 0

Michigan 5 9 4 22 15 16 34 36 98 105 4 4 34 44 0 0

Minnesota 1 3 2 6 81 78 41 41 59 59 2 2 26 37 0 0

Mississippi 0 0 0 2 3 3 3 4 13 13 0 0 6 6 0 0

Missouri 7 7 3 25 1,092 1,088 144 148 57 69 0 0 38 38 0 0

Montana 0 0 1 24 14 15 0 0 16 16 0 0 6 7 0 0

Nebraska 1 0 0 0 145 143 19 18 14 16 0 0 14 13 0 0

Nevada 3 7 2 19 4 3 7 8 50 52 0 0 1 3 0 0

New Hampshire 1 1 1 3 1 1 1 1 16 18 0 0 4 5 0 0

New Jersey 7 13 2 6 6 4 18 23 50 53 0 0 49 66 2 2

New Mexico 3 4 3 10 2 2 5 3 13 13 0 0 8 9 0 0

New York 24 33 4 41 25 23 33 35 121 134 0 0 90 111 1 2

North Carolina 9 14 2 27 9 9 24 26 36 38 0 0 24 31 1 1

North Dakota 1 1 0 11 28 29 3 5 15 14 0 0 3 3 0 0

Ohio 5 7 2 16 31 31 35 38 77 89 4 4 46 67 2 2

Oklahoma 2 3 0 7 423 421 56 58 28 34 0 0 17 19 2 1

Oregon 8 8 1 14 33 30 34 32 48 45 0 0 10 11 0 0

Pennsylvania 14 18 1 34 126 123 51 60 104 115 0 0 73 87 3 3

Puerto Rico 1 1 5 7 0 0 1 1 7 7 0 0 7 10 0 0

Rhode Island 1 2 0 2 0 0 2 2 7 8 0 0 7 7 00

South Carolina 1 3 0 11 8 8 6 7 22 26 0 0 11 15 0 0

South Dakota 0 0 0 11 95 92 18 17 22 25 0 0 6 6 0 0

Tennessee 3 7 2 27 16 16 13 15 28 32 0 0 18 17 2 2

Texas 24 27 5 39 87 87 119 127 196 221 0 0 80 92 0 0

Utah 5 5 2 9 1 0 1 1 14 14 0 0 8 8 0 0

Vermont 1 2 0 2 1 1 2 2 3 4 0 0 3 3 00

Virgin Islands 3 3 0 1 0 0 0 0 0 0 0 0 0 0 00

Virginia 8 12 4 8 7 7 13 12 49 54 1 1 14 20 1 1

Washington 8 9 5 35 14 11 9 7 26 32 0 0 29 27 2 2

West Virginia 1 1 0 1 1 1 10 10 10 11 0 0 5 5 0 0

Wisconsin 4 3 4 9 21 22 28 30 100 103 1 1 30 46 0 0

Wyoming 0 0 1 0 1 1 0 0 0 0 0 0 3 3 00
35

TABLE 2. ANIMALS USED IN RESEARCH (FY 2000)

Other

Number of Guinea farm Other

all animals Dogs Cats Primates pigs Hamsters Rabbits Sheep Pigs animals animals

Total United States 1,416,643 69,516 25,560 57,518 505,009 174,146 258,754 23,934 66,651 69,126 166,429

Total research 1,299,624 67,826 25,022 52,031 494,183 161,825 247,652 15,630 55,062 49,851 130,542

Federal agencies 117,019 1,690 538 5,487 10,826 12,321 11,102 8,304 11,589 19,275 35,887

Alabama 7,799 1,862 383 492 401 140 2,363 153 499 766 740

Alaska 528 18 0 0 0 0 0 0 0 0 510

Arizona 3,653 320 98 107 100 247 597 10 401 23 1,750

Arkansas 2,619 630 29 140 449 0 1,013 0 198 0 160

California 131,006 3,108 4,943 7,003 26,620 12,184 43,944 3,733 6,796 10,714 11,961

Colorado 9,942 755 503 8 2,948 1,522 873 540 513 70 2,210

Connecticut 7,948 697 158 579 861 1,370 2,268 6 571 61 1,377

Delaware 37,993 1,434 713 44 6,566 7,305 9,116 72 3,867 682 8,194

Dist. of Columbia 17,789 137 59 480 516 294 1,127 70 1,088 5 14,013

Florida 7,547 273 247 1,273 778 207 1,138 297 964 310 2,060

Georgia 23,884 1,168 356 3,601 849 4,654 10,246 17 1,207 159 1,627

Guam 0 0 0 0 0 0 0 0 0 0 0

Hawaii 188 0 1 13 46 0 21 0 76 9 22

Idaho 664 41 8 0 0 0 88 31 0 9 487

Illinois 33,618 2,907 654 675 7,271 2,450 10,150 420 3,747 1,254 4,090

Indiana 16,391 2,432 727 425 2,819 707 2,955 89 414 41 5,782

Iowa 63,835 2,149 1,504 11 7,964 40,295 4,892 960 1,934 3,443 683

Kansas 27,074 1,480 1,091 140 2,122 3,698 980 38 3,035 12,142 2,348

Kentucky 3,066 163 94 57 251 427 1,133 0 188 192 561

Louisiana 16,925 1,027 301 8,092 420 60 2,397 4 303 303 4,018

Maine 5,875 8 10 0 6 24 284 0 89 214 5,240

Maryland 55,253 1,011 595 5,460 19,012 9,260 10,757 420 1,351 466 6,921

Massachusetts 306,084 1,684 603 3,832 266,606 8,146 10,088 958 4,403 5,739 4,025

Michigan 33,553 4,335 1,008 1,207 10,327 1,452 5,442 456 672 1,325 7,329

Minnesota 16,642 1,962 442 299 4,569 783 3,755 944 2,771 460 657

Mississippi 1,846 414 19 113 6 458 173 7 403 45 208

Missouri 33,845 2,286 1,682 48 6,306 9,116 4,297 687 2,031 2,183 5,209

Montana 4,451 12 40 25 0 0 1,726 101 0 2,537 10

Nebraska 66,973 1,126 481 86 2,134 31,595 4,001 7,279 6,574 13,240 457

Nevada 2,392 101 0 0 737 0 96 216 0 0 1,242

New Hampshire 849 6 55 8 3 112 171 1 437 0 56

New Jersey 91,150 6,014 619 3,383 38,418 9,171 19,775 976 996 924 10,874

New Mexico 1,790 300 0 177 24 203 41 0 166 12 867

New York 54,946 5,153 1,965 2,197 14,836 9,989 7,804 916 2,205 209 9,672

North Carolina 29,391 1,816 760 1,526 7,836 1,399 8,709 244 2,704 1,708 2,689

North Dakota 523 14 31 0 92 0 1 309 57 17 2

Ohio 54,112 4,110 1,041 694 22,605 1,878 14,032 166 4,343 453 4,790

Oklahoma 3,899 930 169 92 677 138 513 35 40 264 1,041

Oregon 4,864 137 73 1,062 706 893 475 196 237 104 981

Pennsylvania 86,186 5,641 1,593 1,880 28,902 3,009 37,810 1,019 2,222 1,086 3,024

Puerto Rico 2,394 0 0 2,015 50 76 96 0 19 0 138

Rhode Island 1,593 27 92 14 81 339 180 126 223 3 508

South Carolina 6,107 150 154 400 201 35 851 0 496 3 3,817

South Dakota 5,297 50 25 4 14 5 225 598 569 3,723 84

Tennessee 8,242 1,078 349 154 1,250 1,066 1,303 119 1,660 271 992

Texas 50,477 2,502 776 3,587 6,259 3,807 16,163 937 3,213 3,355 9,878

Utah 4,513 239 40 24 1,180 340 727 92 313 60 1,498

Vermont 878 38 9 0 438 191 57 0 83 20 42

Virgin Islands 0 0 0 0 0 0 0 0 0 0 0

Virginia 16,345 2,638 265 1,429 393 1,482 5,084 45 1,117 166 3,726

Washington 24,505 627 107 1,083 3,570 1,107 3,178 344 345 149 13,995

West Virginia 883 45 70 0 363 10 146 79 32 0 138

Wisconsin 27,959 4,428 605 3,579 6,415 2,499 5,446 209 1,079 190 3,509

Wyoming 357 33 13 0 12 3 47 15 0 17 217
36

TABLE 3. ANIMALS USED IN RESEARCH, NO PAIN OR DISTRESS—

NO DRUGS NEEDED FOR RELIEF (FY 2000)

Other

Number of Guinea farm Other

all animals Dogs Cats Primates pigs Hamsters Rabbits Sheep Pigs animals animals

Total United States 897,226 32,898 13,206 31,574 387,077 90,872 142,674 13,860 26,339 56,067 102,659

Total research 825,370 32,747 12,943 28,631 383,703 84,220 140,688 5,984 19,219 40,367 76,868

Federal agencies 71,856 151 263 2,943 3,374 6,652 1,986 7,876 7,120 15,700 25,791

Alabama 3,325 751 287 8 248 61 597 24 46 666 637

Alaska 48 0 0 0 0 0 0 0 0 0 48

Arizona 1,697 30 0 78 88 144 105 0 0 13 1,239

Arkansas 1,751 602 29 133 145 0 671 0 131 0 40

California 70,678 1,232 2,105 4,719 14,682 4,976 24,077 1,557 2,601 8,319 6,410

Colorado 3,750 396 315 0 971 456 485 23 18 52 1,034

Connecticut 2,511 118 49 125 397 419 923 3 105 45 327

Delaware 22,275 751 697 33 2,885 3,750 6,966 72 3,743 682 2,696

Dist. of Columbia 10,899 33 0 240 248 137 281 0 33 0 9,927

Florida 4,653 151 69 1,205 636 162 486 189 166 199 1,390

Georgia 9,199 630 156 378 7 867 5,973 4 135 79 970

Guam 0 0 0 0 0 0 0 0 0 0 0

Hawaii 86 0 1 13 44 0 10 0 5 0 13

Idaho 411 4 0 0 0 0 36 0 0 6 365

Illinois 23,982 1,177 474 329 6,039 1,862 6,788 330 2,752 1,090 3,141

Indiana 6,960 828 424 226 855 118 1,862 4 12 41 2,590

Iowa 34,639 756 490 0 3,777 23,389 476 782 1,275 3,197 497

Kansas 19,727 1,236 975 0 221 83 110 38 2,832 12,109 2,123

Kentucky 124 0 28 0 1 0 42 0 0 3 50

Louisiana 9,137 140 9 5,460 6 60 475 0 18 232 2,737

Maine 5,746 0 0 0 6 24 284 0 0 207 5,225

Maryland 21,040 130 175 2,719 5,799 5,287 4,713 107 45 270 1,795

Massachusetts 276,684 352 317 1,820 11,363 4,049 3,038 208 891 2,952 2,694

Michigan 17,623 2,297 630 798 5,265 397 2,203 113 35 1,111 4,774

Minnesota 7,313 240 63 62 4,002 268 1,446 188 412 279 353

Mississippi 582 174 0 44 6 4 11 0 170 35 138

Missouri 16,684 1,494 1,483 11 4,627 1,839 2,690 371 1,435 2,014 720

Montana 4,143 12 20 25 0 0 1,493 101 0 2,492 0

Nebraska 51,912 564 335 65 1,899 21,335 2,550 7,119 5,764 12,025 256

Nevada 2,127 101 0 0 701 0 83 0 0 0 1,242

New Hampshire 78 0 0 0 0 2 70 0 0 0 6

New Jersey 52,373 3,721 527 1,580 21,412 5,935 11,936 248 113 837 6,064

New Mexico 1,073 109 0 68 0 144 20 0 1 0 731

New York 23,036 3,104 404 1,547 5,212 5,653 2,655 357 270 101 3,733

North Carolina 14,858 841 258 204 5,774 516 5,569 37 650 145 864

North Dakota 242 14 31 0 24 0 1 141 29 0 2

Ohio 36,453 2,301 460 215 19,362 605 9,994 16 555 33 2,912

Oklahoma 1,998 330 79 2 369 0 174 31 24 244 745

Oregon 1,784 23 12 128 4 562 9 1 0 66 979

Pennsylvania 51,489 2,830 1,190 1,277 12,635 1,221 29,391 558 494 322 1,571

Puerto Rico 1,163 0 0 860 50 19 96 0 0 0 138

Rhode Island 886 2 30 0 0 265 48 43 0 0 498

South Carolina 3,654 43 26 80 1 0 272 0 75 0 3,157

South Dakota 4,678 0 0 0 14 5 191 598 277 3,530 63

Tennessee 2,007 18 148 20 15 764 284 0 21 271 466

Texas 28,899 1,297 474 2,458 3,992 1,708 6,975 258 931 2,202 8,604

Utah 1,654 16 0 4 0 101 134 8 69 0 1,322

Vermont 545 6 3 0 428 60 0 0 0 6 42

Virgin Islands 0 0 0 0 0 0 0 0 0 0 0

Virginia 7,532 1,350 114 828 158 614 1,090 6 20 104 3,248

Washington 16,583 246 63 1,029 84 975 2,333 260 73 68 11,452

West Virginia 66 0 0 0 8 10 8 0 0 0 40

Wisconsin 16,320 2,448 256 2,783 3,615 2,023 2,546 50 113 11 2,475

Wyoming 149 0 0 0 2 3 4 15 0 9 116
37

TABLE 4. ANIMALS USED IN RESEARCH, WITH PAIN OR DISTRESS—

DRUGS USED FOR RELIEF (FY 2000)

Other

Number of Guinea farm Other

all animals Dogs Cats Primates pigs Hamsters Rabbits Sheep Pigs animals animals

Total United States 415,215 34,925 11,984 25,029 84,137 37,372 111,201 10,025 38,893 11,200 50,449

Total research 378,055 33,451 11,709 22,723 80,368 33,300 102,554 9,597 34,779 7,671 41,903

Federal agencies 37,160 1,474 275 2,306 3,769 4,072 8,647 428 4,114 3,529 8,546

Alabama 4,441 1,078 96 484 153 79 1,766 129 453 100 103

Alaska 480 18 0 0 0 0 0 0 0 0 462

Arizona 1,889 290 98 29 12 36 492 10 401 10 511

Arkansas 793 2 0 0 301 0 303 0 67 0 120

California 55,419 1,604 2,838 2,251 9,985 7,208 19,566 2,176 4,160 1,671 3,960

Colorado 3,559 359 188 0 679 900 332 501 495 18 87

Connecticut 4,845 477 109 222 322 945 1,235 3 466 16 1,050

Delaware 10,191 677 11 11 3,529 100 2,021 0 124 0 3,718

Dist. of Columbia 6,585 104 59 187 155 117 840 70 1,027 5 4,021

Florida 2,883 122 178 68 133 45 651 107 798 111 670

Georgia 14,310 522 200 3,159 780 3,599 4,260 13 1,072 80 625

Guam 0 0 0 0 0 0 0 0 0 0 0

Hawaii 102 0 0 0 2 0 11 0 71 9 9

Idaho 201 37 8 0 0 0 0 31 0 3 122

Illinois 8,601 1,693 180 346 603 557 3,206 90 960 87 879

Indiana 6,407 1,529 281 197 1,934 589 919 85 402 0 471

Iowa 11,331 1,167 956 11 3,851 149 4,416 178 218 200 185

Kansas 2,943 222 116 140 1,055 335 710 0 107 33 225

Kentucky 2,906 163 66 57 250 427 1,055 0 188 189 511

Louisiana 7,778 877 292 2,632 414 0 1,922 4 285 71 1,281

Maine 129 8 10 0 0 0 0 0 89 7 15

Maryland 27,346 837 420 2,629 7,620 3,614 5,580 313 1,306 185 4,842

Massachusetts 27,031 1,331 286 1,974 5,935 3,198 7,050 750 3,244 1,957 1,306

Michigan 11,051 1,967 378 351 2,145 1,055 2,973 343 637 116 1,086

Minnesota 8,890 1,722 379 237 567 515 1,870 756 2,359 181 304

Mississippi 1,264 240 19 69 0 454 162 7 233 10 70

Missouri 9,810 792 199 37 399 1,299 1,562 316 557 160 4,489

Montana 308 0 20 0 0 0 233 0 0 45 10

Nebraska 5,021 510 134 21 107 462 1,451 160 810 1,215 151

Nevada 265 0 0 0 36 0 13 216 0 0 0

New Hampshire 726 6 55 8 3 110 56 1 437 0 50

New Jersey 33,566 2,059 88 1,715 15,457 911 6,958 698 882 85 4,713

New Mexico 717 191 0 109 24 59 21 0 165 12 136

New York 25,604 1,834 1,328 616 6,577 2,496 5,080 559 1,768 108 5,238

North Carolina 12,673 945 502 1,318 469 883 3,005 207 1,979 1,540 1,825

North Dakota 281 0 0 0 68 0 0 168 28 17 0

Ohio 15,871 1,774 581 479 1,759 1,273 3,863 150 3,788 420 1,784

Oklahoma 1,901 600 90 90 308 138 339 4 16 20 296

Oregon 3,080 114 61 934 702 331 466 195 237 38 2

Pennsylvania 28,099 2,680 377 476 10,762 1,497 7,903 459 1,728 764 1,453

Puerto Rico 1,231 0 0 1,155 0 57 0 0 19 0 0

Rhode Island 674 25 62 14 81 74 99 83 223 3 10

South Carolina 2,453 107 128 320 200 35 579 0 421 3 660

South Dakota 344 50 25 4 0 0 31 0 58 155 21

Tennessee 6,196 1,031 191 134 1,235 302 1,019 119 1,639 0 526

Texas 19,922 1,179 302 1,104 2,183 1,717 8,811 679 2,282 1,152 513

Utah 2,859 223 40 20 1,180 239 593 84 244 60 176

Vermont 293 32 6 0 10 91 57 0 83 14 0

Virgin Islands 0 0 0 0 0 0 0 0 0 0 0

Virginia 8,783 1,288 151 571 235 868 3,994 39 1,097 62 478

Washington 2,929 381 44 54 136 132 845 84 272 81 900

West Virginia 817 45 70 0 355 0 138 79 32 0 98

Wisconsin 9,209 1,980 349 796 1,416 476 2,702 159 966 179 186

Wyoming 208 33 13 0 10 0 43 0 0 8 101
38

TABLE 5. ANIMALS USED IN RESEARCH, WITH PAIN OR DISTRESS—

NO DRUGS USED FOR RELIEF (FY 2000)

Other

Number of Guinea farm Other

all animals Dogs Cats Primates pigs Hamsters Rabbits Sheep Pigs animals animals

Total United States 104,202 1,693 370 915 33,795 45,902 4,879 49 1,419 1,859 13,321

Total research 96,199 1,628 370 677 30,112 44,305 4,410 49 1,064 1,813 11,771

Federal agencies 8,003 65 0 238 3,683 1,597 469 0 355 46 1,550

Alabama 33 33 0 0 0 0 0 0 0 0 0

Alaska 0 0 0 0 0 0 0 0 0 0 0

Arizona 67 0 0 0 0 67 0 0 0 0 0

Arkansas 75 26 0 7 3 0 39 0 0 0 0

California 4,909 272 0 33 1,953 0 301 0 35 724 1,591

Colorado 2,633 0 0 8 1,298 166 56 16 0 0 1,089

Connecticut 592 102 0 232 142 6 110 0 0 0 0

Delaware 5,527 6 5 0 152 3,455 129 0 0 0 1,780

Dist. of Columbia 305 0 0 53 113 40 6 0 28 0 65

Florida 11 0 0 0 9 0 1 1 0 0 0

Georgia 375 16 0 64 62 188 13 0 0 0 32

Guam 0 0 0 0 0 0 0 0 0 0 0

Hawaii 0 0 0 0 0 0 0 0 0 0 0

Idaho 52 0 0 0 0 0 52 0 0 0 0

Illinois 1,035 37 0 0 629 31 156 0 35 77 70

Indiana 3,024 75 22 2 30 0 174 0 0 0 2,721

Iowa 17,865 226 58 0 336 16,757 0 0 441 46 1

Kansas 4,404 22 0 0 846 3,280 160 0 96 0 0

Kentucky 36 0 0 0 0 0 6 0 0 0 0

Louisiana 10 10 0 0 0 0 0 0 0 0 0

Maine 0 0 0 0 0 0 0 0 0 0 0

Maryland 6,867 44 0 112 5,593 359 464 0 0 11 284

Massachusetts 2,369 1 0 38 308 899 0 0 268 830 25

Michigan 4,879 71 0 58 2,917 0 266 0 0 98 1,469

Minnesota 439 0 0 0 0 0 439 0 0 0 0

Mississippi 0 0 0 0 0 0 0 0 0 0 0

Missouri 7,351 0 0 0 1,280 5,978 45 0 39 9 0

Montana 0 0 0 0 0 0 0 0 0 0 0

Nebraska 10,040 52 12 0 128 9,798 0 0 0 0 50

Nevada 0 0 0 0 0 0 0 0 0 0 0

New Hampshire 45 0 0 0 0 0 45 0 0 0 0

New Jersey 5,221 234 4 88 1,549 2,325 881 30 1 2 97

New Mexico 0 0 0 0 0 0 0 0 0 0 0

New York 6,306 215 233 34 3,047 1,840 69 0 167 0 701

North Carolina 1,860 30 0 4 1,593 0 135 0 75 23 0

North Dakota 0 0 0 0 0 0 0 0 0 0 0

Ohio 1,788 35 0 0 1,484 0 175 0 0 0 94

Oklahoma 0 0 0 0 0 0 0 0 0 0 0

Oregon 0 0 0 0 0 0 0 0 0 0 0

Pennsylvania 6,598 131 26 127 5,505 291 516 2 0 0 0

Puerto Rico 0 0 0 0 0 0 0 0 0 0 0

Rhode Island 33 0 0 0 0 0 33 0 0 0 0

South Carolina 0 0 0 0 0 0 0 0 0 0 0

South Dakota 275 0 0 0 0 0 3 0 234 38 0

Tennessee 39 29 10 0 0 0 0 0 0 0 0

Texas 1,656 26 0 25 84 382 377 0 0 1 761

Utah 0 0 0 0 0 0 0 0 0 0 0

Vermont 40 0 0 0 0 40 0 0 0 0 0

Virgin Islands 0 0 0 0 0 0 0 0 0 0 0

Virginia 30 0 0 30 0 0 0 0 0 0 0

Washington 4,993 0 0 0 3,350 0 0 0 0 0 1,643

West Virginia 0 0 0 0 0 0 0 0 0 0 0

Wisconsin 2,430 0 0 0 1,384 0 198 0 0 0 848

Wyoming 0 0 0 0 0 0 0 0 0 0 0
39

TABLE 6. NUMBER OF ANIMALS USED BY RESEARCH FROM

THE FIRST REPORTING YEAR (1973) TO THE PRESENT

Other

Guinea Farm covered

FY Dogs Cats Primates pigs Hamsters Rabbits animals animals Totals

1973 195,157 66,195 42,298 408,970 454,986 447,570 38,169 1,653,345

1974 199,204 74,259 51,253 430,439 430,766 425,585 81,021 1,692,527

1975 154,489 51,439 36,202 436,446 456,031 448,530 42,523 1,625,660

1976 210,330 70,468 50,115 486,310 503,590 527,551 73,736 1,922,100

1977 176,430 62,311 53,116 348,741 393,533 439,003 46,535 1,519,669

1978 197,010 65,929 57,009 419,341 414,394 475,162 58,356 1,687,201

1979 211,104 69,103 59,359 457,134 419,504 539,594 76,247 1,832,045

1980 188,783 68,482 56,024 422,390 405,826 471,297 49,102 1,661,904

1981 188,649 58,090 57,515 432,632 397,522 473,922 50,111 1,658,441

1982 161,396 49,923 46,388 459,246 337,790 453,506 69,043 1,577,292

1983 174,542 53,344 54,926 485,048 337,023 466,810 108,549 1,680,242

1984 201,936 56,910 55,338 561,184 437,123 529,101 232,541 2,074,133

1985 194,905 59,211 57,271 598,903 414,460 544,621 284,416 2,153,787

1986 176,141 54,125 48,540 462,699 370,655 521,773 144,470 1,778,403

1987 180,169 50,145 61,392 538,998 416,002 554,385 168,032 1,969,123

1988 140,471 42,271 51,641 431,457 331,945 459,254 178,249 1,635,288

1989 156,443 50,812 51,688 481,712 389,042 471,037 153,722 1,754,456

1990 109,992 33,700 47,177 352,627 311,068 399,264 66,702 257,569 1,578,099

1991 107,908 34,613 42,620 378,582 304,207 396,046 214,759 363,685 1,842,420

1992 124,161 38,592 55,105 375,063 369,585 431,432 210,936 529,308 2,134,182

1993 106,191 33,991 49,561 392,138 318,268 426,501 165,416 212,309 1,704,505

1994 101,090 32,610 55,113 360,184 298,934 393,751 180,667 202,300 1,624,649

1995 89,420 29,569 50,206 333,379 248,402 354,076 163,985 126,426 1,395,463

1996 82,420 26,035 52,327 299,011 246,415 338,574 154,344 146,579 1,345,739

1997 75,429 26,091 56,381 272,797 217,079 309,322 159,742 150,987 1,267,828

1998 76,071 24,712 57,377 261,305 206,243 287,523 157,620 142,963 1,213,814

1999 70,541 23,238 54,927 266,129 201,593 280,222 155,409 165,939 1,217,998

2000 69,516 25,560 57,518 505,009 174,146 258,754 159,711 166,429 1,416,643
40
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