Glossary of Terms

Airport Inspection - Individual airline inspections of
cargo and baggage areas made at airports for compli-
ance with the AWA regulations and standards.

Alleged Violation - A violation of the Act, regulations, or
standards that has been documented as existing but has
not been legally concluded.

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

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

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

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

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

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

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

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

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

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

13


Organization and Administration of the Act

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

Within USDA, APHIS is responsible for administering the
AWA. The Regulatory Enforcement and Animal Care
(REAC) unit of APHIS has direct responsibility for
administration of this. program. REAC was established
within APHIS in 1988 to administer and enforce the
AWA and the Horse Protection Act.

The Animal Care component of REAC, a subunit whose
mission is solely animal care, allows APHIS to give
animal care better attention and visibility. The people
who work in Animal Care have chosen to devote 100
percent of their work time to this important function.
These employees are highly qualified and have an
excellent professional support system and communica-
tion network. All of these individuals are highly trained,
with some having specialized interest and expertise in
such areas as the care of laboratory animals, zoo ani-
mals, and marine mammals.

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

REAC Field Activities

The Animal Care program is locally administered through
sector offices in Annapolis, Maryland; Minneapolis,
Minnesota; Sacramento, California; Fort Worth, Texas;
and Tampa, Florida. Each sector office is staffed by a
supervisory veterinary medical officer heading the
Animal Care unit and a sector supervisor heading the
Regulatory Enforcement unit. Licensing, registration,
inspections, and investigation of complaints and alleged
violations are accomplished by REAC administrative,
technical, and clerical employees who are directed by
the sector supervisors and
The field force con: .
veterinary medical officers, ure inspectors, and
investigators who perform the compliance inspections
and investigations.

REAC Headquarters Activities

The assistant deputy administrator for Animal Care
supervises the inspection field force and the director of
the Animal Care staff. The Animal Care staff provides
technical support and assists in developing and provid-
ing program direction, goals, priorities, policies, proce-
dures, and regulations in order to carry out the program
in an effective and efficient manner. The staff serves as
the source of the agency’s expertise in the areas of
laboratory animals and research facilities, horse protec-
tion, exotic and exhibit animals, and animal dealers.

The Animal Care staff, in cooperation with APHIS’
Recruitment and Development group, provides program
training for Animal Care personnel. This staff is also
responsible for cooperating with other Federal agencies
in enforcing the AWA and for maintaining liaison and
working relations with regulated professional groups,
industry organizations, humane groups, and other
concerned groups and individuals.

The Regulatory Enforcement staff has the enforcement
function for all APHIS programs. This includes but is not
limited to investigation of violations of the AWA regula-
tions and standards, the documentation of evidence, and
the development of alleged violation cases for prosecu-
tion. Regulatory Enforcement personnel work closely
with USDA's Office of the General Counsel in the
prosecution of violators.

Training

During FY 1990, the Recruitment and Development staff,
along with REAC’s Animal Care staff, developed and
presented 7 formal training courses for about 75 field
personnel. These courses were held at various locations
across the country.

All inspectors completed training courses on animal
transportation and zoo animal husbandry in FY 1990.
Because of the need for qualified individuals to conduct
inspections of marine mammal facilities, a select group
of Animal Care veterinarians received indepth training in
marine mammal husbandry, biology, and medicine. The
instructors included experts from various Federal and
State agencies, as well as from the private sector.

An additional orientation training course in animal
welfare was given to a class of 30 veterinarians partici-
pating in the 1990 Public Veterinary Practice Career
(PVPC) program. Many of these trainees have expressed
an interest in joining REAC.

Courses were given on the following subjects during FY
1990: animal transportation (3), zoo animals (3), animal
care to PVPC program participants, and marine mammals.


CORRECTIONS TO 1990 “ANIMAL WELFARE ENFORCEMENT” REPORT - FEBRUARY 1992

Appendix
Table 5. Animals Used in Experimentation No Pain - No Drugs (FY 1990)
Number of Number of Gaines Farm
reyistranis allanima) = Dogs Cas Primates pigs Hamsters Rabbits animals Other
Total United Sates 902 920,364 37,518 11,332 31,601 197,733 190,394 231,352 25,660 194,774
Total Research 803 857,915 36,802 10,969 28,544 184,191 180,232 219,842 15,904 181,431
Total Federal Agencies 99 (62,449 716 363 «3,057 «13,542 :10,162—11,510 9,756 13,343
Alabama 9 4,759 931 53 386 1,328 684 984 248 345
Alaska 1 728 0 0 0 10 0 14 0 704
Arizona 3 1,155 0 0 74 0 962 38 ) 81
Arkansas 7 561 223 51 10 40 3 37 13 184
Califomia 98 63,765 543 1,023 613, 15,155 5,992 (34,336 2,697 3,406
Colorado 13 15,041 422 236 31 586 11,540 1,364 0 842
Connecticut 14 13,210 187 135 40 1,555 7,549 2,626 Oo 1,118
Delaware 4 34,250 41. «6 1 14,631 15,423 1,997 441,627
District of Columbia 4 1,490 1 ) 0 37 852 304 63 233
Florida 16 14,103, 2,117 426 354 2,190 1,004 7,052 21 939
_ Georgia 1 6,859 676 155 615 1,115 2,302 360 2 1,634
Hawaii 1 1,414 0) ) 0 110 1,140 80 0 84
Idaho - 1 37 ) 0) 0 0 0 37 0 )
Mlinois 36 033,984 2,243 460 368 9,575 9,132 9,718 1,246 1,242
Indiana 10 —-11,387, 1,136 51 156 5,757 1,407 2,581 24 275
lowa 130,475 465, 716 9 3,955 20,641 4,137 0 552
Kansas 18 12,835 ‘1,006 436 0 1,162 5,998 2,304 12 «1,917
Kentucky 4 1,354 143 48 0 6 108 859 128
Louisiana 9 11,103 467 #42 8,698 210 212 387 23 264
Maine 13 1,335 2 0 0 40 0 46 473 174
Maryland 20 12,563 40 170 136 1,283 ‘1,782 5,460 1,725 1,967
Massachuseus 57 47,382 527 11 600 5,529 10,182 26,509 549 3,475
Michigan 26 «= 18,383. -1,940 207 699 5,865 923 7,052 201-1496
Minnesota 13 14947 1,015 151 13 3, 6111 3,004 30 659
Mississippi 2 350 15 40 0 19 142 20 90 24
Missouri 27° 28,102, 2,248 = 1,352 50 1,932 9,900 4,786 2 7,832
Montana 3 1,076 0 0 15 352 67 315 Cy 327
Nebraska 4 24,642 866 401 0 2,550 19,125 1,362 0 338
Nevada 1 934 0 0 C) 511 120 197 0 106
New Hampshire 2 673 V) 75 0 41 47 254 20
New Jersey 39 =—-74,859 4,863 9 1,404 28,439 «8,866 27,019 198 4,061
New Mexico 4 1,456 337 0 706 197 19 0 197
New York 58 62,733 —_2,651 810 606 27,703 13,983 9,915 1,808 5,257
North Carolina 18 —«-23,037 «1,942 1,005 1,926 4,585 6,005 3,725 =—«1,3922,457
North Dakota 2 3,021 18 0 () 65 1,116 220 0 1,602
Ohio * 34 39,283 2,358 305 754 16,987 2,266 14,788 155 1,670
Oklahoma 9 1,561 109 20 124 336 292 360 320
Oregon 10 1,870 40 «A 615 330 7 176 285 343
Pennsylvania 62 40,387 2,382 493 650 10,311 3,544. 18,732 760 (3,515
Puerto Rico 6 1,419 0 0) 785 357 0 495 0 82
Rhode Island 6 203 0 u 43 ° 30 89 0 30
South Carolina 4 7,710 321 207 14 290 240 352 259 6,027
South Dakota 3 193 29 12 6 13, 120 13, 0 0
Tennessee 10 3,303 444 50 280 532 783 1,079 2 133
Texas 48 29,055 1,374 348 4,061 4,198 2,114 11,454 530 4,976
Utah 5 7,486 29 7 0 2,330 981 2,749 431,347
Vermont 3 89 0 0 0 2 7 10 0 0
Virgin Islands 0 f) 0 [1 0 0 0 ry r) O
Virginia 13 6447 1,294 128 436 1,236 1,463 1,594 44 252
Washington 13 120,412 221 150 957 604 ‘1,083 1,887 168 115,342
West Virginia 3 353 ) ) 0 30 +195 41 0 87
Wisconsin 120 -23,514 1,131 291 -2,219 6575 3,258 6,261 2,415 1,364
Wyoming 3 627 15 14 t) 2 254 42 0 300

18


Inspections of Animals in Transit

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

APHIS inspections of intermediate handlers focus on
ensuring that animals are provided care when there is a
delay in transit. Airports and intermediate handlers
receive unannounced inspections based on the volume
of animals handled. Although more inspections of air
carriers were done in FY 1990 than in FY 1989, the
inspections of air carriers for FY 1990 were not as
frequent as the agency desired, for several reasons.
Seven training courses were given to field inspectors in
FY 1990, and field inspectors were detailed into head-
quarters for 3 weeks to review and analyze comments

Chart 5

Animal Welfare Act

on proposed standards for Part 3, 9 CFR. This resulted
in at least 10 weeks lost for inspection purposes. Addi-
tionally, the 1985 amendment to the AWA mandates that
at least once a year, APHIS inspect all research facilities,
and reinspect all deficient sites until the deficiencies are
corrected. This requirement reduces our flexibility in
performing inspections. We expect the frequency of air
terminal inspections to increase further in FY 1991. The
number of inspections of intransit shipments is listed
below for FY 1988 through FY 1990.

In-transit Inspections, FY 1988-90.

Intransit

FY inspections
1990 1,074
1989 980
1988 2,643

Carriers and Intermediate Handlers

3,000 5
[] 1990 2,643
2,500 + 1989
BH 1988
2,000 +
1,500 +
1,000 + 771 822
500 +
275 282 266 272
143 145 136 209 247
0 | Zn / /
Carriers Inspections Intermediate Inspections

Results from WBBS Reports

Handlers


Reports From Research Facilities

Each research facility registered under the AWA and
each Federal research facility is required to submit an
annual report, signed and certified by the Institutional
Official, covering the previous fiscal year. The report
lists the numbers and species of animals used in re-
search, testing, and experimentation and indicates
whether pain-relieving drugs were administered. If pain
relief was not administered, the report must explain why
the use of pain-relieving drugs 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; that each principal investigator considered
alternatives to painful procedures; and that the facility is
adhering to the standards and regulations under the Act
and that any exception to such adherence was justified
by the principal investigator and approved by the
Institutional Animal Care and Use Committee.

In FY 1990, 1,578,099 warmblooded animals were used
in research, testing, or experimentation. This number
excludes birds, rats and mice, and farm animals used in
agricultural research. Chart 2 shows the number and
species of animals used in research for FY 1990. Chart 3
shows the number and percentage of research animals
that did not experience pain or distress, those that
received drugs for the relief of pain, and those that did
not receive drugs for pain relief because of interference
with research or test results.

Chart 2

Animal Exhibitors

Licensed exhibitors operate animal acts, carnivals,
circuses, public zoos, roadside zoos, and marine mam-
mal exhibits. Most of the animals exhibited are wild or
exotic species such as lions and other large cats, hoof
stock, and bears. During FY 1990, 1,370 exhibitors held
USDA licenses, and 45 held registrations. Licensed
exhibitors are those who either obtain or dispose of their
animals in commerce or exhibit them for compensation.
Registered exhibitors do not buy, sell, or transport
animals, and do not accept compensation. Listed below
are the number of exhibitors regulated during FY 1988-
90. Chart 4 shows the number of inspections for that
same period.

Regulated Exhibitors FY 1988-90

Registered and

FY licensed exhibitors
1990 1,415
1989 1,504
1988 1,475

Animal Used in Research, Experiments,

Testing, and Teaching in 1990

Rabbits
25%

Hamsters
0%

Primates
2% 3%

Results trom Form 18-23

Guinea Pigs
22%


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

Steps were taken during FY 1990 toward developing
advanced, indepth training in specialized fields of study.
APHIS proposes to implement externship training
programs in laboratory animal medicine and zoo animal
medicine in the future.

Licensing and Registration

The AWA regulations require the licensing of animal
dealers, exhibitors, and the operators of animal auction
sales where animals regulated under the AWA are sold.
Licenses are valid unless the licensee terminates the
license voluntarily, fails to renew the license, or the
license is suspended or revoked by an Administrative
Law Judge in an enforcement proceeding. The Depart-
ment terminates licenses that are not renewed within the
time requirements set forth in the regulations. Following
the investigation of an alleged violation, a license may
be revoked or suspended by an Administrative Law
Judge after a notice and opportunity for a hearing. The
fees for dealers and exhibitors are determined by a
graduated schedule listed in the regulations (9 CFR).
Due to a change in the regulations, there was a fee
increase in FY 1990, Dealers pay between $30 and $750,
and exhibitors pay $30 to $300. These fees are depos-
ited as “miscellaneous receipts” with the U.S. Treasury
and do not directly support the APHIS budget.

Chart 1

Research Facilities

Research facilities include hospitals, colleges and univer-
sities, diagnostic laboratories, and many private firms in

the pharmaceutical and biotechnology industry. The list
includes both Federal and non-Federal research facilities.

All research facilities are required to comply with the
AWA regulations. Federal facilities are not registered or
inspected under the AWA; however, the heads of
Federal agencies are responsible*for maintaining compli-
ance with the AWA regulations and standards. Non-
Federal research facilities receive unannounced inspec-
tions on a regular basis to determine compliance with
regulations and standards. Listed below are the number
of registered research facilities for FY 1988-90. Chart 1
shows the number of inspections of these facilities for
FY 1988-90.

Registered Research Facilities, FY 1988-90

FY Facilities Sites

1990 1,470 3,234
1989 1,296 2,851
1988 1,308 2,878

Registered Research Facilities

4,000 5
“1990 =
198:
som ss
1988
3,000 + ' 2,878 2,851 2.982|
2,000 =
1,308 1,296)
1,000 =
506 S92
| an
ie} ¥ i t i 7
# Facilities # Sites #\nspections # Reinspections

Fesuks trom WBS Repons


Inspections

Because license applicants are required by law to be in
full compliance with regulations and standards before a
license is issued, APHIS performs prelicensing inspec-
tions to determine whether an applicant is in compli-
ance. After a license has been issued, APHIS performs
unannounced inspections periodically to ensure contin-
ued compliance. APHIS conducted 2,029 prelicensing
inspections and 13,050 compliance inspections and
reinspections in FY 1990.

Prelicensing Inspections

The number of prelicensing inspections performed by
APHIS for FY 1988 through FY 1990 is listed below.

Compliance Inspections

APHIS routinely makes unannounced inspections of all
licensees and registrants to ascertain compliance with the
regulations. If conditions are discovered that are not in
compliance with the regulations when these inspections
are made, APHIS establishes a deadline for correction of
these items. Inspectors are required to make a
reinspection following the deadline date for correction.
If the conditions remain uncorrected, APHIS documents
them for possible legal action. Listed below are the
number of compliance inspections for dealers, exhibi-
tors, research facilities, and intermediate handlers for FY
1988-90. Chart 7 shows the number of compliance
inspections for each type of facility.

Compliance Inspections for FY 1988-90

Prelicensing Inspections of Dealers and Exhibitors Compliance
FY 1988-1990 FY inspections
preicensing 1990 13,050
n ise 1989 11,056
1990 2,029 1988 13,383
1989 1,854
1988 1,913
Chart 4
Licensed and Registered Exhibitors
3,000 5
1990
Q 2,566
1989
W 1988
2,000 + 1,965
1,799
1,475 1,504 | 415
1,000 +
512) 454 466
0 7 ¢ 1
# Facilities # Inspections # Reinspections

Results rom WBBS Reports

8


Animal Welfare Enforcement

Fiscal Year 1990

Report of the
Secretary of
Agriculture to
the President
of the Senate

and the Speaker
of the House of
Representatives

United States Animal and APHIS 4)-35-006)
Department of Plant Health
Agriculture Inspection

Service



Liaison With Other Federal Agencies

APHIS represents USDA on the Interagency Research Animal
Committee, which is composed of 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 concems and for making contributions to
policy development. It also serves as a forum for information
exchange and regulation development.

The Animal Welfare Information Center of the National
Agricultural Library was established by the 1985 amendment
to the AWA. The mission of the center is to provide

(1) information on animal care and use that could prevent
unintended duplication of animal experimentation;

(2) information on improving animal experimentation,
including alternatives to animal and (3) information
pertinent to training of employees. In FY 1990, the center
produced 36 publications and distributed 29,000 copies of
them; responded to 2,700 requests for reference or referral
services; and provided 391 database searches. The center has
worked closely with and provided these services to APHIS
animal care personnel as well as the public.

APHIS also maintains close working relationships with the
following Federal agencies in regard to regulation and
enforcement of the AWA: National Institutes of Health and
the Food and Drug Administration, Department of Health and
Human Services; Department of Defense; Department of
Veterans Affairs; Marine Mammal Commission; National
Marine Fisheries Service, Department of Commerce; and US.
Fish and Wildlife Service, Department of the Interior.

Chart 7

All Licensed and Registered Facilities

Compliance Inspections

Inspections Conducted

Other Activities

APHIS Animal Care personnel actively participate in
organizations concerned about the humane care of
animals. APHIS is represented on committees of the
American Veterinary Medical Association, the American
Society of Laboratory Animal Practitioners, and the
American Association of Zoo Veterinarians. The agency
also participates in the annual meetings of these organi-
zations and that of the American Association of Labora-
tory Animal Science. APHIS maintains an active role in
the American Association of Zoological Parks and
Aquariums, the International Association of Aquatic
Animal Medicine, and the Air Transport Association of
America by having representatives attend their annual
conferences and maintaining close liaison with these
groups. All of these organizations have a concern for
the well-being and improved husbandry and care of
animals.

APHIS Animal Care is also represented in the United
States Animal Health Association and has members on
both its animal welfare committee and zoological
committee. These committees have a broad membership
that represents the public's concern in animal welfare.

7,000 4 778
6,000 - as

on [] 1990
5,000 + 1989

1988
4,000 = 3767 J
3.544 9.589
3,000 ~
258 49,
2,000 -
1,000 5 mm 827
22209 247
0+ f + ¢ . f 1
Dealers Research Exhibitors Carriers Inter. Handlers
Facilities 11

Facility Type

Feesuts trom WARS Reporte


Complaints

APHIS gives high priority to complaints about licensed
or registered facilities in order to ensure that regulated
animals are receiving proper care. The agency also
searches continually for dealers, exhibitors, or research
facilties which are unlicensed or unregistered.

The number of searches made and the complaints
investigated during FY 1988 through FY 1990 are
indicated below.

Complaints Investigated and Searches Made, FY 1988-90

Investigations

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

License suspensions or revocations, cease and desist
orders, civil penalties, or a combination of these may be
used to settle a case through administrative procedures.

_ Complains Searches Official Notices of Warning are also used to close some
1990 657 1,315 Jess serious cases. Investigation activities for FY 1988
1989 962 1,138 through FY 1990 are listed below.
1988 951 1,320
Animal Welfare Investigation Activities FY 1988-1990
Violations Cases that
submitted reached decision
FY to RE staff and/or orders:
1990 677 101 32
1989 568 122 15
1988 639 4ll 33
Chart 6
Licensed Dealers
7,000 ] 6,778
{1990
6,000 | 71989
1988
5,000 - 513
451
4,233 4) 4,268
4,000 + 3,920
3,000 4
2,000 + aoe
1,443
1,130
1,000
0 7 f 5 1
# Facilities # Inspections —# Reinspections

Results trom WEBS Reports

10


Carriers and Intermediate Handlers

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

Intermediate handlers usually provide services for
animals between consignor and carrier and from carrier
to consignee. They also care for animals delayed in
transit.

The number of registered carri
handlers for the past 3 years
number of carrier and intermediate handler inspections
is shown on chart 5.

and intermediate

Registered Carriers and Intermediate Handlers, FY 1988-90

red Intermediate

FY handlers

1990 206

1989 282

1988, 275,
Chart 3

Licensed Dealers

Persons selling animals for research or teaching, wild
animals for exhibition, or pet animals at the wholesale
level must be licensed by USDA. There are two classes
of licensees. The A class licensees are breeders and deal
only in animals which they breed and raise. The B class
licensees include brokers, bunchers, and operators of
auction sales, The number of licensed dealers for FY
1988 through FY 1990 are listed below. The number of
dealer inspections for the same period is shown on chart 6.

Licensed Dealers FY 1988-90

Dealers Class A Class B
FY (otal) Dealers Dealers
1990 4,268 3,323 945
1989 4.415 3,259 1,156
1988 4,233 n/a n/a

Animals Used in Experiments Involving Pain

1990

No Pain or Distress
[| Pain Alleviated
@ Pain - No Drugs Used


Legislation

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

The first amendment to the AWA was passed in 1970
(PL. 91-579). This amendment authorized the Secretary
to regulate other warmblooded animals when used in
research, exhibition, or the wholesale pet trade.

An amendment in 1976 (P.L. 94-279) prohibited animal
fighting ventures and regulated the commercial transpor-
tation of animals. In 1985, the Improved Standards for
Laboratory Animals Act was enacted as part of the Food
Security Act and further amended the AWA. Included in
these amendments was a direction to the Secretary to
issue additional standards for the use of animals in
research.

Regulations

The Improved Standards for Laboratory Animals Act was
passed in December 1985 as part of the Food Security
Act of 1985 (Public Law 99-198). That law amended the
AWA and required the Secretary of Agriculture to
promulgate standards for the exercise of dogs and for a
physical environment adequate to promote the psycho-
logical well-being of nonhuman primates. Additional
requirements of the 1985 amendments included the
establishment of Institutional Animal Care and Use
Committees at research facilities; standards to ensure that
pain and distress are minimized and that anesthetics,
analgesics, and tranquilizers are used appropriately; and
standards that require a researcher to consider alterna-
tives to painful procedures.

On August 31, 1989, final regulations for Parts 1 and 2 9
CFR) were published in the Federal Register to imple-
ment the 1985 amendments to the AWA. Regulations for
the exercise of dogs and the psychological well-being of
nonhuman primates were not included at that time. The
first proposed standards in Part 3 for the exercise of
dogs and the psychological well-being of nonhuman
primates were published in the Federal Register on
March 15, 1989. A total of 10,686 comments were
received on these proposed standards. Because of the
exceptionally large number of comments received, a
great deal of time was required to catalog, read, and
analyze them. Subsection A, dealing with the exercise of
dogs, and subsection D, dealing with the provision of an
environment adequate to promote the psychological
well-being of nonhuman primates, were reproposed on
August 15, 1990. More than 11,000 comments were
received on this reproposal.!

‘Final Rules for Part 3, Subsections A and D were
published in final form on February 15, 1991

Revised standards for guinea pigs, hamsters, and rabbits
were published in the Federal Register on July 15, 1990,
and became effective on August 15, 1990. These
standards increased the minimum space requirement
and provided additional requirements for the transporta-
tion of these animals. A phase-in period will be allowed
for facilities that are required to purchase new cages in
order to comply with these changes.

USDA published notice in the April 5, 1990, Federal
Register of its intent to regulate-horses used for biomedi-
cal or other nonagricultural research, and other farm
animals used for biomedical or other nonagricultural
research, or for nonagricultural exhibition, effective June
4, 1990. Until specific regulations can be promulgated,
the standards in 9 CFR, Subpart F for “other warm-
blooded animals” will be applied. Specific regulations
for farm animals will be proposed some time in 1991.

Appropriation for FY 1990

The FY 1990 Animal Welfare Program was appropriated
$7.46 million. Table 3 indicates the AWA appropriations
for FY 1990 and the preceding 2 fiscal years, plus the
adjusted appropriation.

Table 3

Appropriation for Animal Welfare in FY 1988-90
Appropriation
available to

FY Appropriation APHIS

1990 $7.46 M $7.46 M

1989 $6.19 M $6.19 M

1988 $6.19 M $5.44 M



Appendix

‘Table 1. Number of Licensees and Registrants (FY1990)

Registered Registered
intermediate Registered. Registered Animal exhibitors research
handlers carriers dealers Licensed Registered facilities

Total United States 266 136 4,268 1,370 45 1,470
Alabama 2 0 12 12 0 15
Alaska 1 1 0 6 0 4
Arizona 7 1 1 18, 0 i
Arkansas 3 1 a7 iS) 0 9
California 24 al 63 169 1 182
Colorado 9 3 38 vs 2 25
Connecticut 4 3 8 18 0 23
Delaware 0 0 i) 1 0 7
District of Columbia 0 1 0 to) 0 8
Florida 24 8 80 184 2 52
Georgi 4 2 33 20 4 25
Hawaii 26 2 5 14 0 3
Idaho 0 1 2 8 0 3
Mlinois 8 5 116 63 4 64
Indiana 1 1 67 30 to) 21
lowa 0 to) 468 12 4 18
Kansas 0 1 599 19 2 26
Kentucky 4 0 7 5 2 7
Louisiana 1 ta) 20 12 0 12
Maine 0 2 7 5 1 5
Maryland 3 1 10 12 0 39
3 3 22 32 1 sl

Michigan 1 0 36 38 2 57
Minnesota 1 4 82 24 1 26
0 1 12 a 0 4

14 3 1,076 26 0 42

Montana 0 0 7 8 0 3
Nebraska 1 1 209 13 tt) 4
Nevada 2 0 2 38. 0 1
New Hampshire 1 0 4 9 0 4
New Jersey 5 0 19 22 1 70
New Mexico 2 2 4 8 1 ll
New York 10 12 63 68 0 119
North Carolina 5 4 28 24 6 27
North Dakota oO 1 16 7 0 3
Ohio 3 1 34 40 5 71
Oklahoma 0 1 349 16 1 17
Oregon 6 2 61 19 0 19
Pennsylvania 8 4 120 60 0 100
Puerto Rico 1 6 8 8 1 1
Rhode Island 0 0 0 6 0 is
South Carolina 8 1 S) 16 0) 7
South Dakota 0 tt) 73 6 0 4
Tennessee 0 2 26 16 0 17
Texas 31 19 193 93 2 86
Utah 5 4 3 6 0 11
Vermont 0 0 9 2 0 3
Virgin Islands 0 8 0 0 0 0
Virginia 12 3 24 22 0 19
Washington 8 6 12 19 0 30
West Virginia 0 0 1 8 0 5
Wisconsin 8 4 37 64 1 23
Wyoming 0 0 0 1 1 3

14


CORRECTIONS TO 1990 “ANIMAL WELFARE ENFORCEMENT REPORT ~ FEDRUAKRD A776

Appendix
Table 3. Animals Used in Experimentation With Pain - With Drugs (FY 1990)
Number of Number of Guinea Farm
registrants sBanimalk = Dogs Cais Primates pls Hamsters Rabbits animals Other

Total United States 306 568,179 71,200 21,660 14,241 117,293 92,539 151,572 40,150 59,524
Total Rescarch 689 $18,803 66,046 19,367 12,507 109,735 87,479 134,282 37,421 51,966
Total Federal Agencics 117 49,376 51542293 1,734 7558 5,060 17,290 2,729 7,558
Alabama 9 4947 1,439 313, 70 142 217 2,590 2 155
Alaska 3 37 17 0 0 3 0 3 0 4
Arizona 7 1,862 641 91 53 tC) 608 441 12 16
Arkansas 3 1,305 141 14 0 323 94 245, 22 466
California 83 © 45,877 «1,650 563 423 4140 11,685 18,161 5,550 3,705
Colorado 10 3,297 ‘1,236 455 2 392 442 512 156 102
Connecticut 10 14,273 1,505 117 169 2325 1,322 1,617 227,196
Delaware 4 19,311 412 22 2 2080 12,710 1,633 Oo 2,452
District of Columbia 5 2,774 809 804 6 59 24 660 101 311
Florida 13 7,742 1,154 562 103 612 2,049 2,622 430 210
Georgia 1 18,382 1,527 266 gu 765 3,300 7,582 957 3,074
Hawaii 2 171 0 4 0 0 110 19 0) 38
Idaho 1 250 0 0) 0 58 0 9 0 183
Iinois 28 14,695 3,747 872 387 2,562 2,091 3,581 905 550
Indiana 9 8,087 2,605 179 224 3,684 204 1,046 55 90
lowa 8 10,079 2,446 485 137 788 2,584 3,495 0 144
Kansas 7 1,907 5 127 8 n 495 301 67 193
Kentucky 4 4,113 355, 340 2 24 317 506 19 2,550
Louisiana 6 4,689 258 152 689 802 0 2,625 86 77
Maine 4 162 0 0 0 CY) ° 6 91 65
Maryland 13° (28,334 2,822 783 849 11,998 1,481 5351 1,072 4,078
Massachusetts 47 18,065 1,593 527 2,049 2,756 2,947 6,983 216 994
Michigan 22 13,056 3,376 1,521 237 1318 1,718 3,741 177 968
Minnesota 9 13,597 3,943 414 26 4,428 810 2,458 942 576
Mississippi 3 2,873 931 78 6 109 120 632 390 607
Missouri 2 9,238 1,751 326 103 879 2,199 2,727 671 582
Montana 3 1,161 0 28, 0) 97 0 0 0 1,036
Nebraska 4 1,600 173 51 0 325 438 134 0 479
Nevada 1 220 186 () 0 0 0 34 0 0
New Hampshire 3 509 42 174 0) 40 37 42 113 61
New Jersey 360 53,418 3,821 271,031 24357-8379 «—«13,293 1,228 1,038
New Mexico 4 1,286. 378 0 747 0 10 25 0 126
New York 59 51,719 3,963 1,979 669 16,444 14,930 8,797 2,102 2,835
North Carolina 15 18,206  4,497—«1,046 424 1,218 1,665 5,486 2,265 1,605
North Dakota 2 55 32 20 0 0 ° 0 3 0
Ohio. 40 19,080 2,563 1.469 59 3,053 1,850 7,627 «1,489 970
Oklahoma 8 3,422 968 331 150 148 6 994 128 634

9 4,767 179 201 309 1,564 559 1,286 OS 24
Pennsylvania 47 «33,971 3,687 2,030 258 17,273 (1,264 4749 2,366 2,344
Puerto Rico 3 538 193 16 288 0 0 37 4 0
Rhode Island 7 1,713 57 261 26 36 204 468 509 152
South Carolina 4 2,185 253 269 0 0 604 896 ”
South Dakota 2 177 21 5 6 ) m1 34 0 )
Tennessee 10 3,840 1,041 105 262 476 992 919 ) 45
Texas 40 27,155. 5.079 582 745 1594 3,970 11,508 2520 1,157
Utah 4 3,257 452 240 ) 37 0 1319 28 781.
Vermont 2 1,543 95 8 12 317 79 1,032 0 °
Virgin Islands 0) 0) ° ) ° 0 0 0 C) 0
Virginia 9 4,915 484 369 286 123, 100 996 318 2,239
‘Washington 17 17,886 1,072 165 593 346 = 4,620 1,697 9,413 20
‘West Virginia 3 978 69 4 0) 416 36 218 8 167
Wisconsin 12 15,199 1,698 656 226 536 12 3,144 2,221 6,706
Wyoming 2 880 40 12 0 n7 23 1 0 87

16


Report of 1990 Activities

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

The present report covers Fiscal Year (FY) 1990, which
began October 1, 1989, and ended September 30, 1990.

Introduction.

The 1990 Animal Welfare Program received a 20-percent
increase in its appropriation over that of FY 1989. With
this additional funding, the Animal and Plant Health
Inspection Service (APHIS) increased animal welfare
compliance inspections by 18.0 percent, increased
prelicensing inspection by 9.4 percent, and increased in-
transit inspections by 9.6 percent. In addition to analyz-
ing 12,000 comments on proposed regulations, APHIS
continued its efforts to increase the quality of work by
presenting 7 training courses and adding 12 additional
inspectors to its field force. The following tabulation
summarizes the increase in animal welfare accomplish-
ments for FY 1990:

Animal Welfare Accomplishments for
FY 1990

Inspection
‘Accomplish- rate per Increase

Activity ments site from FY 1989

Total

Compliance

Inspections 13,050 1.40 18.0%

Dealer

Inspections 5,956 1.39 17.9%

Research

Inspections 3,589 1.12 1.3%

Exhibitor

Inspections 2,431 L71 7.9%

In-transit

Inspections 1,074 9.6%

Pre-license

Inspections 2,029 9.4%

Summary
Inspections

APHIS officials conducted 13,050 inspections at 7,555
facilities (9,319 sites) licensed or registered under the
AWA. These figures do not include prelicensing inspec-
tions or inspections of carriers. The average rate of
inspections per site during FY 1990 was 1.40 (Table 1).
This is an 18 percent increase from FY 1989. During FY
1991, we will increase both the frequency and, more
importantly, the quality of inspections.

Table 1

Number of inspections made during FY 1989-90
Total Average
facilities inspection

FY (Sites) inspections rate (per site)

1990 7,555 13,050 1.40
(9,319)

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

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

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

Violations

When APHIS inspectors discover that a facility is not in

compliance during an inspection, the necessary correc-

tive measures are discussed with the owner/manager or
official of the facility.

If violations are flagrant or recurrent, APHIS takes
appropriate enforcement action. Table 2 shows the
resolution of these enforcement actions for FY 1988
through FY 1990.

Table 2
Resolution of animal welfare cases.
Suspensions, Letters of
vocations, warning,
Cases cease and warning
FY submitted desist orders notices
1990 63 51 252
1989 79 55 298
1988 184 179 314



Contents

Report of 1990 Activities 2
Introduction 2
Animal Welfare Accomplishments for FY 1990 2
Summary 2
Inspections 2
Violations 2
Legislation3
Regulations 3
Appropriation for FY 1990 3
Organization and Administration of the Act 4
REAC Field Activities 4
REAC Headquarters Activities 4
Training 4
Licensing and Registration 5
Research Facilities 5
Reports From Research Facilities 6
Animal Exhibitors 6
Carriers and Intermediate Handlers 7
Licensed Dealers 7
Inspections 8
Prelicensing Inspections 8
Compliance Inspections 8
Inspections of Animals in Transit 9
Complaints 10
Investigations 10
Liaison With Other Federal Agencies 11
Other Activities 11
Public Information 12
Public Correspondence 12
Freedom of Information Act Requests 12
Legislative Recommendations 12
Glossary of Terms 13

Appendix

Table 1. Number of Licensees and Registrants 14
Table 2. Animals Used in Experimentation 15
Table 3. Animals Used in Experimentation

With Pain - With Drugs 16
Table 4.° Animals Used in Experimentation

With Pain - No Drugs 17
Table 5. Animals Used in Experimentation

No pain - No drugs 18

Attachments

Animal Welfare: List of Licensed Dealers

Animal Welfare: List of Registered Research Facilities
Animal Welfare: List of Licensed Exhibitors

Animal Welfare: List of Registered Exhibitors

Animal Welfare: List of Registered Carriers and
Intermediate Handlers


Public Information

APHIS issued 38 press releases on animal welfare during
FY 1990. These included reports of animal welfare
compliance and new regulations.

Public Correspondence

During FY 1990, APHIS received and responded to
inquiries about animal welfare from individual citizens
and concerned groups. Also, APHIS received correspon-
dence referred through the Office of the President and
members of Congress. Other Federal agencies refer
animal welfare concerns to APHIS for appropriate
responses. Listed below are the number of animal
welfare inquiries received by APHIS Executive Corre-
spondence during FY 1988-90.

Animal Welfare Correspondence Received by APHIS
Y 1988-

Correspondence

FY received
1990 44,325
1989 52,078
1988 22,112

Freedom of Information Act Requests

Numerous requests for material and records available
through the Freedom of Information Act are received by
APHIS. In FY 1990, APHIS received requests that
resulted in the release of 38,222 sheets of paper. Listed
below are the number of such requests received for the
past 3 fiscal years.

Freedom of Information Requests Received by APHIS
FY 1988-

FOIA
FY requests
1990 665
1989 630
1988, 498

Legislative Recommendations

USDA has no recommendations for amending the AWA
at this time.

12


CORRECTIONS TO 1990 “ANIMAL WELFARE ENFORCEMENT REPURD TEE DEINE OS®

Appendix

Table 2. Animals Used in Experimentation (FY 1990)

Number of Number of Guinea Farm
registrants allanimals — Doys Cos Primates pigs Hamsters Rabbits animals Other
Total United States 7,158 1,578,167 109,992 33,214 47,177 353,008 310,991 399,495 66,702 257,588
Total Research 1,016 1,458,241 103,696 30,485 41,880 329,174 294,040 369,197 54,131 235,638
Total Federal Agencics «142,119,926 6,296 2,729 5,297 23,834 16,951 30,298 12,571 21,950
Alabama as 9,706 1,970 366 456 1,470 #1 3,574 269 700
Alaska 3 765 7 0 0 13 0 7 () 718
Arizona 9 3,017 1 91 127 0 = 1,570 479 12 97
Arkansas 7 1,901 364 65 10 398 97 282 35 650
California 127,115,900 «2,245,887 1,036 23,625 «17,837 53,559 8,247 7,764
Colorado 18 20,034 1,658 691 33 1,561 11,982 3,009 156 944
Connecticut 16 28,804 1,794 252 2 4077 8,874 4,555 22 9,019
Delaware 4 55,529 844 28 93 18,459 28,133 3,849 44 4,079
District of Columbia 6 4,264 810 804 6 % 876 964 164 544
Florida 21 21,845 3,271 988 457 2,802 3,053 9,674 451 1,149
Georgia 15, 29,302 2,203 527° 1,526 1,880 9,551 7,948 959 4,708
Hawaii 2 1,883 t) 4 ) 110° ‘1,250 397 0) 122
Idaho 1 287 0) 0 0 58 ) 46 ) 183
Illinois 42 51,159 6,045 1,332 7 = 13,924 11,223 13,594 2,478 1,792
Indiana 13 22,979 3,741 230 380 12,263 1,611 4,310 79 365
lowa 4 45,051 3,021. 1,201 146 4,743 27,612 7,632 0
Kansas 20 39,782 1,651 563 8 10,005 21,096 4,222 127 2,110
Kentucky 4 5,467 498 388 2 88 425 1,365 147 2,554
Louisiana u 16,308 725 994 = 9,903 1,012 212 3,012 109 341
Maine 14 1,497 2 0 0 40 0 652 564 239
Maryland 20 41,307 2,862 953 985 13316 3,263 = 10,845 3,038 6,045
Massachusetts 67 65,549 2,120 538 2,649 8315 13,129 33,564 765 4,469
Michigan 35 32,260 5,316 1,728 961 7868 2,641 ~—:10,904 378 2,464
Minnesota 7 29,695 4,958 565 39 9,267 6,947 5,712 972 1,235
Mississippi 4 3,223 946 118 6 128 262 652 480 631
Missouri 32 37,699 4,003 1,678 153 2,944 12,099 7,521 673, 8,628
Montana 3 2,237 ° 2B 15 449 67 315 0) 1,363
Nebraska 5 26,250 ‘1,047 452 0 2,875 19,563 1,495 0 817
Nevada 1 1,154 186 0 0 511 120 231 0 106
New Hampshire 3 1,182 42 249 0 81. 8 278 367 81
New Jersey 50 133,557 8,904 280 2,503 + 54,065 18,460 © 42,820 1,426 5,099
New Mexico 6 2,742 715, Oo 1,453 0 44 ti) 323
New York 76 116,618 6,739 2,789 1,277 44,623 29,015 20,019 3,910 8,246
North Carolina 18 43,275 6,441 2,060 2,354 5,803 8,968 9,930 3,657 4,062
North Dakota 2 3,076 50 20 () 65 (1,116 220 3 1,602
Ohio 54 60,796 4,967 1,774 934 21,661 4,121 22,945 1,754 2,640
Oklahoma 11 4,983 1,077 351 274 484 361 1,354 128 954
Oregon 13 6,637 219 265 924 1,894 576 1,462 930 367
Pennsylvania 81 78,433 6,069 2,554 919 29,883 4,808 25,105 3,206 5,889
Puerto Rico 6 1,957 193 161,073 57 0 532 4 82
Rhode Island 9 1,916 57 272 “6 36 234 557 509 182
South Carolina 5 9,895 - 574 476 14 290 844 1,248 358 6,091
South Dakota 3 370 50 17 12 13 231 47 ) 0
Tennessee u 8,435 1,499 155 542 1,008 1,775 3,276 2 178
Texas 62 57,659 6,460 930 © 4,823 6,069 6577. 23,602 3,050 6,148
Utah 6 10,743 481 247 0 2,767 981 4,068 71 2,128
Vermont 3 1,632 9 8 12 319 156 1,042 C) 0
Virgin Islands 0 0 0 0 0 0 0 0 0 0
Virginia 14 11,831 1.877 497 766 1566 1,563 2,593 362 2,607
Washington 21 (145,286 1,296 315 1,513 7,844 (5,791 3,584 9,581—115,362
West Virginia 3 1,331 69 64 ) 446 21 259 8 254
Wisconsin 4 39,513 2,829 49 (2,445, 7,184 3,270 9,789 4,636 8,411
Wyoming 3 1,520 55 26 0 ng 277 43 0 400
15