enforcement agencies. IES also administers other types of 

enforcement actions (e.g., Official Warnings, Spot 

Settlements, Stipulations, and actions undertaken through 

the Formal Administrative Procedure Act) and coordinates 

enforcement with USDA’s Office of the General Counsel. In 

addition, IES provides:

n Assessment/analysis of information;

n Evaluation and dissemination of intelligence;

n Training;

n Outreach at conferences, seminars, and trade shows;

n Program support;

n Guidance in interpreting APHIS program laws and 

regulations;

n Responses to questions by phone or letter; 

n Information on violations of APHIS laws and 

regulations; and

n Intelligence analysis to support investigative and 

enforcement efforts through comprehensive 

information-gathering.

IES supports the APHIS mission through comprehensive 

investigations conducted by a diverse workforce of 

professional field investigators. To ensure a high level of 

compliance with APHIS regulations nationwide, the 

investigative staff operates from two regional offices: the 

Eastern Regional Office, located in Raleigh, NC, covers 

28 States and 2 Territories (Puerto Rico and the U.S. Virgin 

Islands); and the Western Regional Office, located in Fort 

Collins, CO, covers 22 States and 1 Territory (Guam). 

When IES investigators uncover apparent violations, they 

gather information and prepare case reports that 

document the evidence in detail. 

The enforcement and administrative functions of IES—the 

Enforcement Operations Branch (EOB) and the Planning, 

Analysis, and Support Branch (PASB)—are located at 

APHIS headquarters in Riverdale, MD. Officials with EOB 

review the investigative case files and determine fair and 

appropriate enforcement actions based on the documented 

evidence. The EOB is composed of two parts: the 

Document Control Section (DCS), which is primarily 

responsible for maintaining the investigative records, and 

the Case Review and Enforcement Section (CRES), which 

calculates penalties and issues enforcement actions on 

investigated cases.

The PASB provides budget and strategic planning, 

investigative analysis, and administrative support to IES 

overall. An integral part of PASB is the Intelligence 

Analysis Unit, which was formed in 2002. This unit 

collects and analyzes data on animal and plant movements 

and relevant industry trends to support regulatory program 

investigations and enforcement actions. Positioning an 

intelligence-gathering unit within IES has further enhanced 

APHIS’ efforts to protect American agriculture.

Who Are Our Customers

IES’ primary customers include APHIS’ Animal Care,

Biotechnology Regulatory Services, Plant Protection and 

Quarantine, and Veterinary Services programs, as well as 

the U.S. Department of Homeland Security’s Customs and 

Border Protection. IES also serves:

n State cooperators;

n Other Federal, State, and local regulatory or law 

enforcement agencies; and

n Members of the general public and other individuals, 

both internal and external to IES, who make inquiries 

for information regarding APHIS’ regulations. 

IES Services

IES directs and coordinates investigations related to the laws

and regulations underpinning APHIS programs through

factfinding and civil and criminal investigations. These 

investigations are conducted independently by IES or with 

other Federal, State, and local regulatory or law 

IES Mission

To protect the health and value of American animal, 

plant, and natural resources through effective 

and efficient investigative and enforcement services.

IES Vision

IES is a highly effective investigative and enforcement 

organization, recognized for its technical 

sophistication, integrated partnerships, and skilled 

workforce, in support of the APHIS mission.

Who We Are

Investigative and Enforcement Services (IES) is a component 

of the U.S. Department of Agriculture’s (USDA) Animal 

and Plant Health Inspection Service (APHIS). IES is 

responsible for the investigation and enforcement of alleged 

violations relating to animal and plant issues under APHIS’ 

jurisdiction.

The number of cases that IES investigates each year 

depends upon the number and types of referrals received 

from APHIS’ program clients and cooperators. In recent 

years, the caseload has increased more than 70 percent 

above 2001 levels. IES now conducts more than 6,000 

cases and collects approximately $2 million in civil penalties 

annually.

IES cases typically include investigating the illegal smuggling 

of forbidden animal or plant products (working in 

cooperation with APHIS’ Plant Protection and Quarantine 

program) or enforcing APHIS’ Animal Care program 

standards for breeders of dogs at the wholesale level.

A plant health safeguarding specialist examines imported plants to 

prevent the introduction of foreign pests or diseases into the United 

States. 

Proper identification allows IES to trace the movements of livestock 

in a disease outbreak.

IES helps to ensure that horse shows comply with the Horse 

Protection Act.

Staff members in IES’ Enforcement Operations Branch participate 

in a response team to quickly process cases for submission to 

USDA’s Office of the General Counsel.
United States Department of Agriculture 

Animal and Plant Health Inspection Service

Program Aid No.1888

APHIS’ 

Investigative 

and Enforcement 

Services

IES Standards

The IES workforce pledges to all our clients that:

n Our service to you will be professional, timely, and 

courteous and will actively respond to your needs.

n We will protect customer confidentiality.

n Our customers will be treated with fairness and 

respect.

n If we cannot answer your questions immediately, we 

will respond to your telephone calls by the close of 

the next business day.

IES Future

We are committed to delivering professional service and 

making continual improvement. We will continue to 

explore initiatives to improve our service.

APHIS’ regulatory authority is derived from Title 9 of the 

Code of Federal Regulations (CFR). The CFR codifies the 

general and permanent rules published in the Federal 

Register by the executive branch departments and 

agencies of the Federal Government. IES focuses on 

these subjects covered under Title 9 of the CFR:

Animal welfare;

Horse protection;

Disease eradication;

Interstate movement of livestock, plants, plant products, 

or plant pests;

Veterinary biologics; and

APHIS’ accredited veterinarian program.

In addition to Title 9, IES is responsible for investigations 

and enforcement activities related to the following 

authorities from Title 7 of the CFR:

Biological toxins and agents;

Domestic quarantines;

Endangered species;

Foreign quarantines;

Genetically engineered organisms;

Hawaii quarantines;

Honey bees;

Import/Export;

Noxious weeds;

Plant pests; and the

Seed Act.

IES Authorities

Under delegated authorities from the Secretary of 

Agriculture, IES enforces multiple laws passed by 

Congress. IES is responsible for investigations and 

enforcement activities related to the following statutes:

Animal Welfare Act;

Horse Protection Act;

Plant Protection Act (including “inspection animals” at 

airports);

Animal Health Protection Act;

Federal Seed Act;

Endangered Species Act;

Honey Bee Act;

Agricultural Bioterrorism Protection Act;

Humane Transport of Equines to Slaughter Act;

Virus–Serum–Toxin Act;

Swine Health Protection Act;

Convention on International Trade in Endangered 

Species of Wild Fauna and Flora (CITES); and

Lacey Act.

How To Contact Us

For more information regarding IES activities, please visit 

our Web site at http://www.aphis.usda.gov/ies or 

contact us at: 

n USDA–APHIS–IES

4700 River Road, Unit 85

Riverdale, MD 20737–1234

301–734–8684

n Eastern Region

USDA–APHIS–IES

920 Main Campus Drive, Ste. 200

Raleigh, NC 27606

919–855–7080

n Western Region

USDA–APHIS–IES

2150 Centre Avenue

Bldg B–3W10

Fort Collins, CO 80526–8117

970–494–7485

In accordance with our plan for continuous improvement 

to meet customer needs, we welcome your comments, 

suggestions, and questions. This information assists us in 

improving our service to our customers. We look 

forward to hearing from you.

The U.S. Department of Agriculture (USDA) prohibits 

discrimination in all its programs and activities on the basis 

of race, color, national origin, age, disability, and where 

applicable, sex, marital status, familial status, parental status, 

religion, sexual orientation, genetic information, political 

beliefs, reprisal, or because all or part of an individual’s 

income is derived from any public assistance program. (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 

to USDA, Director, Office of Civil Rights, 1400 Independence 

Avenue, S.W., Washington, D.C. 20250–9410, or call (800) 

795–3272 (voice) or (202) 720–6382 (TDD). USDA is an 

equal opportunity provider and employer.

Revised June 2008

A USDA field investigator uses technology to conduct 

surveillance.

IES investigates the mishandling of animals in transit on 

commercial carriers.