Animal Care Annual Report of Activities 2007

8/8/2019 Animal Care Annual Report of Activities 2007

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Animal Care Annual Report of Activities

Fiscal Year 2007

United States Department of AgricultureAnimal and Plant Health Inspection Service

APHIS 4135075


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The U.S. Department o Agriculture

(USDA) prohibits discrimination inall its programs and activities on thebasis o race, color, national origin,

age, disability, and where applicable,sex, marital status, amilial status,

parental status, religion, sexualorientation, genetic inormation,

political belies, reprisal, or becauseall or part o an individuals incomeis derived rom any public assistance

program. (Not all prohibited basesapply to all programs.) Persons with

disabilities who require alternativemeans or communication o

program inormation (Braille, largeprint, audiotape, etc.) should contact

USDAs TARGET Center at (202)7202600 (voice and TDD).

To fle a complaint o discrimination,write to USDA, Director, Ofce o

Civil Rights, 1400 IndependenceAvenue, S.W., Washington, D.C.

202509410, or call (800) 7953272(voice) or (202) 7206382 (TDD).USDA is an equal opportunity

provider and employer.

The ollowing report covers animalwelare and horse protection

activities during fscal year (FY)2007 [October 1, 2006, through

September 30, 2007].

Issued September 2008


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i

Letter from Dr. Chester Gipson, Deputy Administrator of Animal Care 1

The AWA: A Legislative and Regulatory History 2

The Law

The Regulations

How USDA Administers the Law 6

Animal Care

Animal Welare Appropriations or FY 20022007

Investigative and Enorcement Services

Inspection Highlights 8

Complaints and Searches

Risk-Based Inspection System

Class B Dealer Tracebacks Continue Success

Ater the Inspection

Inspections by Business Type 10

Animal Dealers

Animal Exhibitors

Carriers and Intermediate Handlers

Research Facilities

Reports From Research Facilities

Enforcement Highlights 14The High-Priority Designation

Results by Numbers

Perormance-Based Management

Regulatory and Policy Initiatives 16

AC Policy Manual Under Review

Comments Solicited on Class B Dealer Categorization

Comments Solicited on Elephant Care and Treatment

Animal Care News 18

APHIS Assigned New Role in Household Pet Evacuation and Shelter

Reporting Submitted to Congress on Pet MicrochippingAC Takes Active Role in Avian Inuenza Surveillance

Stricter Penalties Imposed or Animal Fighting

AC Personnel Continue to Oer Expertise and Assistance

Outreach 22

Automated Telephone Service Assists Travelers

APHIS Web Site Undergoes Redesign

Coordinating with Other Federal Agencies

Animal Welare Inormation Center

Cooperating and Communicating with Stakeholders

Contents


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High Level of Interest in AC Continues 25

Answering Public InquiriesAssisting the Media

E-FOIA Access to AC Data

Horse Protection Act 26

Appropriations or Horse Protection, FY 20022007

History o the HPA

Administration o the HPA

20072009 Horse Protection Operating Plans

Horse Protection Act Enforcement 29

Horse Industry Organizations

Penalty Structure

Conict Resolution

Enorcement Proceedings

Technology Used to Enorce the HPA

Outreach 32

Horse Protection on the Web

How to Obtain AWA and HPA Enorcement Inormation

Glossary of AWA Terms 33

Glossary of HPA Terms 36Appendix 38

Appendix 1 Animals Used in Research (FY 2007)

Appendix 2 Animals Used in Research, No Pain or Distress (FY 2007)

Appendix 3 Animals Used in Research, with Pain or DistressDrugs Used or Relie (FY 2007)

Appendix 4 Animals Used in Research, with Pain or DistressNo Drugs Needed or Relie

Appendix 5 Number o Animals Used in Research rom the First Reporting Year (FY 1973Present)

Appendix 6 Designated Qualifed Person Horse Show Reports (Calendar Year 2007)

Appendix 7 Veterinary Medical Ofcer Horse Show Reports (Calendar Year 2007)

Appendix 8 Gas Chromatography/Mass Spectrometry Test Results (Calendar Year 2007)


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At the U.S. Department o Agriculture (USDA), we

believe that it is important to share as much inorma-tion as possible regarding the Animal Care programs

enorcement o the Animal Welare Act (AWA) and the

Horse Protection Act (HPA). As Deputy Administra-

tor o Animal Care (AC), a program within USDAs

Animal and Plant Health Inspection Service (APHIS), I

am always looking or ways to disseminate inormation

about the laws, their regulations, and the myriad other

activities in which AC employees participate.

One way that weve distributed such inormation in the

past is through the release o Animal Welare and Horse

Protection annual reports. We released our last annual

report in scal year (FY) 2001. For FY 2007, we have

re-implemented the use o the annual report as a way

o inorming the public about AC, its activities, and the

administration o the AWA and HPA.

Since our last report, Animal Care has undergone

many changes. To name just a ew, we consolidated

our regional oces rom three to two and have been

designated the lead program on household pet evacua-

tion and sheltering in the United States. What remains

unchanged, however, is that we have continued to useour resources eectively to ensure the proper enorce-

ment o both laws under our purview. In addition, we

have continued to retain dedicated and talented sta

who work hard to make sure regulated animals receive

the protection aorded to them by the law.

Letter rom Dr. ChesterGipson

We very much appreciate your interest inand sup-

port othe Animal Care program and its mission to

enorce the Animal Welare and Horse Protection Acts.

We hope that you nd the inormation in this docu-

ment useul.

Sincerely,

Dr. Chester A. Gipson

Deputy Administrator

Animal Care


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Animal Welare Report Fiscal Year 2007

The Animal Welare Act: ALegislative and RegulatoryHistory

The Law

In 1966, Congress enacted Public Law (P.L.) 89-544,

known as the Laboratory Animal Welare 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 rst amendment to the Laboratory Animal Welare

Act was passed in 1970 (P.L. 91-579). This amendment

changed the name o the law to the Animal Welare Act

(AWA) and authorized the Secretary o Agriculture to

regulate other warm-blooded animals when used inresearch, exhibition, or the wholesale pet trade.

An amendment in 1976 (P.L. 94-279) prohibited most

animal ghting ventures and regulated the commer-

cial transportation o regulated animals. In 1985, the

Improved Standards or Laboratory Animals Actpart

o the Food Security Act (P.L. 91-198)added another

amendment to the AWA. These amendments required

the Secretary o Agriculture to issue additional stan-

dards or the use o animals in research.

The Food, Agriculture, Conservation and Trade Act

o 1990 (P.L. 101-624) added provisions to the AWA

concerning injunctive relie and pet protection. The

injunctive relie provision authorizes the Secretary to

seek an injunction to stop certain licensed entities rom

continuing to violate the AWA while charges are pend-

ing. (Injunctions are generally used in cases involving

stolen animals and in cases where an animals 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 (i.e., dogs and cats obtained romanimal pounds or shelters, auction sales, or rom any

person who did not breed and raise them on his or her

premises).

In April 2000, Congress enacted the Wendell H. Ford

Aviation Investment and Reorm Act (P.L. 106-181, also

known as the Federal Aviation Administration [FAA]

reauthorization bill), requiring air carriers to report

incidents involving animals. Primarily aecting the

U.S. Department o Transportation, this law requires

carriers to submit monthly reports to the Secretary o

Transportation regarding any incidents involving the

loss, injury, or death o an animal (as dened by the

Secretary o Transportation). The Departments o

Transportation and Agriculture entered into a Memo-

randum o Understanding that allows USDA-APHIS to

receive this inormation as well. The law also calls or

data related to these incidents to be published, similar

to FAAs practice or other consumer complaints and

incident data. The law also requires the training o air

carrier employees concerning the air transport o ani-

mals and notication o passengers o the conditions

under which the animals are traveling.


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Through APHIS Animal Care (AC) program, USDA is

charged with developing and implementing regulations

to support the AWA. These regulations, which appear

in Title 9, Code o Federal Regulations (CFR), Chapter 1,

Subchapter A, Parts 13, require the licensing o animal

dealers, exhibitors, and operators o animal auction

sales where animals regulated under the AWA are sold.

Licenses are valid unless the licensee terminates the

license voluntarily or ails to renew it, APHIS denies therenewal o the license without challenge, or an admin-

istrative law judge suspends, denies renewal, or revokes

the license in an enorcement proceeding. Licensing

ees or dealers and exhibitors are determined by a

graduated schedule listed in the regulations at 9 CFR

2.6(5)(c). Dealers pay between $30 and $750 per year,

and exhibitors pay rom $30 to $300 per year. These

ees are deposited as miscellaneous receipts in the U.S.

Treasury and are not added to the AC budget.

The regulations also require all carriers, intermediate

handlers, and all non-Federal research acilities usinganimals to register with the Secretary o Agriculture.

There is no charge to register. A list o licensees and

registrants or each State, the District o Columbia,

Guam, Puerto Rico, and the U.S. Virgin Islands is kept

on the AC Web site and updated periodically.

All licensees and registrants must provide their animals

with care that meets or exceeds USDAs standards or

veterinary care and animal husbandry. These standards

include requirements or handling, housing, eeding,

sanitation, ventilation, shelter rom extreme weather,

veterinary care, and separation o species when neces-

sary.

The Regulations

Over the years, USDA has made substantive changes

to the AWA regulations. In the late 1980s, USDAamended the requirements pertaining to the use o

animals in research. In response to the Improved Stan-

dards or Laboratory Animals Act, these amendments

established standards or the exercise o dogs and or

the psychological well-being o nonhuman primates.

The amendments also set standards to minimize the

pain and distress o animals; ensure the proper use o

anesthetics, analgesics, and tranquilizers; and, require

researchers to consider alternatives to potentially pain-

ul or distressul procedures.

To ensure that these standards are met, the amend-

ments require each registered research acility to

establish an Institutional Animal Care and Use Com-

mittee (IACUC) to approve and monitor all research

conducted at the institution. USDA published the nal

regulations or Parts 1 and 2 o Title 9 CFR, Chapter

1, Subchapter A, on August 31, 1989. Those or Part 3

were published on February 15, 1991.

USDA published revised standards or guinea pigs,

hamsters, and rabbits in nal orm in the Federal

Registeron July 15, 1990. These standards increased theminimum space requirements or cages and provided

additional requirements to protect animals being trans-

ported via common carrier.

In 1993, USDA established holding periods or animals

in pounds and shelters and certication requirements

to ensure that animals have been held or the duration

o these periods. The regulations were published as a

nal rule on July 22, 1993, and became eective August

23, 1993.

The AWA: A Legislative and Regulatory History


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In 1994, changes to the Marine Mammal Protection Act

(MMPA) placed sole responsibility or regulatory over-sight o swim with the dolphin interactive programs

with APHIS. The change to the MMPA prompted AC

to initiate the regulatory process to address the special

needs o these programs. APHIS published a pro-

posed rule in the Federal Registerand, ater reviewing

and considering all comments received, published a

nal rule. However, soon ater publication o the nal

rule, questions were raised that led APHIS to suspend

enorcement o the provisions until the rule could be

reanalyzed and clarications could be proposed. En-

orcement o the provisions remains suspended.

In 1998, AC published new standards pertaining to

wire fooring or dogs and cats and revised the AWA

temperature requirements, which included clarication

o climatic conditions or housing acilities, convey-

ances, and holding areas at airport terminal acilities.

In 1999, AC published its nal rule on perimeter enc-

ing requirements or animals covered under the AWA,

with emphasis on wild and exotic animals. In gen-

eral, the rule requires a perimeter ence at least 6 eet

high or most animals and 8 eet high or dangerousanimals, 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 Regulatory and Policy

Initiatives section o this document.

A nal rule that amended the denition o eld study

became eective March 10, 2000. Prior to the rule, the

term eld study was dened in the regulations as a

study conducted on ree-living wild animals in their

natural habitat, which does not involve an invasive pro-

cedure, and which does not harm or materially alter thebehavior o the animals under study. Due to concern

that the denition could be interpreted incorrectly to

mean that a eld study may include one but not both

o these situations, APHIS amended the language in

the regulations to specically exclude any study that

involves an invasive procedure or the potential to cause

harm or materially alter the studied animals behavior.

In FY 2000, USDA adopted two guides that acili-

ties can use to clariy accepted standards o care oragricultural animals used in nonagricultural research

or exhibition. In June 1990, USDA began regulating

horses used or biomedical or other nonagricultural

research and other arm animals used or biomedical or

other nonagricultural research or or nonagricultural

exhibition. Previously, the standards in 9 CFR, Chapter

1, Subchapter A, Part 3, Subpart F, applied. In 1999,

USDA requested and received comments on adopting

as regulation two existing guides on standards as they

apply to the handling, care, treatment, and transpor-

tation o animals. The guides are the Guide or the

Care and Use o Agricultural Animals in Agricultural

Research and Teaching, published by the Federation

o American Societies o Food and Science, and the

Guide or the Care and Use o Laboratory Animals,

published by the Institute o Laboratory Animal Re-

search. More inormation on the guides can be ound

in AC Policy 29, posted online at www.aphis.usda.gov/

animal_welare/downloads/policy/policy29.pd.

In 2001, APHIS published a nal rule that addressed

several issues related to marine mammal exhibitors in

the AWA regulations. The rule, among other things,introduced requirements or enclosures constructed so

as to keep unwanted animals rom entering and estab-

lished new medical and eeding recordkeeping require-

ments or individual animals, including a requirement

that acilities maintain necropsy records or 3 years and

make them available to AC inspectors upon request.

AC implemented the rule ater establishing a Marine

Mammal Negotiated Rulemaking Advisory Committee

to recommend revisions to the marine mammal regula-

tions. The Committee met or three sessions and

under the rules governing the negotiated rulemaking

process, and in accordance with the organization pro-tocols established by the CommitteeAPHIS agreed

to publish as a proposed rule any consensus language

developed during the meetings unless substantive

changes were made as a result o authority exercised by

another Federal Government entity. The Committee

developed consensus language or changes to 13 o the

18 sections that comprise the regulations, as well as or


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a single paragraph in a 14th section. The proposed rule

refected the consensus language, and was published orpublic comment on February 23, 1999. It was made -

nal with some changes on January 3, 2001, and became

eective on April 3, 2001.

Between FY 2002 and FY 2007, USDA developed and

published several more rules, policies, and other tools

to provide more consistent interpretation o the re-

quirements. In 2003, APHIS published a nal rule that

urther claried ACs policy o regulating only whole-

sale dealers o dogs intended or hunting, breeding, or

security purposesnot retail dealers o dogs or these

purposes. This rule made the regulations consistent

with ACs policy and claried the licensing and inspec-

tion requirements or aected dealers. The rule also

amended the denition o dealer to include only

wholesale dealers.

In FY 2004, AC began to apply AWA regulations and

standards or the humane transportation o animals

in commerce to all oreign air carriers operating to or

rom any point within the United States, its territories,

possessions, or the District o Columbia. AC made

this change to ensure that any animal covered by theAWAwhether coming into, traveling rom point to

point in, or leaving the United States, its territories, or

possessionsis provided the protection o the AWA

regulations and standards. Prior to the publication o

the determination to regulate oreign air carriers, AWA

regulations and standards or air carriers applied only

to U.S.-based companies.

In June 2004, the AWA regulations were amended to re-

fect an amendment to the Acts denition o the term

animal. The Farm Security and Rural Investment Act

o 2002 amended the denition o animal in the Actto specically exclude birds, rats o the genus Rattus,

and mice o the genusMus, bred or use in research.

While the denition o animal in the AWA regula-

tions had excluded rats o the genus Rattus and mice

o the genusMus bred or use in research, that deni-

tion had also excluded all birdsi.e., not just those

birds bred or use in research. To make the denitiono animal in the AWA regulations consistent with

the denition o animal in the AWA, this nal rule

amended the regulations by narrowing the scope o the

exclusion or birds to only those birds bred or use in

research.

APHIS published a nal rule in 2004 that changed

various provisions throughout the AWA regulations,

including the addition o language prohibiting abuse

and harassment o USDA employees by registrants (the

previous language only specically addressed licens-

ees); the updating o penalty charges or bounced

checks written to pay license ees; and, a requirement

that licensees maintaining wild or exotic animals

demonstrate adequate experience and knowledge o the

species they maintain. The rule also included an ex-

pansion o the provision that requires those who have

more than three breeding emales on their premises

be licensed with USDA to include small exotic or wild

mammals such as hedgehogs and spiny mice. This also

included clarication that the three breeding emales

rule applied to all animals on the premises, not to each

owner on the premisesthat is, each member o theamily cannot own three breeding emales and remain

unlicensed i there are a total o more than three breed-

ing emales on the premises.

The AWA: A Legislative and Regulatory History


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How USDA Administers the Law

Within USDA, APHIS AC program is responsible or

administering the AWA. ACs mission is to provide

leadership in establishing acceptable standards o care

and treatment and to monitor and achieve compliance

through inspections, educational, and cooperative e-

orts.

The AC program is headquartered in Riverdale,

Maryland, and has regional oces in Raleigh, North

Carolina, and Fort Collins, Colorado. The regionaloces are charged with administering the AWA in their

respective areas.

Table 1 provides the addresses, phone numbers, and

ax numbers or all AC oces, as well as ACs Web page

and e-mail address or incoming correspondence.

Each regional AC oce employs a cadre o eld veteri-

nary medical ocers and animal care inspectors. Cur-

rently, there are a total o 50 veterinary medical ocers

and 51 animal care inspectors with the AC program.

These employees are highly qualied and have an excel-

lent proessional support system and communication

network. Many also have specialized interest and ex-

pertise in such areas as the care o laboratory animals,

zoo animals, or marine mammals.

Animal Care

Animal Care

Table 1: USDAAPHISAnimal Care

Headquarters OceRiverdale4700 River Road, Unit 84

Riverdale, MD 207371234

Phone: (301) 7347833

Fax: (301) 7344978

E-mail: [email protected]

Eastern RegionRaleigh

920 Main Campus Drive, Suite 200

Raleigh, NC 27606

Phone: (919) 7165532

Fax: (919) 7165696


Western RegionFort Collins2150 Centre Avenue, Building B, Mailstop #3W11

Fort Collins, CO 80526

Phone: (970) 4947478

Fax: (970) 4947460


AC Web Site

http://www.aphis.usda.gov/animal_welare

In enorcing the AWA, APHIS inspectors work closely

with other Federal agencies and requently interactwith regulated proessional groups, industry organiza-

tions, humane groups, the scientic community, and

other concerned associations or individuals. In FY

2007, AC personnel gave approximately 200 presenta-

tions at 140 industry training sessions and meetings.

WA

OR ID

CA

NV UT

AZ NM

CO

WY

MT ND

MO

AR

LATX

OK

KS

NE

SD

IA

MN

WI

IL IN

KY

TN

MS AL GA

SC

NC

MI

RI

MD

NJ

ME

MA

NH

VT

NY

PA

VA

OH

WV

FL

P.R.

DE

AK

HI

V.I.

Western Region

Eastern Region

CT

AK


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How USDA Administers the Law

Animal Welare Appropriations orFY 20022007

In FY 2007, AC received appropriations totaling more

than $15 million or activities related to animal welare.

Table 2 shows APHIS animal welare-related appro-

priations or FY 20022007.

Annual appropriationFY or enorcement o theAnimal Welare Act

2007 $17,473,000

2006 $17,303,000

2005 $16,485,000

2004 $16,303,000

2003 $16,301,000

2002 $15,167,000

Table 2: Appropriations or Animal Welare, FY20022007

Investigative and EnorcementServices

Complementing ACs eorts is APHIS Investigative

and Enorcement Services (IES) program. IES sup-

ports all APHIS programs to enhance compliance with

Agency regulations. To this end, IES conducts compre-

hensive investigations resulting in sound enorcement

actions. IES also works closely with USDAs Oce o

the General Counsel (OGC), other Federal and State

agencies, local governments, and industry groups. IES

is headquartered in Riverdale and has regional oces

in Raleigh and Fort Collins.


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Inspection Highlights

AC Personnel perorm two major types o inspections:

pre-licensing/pre-registration inspections and unan-nounced compliance inspections.

To determine whether prospective licensees are in

compliance with the AWA, AC personnel perorm pre-

licensing inspections o dealers and exhibitors prior to

granting them licenses. Pre-registration inspections

are not required under the Act, but many acilities

request them. Whenever possible, the program honors

these requests in order to promote the highest level o

compliance.

AC personnel conduct unannounced compliance in-

spections at the acilities o all licensees and registrants

to ensure that they are operating within the regulations.

The AWA requires that APHIS perorm at least one

compliance inspection per year at each research acility

that uses animals in experimentation. For other kinds

o acilities, APHIS uses a risk-based system to deter-

mine inspection requency.

AC currently employs 102 inspectors. These ocials

are responsible or perorming the bulk o inspections.

Risk-Based Inspection System

AC uses a risk-based inspection system to support its

ocused inspection strategy, allowing more requent

and in-depth inspections at problem acilities and

ewer at those that are consistently in compliance. The

system, initiated in 1998, uses several objective criteria,including past compliance history, to determine the

inspection requency at each licensed and registered

acility. Facilities meeting the criteria or low-requen-

cy intervals are subject to inspection once every 2 to 3

years. Facilities determined to require high-requency

inspections are subject to inspection at least once every

6 months. Those in the middle are inspected about

once per year. Registered research acilities are inspect-

ed 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 Agencys interactions with

licensees and registrantsan approach that APHISrmly believes makes better use o ACs inspection

resources.

Since FY 1993, APHIS has conducted intensive trace-

back eorts on dogs sold by random-source, Class B

animal dealers. These dealers supply animals to the

research community, typically obtaining them rompounds and shelters, pet owners who wish to relinquish

ownership, and other legitimate sources. However,

there is concern that some o these dealers may be tra-

cking in stolen animals.

Class B Dealer Tracebacks ContinueSuccess

Complaints and Searches

In addition to conducting routine inspections o

licensed and registered acilities, AC personnel ollow

up on public complaints to determine whether regu-

lated animals are receiving proper care. APHIS regards

these activities as critical to successul enorcement o

the AWA.

AC personnel also conduct periodic searches to identiyany acilities that all under the regulations o the AWA

but are operating without a license or registration. In

FY 2007, AC conducted more than 150 compliance

inspections at unlicensed and unregistered acilities.


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Inspection Highlights

Ater the Inspection

I AC inspectors discover conditions or records that arenot in compliance with the regulations, AC typically

establishes a deadline or 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 suering or

death. Inspectors are required to reinspect any acilities

where areas o noncompliance were ound that have,

or are likely to have, an impact on the well-being o

the animals. I the conditions remain uncorrected, AC

documents them or possible legal action. In cases o

unrelieved suering, AC may conscate the animals or

arrange or their placement elsewhere. With the assis-tance o IES, AC acted in 8 such situations in FY 2007,

resulting in the conscation/surrender and placement

o approximately 220 animals.

Table 3: FY 2007 AWA Inspections1

Totalnumber

oregulated

acilities2

Complianceinspections

Pre-licensing/Pre-registration

inspections

AttemptedInspections

Dealers 5,239 6,909 1,160 956

Exhibitors 2,490 3,626 393 440

In-Transit

carriers3186 787 0 23

In-Transit

handlers

246 222 0 26

Research

acilities

1,088 1,657 1 39

Not yet

licensed/

registered

115 129 4

All

acilities

9,249 13,316 1,683 1,488

Table 4: Total Number o Inspections Perormed,

FY 20052007

FY Number o Inspections

2007 16,487

2006 20,311

2005 18,290

Under the AWA, random-source dealers are required

to maintain accurate records o the acquisition anddisposition o their animals. APHIS traceback eorts

ocus on ensuring that these records are accurate and

complete. To optimize these eorts, APHIS conducts

quarterly inspections o all random-source dealers.

At least two tracebacks are conducted during every

inspection, whether the animals were obtained rom

random sources or rom original owners or breeders.

The traceback process also includes asking the original

source o the animal what that person was told about

the animals uture dispositione.g., whether the per-

son was told that the animal could be used in biomedi-

cal research.

At the end o FY 2007, there were 10 Class B dealers

selling dogs and cats to research acilities, down rom

more than 100 in the early 1990s.

1 Inspections or compliance are unannounced inspections and re-inspections. These do not include pre-licensing or pre-registrationinspections, auction market observations, or attempted inspections.Pre-licensing/pre-registration inspections are announced. Observa-tions o licensed and unlicensed auction markets are made to locateunlicensed dealers. Attempted inspections could not be perormed

or certain reasonsusually because there was no one available at theacility when the inspector arrived unannounced.

2 See the Glossary o AWA Terms or the denitions o acility.

3 In-transit carriers is a category representing commercial airlines.Each airline may have two or more animal transportation sites ateach airport it serves. Due to requent changes in airline activitiesand other actors, the number o sites may vary.


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Inspections by Business Type

Animal Dealers

FY Total Class A Class B

dealers dealers dealers

2007 5,239 4,218 1,021

2006 5,197 4,202 995

2005 4,500 3,625 875

Table 5: Licensed Dealers, FY 20052007

Dealers are individuals who sell regulated animals or

research or teaching, wild or exotic animals or exhibi-

tion or as pets, or domestic pet animals in wholesale

channels. Dealers can hold a USDA license in one o

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 o the animals they sell but

typically buy and resell animals rom other sources.

Class B dealers include brokers, operators o auction

sales, and bunchersthose who supply dealers with

dogs, cats, and other regulated animals collected rom

random sources.

The number o Class A and B licensed dealers and sites

or FY 2005 through 2007 are listed in Table 5. The

number o inspections conducted during the same pe-

riod is shown in Table 3. It should be noted that, o the

1,021 Class B dealers, APHIS estimates that only about

10 supply dogs and cats to research.

Animal Exhibitors

Animal exhibitors are public or private entities that

either obtain, sell, trade (or otherwise dispose o) ani-

mals in commerce and exhibit them or compensation.

(Note: Compensation is not limited to monetary

compensation.)

Exhibitors are licensed and typically operate animal

acts, carnivals, circuses, public zoos, roadside zoos,

or marine mammal displays. Many o the animals ex-

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

nonhuman primates and exotic cats), but exhibitedspecies may also include domestic arm animals and

wild animals native to this country.

Listed in Table 6 are the numbers o exhibitors regu-

lated rom FY 2005 through 2007. Table 3 shows the

number o inspections or the same period.

Table 6: Regulated Exhibitors, FY 20052007

FY Total Exhibitors

2007 2,490

2006 2,373

2005 2,146


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Carriers and Intermediate Handlers

Carriers registered with USDA include airlines, motor

reight lines, railroads, and other shipping businesses.

Registered intermediate handlers are ground reight

handlers. Intermediate handlers usually (1) provide

services or animals between consignor and carrier

and rom carrier to consignee, and (2) care or animals

delayed in transit.

The numbers o sites o registered carriers and inter-

mediate handlers or FY 2005 through 2007 are listedin Table 7. Table 3 shows the number o carrier and

intermediate handler inspections or the same period.

FY Registered Intermediate

carriers handlers

2007 186 246

2006 180 253

2005 156 222

Table 7: Registered Carriers and IntermediateHandlers, FY 20052007

Research Facilities

Research acilities that use animals include hospitals,

colleges and universities, diagnostic laboratories, and

many private rms in the pharmaceutical and biotech-

nology industries.

All research acilities are required to comply with the

AWAs regulations. Even though Federal acilities are

not registered or inspected under the AWA, they are

responsible or maintaining compliance with the AWAsregulations and standards. The AWA requires that non-

Federal research acilities receive at least one inspection

per year to determine compliance.

Throughout 2001, AC worked on guidelines or its

eld personnel to use when conducting AWA inspec-

tions o research acilities. This guide, along with the

dealer inspection guide, will increase the quality and

uniormity o reports, inspection, and enorcement in

the AC program. The guide covers such areas as how to

document inspection ndings and how to conduct exit

interviews. The guide was distributed in FY 2001.

Table 8 lists the numbers o research acilities or FY

1999 through 2001. Table 3 shows the number o

inspections o research acilities conducted during this

period.

Table 8: Registered Research Facilities FY 20052007

FY Total Facilities

2007 1,088

2006 1,072

2005 1,024


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12


Annual Reports o Research Facilities

Each research acility registered under the AWA and

each Federal research acility is required to submit a

report, signed and certied by the institutional ocial,

on their activities using covered animals in the previ-

ous scal year. The report lists the number and species

o animals used in research, testing, and experimenta-

tion and indicates whether pain-relieving drugs were

administered. I such drugs were not administered or

procedures that caused pain or distress, the report must

explain why their use would have interered with the

research or experiment.

The report must also assure that proessionally ac-

ceptable standards, including the appropriate use o

pain-relieving drugs, were ollowed and that each

principal investigator considered alternatives to painul

or distress-causing procedures.

Moreover, the report must demonstrate that the acility

adhered to AWA regulations or that any exception to

such adherence was justied by the principal investiga-tor and approved by the IACUC prior to experimenta-

tion.

Figure 1 shows the number and species o animals used

in research during FY 2007. This number excludes

birds and laboratory rats and mice, as well as arm ani-

mals used exclusively in agricultural research. Figure

2 shows the number o animals used in research that

involved no pain or distress, or that involved pain or

distress alleviated with drugs or other means, or that

involved pain or distress without relie because use o

pain-relieving drugs or other means would interere

with the results o the research or testing.

Appendixes 1 through 4 contain urther details. Ap-

pendix 5 reports the total number o animals used in

research since this report was rst published in 1973.

Inormation rom FY 20052006 can be ound on

APHIS Web site at www.aphis.usda.gov/animal_wel-

are.


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13

Dogs Cats Primates Guinea

pigs

Hamsters Rabbits Farm

animals

Other

covered

animals

72,03722,687

69,990

207,257

172,498

236,511

109,961

Millions

0.4

1.0

0

136,5090.2

0.6

0.8

1.2

1.4

Animals Used in Research, Experiments, Testing, and

Teaching, FY 2007

Numbers from Licensing and Registration Information System

(LARIS) database

Figure 1

Millions

0.4

1.0

0.6

0.8

1.2

1.4

392,213

1,027,450

Pain/distress

no drugs

Pain/distress

alleviatedNo pain/

distress

Total animals

in research

Numbers from Licensing and Registration Information System

(LARIS) database

Animal Experiencing Pain/Distress, Pain/Distress Relief, orNo Pain/Distress During Experiments, FY 2007

557,471

Figure 2

0

0.277,766

For FY 2007, data rom 16 research acilities are not

included in this report because they either did notsubmit a report or submitted it too late or tabulation.

O these acilities, 2 were Federal acilities, and 14 were

non-Federal. It is a violation o the AWA or a acil-

ity, whether active or inactive, not to submit a timely

report. AC initiated the appropriate corrective actions

in these situations.



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14


Enorcement Highlights

AC enorces the AWA primarily through the use o in-

spections. AC inspectors conduct unannounced visits

to licensed or registered acilities, where they review

all areas o care and treatment covered under the law.

I they nd deciencies in a acilitys compliance with

the law, the acility is typically given a date by which to

correct those items.

APHIS IES personnel investigate alleged violations

when licensees or registrants have not taken corrective

measures to come into compliance with the AWA. I

an investigation leads to AWA enorcement action,

APHIS will review and consider all probative, reliable,

and properly authenticated evidence that is relevant

and material to the allegations.

Investigations that reveal AWA violations are acted

upon in a variety o ways, depending on their sever-

ity. Many inractions can be settled with an ocialnotice o warning or a stipulation oer. Ocial letters

o warning notiy a licensee or registrant that urther

inractions can result in more stringent enorcement

action. Stipulations allow alleged violators to pay a

penalty, have their license suspended, or both, in lieu o

ormal administrative proceedings.

High-Priority Designation

When a case is designated as high-priority, AC, IES,

and USDAs Oce o the General Counsel put spe-

cial emphasis on the investigation and enorcement

o a case to expedite its resolution. This measure has

proven successul in shortening the timerames o sig-

nicant cases and providing quicker relie or animals

protected under the AWA. AC and IES continue to use

the high-priority designation in the pursuit o certain

cases.

Severity of animal suffering (death or severeinjury),

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.

In cases o serious or chronic violations, consequences

become more substantial. Cases warranting ormalprosecution undergo Department-level review or legal

suciency prior to issuance o a ormal administrative

complaint. Formal cases may be resolved by license

suspensions, revocations, cease-and-desist orders, civil

penalties, or combinations o these penalties through

administrative procedures.


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15

Enorcement Highlights

Results by Numbers

In FY 2007, APHIS imposed animal welare-related

penalties totaling more than $614,000.

Table 9 provides detailed inormation on the number

o animal welare and horse protection enorcement

actions conducted and resolved during FYs 20052007.

It should be noted that not all cases are submitted and

settled during the same scal year; a case can take con-

siderable time to work its way through the legal system

and appeals process.

Perormance-Based Management

Under the mandate o the Government Perormance

and Results Act, AC has taken an active role in measur-

ing its eectiveness in meeting the provisions o the

AWA. By measuring its eectiveness, the AC program

can continue to make changes when necessary to im-

prove the administration and enorcement o the AWA.

The primary measure used in FY 20012007 was thepercentage o acilities in compliance with regulations.

The overall level o acility compliance or FY 2007

was 68 percent. Between FY 2002 and FY 2006, acility

compliance averaged 69 percent.

The AC management team has continued the develop-

ment and implementation o additional measures o

program eectiveness. One measure, percentage o

licensees or registrants in substantial compliance, was

instituted in FY 2007 in order to gauge the direct result

o inspection and outreach activities aimed at increas-

ing compliance. In FY 2007, 97 percent o acilitieswere in substantial compliance with the AWA, meaning

they had no documented violations o the AWA or only

minor noncompliances on their most recent inspection

report. Examples o minor noncompliances are gaps in

perimeter encing or improper storage o supplies that

can be easily addressed with minimal cost or eort by

the licensee or registrant.

In FY 2007, AC also introduced the use o a second

measure, percentage o stakeholders who nd out-reach activities useul. AC has ound that outreach

activities such as workshops and discussions are a vital

tool or promoting treatment o regulated animals that

meets or exceeds AWA standards. Feedback indicated

that during FY 2007, 75 percent o attendees ound the

outreach activity in which they had participated to be

useul in conducting their daily business.

FY 2007 2008 2009

Cases 482 480 575

IES Review 302 249 391

Warnings 83 283 219

Stipulations 191 95 87

Submitted to OGC 73 80 76

ALJ Decision 78 96 82

No Violations 67 53 208Submitted Externally/

Penalty82 24 11

Stipulations Paid $262,200 $263,596 $160,184

Civil Penalty $614,132 $644,220 $946,184

Table 9: AC Enorcement or Cases Reerred to IES

Chart Key

CasesNumber o cases investigated

IES ReviewNumber o cases received by IES or review

WarningsNumber o letters o warning issued

StipulationsNumber o cases closed with a stipulation

paid

ComplaintsNumber o ormal complaints sent by APHISand USDAs OGC to USDAs Administrative Law Court

ALJ DecisionsNumber o ormal decisions rom Adminis-

trative Law Judges

No ViolationsNumber o cases closed with no violations

ound

Stipulations PaidAmount o money collected as a result o

stipulation agreements

Civil PenaltyTotal amount o money collected as a result

o Administrative Law Judge Decisions


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16


Regulatory and Policy Initiatives

During FY 2007, President George W. Bush issued a

directive4 that established practices or the content,

development, and revision o guidance documents

used by Federal agencies. Guidance documents are

agency statements o general applicability and uture

eect (not including regulatory actions) that set orth

policies on statutory, regulatory, or technical issues or

interpretations o statutory or regulatory issues. This

term applies to a wide range o materials that agencies

may use to convey inormation and urther explain orclariy regulatory requirements.

Guidance documents can includeamong other

resourcescompliance guides that explain how a regu-

lation applies to an industry sector in sector-specic

terms, or supplemental materials that assist companies

preparing applications or agency approval. Guidance

documents are not subject to the procedural require-

ments that govern rulemaking.

In response to the Presidents directive, APHIS re-

viewed all o its documents and determined the ACpolicy manual to be a signicant guidance document.

Thereore, changes to this document must undergo

an enhanced review process, including a more ormal

public comment period.

On July 24, 2007, AC posted its policy manual to

APHIS newly-created Web site or guidance docu-

ments and opened the manual or public comment.

The public comment period closed on November 16,

2007. AC reviewed the 66 comments received and is

taking them into consideration.

The AC policy manual and other APHIS Guidance

documents that have been opened or comment can be

viewed at http://www.aphis.usda.gov/guidance.

Comments Solicited on Class B DealerCategorization

In April 2007, AC requested a notice o petition and

request or comments on proposed revisions to the

denition o Class B licensee in the AWA regulations.

Class B licensees include dealers and brokers who buy,

sell wholesale, or operate auction markets involving

AWA-regulated animals.

The petition recommended that licensees be classied

according to how the animals are used. Specically,the petition suggested the creation o our separate

categories: pet distributors, exhibitor animal distribu-

tors, laboratory animal distributors, and other distribu-

tors. Public comments were accepted until July 9, 2007.

APHIS received more than 700 comments. These

comments are currently under review by AC. Ater

the review is complete, the program will determine

whether any amendments to the AWA regulations are

necessary.

4 On January 18, 2007, the President issued Executive Order (EO)13422, which amended EO 12866 on Regulatory Planning andReview to include agency guidance documents.

AC Policy Manual Under Review


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17

Regulatory and Policy Initiatives

Comments Solicited on Elephant Careand Treatment

On August 9, 2006, APHIS published a Federal Register

notice (Docket No. APHIS-2006-0044) regarding the

regulation o elephants under the AWA. AC published

the notice in response to a petition rom an animal

welare organization to amend the regulations to

include regulations specic to elephants. The noticesolicited comments rom the public on a variety o el-

ephant welare issues, including arthritis, oot care, and

substrate conditions. The notice also requested com-

ments on current industry and proessional standards

or elephant care and husbandry, as well as any other

health or care issues related to elephants that should be

specically addressed in the AWA standards.

AC received approximately 2,100 comments on the

notice and is careully reviewing all input received.

Once AC has completed the comment review process,

a determination will be made as to constructive actions

that can be taken appropriately under the AWA to ad-

dress elephant welare in specic terms.


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18


APHIS Assigned New Role inHousehold Pet Evacuation and Shelter

In 2006, President Bush signed H.R. 3858the Pets

Evacuation and Transportation Standards Actto

ensure that State and local emergency preparedness

operational plans address the needs o individuals

with household pets and service animals ollowing a

major disaster or emergency. In 2007, the Post-Katrina

Emergency Management Reorm Act gave the U.S.

Department o Homeland Securitys (DHS) Federal

Emergency Management Agency (FEMA) statutoryauthority or Federal disaster response activities or

household pets and service animals. As a result o the

two pieces o legislation, Federal and State disaster

response planning eorts must now include provisions

or household pets and services animals.

The National Response Framework (NRF) is a docu-

ment that describes how the Federal government

coordinates with State, local, and Tribal Governments

and the private sector during a crisis. This ramework,

Animal Care News

which became eective on March 22, 2008, contains

numbered Emergency Support Function (ESF) An-nexes that group Federal resources and capabilities into

the unctional areas that are most needed in a national

response. The saety and well-being o household pets

has been added as a primary unction o the ESF Annex

#11, Agriculture and Natural Resources. Consequently,

AC has a new role in planning and coordinating disas-

ter response eorts or household pets.

A number o entities play important roles in disaster

response or household pets and service animals. Over

the past 2 years, AC worked closely with these organiza-

tionsincluding DHS; the U.S. Department o Health

and Human Services (HHS); the Federal agencies re-

sponsible or the coordination o ESF #8 Public Health

and Medical Services, ESF #6 Mass Care, Emergency

Assistance, Housing and Human Services, and ESF #9

Search and Rescue; as well as volunteer animal humane

organizationsin order to provide an integrated ap-

proach to disaster relie or pets.


23/78

19

Animal Care News

AC Takes Active Role in AvianInfuenza Surveillance

AC has been actively involved in avian infuenza

surveillance and monitoring planning. The program

is working closely with the regulated community to

ensure that highly pathogenic avian infuenza (HPAI)

is not spread to exhibited birds, such as those in zoos

and aviaries. AC took the lead in evaluating eld tests

involving the use o water-based reghting oam as

a new mass depopulation method or inected and

exposed poultry. In addition, program personnel

participated in training and inormational meetings in

the United States and around the world regarding the

monitoring and control o HPAI and possible respons-

es to a potential pandemic situation. These meetings

involved more than 1,000 people and covered general

inormation on avian infuenza, as well as vaccinations,

surveillance, and diagnostics.

In carrying out its new responsibilities, AC will be

actively working with its State partners on emergencyplanning. AC has already been involved in assisting the

States o Louisiana and Delaware with emergency plan-

ning eorts. AC also provided assistance to Caliornia

during the 2007 wildres.

To learn more about the NRF, go to DHSs online NRF

Resource Center at http://www.ema.gov/emergency/

nr/.

Report Submitted to Congress on PetMicrochipping

As part o the Conerence Committee Report accom-

panying the Agriculture, Rural Development, Food and

Drug Administration, and Related Agencies Appropria-

tions Act, 2006, Congress directed APHIS to explore the

use o microchips to identiy pets. APHIS was asked to

develop appropriate regulations that allow or an open

radio requency identication system that would enable

a universal scanner to read all microchips used or the

identication o pets. APHIS published a request or

comments in the Federal Registeron March 10, 2006,and hosted public meetings in six locations around

the country on the subject. AC received 1,028 written

comments in response to the notice.

In preparing the report, AC evaluated microchip

requencies, including the requency recognized by

the International Standards Organization, the worlds

largest developer o voluntary standards. In the report,

AC expressed support or the concept and use o

microchipping but not the use o a particular brand or

requency. Given APHIS existing regulatory authority

and eedback rom stakeholders, AC concluded that itwould be dicult to establish Federal regulations on

pet microchipping at this time.

Highlights rom the report

APHIS cannot mandate a single national

standard or pet microchips or microchip

scanners. The agencys regulatory authority is

limited to AWA-regulated entities.

Under AWA regulations, APHIS requires

individual identication or dogs and cats used inresearch, wholesale trade, or exhibition.

Currently, the acceptable methods o

identication include tags, tattoos, and collars.

APHIS has allowed microchip identication to be

used on a case-by-case basis without specication

o type to meet the laws animal identication

requirements.

APHIS remains interested in working with

microchip manuacturers, humane organizations,

veterinarians, and other stakeholders to explore

options to increase the eectiveness o

microchipping as a means to reunite lost pets

with their owners.

APHIS personnel continue to be available to

respond to all stakeholder requests or assistance

with eorts to educate the public about

microchip technologys advantages and

limitations.


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20


Stricter Penalties Imposed or AnimalFighting

On May 3, 2007, President Bush signed into law H.R.

137, the Animal Fighting Prohibition Enorcement

Act o 2007. H.R. 137 made it a elony to violate AWA

provisions pertaining to animal ghting. Under H.R.

137, the possession o implements o dogghting and

cockghting, as well as violations o AWA animal ght-

ing provisions, are elony oenses punishable by upto 3 years imprisonment. The legislation also lends

additional Federal resources to the investigation and

prosecution o these violations, increasing enorcement

abilities.

The AWA prohibits individuals rom sponsoring or

exhibiting an animal in a ghting venture i the animal

was transported across State lines or in oreign com-

merce or that purpose. It also prohibits selling, buy-

ing, transporting, or delivering an animal in interstate

or oreign commerce or animal ghting. Ocials with

APHIS and USDAs Oce o the Inspector General

(OIG) work cooperatively with State and local authori-

ties to investigate and enorce Federal and State laws

regarding animal ghting. OIG initiates investigations

based upon the potential or criminal prosecution and

as resources permit.

Funding Provided in Relation to Painand Distress

In September 2007, with unding rom USDA and

other sources, the Institute or Laboratory Animal

Research (ILAR) initiated a project on the Recogni-

tion and Alleviation o Distress in Laboratory Animals.

The Report will serve as an update to the 1992 ILAR

report o a similar name.

AC has long given serious consideration to this issue.

In July 2000, AC published an advanced notice o pro-

posed rulemaking regarding denitions or and report-

ing o pain and distress. More than 2,500 comments

were received and reviewed. Following review o the

comments, AC determined that an evaluation o the

scientic literature regarding distress in animals was

needed. ILAR oered to update the 1992 document,

and work on the project is currently underway.


25/78

21

Animal Care News

Inspectors and their supervisors continue to serve as

panel members in IACUC 101 training workshopsthat have trained numerous IACUC members.

AC inspectors continue to provide assistance to

State ocials and other organizations when those

ocials or organizations seek to seize animals or

shut down animal acilities. In FY 2007, AC assisted

in 21 such situations. For example, when the State

o Maine seized hundreds o dogs at a large-scale

breeding acility, AC inspectors oered medical

advice, assisted in administering medications, and

helped to identiy animals, among other activities.

One of the programs eld specialists aided a

regulated university in nding a replacement

or its mascot, a large exotic cat. The story made

national news and resulted in a high level o public

interest or both the program and the university.

AC Personnel Continue to OerExpertise and Assistance

When necessary and appropriate, members o ACs

sta oer their expertise and assistance to regulated

and nonregulated entities. Some notable recent in-

stances:

AC personnel provided help in the relief efforts after

Hurricanes Katrina and Rita in 2005. During the

storms, sta members aided in the rescue o animals

and people, as well as provided key aid in the

recapture o eight dolphins that had escaped rom a

regulated acility as a result o a storm surge. Prior

to the storms, AC assisted with the evacuation o

important and valuable scientic research animals.

AC is currently working to better dene the role the

program will play in uture incidents o this nature

in those cases where its role is not addressed in the

NRF.

AC staff continues to provide support for disaster

relie and emergency response eorts by providing

sta support to FEMA help desks under ESF #11

and ESF #6. (ESF #6 supports mass care and shelter

o victims o a disaster.) The program also provides

assistance and expertise to regulated parties during a

crisis.

In FY 2007, one of ACs eld veterinarians was

deployed to Kosovo. To date, the inspector has

procured more than 400 medical texts to establish a

veterinary medical library or a new veterinary

school in Kosovo, obtained a $1,000 developmental

award or that school, and worked with the acultythere to develop an animal welare course. He has

also de-wormed 3,000 head o cattle, vaccinated

dogs against rabies, distributed herd health

management inormation to local villages, overseen

the approval o a bottled water plant, and monitored

the area or any zoonotic disease outbreaks.


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Outreach

In FY 2007, AC carried out a number o outreach

activities aimed at educating and inorming all pro-gram stakeholders about the AWA and ACs role in its

enorcement. AC has used a range o communications

tools to achieve its outreach goals, and the program

plans to build upon its success by continuing to expand

the scope o its eorts.

Over the past 4 years, AC upgraded many o its ma-

terials and developed a number o new publications.

Currently, the program has three ull-color brochures

available to the public: one on the AC program, one on

the AWA, and one on the HPA. AC also has a number

o actsheets posted online concerning various aspects

o the AWA and HPA.

AC is continuing to look or ways to improve its

outreach eorts to the regulated community, industry

groups, and other interested parties. To promote dis-

cussion and understanding between stakeholders and

AC, general listening and inormation sessions were

held during FY 2007 on a variety o AWA topics.

AC also maintained booths and distributed inormative

materials at approximately 70 industry meetings in FY2007. These meetings oered an opportunity to speak

directly in an inormal setting with the regulated com-

munity and to encourage increased dialogue.

During FY 2007, program personnel also participated

in more than 25 local career airs throughout the

United States. These events were attended by more

than 2,000 participants, including Federal and State

government representatives, licensees, and members o

the general public.

AC undertook several initiatives to reach underservedparties in FY 2007. One such initiative is ACs contin-

ued participation in the USDA program AgDiscovery.

Providing a summer camp-like experience or interest-

ed students, AgDiscovery aims to amiliarize them with

USDA programs and to oster an enduring interest in

agricultural issues and careers. FY 2005 was the inau-

gural year or this program, and AC personnel helped

develop and instruct a summer camp held at Alcorn

State University in Mississippi or 20 students. In FY

Automated Telephone Service AssistsTravelers

In FY 2007, AC continued to operate its toll-ree,

24-hour, automated telephone voice response service

(800-545-USDA). This service provides inormation

on the humane handling o cats and dogs during trans-

port, including the AWA requirements or temperature,

shipping documents, ood and water, and cage sizes.Designed to be user-riendly, the service is recom-

mended or inclusion in training courses or airline

cargo handlers, ticket agents, and supervisors. It also

provides helpul inormation to people interested in

traveling with their pets.

2006, 11 AC personnel participated in the AgDiscovery

summer session. In FY 2007, more than 20 members othe AC team participated in the camp as part o APHIS

work to introduce students to the variety o educa-

tional and work opportunities available in agriculture,

specically those available within the AC program.

AC also reaches out to young people by hosting interns,

mentoring veterinary students, and supporting part-

time workers via APHIS Stay-in-School program. In

FY 2007, AC hosted more than 25 interns and students

and continued to ormally mentor a veterinary student.

The program also provides members to the APHIS Na-

tive American Working Group (NAWG), and supports

the groups eorts to reach out to Native American

populations. AC has represented APHIS at meetings

o the Intertribal Agricultural Council and the Native

American Fish and Wildlie Society. AC also maintains

the agencys NAWG Web site and several e-mail lists

and is a primary point o contact or members o the

public seeking inormation about this working group.

In FY 2007, AC representatives worked to develop proj-

ects in Native American communities and assisted in

unding a booth at the National Powwow in August.


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23

Outreach

ACs Web Site Undergoes Redesign

During FY 2007, APHIS Web site underwent a redesign

to conorm to USDAs eGovernment guidelines. The

goal o this restructuring was to ensure that people

visiting USDAs Web site would nd it easier to obtain

inormation about the Departments programs and

services. Web sites or all USDA agencies and their

corresponding programs now have a uniorm look, eel,

and navigation. As a result, ACs Web address has been

changed to www.aphis.usda.gov/animal_welare/.

Coordinating with Other FederalAgencies

USDA, represented by a member o ACs sta, serves

on the Interagency Coordinating Committee on the

Validation o Alternative Methods (ICCVAM), whose

members come rom 15 Federal agencies that use,

generate, or disseminate toxicological inormation.

Mandated by Congress in 2000, the Committee is

supported by the National Institute o Environmen-

tal Health Sciences, part o HHS National Institutes

o Health. ICCVAM is an evaluation committee that

reviews research using alternative methods submitted

by its stakeholders. Ater reviewing new or modied

test results, the Committee makes recommendations on

the scientic validity o the test methods and orwards

them to regulatory Agencies or acceptance decisions.

Through this process, ICCVAM acilitates the national

and international regulatory acceptance o alternative

testing methods.

AC also maintains close working relationships with

other Federal agencies, including many that conduct

activities related to the enorcement o the AWA.

APHIS cooperates with HHS National Institutes o

Health (especially NIHs Oce o Laboratory Animal

Welare), Centers or Disease Control and Prevention,

and Food and Drug Administration; the U.S. Depart-

ment o Deense; the U.S. Department o Veterans

Animal Welare Inormation Center

The Animal Welare Inormation Center (AWIC) o

USDAs National Agricultural Library (NAL) also

supports ACs eorts. Established in December 1986,

the AWIC provides valuable inormation pertaining

to methods o humane care and use, alternatives to

the use o live animals in research, and methods to

minimize pain and distress to animals. The AWIC also

provides materials, services, and activities to help the

regulated community with employee training.

Table 10: USDANALAWIC

AWIC Coordinator

National Agricultural Library

10301 Baltimore Blvd.

Beltsville, MD 20705

(301) 5046212

E-mail Address

[email protected]

Aairs; the Marine Mammal Commission o the U.S.

Department o Commerces National Marine Fisheries

Service; the U.S. Department o the Interiors Fish and

Wildlie Service; and, the U.S. Environmental Protec-

tion Agency.


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24


Communicating and Cooperatingwith Stakeholders

In FY 2007, APHIS and the research community con-

tinued to co-sponsor a research preceptorship program

that sends AC veterinarians through 4 intensive weekso training at various research acilities and teaching

institutions, plus 1 week at the national meeting o the

American Association or Laboratory Animal Science.

AC personnel also attended and participated in nation-

al meetings held by various organizations, including

the Association o Zoos and Aquariums, the American

Veterinary Medical Association, the American Associa-

tion o Laboratory Animal Science, and the Scientists

Center or Animal Welare. Additionally, AC person-

nel took part in a number o international, national,

regional, and local industry and stakeholder meet-

ings. Overall, AC employees gave 200 presentations at

over 140 meetings in FY 2007, providing inormative

materials and booth exhibits at 70 o those meetings.In many cases, APHIS employees staed the booths in

order to answer questions and provide inormation on

ACs enorcement o the AWA.


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High Level o Interest in AC Continues

High Level o Interest in AC Continues

During FY 2007, through its headquarters and regional

oces, AC received and responded to more than 10,000

telephone inquiries and 5,000 items o correspondence

regarding animal welare. Correspondence included

regular mail, e-mail, axes, and write-in campaigns.

Other Federal agencies and the White House also re-

erred animal welare concerns to APHIS or response,

making AC issues the subject o 500 items o executive

correspondence.

Answering Public Inquiries

AC assisted media ocials in various ways during FY

2007. The program elded more than 800 calls rom

members o the media, including inquiries rom majormedia outlets such as theNew York Times, USA Today,

and CBS Evening News. AC provided inormation

regarding a range o cases and enorcement actions,

among other subjects.

Assisting the Media

In FY 2007, AC responded to more than 650 requests

or inormation via the Freedom o Inormation and

Privacy Acts. Many o these requests were or copies

o the reports generated ater inspections o acili-

ties licensed or registered under the AWA. To assist in

making these documents more readily available to thepublic in accordance with the Electronic Freedom o

Inormation (E-FOIA) Act o 1996, APHIS has made

many requently requested inspection reports avail-

able on ACs Web page, along with annual reports

rom research acilities. APHIS is working to expand

the numbers o documents posted to the site. Inspec-

tion reports not available on the AC Web site must be

requested through the Freedom o Inormation Act

(FOIA) process.

EFOIA Access to AC Data

Table 11: Animal-Welare-Related FOIA RequestsReceived by APHIS, FY 20052007

FOIA

FY requests

2007 650

2006 800

2005 700


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The Horse Protection Act

In FY 2007, the AC program received approximately

$500,000 in appropriations or activities related to ad-

ministration o the HPA. Table 12 shows APHIS horseprotection-related appropriations or FY 20022007.

Appropriations or Horse Protection,FY 20022007

History o the HPA

Passed by Congress in 1970, the HPA (PL 91-540) pro-

hibits the showing, sale, auction, exhibition, or trans-

port o sored horses. Congress ound and declared that

the soring o horses is cruel and inhumane, and that

sored horses, when shown or exhibited, compete un-airly with horses that are not sore. Congress amended

the HPA in 1976 (PL 94-360), expanding the inspection

program by directing the Secretary o Agriculture to

prescribe, by regulation, requirements or the appoint-

ment o persons qualied to conduct inspections or

the purpose o enorcing the Act. The Designated

Qualied Person (DQP) program was established by

Annual appropriations orFY HPA enorcement

2007 $497,000

2006 $492,000

2005 $493,000

2004 $487,000

2003 $490,000

2002 $415,000

Table 12: Appropriations or Horse Protection,FY 2002-2007

regulations published in the Federal Registerin 1979.

The DQP program is urther discussed in the Admin-istration o the HPA section o this report.

Soring is dened as the application o any chemical

(e.g., mustard oil or diesel uel), mechanical agent (e.g.,

overweight chains), or practice (e.g., trimming a hoo

to expose the sensitive tissue) inficted upon any limb

o a horse, that can cause or be expected to cause the

horse to suer physical pain or distress when moving.

The practice o soring horses is aimed at producing an

exaggerated show gait or competition. This practice

is primarily used in the training o Tennessee Walking

Horses, racking horses, and related breeds. Although

a similar gait can be obtained using selective breeding

and humane training methods, soring achieves this ac-

centuated gait with less eort and over a shorter period

o time. Thus, this practice gives the person showing

a sored horse an unair advantage over those showing

sound horses.

The HPA prohibits anyoneincluding trainers, rid-

ers, owners, or representative agentsrom entering

a sored horse into a show, sale, auction, or exhibition.

The Act gives the management o a horse show or salethe statutory responsibility o identiying sored horses

and preventing them rom participating in these events.

The Act does not give APHIS authority to oversee horse

shows or interere in any way with their production

aside rom actions necessary to enorce the law.


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The Horse Protection Act

Administration o the HPA

The HPA is administered by USDA through APHIS. A

1976 amendment to the Act, as explained previously,

led to the establishment o the DQP program. A DQP

is a person who, under the provisions o Section 4 o

the HPA, may be appointed and delegated authority

by the management o a horse show or sale to detect

horses that are sored and to otherwise inspect horses

or the purpose o enorcing the Act. A DQP must

meet the requirements set orth in 9 CFR Section 11.7

and must be licensed by a Horse Industry Organization

(HIO) certied by the Department.

Individuals who have been licensed as DQPs under

Section 11.7 are usually arriers, trainers, or individu-

als with a basic knowledge o horses and the equine

industry. DQP candidates must successully complete

a ormal training program beore becoming licensed.

Additionally, this regulatory section allows a Doctor

o Veterinary Medicine accredited by USDA in anyState to become licensed as a DQP without having to

participate in ormal training. This veterinarian must

also be either a member o the American Association o

Equine Practitioners, a large-animal practitioner with

substantial equine experience, or one who is knowl-

edgeable in the area o equine lameness as related to

soring and soring practices.

The DQP program provides one o the primary mecha-

nisms or detecting sore horses. HIOs with certied

DQP programs participate with APHIS in yearly DQP

training seminars, reresher clinics, and educational o-

rums. APHIS veterinary medical ocers (VMOs) pro-

vide instruction and guidance at these sessions, which

incorporate classroom training as well as hands-on

instruction with horses. Regulatory policy, procedures,

and methods o inspection are reviewed throughout

the year with representatives o the horse industry.


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20072009 Horse ProtectionOperating Plans

APHIS published two separate but nearly identicalHorse Protection Operating Plans or 20072009, re-

erred to collectively as OP07-09. HIOs were given the

option o signing either plan. APHIS developed OP07-

09 based on eedback rom listening sessions held

throughout FY 2006 and public comments received on

the drat document.

APHIS rst published a 20072009 Horse Protection

Operating Plan in February 2007. This initial publica-

tion eliminated a 12-month probationary period or

persons who had incurred previous industry suspen-

sions or scar rule violations. APHIS removed this

provision ater receiving a signicant number o public

comments opposing the probationary period. How-

ever, in response to concerns expressed by some in the

industry and in an eort to acilitate the participation

o more HIOs in the plan, APHIS published a separate

operating plan in July 2007 that reinstated the proba-

tionary period. The two plans are identical except or

the probation provision.

Both plans are currently eective, and HIOs have three

options: signing the February 2007 plan; signing theJuly 2007 plan; or, declining to sign either. By signing

one o the plans, the HIOs voluntarily agree to carry

out the duties and responsibilities described in that

document. For non-signatory HIOs, all HPA enorce-

ment is handled by APHIS. The two operating plans

will expire on December 31, 2009. At the time o print-

ing, only one HIO had not signed either plan.

APHIS, in collaboration with the HIOs, routinely

evaluates the eectiveness o OP07-09 and modies it

as needed.

In 1999, APHIS entered into a voluntary agreement,

known as the Horse Protection Operating Plan, or the1999 Horse Show Season (OP99) with the eight HIOs

that operated certied DQP programs. This agreement

served as the rst operating plan or the program and

was a continuation o the working relationship estab-

lished between APHIS and the HIOs in previous years.

The plan ormally outlined the process o delegating

initial enorcement responsibility o the HPA to the

HIOs though the DQP program. Due to budgetary

constraints, APHIS veterinarians typically attend 10

percent o the horse events aliated with the certied

HIOs; the OP99 was an attempt to increase and achieve

more consistent enorcement o the HPA. This operat-

ing plan was a 1-year plan and expired on December

31, 1999. Since then, APHIS has continued the practice

o using operating plans in the administration o the

HPA.


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Horse Protection Act Enorcement

Horse Protection Act Enorcement

Compliance inspections or the 2007 show season were

conducted in accordance with provisions o the HPA,relevant sections o the CFR, inspection guidelines

established by APHIS, and OP07-09. HIOs regulate

their internal activities in accordance with the Horse

Protection regulations in 9 CFR and through standards

established in their industry rulebooks.

Licensed DQPs receive inspection assignments to vari-

ous shows and sales through certied HIOs. While

aliation with a certied HIO and the use o licensed

DQPs is not mandatory, most horse show and sale

managers choose to use DQPs to reduce their liability

under the Act i a horse is shown or sold while sore.

When the management o a show, sale, auction, or

exhibition does not aliate with a certied HIO to se-

cure inspections by a licensed DQP, the show manager

and other responsible individuals are held accountable

or any violations o the HPA that occur at the event.

APHIS strives to ensure that certied HIOs eectively

identiy sored horses, impose proper penalties, and

assist the agency in its goal o eliminating the practice

o soring. APHIS ocials also monitor as many una-

liated horse showsi.e., horse shows that do not hire

licensed DQPs, or are not managed by certied HIOswho maintain DQP programsas time and resources

allow.


During 2007, 14 HIOs maintained DQP programs cer-

tied by USDA. These HIOs are listed in Table 13.

HIOs participating in an operating plan in 2007 agreed

to impose the penalties contained in the plan orviolations o the HPA identied by their DQPs. These

penalties are intended to act as deterrents to entering a

sore horse in shows or sales. To ensure consistency and

airness, the HIOs agreed to honor each others suspen-

sions, share inormation on violations, and cooperate

on compliance issues. APHIS monitors HIO compli-

ance by reviewing show management, HIO and DQP

reports that are led with the agency, and conducting

audits o records maintained by the certied DQP pro-

grams. APHIS VMOs are assigned to attend selected

shows and sales to evaluate HIOs inspection proce-

dures and the perormance o individual DQPs.


Friends o Sound Horses

Heart o America Walking Horse Association

Horse Protection Commission

International Walking Horse Association

Kentucky Walking Horse Association

Missouri Fox Trotting Horse Breeding Association

National Horse Show Commission

National Walking Horse AssociationOklahoma Horse Association

Sound, Honest, Objective, Winning (SHOW)

Spotted Saddle Horse Breeders and Exhibitors Association

Tennessee Walking Horse Breeders and Exhibitors

Association

United Mountain Horse, Inc.

Western International Walking Horse Association

Table 13:


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Penalty Structure

I an HIO ails to impose the proper penalty or a viola-

tion o the HPA, APHIS may bring administrative or

criminal complaints against the alleged violators. Ad-

ministrative complaints may result in civil penalties o

not more than $3,000 or each violation, and an order

disqualiying the violator rom showing or exhibiting

horses or otherwise participating in any horse event

except as a spectator. Periods o disqualication are

determined on a case-by-case basis but must be no less

than 1 year or the rst violation and no less than 5

years or subsequent violations. Civil penalties o up

to $3,300 can be assessed or a violation o an order o

disqualication. The Act also authorizes the Secretary

o Agriculture to provide or the settlement o cases

by way o consent decisions. Criminal proceedings

may be initiated against individuals who knowingly

violate the Act. Criminal penalties include nes o up

to $3,000 and 1-year imprisonment or a rst oense.

Each subsequent violation may result in nes o up to

$5,000 and imprisonment or up to 2 years.

Confict Resolution

Under the terms o OP07-09, APHIS placed primary

enorcement responsibility or the HPA with the certi-

ed DQP programs and agreed not to seek Federal

prosecution i the HIOs properly identied violations

and imposed the appropriate penalties as provided

in these plans. Provisions were included in the event

o disagreements arising between VMOs and DQPs

regarding the identication o any HPA violations. I

a disagreement cannot be resolved at the show, the

VMO(s) and DQP(s) submit written documentation to

their respective supervisors or coordinators, who then

attempt to resolve the dispute.


APHIS assumes primary enorcement unctions at un-

aliated horse events and at aliated events or HIOs

that have not signed an operating plan. In 2007, APHIS

initiated 100 investigations or alleged violations o the

HPA and regulations. In addition, 21 investigations

were still open in 2007 rom previous years. Table 9

on page 15 refects AC enorcement action or horse

protection as well as animal welare.


Gas Chromatography/Mass Spectrometry

In an eort to incorporate the most current technol-

ogy in HPA enorcement activities, AC has invested in

a gas chromatography/mass spectrometry (GC/MS)

unit to identiy oreign substances that may be used

to sore horses. GC/MS is a testing technique used to

identiy the composition o chemical mixtures that

are sometimes applied to horses legs in order to sore

them. These mixtures can include masking, numbing,

or counterirritant agents. AC collects the samples at

shows and sends them to APHIS National Veterinary

Services Laboratories in Ames, Iowa, where testing is

conducted to identiy any chemicals in the samples.

GC/MS can detect minute amounts o substances. Pri-

or to GC/MS analytical techniques, oreign substances

were detected by sight or smell. FY 2004 was a pilot

testing year, and public sessions were held to introduce

and discuss the technology. From FY 2005 through FY

Documents

Animal Care Annual Report of Activities 2007