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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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ii
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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1
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.
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Animal Welare Report Fiscal Year 2007
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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5
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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Animal Welare Report Fiscal Year 2007
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
E-mail: [email protected]
Western RegionFort Collins2150 Centre Avenue, Building B, Mailstop #3W11
Fort Collins, CO 80526
Phone: (970) 4947478
Fax: (970) 4947460
E-mail: [email protected]
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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Animal Welare Report Fiscal Year 2007
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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Animal Welare Report Fiscal Year 2007
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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Inspections by Business Type
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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Animal Welare Report Fiscal Year 2007
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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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.
Inspections by Business Type
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Animal Welare Report Fiscal Year 2007
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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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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Animal Welare Report Fiscal Year 2007
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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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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Animal Welare Report Fiscal Year 2007
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.
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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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Animal Welare Report Fiscal Year 2007
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.
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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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Animal Welare Report Fiscal Year 2007
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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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
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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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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Animal Welare Report Fiscal Year 2007
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.
Horse Industry Organizations
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.
Horse Industry Organizations
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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Animal Welare Report Fiscal Year 2007
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.
Enorcement Proceedings
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.
Enorcement Proceedings
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