LATG: A Review of the Animal Welfare Act Created by Marc S. Hulin, DVM, Dipl. ACLAM.

LATG:A Review of the

Animal Welfare Act

Created by

Marc S. Hulin, DVM, Dipl. ACLAM

History of AWA• Laboratory Animal Welfare Act of 1966 (PL# 89-544):

– designed to stop “pet napping”– applied to dog & cats dealers; research facilities

that used dogs and cats• Animal Welfare Act (PL# 91-579) amended in 1970:

– expanded to cover hamsters, guinea pigs, rabbits, NHP & other warm-blooded species

– cover animals while on study– cover use in teaching and exhibition

History of AWA

• 1976 Amendment (PL#94-279):– carriers were covered & transportation

standards were set– expanded to cover Marine Mammals

History of AWA• Food Security Act of 1985 (PL# 99-198):

– aka “Improved Standards for Laboratory Animals”– mandated training of all personnel using animals

in research– defined duties & composition of the IACUC– developed standards for exercise of dogs &

psychological well-being of NHP– defined one major operative procedure only:

unless scientifically justified or vet. procedure– established Animal Welfare Information Center

(AWIC) to prevent unnecessary duplication

History of AWA

• Protection of Pets-1990 Amendment:– attached to Food, Agriculture,

Conservation and Trade Act (PL # 101-624)

– mandated a minimum holding period of 5 days for pounds and shelters before providing any live cat or dog to a “Class B” dealer

APHIS & AWA• Animal and Plant Health Inspection Service (APHIS):

– enforcement of the standards and regulations of the AWA

• Regulatory Enforcement and Animal Care (REAC):– group within APHIS that administers Federal laws

concerning transportation, sale, and handling of animals used in lab research

– NOTE: USDA inspections are unannounced and conducted annually

Part 1- Definition of Terms

• Animal:– any live or dead dog, cat, NHP, guinea pig,

hamster, rabbit or any other warm-blooded animal intended for use in research

– term excludes: birds, rats of the genus Rattus and mice of the genus Mus bred for research

– also excludes horses not used for research purposes and other farm animals intended for use as food or fiber


• Class “A” dealer (purpose bred):– breed and raise animals in a closed or

stable colony

• Class “B” dealer (random source):– purchase and/or resale of any animal for

the purpose of research

• Class “C” dealer (exhibitor):– showing or displaying of animals to the

public

Part 1- Definition of Terms• Field study:

– study conducted on free-living wild animals in their natural habitat; which does not involve invasive procedures, and which does not harm or materially alter the behavior of the animals under study

• Institutional Official:– individual at a research facility who is

authorized to legally commit on behalf of research facility that requirements of AWA will be met.

Part 1- Definition of Terms• Major operative procedure:

– any surgical procedure that penetrates and exposes a body cavity or any procedure which produces permanent impairment of physical or physiological functions

• Painful procedure: – any procedure that would reasonably be

expected to cause more than slight or momentary pain or distress in a human being


• Random sources:– dogs & cats obtained from animal pounds or

shelters, auction sales, or from any person who did not breed & raise them on his or her premises

• Primary enclosures:– any structure or device used to restrict an

animal or animals, such as a room, pen, or cage.


• Study area: – any room, area, enclosure, or other

containment outside of a main animal facility where animals are housed for more than 12 hours.

– NOTE: PHS Policy defines as 24 hrs.

Part 2- Regulations

• This part sets forth requirements for registration & licensing under the Act, adequate veterinary care, handling, holding, facilities, identification of animals, and recordkeeping

Subpart A- Licensing• Persons operating or desiring to operate as dealers,

exhibitors, or operators of auction sales must be licensed

• Exemptions:– retail pet stores– persons who derive no more than $500 gross

annual income– persons who maintain no more than 3 breeding

female dogs or cats & sell offspring for pets or exhibition

– persons who sell fewer than 25 dogs and or cats annually for research, testing, or education

Subpart A- Licensing• Exemptions (con’t):

– persons who buy animals solely for their own use & do not sell or exhibit animals

• License application: $10 fee– Applicants must demonstrate that their

premises, facilities, vehicles, equipment are in compliance

– licenses are valid for 1 yr.– 30 days prior to expiration must reapply

and submit annual report with income or number of animals sold.

Subpart B- Registration

• Carriers, Intermediate handlers, and exhibitors must register with the Secretary of USDA

• Must be updated every 3 yrs.

Subpart C- Research Facilities

• Research facilities, other than federal research facilities must register

• Updated every 3 yrs.

• An official who has legal authority to bind the parent organization must sign the registration form


• IACUC:– CEO must appoint IACUC members– Must consist of at least 3 people

• Chairman• DVM with training or experience in lab animal

science and medicine• Person not affiliated with the facility (not immediate

family member)

– If more than 3 members, no more than 3 members from same dept.

– NOTE: PHS policy must have 5 members


• IACUC functions:– review animal care program & inspect animal

facilities at least once every 6 months– prepare reports from the review & inspection– review & investigate public complaints about

animal care– review & approve proposed activities or significant

changes– suspend an activity involving animals


• Attending Veterinarian and Adequate Veterinary Care:– each facility must employ an attending

veterinarian– part time or consultants must have a

written program of veterinary care & regularly scheduled visits to the facility

Subpart C- Research Facilities• Recordkeeping Requirements:

– Must maintain IACUC records• Meeting minutes• Proposed activities & significant changes• Semiannual reports• must keep for 3 yrs. after completion of project

– Must keep records for live dogs and cats• Health certificate, Animal description, USDA #,

date of acquisition, vendor info.– All records must be available for APHIS and

federal agency inspection & copying (FOIA)– NOTE: PHS require 2 more: AWA & AAALAC, Int.

accreditation


• Annual Report to USDA:– Must be submitted by Dec. 1 of each yr.;

covers Oct. 1-Sept. 30 (federal fiscal yr.)– Considered alternatives to painful procedures– Assure adhering to the AWA– Common names and number of animals

used in the following categories:• D or 0: no pain or distress• E or 1: pain or distress with appropriate drugs• F or 2: pain or distress without drugs; requires

scientific justification


• Identification of dogs and cats:– Official tag:

• “USDA”• Numbers and letters identifying the state and dealer• Numbers identifying the animal

– Tags cannot be reused within a 5 yr. period– Lost tags must be replaced with new tag and

number & must be recorded in records– Tags must be kept for 1 yr. period

Subpart C- Research Facilities• Identification of dogs and cats (con’t):

– Tattoo– Collar– Unweaned puppies or kittens to not need

individual identification if with dams• Health certificates:

– Dog, Cat, or NHP transported from a research facility must be accompanied by health certificate issued by licensed, accredited vet.

– Health certificate must have date examined by vet.; not more than 10 days prior to transport


• Holding periods for dogs and cats:– Research facilities that obtain dogs or cats

from sources other than dealers, exhibitors, and persons who are exempt from licensing regulations must hold the animal for 5 full days, not including the day of acquisition or time in transit

Subpart H- Compliance with Standards

• Holding period:– Any live cat or dog acquired by a dealer or

exhibitor must be held for 5 full days, not including the day of acquisition or time in transit and must include at least one Saturday

– This 5 days is for animals acquired from public pounds or shelters

– Extended to 10 days if acquired from private or contract pounds or shelters

– Pounds or shelters must hold for 5 days before releasing to Class “B” dealer


• Holding period (con’t):– Before selling a random source dog, a dealer must

provide certification relating to:• background and registration of the dealer and

animal• description of the animal• background of shelter were purchased• statement by shelter that held for at least 5 days• assurance that the dealer notified person, pound or

shelter that the animal might be used for research or educational purposes


• Procurement of random source dogs and cats:– Class “B” dealers may obtain random

source dogs and cat only from:• licensed dealers• state, county, or city-owned and operated

pounds or shelters• another legally operated animal shelter

Part 3- Standards• This sections specifies standards for the

humane handling, care, treatment, and transportation of dogs, cats, guinea pigs, hamsters, rabbits, NHP, marine mammals, and other warm-blooded animals

• NOTE: This section has a lot of common sense info. e.g., removal and disposal of waste must be regular and frequent or adequate potable water must be supplied for animals’ drinking needs

Part 3- Standards

• Indoor facilities:– Dogs, Cats, NHP:

• the ambient temp. must not fall below 45 F or rise above 85 F for more than 4 consecutive hours when animals are present

– Guinea pigs and hamsters:• the ambient temp. must not fall below 60 F or

exceed 85 F

– Rabbits:• indoor facilities need not be heated

Part 3- Standards• Outdoor facilities:

– Not suitable for guinea pigs and hamsters– Dogs and cats:

• unknown acclimation status: do not keep outdoors if temp. is less than 50 F

– Rabbits: • temp. > 90 F artificial cooling shall be provided

(sprinkler system)

• Shelter from cold weather:– Dogs and cats: below 50 F– Rabbits: below 40 F– NHP: below 45 F

Part 3- Standards• Primary enclosures:

– Dogs, Cats, & NHP: must be structurally sound and maintained in good repair

• contain & protect from injury• allow animals to remain dry & clean• easy access to food and water• protection from extreme cold and heat• surfaces to be cleaned/sanitized readily

– Dogs & Cats:• innovative enclosure that do not precisely meet

floor area and height may be used; must be approved by IACUC

Part 3- Standards• Cats:

– must provide receptacle with clean litter– space requirements:

• 24 in. high• < 8.8 lb or 4 kg must have 3.0 sq. ft.• > 8.8 lb or 4 kg must have 4.0 sq. ft.• queens with litters must have additional space• minimum floor space excludes food/water pan,

but includes litter box– each primary enclosure must contain an elevated

resting surface– no more than 12 adult cats may be housed in

same primary enclosure

Part 3- Standards• Dogs:

– Interior height must be at least 6 inches higher than the head of the tallest dog when it is in normal standing position

– Minimum floor space:• Equal to the square of the sum of the length of

the dog in inches (measured from the tip of the nose to the base of the tail) plus 6 inches, expressed in square feet (divide by 144).

• Dog measuring 30 inches, would be 36 x 36/144 = 9 sq. ft.

• NOTE: Differs from Guide (based on wt. of dog)– No more than 12 adult dogs in same enclosure

Part 3- Standards• Nonhuman primates:

– Minimum space requirements must be met even if perches or swings are placed in the enclosure

– based on typical wt. of species– ranges from Group 1-Group 6– Group 6 includes great apes < 50 kg and

brachiating species– Great apes > 50kg must have additional space for

normal postural adjustments– Smaller innovative enclosures may be used but

must be approved by IACUC/Administrator

Part 3- Standards• Guinea pigs:

– cage interior height: 7 inches– minimum floor space: 60 sq. in. < 350 gr and 101

sq. in. > 350 gr• Hamsters:

– cage interior height: 6 inches– minimum floor space: see AWA– no other hamster may be kept in an enclosure with

nursing female and litter• Rabbits:

– minimum interior height: 14 in.– minimum floor space: see AWA

Part 3- Standards• Environmental enhancement to promote

psychological well-being:– dealers, exhibitors, and research facilities must

follow and document a plan for EE and must be directed by attending veterinarian

– The plan must address:• Social grouping (conspecifics)• Environmental enrichment: species typical

activity• Special considerations: juveniles, psychological

distress• Restraint devices: must not be used unless

required by protocol (restraint > 12 hrs. must give 1 hr. unrestrained daily)

Part 3- Standards

• Environmental enhancement to promote psychological well-being (con’t):– exemptions:

• Veterinarian may exempt animals for reasons of health, condition, or well-being

• IACUC may exempt for scientific reasons• Records of exemptions must be made available

to USDA and federal agencies

Part 3- Standards

• Dog Exercise Program:– dealers, exhibitors, and research facilities

must have appropriate documented plan to provide dogs with the opportunity for exercise

– must be approved by attending veterinarian

– plan must have written standard procedure

Dog Exercise Program

• All dogs individually housed with less than 2 times required floor space must be provided regular opportunity for exercise

• Dogs that are group housed do not require additional opportunity for exercise if floor space is equal to at least 100% of the required floor for each individual dog

Dog Exercise Program

• Exemptions:– Attending veterinarian decision for reasons

of health, condition, or well-being• exemption must be documented and reviewed

at least every 30 days

– Scientific reasons• must be documented in IACUC approved

protocol

Animal Health & Husbandry

• Feeding:– animal must be fed at least once daily – food containers for all species must be sanitized

at least every 2 wks.

• Watering:– if potable water is not accessible at all times,

potable liquids must be offered at least twice daily for at least 1 hr. each time

– water receptacles sanitized at least every 2 wks.


• Sanitation:– effective program for control of insects, ectoparasites,

and vermin shall be maintained– dogs, cats, and nonhuman primates:

• excreta and food waste must be removed from primary enclosures daily

• enclosures should be sanitized at least every 2 wks.

• Hard surfaces can be cleaned by cage washer, live steam under pressure, or detergent and disinfectant


• Guinea pigs and hamsters:– enclosures must be cleaned and sanitized

at least every 2 wks.

• Rabbits:– enclosures must be cleaned and sanitized

at least every 30 days– underlying pans or troughs shall be

cleaned at least once a week

Transportation Standards

• Carriers and intermediate handlers may not accept animals for transportation more than 4 hrs. before departure

• Must be accompanied by health certificate signed by vet. within 10 days of shipment

• Temperature of terminal facility must be lower than 45 F for more than 4 hrs. when animals are present

Transportation Standards• Primary enclosures used to transport

live animals:– Interior must be free of any protrusions– Openings must be easily accessible for

emergencies– adequate handholds for lifting must be

located on exterior– Enclosures: must have words “Live

Animals” or “Wild Animals” printed in letters at least 1 inch high on top and one side

Transportation Standards• Food and water requirements (must be affixed to

outside of enclosure):

– Dogs, cats, NHP:

• must be offered water and food within 4 hrs. of transportation

• water must be offered at least every 12 hrs.

• NHP > 1 yr., dogs and cats > 16 wks must be fed at least once every 24 hrs.

• NHP < 1 yr., dogs and cats < 16 wks must be fed at least once every 12 hrs.

– Guinea pigs, hamster, and rabbits:

• animals in transit for more than 6 hrs. must have access to food and water or type of food to satisfy their needs during transit (Transgel)


• Guinea pigs, hamster, and rabbits:– Maximum allowable number of animals

which can be transported in one enclosure:• Guinea pigs: 15• Rabbits: 15• Hamsters: 50


• Care in Transit:– Surface Transportation:

• Animals must be observed at least every 4 hrs. to assure proper ventilation, temperature, or physical distress

– Air Transportation:• Animals must be observed at least every 4 hrs.

if the animal cargo area is accessible during flight. If not, must be observed during loading and unloading

Terminal Facilities• Ventilation and Temperature:

– Dogs, Cats, NHP (same for primary conveyances): • ventilation must be provided by windows,

doors, vents, etc.• auxiliary ventilation must be used when the

temp. > 85 F in holding area• ambient temp. must not exceed 85 F nor fall

below 45 F for more than 4 consecutive hrs. when animals are present

– Duration:• must not be held at terminal facility for more

than 24 hrs. if consignee cannot be notified, but 48 hrs. if fails to take physical possession

Terminal Facilities

• Ventilation and Temperature:– Guinea pigs, hamsters, rabbits, other warm

blooded animals (same for primary conveyances):

• ventilation must be provided by windows, doors, vents, etc.

• auxiliary ventilation must be used when the temp. > 75 F in holding area

• ambient temp. must not exceed 85 F nor fall below 45 F for more than 4 consecutive hrs. when animals are present

LATG: A Review of the Animal Welfare Act Created by Marc S. Hulin, DVM, Dipl. ACLAM.

Documents

aphis awa animal

definition of terms

exhibition slide

aclam slide

fiber slide

public slide

warmblooded animal

animal pounds