latg: a review of the animal welfare act created by marc s. hulin, dvm, dipl. aclam
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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
Part 1- Definition of Terms
• 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
Part 1- Definition of Terms
• 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.
Part 1- Definition of Terms
• 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
Subpart C- Research Facilities
• 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
Subpart C- Research Facilities
• 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
Subpart C- Research Facilities
• 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
Subpart C- Research Facilities
• 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
Subpart C- Research Facilities
• 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
Subpart C- Research Facilities
• 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
Subpart H- Compliance with Standards
• 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
Subpart H- Compliance with Standards
• 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.
Animal Health & Husbandry
• 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
Animal Health & Husbandry
• 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)
Transportation Standards
• Guinea pigs, hamster, and rabbits:– Maximum allowable number of animals
which can be transported in one enclosure:• Guinea pigs: 15• Rabbits: 15• Hamsters: 50
Transportation Standards
• 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
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