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Inspections and the Appeals Process
Dr. Carol ClarkeUSDA, APHIS, Animal Care
2014 IAA State College, PA
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Animal CareDeputy Administrator – Dr. Chester Gipson
Headquarters Riverdale, MD
Regional Offices Raleigh, NC Fort Collins, CO
Center for Animal Welfare Kansas City, MO
Areas of ExpertiseBreeders/DealersTransportersExhibitorsResearch FacilitiesEmergency Management Bio-physiologyElephantsNon-Human PrimatesBig Cats/Marine MammalsDog/Cat Kennels Total: ~224 employees
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Animal Welfare Act
Public Law 89-544, US Code 7 § 2131-2159,
A statute enacted by Congress in 1966.
This law governs the care & use of animals in research for both gov’t& non-gov’t facilities
Animal Welfare Regulations
Code of Federal Regulations 9 CFR Chapter 1Subchapter A.
Every regulation listed in the CFR must have an enabling statute (in this case the AWA).
The purpose of the regulations is to describe in greater detail how an agency should interpret the law.
Animal Care Resource Guide Policies Guidelines for regulation interpretation updated 3/2011
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The Inspectors
• Qualified veterinarians who are graduates of accredited veterinary schools
• Receive comprehensive training in the regulatory requirements through the Center for Animal Welfare.
• Perform duties using the Inspection Guide as a tool
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Inspectors are allowed access §2.38 (b): Access of records & property• During business hours APHIS official allowed to:
– Enter the business, – Examine required records and make copies,– Inspect where deemed necessary, – Document findings of noncompliance (pictures, other
means)
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FYI: Citations can occur when….
• Records not available for inspection– Person with keys or access not availableCorrection: always have a person with access
• Required documentation not maintainedCorrection: check via semiannual inspection
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Risk Based Inspection System
• RIBIS is an Animal Care internal system which determines how often an inspector visits a facility
• This system is proprietary hence not for public access
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• Cannot substitute the USDA Annual inspection with one from another agency.
– Annual visit mandated under AWA § 2146a– A change is an act of Congress
Annual Inspections
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Agency/ Organization
Frequency of visitation
Announced Regulatory Authority
Focus
USDA-APHIS
Annual Inspections Or as often as needed
No Animal Welfare Act:P.L. 89-544 § 2146a
Minimize pain/distress
NIH-OLAW Site visits are Ad hoc or for cause
Yes Health Research Extension Act P.L. 99-158 § 495
PHS policy & ILAR Guide 8th ed
FDA Inspections every 2-3yrsDepending on # of GLP studies
No Food, Drug, & Cosmetics ActP.L. 75-717
Compliance with GLP mandates
AAALAC Site visits are every 3yrs
Yes None Program accreditation
Inspection of Research Facilities
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Harmonization
The USDA, FDA and NIH have a
MOU to ensure consistency between agencies.
AWA §2145: Consult and cooperate with other federal and state agencies
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The Animal Welfare Inspection Guide
• Designed to facilitate the decision-making process of the inspector– Not designed to replace professional judgment
• It is a tool to provide consistency & improve the quality of inspections– It is not a regulation or a policy
• Available to public due to USDA commitment to transparency
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Animal Care Information System
• ‘ACIS’ was developed in 2011
• Provides public access to inspection and annual reports
• A revised ACIS is expected at end of 2014
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Facilities and Inspections FY 2010 FY 2011 FY 2012 FY2013
# of RFs 1111 1097 1112 1124
# of Inspections 1725 1616 1528 1493
# of Direct NCIs 22 26 36 27
# of Repeat NCIs 93 65 91 68
No NCIs 1172 (68%)
1086 (70%)
1109 (73%)
1156(77%)
NCI: Non compliant itemDirect NCI: A violation that directly affects animal health & well-beingRepeat NCI: A violation that was previously cited
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Self –Reporting Required
• Change of operations:
– 9 CFR Ch.1 Subpart C AWR §2.30 (c) (1)
• Protocol suspension: – 9 CFR Ch.1 AWR §2.31 (d)(7)
• Uncorrected deficiencies from semi-annual inspection – 7 USC Ch. 54 AWA § 2143(b)(4)(C)
• The Annual Report – 9 CFR Ch.1 Subpart C AWR §2.36 (b)
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FYI: Self-Reporting Not Required
Unapproved activities discovered during PAM• May require an Amendment • May be a precursor to IACUC suspension
Unexpected animal deaths• Study related (unanticipated adverse event)
Incidents • Over heating deaths• Going through cage wash
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PROS
A sign of good faith AWA § 2149(b)
The proper persons are informed before problem is discovered by the VMO or public
CONS
FYI: Self-Reporting
FOIA requests– IACUC minutes
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Self-Correction
No Citation: The IACUC found the problem in a timely manner, took timely and appropriate corrective action, no ongoing pattern of violations, and there were no serious animal welfare impacts associated with the current problem
Citation: The problem was not discovered and/or corrected in a timely manner, and/or there is a regular pattern of ongoing AWA violations, and/or there were serious animal welfare impacts
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“They all look like this after surgery.”
“They all look like this after surgery with post-operative analgesia.”
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Citations
• The incident that adversely affected animal health and well-being which was self -corrected will not be designated as a direct NCI
• Inspection report may include the self -
correction at the discretion of the inspector
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HVAC Failure with Deaths
IACUC investigation: – System was properly serviced and included
appropriate back-ups, fail safes, and alarms– Determined failure to be an act of nature
Facility self reported to USDA
USDA Decision - No citation No recent enforcement actions or similar
incidentsDeemed an act of nature
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Revised: Appeal Process Old System
• 1st Appeal: Submitted in writing & reviewed by the Inspector’s supervisor(30d)
• 2nd Appeal: Submitted in
writing & reviewed by the RD (30d)
• Further: RD confers with Deputy Administrator (30d)
New System• Discuss with Inspector
during visit or exit briefing
• If unresolved, written appeal submitted to the Regional office within 21d of report.
• No appeal accepted after 21d
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New Appeal Process
Team consists of: • The Regional Director,• Asst. Regional Director of the other region, • Subject Matter Expert
All decisions final
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Your VMO or Regional Office is available to listen!
Get updates through our stakeholder registry
https://public.govdelivery.com/accounts/USDAAPHIS/subscriber/new
Animal Care is Available for Guidance