Animal Care Enforcement Summary (AWA and HPA)

Animal Care Enforcement Summary (AWA and HPA)

Animal Welfare Act (AWA)

With respect to alleged violations of the Animal Welfare Act (AWA), in Fiscal Year (FY) 2016, APHIS initiated 239 cases; issued 192 official warnings; issued 32 pre-litigation settlements resulting in the collection of $189,400 in stipulated penalties; and obtained administrative orders assessing $3,840,299 in civil penalties. APHIS negotiated several strong administrative consent decisions under the AWA, including one involving a business operating as both a research facility and dealer that agreed to the assessment of a $3.5 million civil penalty, revocation of its dealer’s license, and to submit a letter to cancel its research registration. The $3.5 million civil penalty is the largest civil penalty assessed under the AWA, which was enacted in 1966 to set general standards for humane care and treatment that must be provided for certain animals that are bred for commercial sale, sold sight unseen (internet sales), exhibited to the public, used in biomedical research, or transported commercially.

Totals FY 2015 FY 2016 FY 2017
(through 3rd quarter)
Cases Initiated 290 239 138
Warnings 181 192 105
Settlement Agreements 28 32 9
Stipulated Penalties Assessed $145,212 $189,400 $69,550
Non-Monetary Stipulations 7 5 0
Referrals to OGC 37 (alleged violators)
27 (cases)
43 (alleged violators)
32 (cases)
11 (alleged violators)
10 (cases)
Administrative Complaints 36 23 2
Administrative Decisions 26 39 31
Civil Penalties Assessed $23,500 $3,840,299 $396,150


Horse Protection Act

With respect to alleged violations of the Horse Protection Act (HPA), in Fiscal Year (FY) 2016, APHIS initiated 438 cases; issued 956 Official Warnings; and obtained 33 administrative orders assessing $20,400 in civil penalties and disqualifying 21 individuals from participating in activities regulated under the HPA. APHIS entered into a consent decision, which resolved multiple alleged violations of the Horse Protection Act (HPA). In particular, APHIS filed two complaints against a respondent alleging that on eight separate occasions between 2012 and 2014, respondent entered for the purpose of showing, and/or showed eight different horses in horse shows, while the horses were sore, in violation of the horse protection act. The consent decision provided that respondent is disqualified for a period of six (6) uninterrupted years from showing, exhibiting, or entering any horse in any horse show, exhibition, sale, or auction. APHIS obtained a decision and order assessing a five (5) year disqualification for a violation of the Horse Protection against a respondent who had previously been found to be in violation of the Act.

Totals FY 2015 FY 2016 FY 2017
(through 3rd quarter)
Cases Initiated 233 438 71
Warnings 503 956 213
Settlement Agreements 1 0 0
Stipulated Penalties Assessed $1,500 $0 $0
Non-Monetary Stipulations 0 0 0
Referrals to OGC 103 (subjects)
35 (cases)
21 (alleged violators)
20 (cases)
371 (alleged violators)
49 (cases)
Administrative Complaints 25 17 187*
Administrative Decisions 16 33 36*
Civil Penalties Assessed $9,900 $20,400 $54,000

* Reflects individual docket numbers

Learn more about the Horse Protection Act Disqualification List

 

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