Enforcement Summaries

APHIS Investigative and Enforcement Services’ open inventory of cases involve investigative, enforcement, and regulatory support services for the four APHIS programs it serves, as well as for agricultural quarantine inspection activities carried out by the Department of Homeland Security’s Customs and Border Protection.  A case may involve one or more individuals or businesses. 

In fiscal year 2023, APHIS Investigative and Enforcement Services opened 1,031 new cases; issued 501 warning letters; entered into 476 pre-litigation settlement agreements resulting in the collection of $1,355,414 in stipulated penalties; and obtained, through Office of the General Counsel action, Administrative Orders assessing $427,198 in civil penalties. 

APHIS Investigative and Enforcement Services cases involve investigative, enforcement, and regulatory support services for the four APHIS programs it serves, as well as for agricultural quarantine inspection activities carried out by the Department of Homeland Security’s Customs and Border Protection. 

Each case is different and may vary in investigative scope, complexity, and time required to review.  Some cases may involve multiple individuals or organizations, traverse multiple states and/or U.S. territories, and include multiple alleged violations—any of which might require extensive investigative resources to obtain sufficient evidence to determine whether an alleged violation has occurred.  Other cases may be more straightforward, where the initial evidence clearly substantiates the alleged violation, allowing Investigative and Enforcement Services to more quickly process the case to help APHIS officials determine the appropriate resolution.  Finally, Investigative and Enforcement Services conducts a streamlined review of most cases involving alleged regulated garbage and passenger baggage violations in support of agricultural quarantine inspection activities.  These cases are completed as part of an expedited resolution program, in which Customs and Border Protection refers a case to APHIS while simultaneously providing evidence related to the alleged violation.    

In fiscal year 2023, Investigative and Enforcement Services opened a total of 1,031 new cases. Of those cases, 411 consisted of referrals in support of agricultural quarantine inspection activities and were handled as part of the expedited resolution program. The remaining 620 investigations involved referrals from each of the four APHIS programs and Customs and Border Protection. The distribution of these 1,031 cases is shown in the following two charts, categorized by program area.

At the end of fiscal year 2023, Investigative and Enforcement Services had 443 open cases at various stages of the investigation and enforcement processes. Of those pending cases, 28 involved agricultural quarantine inspection activities under an expedited resolution program. The remaining cases were from the various APHIS programs and Customs and Border Protection. Distribution of those cases is shown in the following two charts, organized by APHIS program. 

APHIS has a number of available options to resolve a case in which the evidence substantiates that an alleged violation has occurred. These options include issuing regulatory correspondence (such as an official warning) to the individuals or businesses involved in the alleged violation; offering to resolve the case through a stipulated penalty; and referring the case to the USDA Office of the General Counsel for formal administrative action before the USDA Office of Administrative Law Judges.

In fiscal year 2023, APHIS Investigative and Enforcement Services issued 501 official warnings to individuals or businesses involved in cases in which the evidence substantiated that an alleged violation of an APHIS-administered statute or regulation occurred, but for which APHIS chose not to pursue a civil penalty or formal administrative action. An official warning or other regulatory correspondence is not a penalty, nor is it an enforcement action against an individual or business. Rather, the purpose of official warnings and other regulatory correspondence is to provide notice of the legal requirements and information to promote compliance with the law. Distribution of warning letters is shown in the following chart, categorized by program area.

In many instances, APHIS may enter into a settlement agreement (or stipulation) to resolve alleged violations of APHIS-administered laws.  In cases where the evidence substantiates that a violation occurred, and the circumstances of the alleged violation are such that APHIS determines that a penalty is appropriate, Investigative and Enforcement Services may offer to resolve the case through these pre-litigation settlement agreements.  

In fiscal year 2023, APHIS Investigative and Enforcement Services issued 476 pre-litigation settlement agreements, resulting in the collection of $1,355,414 in stipulated penalties. A portion of those settlement agreements (99 cases and $231,594 in stipulated penalties) are the result of an expedited resolution program involving agricultural quarantine inspection activities, for which Customs and Border Protection refers the matter to Investigative and Enforcement Services while simultaneously providing evidence related to the alleged violation.  The distribution of all cases where APHIS issued pre-litigation settlement agreements and collected stipulated penalties are shown in the following two charts.
 

For cases involving serious violations or for which regulatory correspondence or a stipulated penalty may not be appropriate, APHIS Investigative and Enforcement Services may refer the case to USDA’s Office of the General Counsel to initiate formal administrative action before the USDA Office of Administrative Law Judges and to seek civil penalties or other sanctions for alleged violations of APHIS statutes.

APHIS has many cases in various stages of the formal administrative process before the Office of Administrative Law Judges, including several under judicial review, in coordination with the Office of the General Counsel. Formal administrative action usually begins by filing an administrative complaint against a respondent. At that time, the USDA Hearing Clerk will assign a “docket number,” which is a unique number assigned to an administrative complaint. A single respondent may have more than one pending administrative complaint.

In fiscal year 2023, APHIS, through the Office of the General Counsel, obtained decisions and orders in 26 proceedings assessing $427,198 in civil penalties.  The decisions and orders included orders suspending or revoking 16 Animal Welfare Act licenses and disqualifying 3 individuals from participating in activities regulated under the Horse Protection Act. 

The following pie chart shows the distribution of individuals and businesses whom APHIS has referred to the Office of the General Counsel and which are currently pending formal administrative action, categorized by program area.

To support AQI activities in fiscal year 2023, APHIS Investigative and Enforcement Services initiated 525 cases, issued 198 official warnings, and issued 428 pre-litigation settlement agreements resulting in the collection of $1,039,476 in stipulated penalties. 

In one case, IES worked with the Office of General Counsel to obtain an administrative order resulting in a civil penalty for more than $360,000 for improper disposal of regulated garbage. In another case, IES negotiated a pre-litigation settlement agreement in the amount of $150,000 to resolve violations of the Plant Protection Act involving the shipment of plants for planting without APHIS-issued permits or phytosanitary certificates.

To support animal welfare in fiscal year 2023, APHIS Investigative and Enforcement Services initiated 262 cases for alleged violations of the Animal Welfare Act (AWA), issued 214 official warnings, issued 15 pre-litigation settlements resulting in the collection of $222,750 in stipulated penalties, and obtained 19 administrative orders resulting in the assessment of $35,700 in civil penalties, and suspended or revoked 16 licenses. 

In one case, IES negotiated a pre-litigation settlement agreement in the amount of $37,900 to resolve alleged violations of the Animal Welfare Act standards including the failure to maintain primary enclosures and failure to avoid handling animals to avoid trauma, physical harm and unnecessary discomfort.  In another case, working with the Office of the General Counsel, APHIS entered into a Consent Decision and Order that terminated the respondent’s AWA license and assessed a civil penalty of $9,000 for violations of the AWA.

To support horse protection in fiscal year 2023, APHIS Investigative and Enforcement Services initiated 66 new cases for alleged violations of the Horse Protection Act (HPA) and worked with the Office of the General Counsel to obtain 3 administrative orders resulting in the assessment of $24,648 in civil penalties and disqualifying 3 individuals from participating in activities regulated under the Horse Protection Act. 

APHIS Investigative and Enforcement Services has continued to post copies of enforcement records (such as initial decision and orders, default decisions, consent decisions, and administrative complaints) on its website: USDA APHIS | Animal Welfare and Horse Protection Actions. 

To support Biotechnology Regulatory Services in fiscal year 2023, APHIS Investigative and Enforcement Services initiated 1 case, which was resolved in fiscal year 2024 through a pre-litigation settlement resulting in the collection of $16,240 in stipulated penalties.

To support plant health in fiscal year 2023, APHIS Investigative and Enforcement Services initiated 25 cases, issued 19 official warnings, and negotiated 8 pre-litigation settlement agreements resulting in the collection of $39,125 in stipulated penalties, and obtained 1 administrative order resulting in the assessment of $6,250 in civil penalties. 

In one case, IES negotiated a pre-litigation settlement in the amount of $7,125 that resolved violations of the Plant Protection Act involving the importation of blueberries from Chile and asparagus from Peru.  In another case, IES negotiated a pre-litigation settlement for $7,750 for violations of the Plant Protection Act involving unmanifested shipments of live trees without APHIS-issued permits or phytosanitary certificates.   

To support animal health, in fiscal year 2023, APHIS Investigative and Enforcement Services opened 92 cases, issued 70 official warnings, issued 25 pre-litigation settlements resulting in the collection of $54,063 in stipulated penalties, and obtained 1 administrative order. 

In one case, IES negotiated a pre-litigation settlement agreement in the amount of $12,750 to resolve violations of the Animal Health Protection Act relating to the use of fraudulent documents to obtain an export permit. In another case, IES negotiated a pre-litigation settlement in the amount of $5,000 to resolve violations of the Animal Health Protection Act relating to fraudulent documents and the interstate movement of animals without the required documentation.