APHIS 7023 Annual Report of Research Facility

Clear Form
According to the Paperwork Reduction Act of 1995, an agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless
it displays a valid OMB control number. The valid OMB control number for this information collection is 0579-0036. The time required to complete this information
collection is estimated to average 2 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data
needed, and completing and reviewing the collection of information.
This report is required by law (7 U.S.C. 2143 and 9 C.F.R. § 2.36). Failure to report according to the regulations can result in an order to
Interagency Report Control
cease and desist.
No. 0180-DOA-AN
1.
REGISTRATION
NUMBER:
UNITED STATES DEPARTMENT OF AGRICULTURE

ANIMAL AND PLANT HEALTH INSPECTION SERVICE

ANNUAL REPORT OF RESEARCH FACILITY

OMB APPROVED
0579-0036
Fiscal Year:

Customer Number:
2. HEADQUARTERS RESEARCH FACILITY (Name and Address, as registered with USDA,
include ZIP Code)

(TYPE OR PRINT)

Telephone:
3. REPORTING FACILITY (List all locations where animals were housed or used in actual research, testing, teaching, or experimentation, or held for these purposes. Attach additional sheets if
necessary.)
FACILITY LOCATIONS (Sites)

See Attached Listing

REPORT OF ANIMALS USED BY OR UNDER CONTROL OF RESEARCH FACILITY (Attach additional sheets if necessary or use APHIS FORM 7023A.)
B.
C.
D. Number of animals upon
E. Number of animals upon which teaching,
which experiments,
experiments, research, surgery, or tests were
Number of animals
Number of animals
teaching, research,
conducted involving accompanying pain or
upon which
being bred,
surgery, or tests were
distress to the animals and for which the use of
teaching, research,
conditioned,
or
held
conducted
involving
appropriate anesthetic, analgesic, or
Animals Covered By
experiments, or
for use in teaching,
The Animal
accompanying
pain
or
tranquilizing drugs would have adversely
tests were
testing, experiments,
distress to the animals
affected the procedures, results, or
Welfare Regulations
conducted involving
research, or surgery
and for which
interpretation of the teaching, research,
no pain, distress, or
but not yet used for
appropriate
anesthetic,
experiments, surgery, or tests. (An explanation
use of pain-relieving
such purposes.
analgesic,
or
of the procedures producing pain or distress on
drugs.
tranquilizing drugs were
these animals and the reasons such drugs
used.
were not used must be attached to this report.)

A.

F.

TOTAL NUMBER
OF ANIMALS
(Cols. C + D + E)

4. Dogs
5. Cats
6. Guinea Pigs
7. Hamsters
8. Rabbits
9. Non-human Primates
10. Sheep
11. Pigs
12. Other Farm Animals

13. Other Animals

ASSURANCE STATEMENTS
1.)

Professionally acceptable standards governing the care, treatment, and use of animals, including appropriate use of anesthetic, analgesic, and tranquilizing drugs, prior to, during, and following
actual research, teaching, testing, surgery, or experimentation were followed by this research facility.

2.)

Each principal investigator has considered alternatives to painful procedures.

3.)

This facility is adhering to the standards and regulations under the Act, and it has required that exceptions to the standards and regulations be specified and explained by the principal investigator
and approved by the Institutional Animal Care and Use Committee (IACUC). A summary of all such exceptions is attached to this annual report. In addition to identifying the IACUC approved
exceptions, this summary includes a brief explanation of the exceptions, as well as the species and number of animals affected.

4.)

The attending veterinarian for this research facility has appropriate authority to ensure the provisions of adequate veterinary care and to oversee the adequacy of other aspects of animal care and
use.

CERTIFICATION BY HEADQUARTERS RESEARCH FACILITY OFFICIAL

(Chief Executive Officer (C.E.O.) or Legally Responsible Institutional Official (I.O.))
I certify that the above is true, correct, and complete (7 U.S.C. Section 2143).

NAME AND TITLE OF C.E.O. OR I.O. (Type or Print)

APHIS FORM 7023
JUL 2020

NAME AND TITLE OF C.E.O. OR I.O. (Type or Print)

DATE SIGNED

OMB APPROVED
0579-0036

APHIS Form 7023 Site Addendum for FY:

Registration Number:
Customer ID Number:
Facility Business Address Information:

Telephone:
Facilities Site(s) Address Information:

Site Codes:

APHIS FORM 7023 (Reverse)
JUL 2020

INSTRUCTIONS FOR COMPLETION OF APHIS FORM 7023
(Refer to U.S.C. 7 Section 7A and 9 C.F.R. Section 2.36)

ITEM 1 -

Enter registration number as assigned to the Research Facility by United States Department of Agriculture (USDA).

ITEM 2 -

Enter the complete name and address of the Headquarters Research Facility as registered with USDA. If the name or business address has changed,
notify the Fort Collins, CO office in writing as soon as possible. Correcting the information on your annual report packet is not sufficient.

ITEM 3 -

List the location of each site where the animals were housed and used in actual research, teaching, testing experimentation, or held for such purposes.
(Attach additional sheets if necessary). Provide the information but do not provide the building or room numbers.

ITEMS 4 - 13 ITEM 12 -

DO NOT enter the numbers in Column A. DO NOT add numbers entered into Column B into the totals in Column F. Column F is to only show the
combined totals in Column C, D, and E from APHIS Forms 7023 and APHIS Form 7023A or some other type of attached continuation.
List by common name all other farm animal species

ITEM 13, Other -

List by common name all other species covered by the Regulations. (This will include wild and exotic species.) Use additional sheets if necessary or
APHIS Form 7023A. Report wild rodents. DO NOT report the use of laboratory rats and mice (genera rattus and mus) bred for research. DO NOT
report birds. DO NOT report reptiles, fish, and other animals exempt for the regulations under the AWA. DO NOT include animals used in clinical trials
in the context of a Veterinary- Client relationship, and DO NOT include animals in a field study as defined under the Animal Welfare Act. If there are
questions about a particular activity, contact the Fort Collins, CO office for guidance.

CERTIFICATION -

Must be signed by the Chief Executive Officer (C.E.O.) of the Registered Research Facility or other Institutional Official (I.O.) having authority to legally
commit on behalf of the Registered Research Facility. Sign, print or type Name and Title, and Date.

RETURN COMPLETED FORM WITH AN ORIGINAL SIGNATURE OF C.E.O. OR I.O. TO THE FORT COLLINS, CO OFFICE.

APHIS FORM 7023 (Page 3)
JUL 2020

Privacy Act Notice
Authority: The Animal Welfare Act (AWA), 7 U.S.C. 2131 et seq., and the regulations issued thereunder, 9 CFR parts 1 through 4; and the Horse
Protection Act (HPA), 15 U.S.C. 1821 et seq., and the regulations issued thereunder, 9 CFR parts 11 and 12.
Purpose: This system supports APHIS’ administrative activities and enforcement of the AWA and HPA.
Routine Uses:
In addition to those disclosures generally permitted under 5 U.S.C. 552a (b) of the Privacy Act, records maintained in the system may be disclosed outside
USDA as follows:
(1) APHIS may disclose the name, city, State, license or registration type and/or status, or change of a license or registrant to any person pursuant to 9 CFR
2.38(c) and 2.127;
(2) APHIS may disclose annual reports submitted to APHIS by licensees and research facilities to any person pursuant to 9 CFR 2.7 and 2.36;
(3) APHIS may disclose inspection reports and other regulatory correspondence issued to licensees and registrants [from the agency] to any attending
veterinarian in order to carry out duties under the AWA pursuant to 9 CFR 2.33 and 2.40;
(4) APHIS may disclose the name, telephone number and other contact information, location, inspection reports, and regulatory and other correspondence
of licensees, registrants, permitees, and applicants for the same, to appropriate Federal, foreign, State, local, Tribal, or other public authority agencies or
officials, in order to carry out duties under the AWA or State, local, Tribal or other public authority on the same subject pursuant to 7 U.S.C. 2145(b);
(5) APHIS may disclose inspection reports of licensees and registrants, and permit status, to any pet store or other entity that is required under State, local,
Tribal, or other public authority to verify a licensee, registrant, or permitee’s compliance with the AWA;
(6) APHIS may disclose information to the National Academies of Sciences, Engineering, and Medicine, and any other research institution engaged or
approved by the Department, to the extent APHIS deems the disclosure necessary to complete research and/or compile a report in furtherance of the
Department’s mission;
(7) APHIS may disclose final adjudicatory AWA and HPA decisions or orders by an appropriate authority to any person;
(8) APHIS may disclose to any person the name, city, and State or other information to the extent necessary for proper identification of persons (referred to
as “Designated Qualified Persons” or “DQPs”) that are or have been qualified to detect and diagnose a horse that is sore or otherwise inspect horses for
purposes of enforcing the HPA and of horse industry organizations or associations (referred to as “HIOs”) that have currently or have had in the past DQP
programs certified by the USDA;
(9) APHIS may disclose to any regulated horse owner, HIO, and other entities responsible for licensure or required to verify compliance with the HPA, HPA
inspection findings and regulatory and other correspondence issued to persons or entities regulated under the HPA;
(10) APHIS may disclose to any person the name, city, and State or other information to the extent necessary for proper identification of any person or entity
who has been disqualified, suspended, and/or otherwise prohibited from showing or exhibiting any horse, or judging or managing any horse show, horse
exhibition, horse sale, or horse auction under the HPA and the terms of such action;
(11) APHIS may disclose to any person the name, city, and State or other information to the extent necessary for proper identification of any regulated
individual or entity whose license or permit has been suspended, revoked, expired, terminated, or denied under the AWA and the terms of such action;
(12) APHIS may disclose to appropriate law enforcement agencies, entities, and persons, whether Federal, foreign, State, local, or Tribal, or other public
authority responsible for enforcing, investigating, or prosecuting an alleged violation or a violation of law or charged with enforcing, implementing, or
complying with a statute, rule, regulation, or order issued pursuant thereto, when a record in this system on its face, or in conjunction with other records,
indicates a violation or potential violation of law, whether civil, criminal, or regulatory in nature, and whether arising by general statute or particular program
statute, or by regulation, rule, or court order issued pursuant thereto, if the information disclosed is relevant to any enforcement, regulatory, investigative, or
prosecutive responsibility of the receiving entity;
(13) APHIS may disclose to the Department of Justice when the agency, or any component thereof, or any employee of the agency in his or her official
capacity, or any employee of the agency in his or her individual capacity where the Department of Justice has agreed to represent the employee, or the
United States, in litigation, where the agency determines that litigation is likely to affect the agency or any of its components, is a party to litigation or has an
interest in such litigation, and the use of such records by the Department of Justice is deemed by the agency to be relevant and necessary to the litigation;
provided, however, that in each case, the agency determines that disclosure of the records to the Department of Justice is a use of the information contained
in the records that is compatible with the purpose for which the records were collected;
(14) APHIS may disclose information in this system of records to a court or adjudicative body in administrative, civil, or criminal proceedings when: (a) The
agency or any component thereof; or (b) any employee of the agency in his or her official capacity; or (c) any employee of the agency in his or her individual
capacity where the agency has agreed to represent the employee; or (d) the United States Government, is a party to litigation or has an interest in such
litigation, and by careful review, the agency determines that the records are to be for a purpose that is compatible with the purpose for which the agency
collected the records;
(15) APHIS may disclose information from this system of records to appropriate agencies, entities, and persons when: (a) USDA suspects or has confirmed
that there has been a breach of the system of records; (b) USDA has determined that as a result of the suspected or confirmed breach there is a risk of harm
to individuals, USDA (including its information systems, programs, and operations), the Federal Government, or national security; and (c) the disclosure
made to such agencies, entities, and persons is reasonably necessary to assist in connection with USDA’s efforts to respond to the suspected or confirmed
compromise and prevent, minimize, or remedy such harm;
(16) APHIS may disclose information from this system of records to another Federal agency or Federal entity, when the USDA determines that information
from this system of records is reasonably necessary to assist the recipient agency or entity in (a) responding to a suspected or confirmed breach or (b)
preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and
operations), the Federal Government, or national security, resulting from a suspected or confirmed breach;
(17) APHIS may disclose information in this system of records to USDA contractors and other parties engaged to assist in administering the program,
analyzing data, developing information management systems, processing Freedom of Information Act requests, and conducting audits. Such contractors
and other parties will be bound by the nondisclosure provisions of the Privacy Act;
(18) APHIS may disclose information in this system of records to USDA contractors, partner agency employees or contractors, or private industry employed
to identify patterns, trends, or anomalies indicative of fraud, waste, or abuse;
(19) APHIS may disclose information in this system of records to a Congressional office from the record of an individual in response to any inquiry from that
Congressional office made at the written request of the individual to whom the record pertains;
(20) APHIS may disclose information in this system of records to the National Archives and Records Administration or to the General Services
Administration for records management activities conducted under 44 U.S.C. 2904 and 2906; and
(21) APHIS may disclose information in this system of records to the Treasury Department as necessary to carry out any and all functions within their
jurisdiction, including but not limited to, processing payments, fees, collections, penalties, and offsets.
Disclosure: Furnishing this information is voluntary; however, failure to furnish this information may impede your ability to comply with the requirements of
the Animal Welfare Act, regulations, and standards.