IM EMA 2026-01 USGS Animal Care and Use

Issuance Number:      EMA 2026-01

Subject:                        USGS Animal Care and Use 

Issuance Date:             May 1, 2026

Expiration Date:         Retain until superseded or cancelled.

Responsible Office:    Ecosystems Mission Area

Instruction:                 This is a new Survey Manual (SM) Instructional Memorandum (IM).

Approving Official:    /s/ Paul Wagner

                                      Acting Associate Director, Ecosystems Mission Area

1.     Purpose and Scope.

The U.S. Geological Survey (USGS) conducts targeted scientific activities so that policy makers and the public have the understanding they need to address complex environmental, natural resource, and public safety issues. The USGS pursues this mission with excellence, integrity, and objectivity. USGS science that supports sustainable management and conservation of fish and wildlife species may involve research on wild and captive animals. USGS conducts this work primarily to benefit the fish and wildlife species of interest. The USGS recognizes the unique challenges and responsibilities of conducting work on vertebrate animals and is committed to the implementation of effective and humane strategies, based on the best available science, to ensure the welfare of all animals used to support USGS activities.

This directive describes the core principles that serve as a foundation to ensure the USGS complies with the Animal Welfare Act and Regulations and the U.S. Government Principles for the Utilization and Care of Vertebrate Animals Used in Testing, Research, and Training. This directive applies to personnel (further referred to as “USGS personnel”) that perform, support, or oversee work on behalf of the USGS with all vertebrate animals, including research, experimentation, breeding, training, transporting, exhibiting, or teaching, hereafter referred to as ‘animal work.’ The USGS is committed to maintaining public trust, promoting a culture of responsible animal work, and upholding high standards of animal welfare. This directive facilitates that goal and improves USGS science information by providing consistent shared terminology, defining the roles and responsibilities of USGS personnel, and providing bureau support.

2.     Authority.

A.  The Animal Welfare Act (AWA) of 1966 as amended (7 U.S.C. § 2131, et seq.), and subsequent amendments, which establishes legal requirements for humane care and treatment of animals intended for research. Accessible at: 7 U.S.C. § 2131.

B.  Animal Welfare Act Regulations (hereafter termed AWAR) set forth in the Code of Federal Regulations 9 C.F.R. Parts 1-4, which were developed and adopted by the U.S. Department of Agriculture to implement and enforce the Animal Welfare Act. eCFR :: 9 CFR Chapter I Subchapter A -- Animal Welfare and Animal Welfare Act and Animal Welfare Regulations (usda.gov).

C.  “U.S. Government Principles for the Utilization and Care of Vertebrate Animals Used in Testing, Research, and Training” (hereafter referred to as U.S. Principles) developed by the Interagency Research Animal Committee and published in Federal Register, May 20, 1985. The principles state that transport, care, and use of animals should be in accordance with the Animal Welfare Act and other applicable Federal laws, guidelines, and policies. U.S. Government Principles for the Utilization and Care of Vertebrate Animals Used in Testing, Research, and Training.

D.  The Health Research Extension Act of 1985 (Public Law 99-158, Section 495 "Animals in Research") applies only to research funded from the Public Health Service. The Public Health Service Policy on Humane Care and Use of Laboratory Animals is also extended to research funded by other federal agencies, including the National Science Foundation and the National Aeronautics and Space Administration, as set forth by Memorandums of Understanding between these agencies and The Office of Laboratory Animal Welfare.

3.     Definitions.

A.  Animal. Any vertebrate animal, including fish, amphibians, reptiles, birds, and mammals.

B.  Animal Housing Area. Any physical space, structure, or facility including land, buildings, barns, sheds, trailers, enclosures, cages, pens, tanks, or comparable locations that are intended to hold animals for 12 hours or longer.

C.  Animal Work. Research, experimentation, handling, breeding, training, transportation, exhibition, or teaching with vertebrate animals.

D.  Chief Executive Officer or CEO – The highest operating official organization as described in the AWA and AWAR. The USGS will register with the U.S. Department of Agriculture Animal and Plant Health Inspection Service Animal Care unit as a single research institution with a single CEO. For USGS, the CEO also serves as the head of the Federal agency as described in the Animal Welfare Act regulations, section 2.37. The Associate Director for the Ecosystems Mission Area is delegated all CEO authorities and responsibilities described in AWA regulations by the USGS Director. 

E.  Institutional Animal Care and Use Committee or IACUC. An appointed committee that is collectively qualified through training, experience, and expertise to oversee the animal care and use program.

F.  Institutional Official. The individual at each Science Center (or equivalent) who is authorized to legally commit personnel and resources. The Institutional Official is appointed by the CEO and is delegated authority from the CEO to appoint the IACUC as required by AWAR §1.1, or to authorize arrangements with an externally administered IACUC. The Institutional Official is typically the Science Center Director, or equivalent.

4.     Policy.

A.  Statutory and Regulatory Requirements. USGS personnel that conduct animal work must comply with the AWA, AWAR, and the U.S. Principles. As per the U.S. Principles, this IM extends oversight to all vertebrate animals, beyond animals covered in the AWA. Detailed requirements and guidance not included in this IM are provided in additional guidance.

USGS personnel comply with applicable state and local regulations, including securing permits as required depending on geographic location and specific species included in animal work. Permits are held by permanent USGS employees only. 

If required by a funding source, personnel may also need to comply with additional requirements, which might include those set forth in the Public Health Service Policy on Humane Care and Use of Laboratory Animals policy.

The USGS maintains registration with the U.S. Department of Agriculture and reports science activities to the U.S. Department of Agriculture on AWA covered species for each fiscal year.

B.  Oversight of Animal Work. An Institutional Animal Care and Use Committee (IACUC) must review and approve all USGS work with vertebrate animals, or determine if the work is exempt from oversight, prior to initiation of the work. The approving IACUC must, at a minimum, include a Chairperson, Attending Veterinarian, and person not affiliated with the institution except for serving on the IACUC. The committee complies with all requirements for an IACUC, as defined by AWAR §2.31 a-d, including conducting semi-annual reviews of the animal program and inspections of animal housing areas. The Public Health Service Policy, when applicable, might require additional roles and responsibilities of the IACUC.

C.  Training. USGS personnel that have a role in animal care and use must receive training in aspects of animal work to ensure personnel can perform their role in compliance with this directive, AWA, AWAR, and the U.S. Principles (AWAR §2.32, a-c).

D.  Protection from Reprisal. Animal welfare concerns or allegations of noncompliance may be submitted to the IACUC or Institutional Official by USGS personnel or the public. Concerns or reports can also be submitted to animalwelfare_complaints@usgs.gov. The IACUC will review and investigate these concerns or elevate the concerns through the chain of command. If requested, confidentiality of reporting individuals will be protected to the greatest extent possible. Individuals that report concerns are free from discrimination and/or reprisal, as outlined in The No Fear Act. No Fear Act (opm.gov).

5.     Responsibilities and Requirements. Ensuring animal welfare is the responsibility of all individuals engaged in USGS animal work. USGS personnel and designated officials have specific roles in ensuring this directive and its requirements, as follows:

A.  USGS Director. The USGS Director delegates the responsibilities and authorities described in the AWAR of Chief Executive Officer (CEO) (AWAR § 2.31, a) and head of the Federal agency (AWAR § 2.37, a and b) to the Associate Director for Ecosystems.

B.  Associate Director for Ecosystems. Delegated the authority and responsibilities described in the AWAR of Chief Executive Officer (CEO) and head of the Federal agency is thereby responsible for developing a USGS Animal Care and Use Program and establishing USGS level directives and guidance to ensure the humane treatment of animals and compliance with the AWA (7 U.S.C. §2131 et seq.). Additionally, the Associate Director supports agency-wide directives to protect individuals reporting animal care concerns from retribution. They appoint Institutional Officials as needed across the USGS. This directive serves as the formal delegation of authority, from the CEO to Institutional Officials, to appoint IACUCs.

C.  Animal Care and Use Steering Committee. The steering committee consists of subject matter experts, representatives from Science Centers, Regions, and Mission Areas that engage in animal work, and the Animal Welfare Coordinator.  The Steering Committee advises the CEO on priorities and issues for the USGS Animal Care and Use Program.

D.  Animal Welfare Coordinator. The coordinator has responsibility for assuring the CEO that all animal work and Science Centers (or equivalent) comply with this directive. The coordinator supports the development and maintenance of guidelines for staff and IACUCs, reviews AWA and internal USGS animal welfare annual reports, and is kept informed of animal welfare issues.

E.  Associate Directors, Regional Directors, and Deputy Director for Operations.  Provide management for the processes in their chain of command. They collaborate with one another, Science Center Directors (or equivalent), and Points of Contact for Animal Care and Use to ensure animal work is conducted according to this directive and applicable regulations. They ensure adequate resources are available to support compliance with current regulations and directives, and that animal welfare issues identified within their areas are addressed appropriately and effectively.

F.  Points of Contact for Animal Care and Use. The senior staff members appointed by executives (Associate Directors and Regional Directors) in the chain of command of science centers (or equivalent). The Points of Contact serve as central liaisons for the Animal Welfare Coordinator, IACUCs, and science centers within their organizational unit and engage with them on animal welfare issues.

G.  Science Center Directors. The Science Center Director (or equivalent) typically serves as the appointed Institutional Official for the Science Center with the delegated authority to appoint IACUCs. Science Center Directors may appoint a center IACUC or make arrangements with one or more externally administered IACUCs. Additionally, Science Center Directors, designated center management, and supervisors ensure that all animal work is performed in accordance with this directive and other applicable regulations, approved by an IACUC, and that all personnel under their supervision who have a role in animal care and use are appropriately trained. They also ensure animal welfare concerns are promptly reported to the IACUC.

H.  Institutional Animal Care and Use Committee or IACUC. The IACUC is responsible for reviewing, approving, withholding approval, or suspending animal work.  They inspect animal housing areas, review the overall animal program, review and investigate animal welfare concerns, provide reports and recommendations to the Institutional Official on at least a semi-annual basis, and perform other activities defined by AWAR § 2.31, c. 

I.  Attending Veterinarian.  A Doctor of Veterinary Medicine with direct or delegated authority and responsibility for animal care and use at the institution and who is appropriately trained, experienced, and credentialed to assume duties needed by the institution. They perform the responsibilities described in AWAR § 2.33, including the responsibility to develop a written program of veterinary care, ensure the provision of adequate veterinary care and oversee the adequacy of other aspects of animal care and use, and serve as a voting member of the IACUC.

J.  Facilities Management. Facility management staff with responsibilities for animal housing areas must ensure prioritization of facility operations to the health and safety of animals being held and of USGS personnel conducting animal work. Facility management is responsive to deficiencies and corrective actions identified by the IACUC and Institutional Official.

K.  USGS Personnel. USGS personnel are responsible for following this directive, as applicable, and promptly reporting animal welfare concerns, without fear of reprisal, to the Animal Welfare Coordinator, IACUC, the Institutional Official or others within their chain of command.