Types of Violations and What Happens Next
The enforcement process for breeders, brokers, and carriers who break the Animal Welfare Act.
NonCritical NCI: an issue in which the inspector should determine if it should be cited on the inspection report or determine if a verbal warning should be given without noting it on the inspection report. Any issue that does not rise to the level of an NCI is in compliance.
Direct NCI (Non-Compliance Item): is a violation that is currently having a serious or severe adverse effect on an animal’s welfare, or has a high potential to do so in the immediate future (e.g., an animal with an untreated broken leg).
Critical NCI: a broader category that includes all direct NCIs, as well as other non-compliance issues that resulted in serious, adverse impacts on animal welfare, even if the impact occurred outside of the immediate inspection process.
Teachable Moments: As of 7/28/22, Congress directed the agency to no longer use this language due to the dramatic decrease in violations in 2018 when it was implemented compared to previous years.
Important Note
An October 2025 report from the Animal Welfare Institute shows that the government is issuing far fewer penalties for AWA violations especially after SEC v. Jarkesy.
In a Nutshell
Since June 2024, USDA-APHIS’s issuance of fines against AWA violators has hit its lowest point since early 2020 with the majority of actions having shifted away from enforcement and toward the issuance of mere warnings. (page 13)
Why is this concerning for puppies?
Some advocates and legal analysts believe the ruling may have weakened AWA enforcement which is why the numbers are so low for violations.
Why is this concerning for consumers?
This could appear as less violations. But the reality it may be due to only issuing warnings over official violations.
What can we do?
Speak up about accountability. Ask whether warnings alone are enough when animals are harmed, and what real consequences should exist for repeat violators.
Take Action
Contact your local and state legislators to advocate for stronger animal welfare laws, increased breeder oversight, and better protections for dogs and puppies. Public voices and community involvement play a critical role in creating meaningful change and improving animal care standards.
Federal Legislatures
Find Your State Legislatures
Key Violation Differences
| Feature | Direct NCI | Critical NCI |
|---|---|---|
| Timing of Harm | The serious harm is occurring at the time of inspection or is imminent. | The serious harm has occurred, or is occurring, and the scope includes violations that may have happened prior to the inspection. |
| Scope | Limited to non-compliance actively posing an immediate threat to an animal’s well-being. | A broader designation that encompasses all direct NCIs plus other severe violations like refusing an inspection, falsifying records, or operating with a suspended license. |
| Example | An animal found with an untreated injury. | Falsified veterinary records, which led to adverse animal welfare outcomes. |
| Consequence | May result in more frequent inspections and enforcement actions. | May also result in more frequent inspections and enforcement actions, often more severe due to the nature of the violation. |
For a list of examples of violations, visit the Animal Welfare Inspection Guide. The explanation and examples start on page 327.
What Happens After a Violation?
- Official Warning
- A formal notice that the breeder violated the law.
- No fine or penalty, just a warning to improve.
- Common for first-time or “minor” violations.
2. Fines (Civil Penalties)
- Breeders can be fined up to $10,000 per violation
- Fines are often negotiated down or waived entirely.
- Many repeat violators operate for years without paying significant penalties.
3. License Suspension or Revocation
- The USDA can suspend or revoke a license, but this is rare.
- Often only pursued after years of repeated violations.
- Some breeders surrender their license voluntarily to avoid revocation, then reapply later or have a family member apply instead.
4. Cease and Desist Orders
- Issued by USDA or an administrative law judge.
- Commands the breeder to stop certain practices or operations.
- Violating the order can lead to further penalties, but again, enforcement is weak
5. Criminal Chargers (Rare)
- In extreme cruelty cases, the Department of Justice may pursue criminal charges.
- However, most violations, even severe ones, are handled administratively, not criminally.
Each state in the United States has enacted statutes to punish individuals who engage in cruelty to animals. Click the button below to find your state’s statutes compiled by the National Agricultural Law Center.