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Awa Compliance Audit

AWA Compliance Audits in Minutes, Not Hours

12 minutes with CaseMark

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12 minutes with CaseMark

What you'll need

  • USDA Form 7002 Inspection Reports
  • Facility Compliance Records

SOC 2 Type II · HIPAA compliant · $5 free credit

Workflow

Overview

CaseMark's AWA Compliance Audit transforms USDA/APHIS inspection reports and facility records into a comprehensive, enforcement-aware compliance assessment. The AI maps every Form 7002 citation to verified 9 C.F.R. provisions, evaluates core compliance programs, and delivers a prioritized corrective action plan with documentation artifacts ready for implementation.

Auditing AWA compliance manually requires painstaking cross-referencing of USDA Form 7002 citations against hundreds of provisions in 9 C.F.R. Parts 1-3, tracking recurrence patterns across years of inspection history, and evaluating multiple overlapping compliance programs. A single missed pattern can lead to enforcement escalation, stipulations, or license revocation.

CaseMark automates the entire AWA audit workflow—from citation mapping and severity analysis to compliance program evaluation and corrective action planning. The AI identifies the systemic deficiencies and recurrence patterns that drive USDA enforcement actions, delivering a prioritized remediation roadmap with proof artifacts so facilities can demonstrate compliance quickly and confidently.

How it works

  1. 1. Upload your USDA Form 7002 inspection reports and facility compliance records

  2. 2. AI maps each citation to verified 9 C.F.R. provisions and analyzes severity and recurrence patterns

  3. 3. Review the compliance program evaluation, enforcement risk assessment, and prioritized corrective actions

  4. 4. Export the complete audit memo in your preferred format (DOCX, PDF)

What you get

  • Applicability Table

  • Citation Map with Verified CFR References

  • Severity and Recurrence Pattern Analysis

  • Core Compliance Program Evaluation

  • Prioritized Corrective Action Plan

  • Open Items and Documentation Gaps

What it handles

  • Maps Form 7002 inspection citations to verified 9 C.F.R. Parts 1-3 requirements

  • Analyzes NCI severity and recurrence patterns to identify enforcement escalation risk

  • Evaluates core compliance programs including PVC, IACUC, housing, records, and transport

  • Generates prioritized corrective action plan with proof artifact templates

  • Produces applicability tables linking license class, species, and regulated activities to CFR references

  • Flags systemic deficiencies and open items requiring immediate remediation

Required documents

  • USDA Form 7002 Inspection Reports

    Official USDA/APHIS inspection reports documenting noncompliance items, ideally covering 3-5 years of inspection history

    .pdf, .docx

  • Facility Compliance Records

    Program of Veterinary Care (PVC), acquisition and disposition records (Forms 7001/7020), husbandry and sanitation SOPs, training records, and enclosure specifications

    .pdf, .docx, .xlsx

Supporting documents

  • IACUC Protocols and Minutes

    Institutional Animal Care and Use Committee meeting minutes, approved protocols, and Search for Alternatives documentation (research facilities only)

    .pdf, .docx

  • Enforcement Correspondence

    USDA warning letters, pre-litigation settlement offers, stipulations, or ALJ decisions related to the facility

    .pdf, .docx

  • State and Local Permits

    Any state or local animal welfare permits, licenses, or inspection reports that may impose stricter requirements

    .pdf, .docx

Why teams use it

Eliminate hours of manual cross-referencing between inspection citations and federal regulations

Identify systemic noncompliance patterns and enforcement escalation risks before USDA does

Generate audit-ready corrective action plans with proof artifact templates for each deficiency

Maintain continuous compliance visibility across multiple facilities, species, and inspection cycles

Questions

What documents do I need to run an AWA compliance audit?

At minimum, you need USDA Form 7002 inspection reports (ideally covering 3-5 years) and current facility records such as your Program of Veterinary Care (PVC), acquisition and disposition records, and husbandry SOPs. CaseMark will flag any missing documents as open items in the audit.

Does this work for all USDA-regulated facility types?

Yes. CaseMark's AWA Compliance Audit supports exhibitors, dealers, research facilities, carriers, and intermediate handlers. The AI automatically identifies your license class and maps the applicable 9 C.F.R. Part 2 administrative requirements and Part 3 species-specific standards.

How does CaseMark identify enforcement escalation risk?

CaseMark analyzes NCI (noncompliance item) severity ratings and recurrence patterns across your inspection history. It flags repeat citations, critical or direct noncompliance items, and systemic deficiencies that historically trigger USDA warning letters, stipulations, or ALJ proceedings.

Can I use this to prepare for USDA license renewal?

Absolutely. CaseMark produces a comprehensive audit memo with a prioritized corrective action plan and proof artifact templates, giving you a clear roadmap to resolve outstanding issues before your renewal inspection.

Does the audit account for IACUC requirements at research facilities?

Yes. When IACUC protocols and minutes are provided, CaseMark evaluates protocol review processes, Search for Alternatives documentation, and committee composition against 9 C.F.R. Part 2 requirements specific to research facilities.

How accurate are the CFR references in the audit?

CaseMark maps every citation to specific provisions in 9 C.F.R. Parts 1-3 and flags each reference for verification. The AI is designed to produce enforcement-aware analysis, but we recommend confirming all regulatory citations against current CFR text before relying on them in formal proceedings.

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