Animal Care
Animal Welfare Act and
Animal Welfare Regulations
APHIS 41-35-076
Animal Welfare Act and
Animal Welfare Regulations
APHIS 41-35-076
In accordance with Federal civil rights law and U.S. Department of
Agriculture (USDA) civil rights regulations and policies, the USDA, its
Agencies, ofces, and employees, and institutions participating in
or administering USDA programs are prohibited from discriminating
based on race, color, national origin, religion, sex, gender identity
(including gender expression), sexual orientation, disability, age,
marital status, family/parental status, income derived from a public
assistance program, political beliefs, or reprisal or retaliation for prior
civil rights activity, in any program or activity conducted or funded by
USDA (not all bases apply to all programs). Remedies and complaint
ling deadlines vary by program or incident.
Persons with disabilities who require alternative means of
communication for program information (e.g., Braille, large print,
audiotape, American Sign Language, etc.) should contact the
responsible Agency or USDA’s TARGET Center at (202) 720-2600 (voice
and TTY) or contact USDA through the Federal Relay Service at (800)
877-8339. Additionally, program information may be made available in
languages other than English.
To le a program discrimination complaint, complete the USDA
Program Discrimination Complaint Form, AD-3027, found online at
How to File a Program Discrimination Complaint (www.usda.gov/oascr/
ling-program-discrimination-complaint-usda-customer) and at any
USDA ofce or write a letter addressed to USDA and provide in the
letter all of the information requested in the form. To request a copy of
the complaint form, call (866) 632- 9992. Submit your completed form
or letter to USDA by: (1) mail:
U.S. Department of Agriculture, Ofce of the Assistant Secretary for
Civil Rights, 1400 Independence Avenue, SW, Washington,
D.C. 20250-9410; (2) fax: (202) 690-7442; or (3) email:
USDA is an equal opportunity provider, employer, and lender.
Issued July 2023
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Table of Contents
TABLE OF CONTENTS
Introduction 1
Control Data 1
Footnotes 1
Updates 2
Ordering Printed Copies 2
Questions Or Concerns 2
Animal Welfare Act 5
§ 2131 Congressional statement of policy 5
§ 2132 Denitions 5
§ 2133 Licensing of dealers and exhibitors 8
§ 2134 Valid license for dealers and exhibitors required 8
§ 2135 Time period for disposal of dogs or cats by dealers or exhibitors 8
§ 2136 Registration of research facilities, handlers, carriers and unlicensed
exhibitors 9
§ 2137 Purchase of dogs or cats by research facilities prohibited except
from authorized operators of auction sales and licensed dealers or
exhibitors
9
§ 2138 Purchase of dogs or cats by United States Government facilities
prohibited except from authorized operators of auction sales and
licensed dealers or exhibitors
9
§ 2139 Principal-agent relationship established 9
§ 2140 Recordkeeping by dealers, exhibitors, research facilities, intermediate
handlers, and carriers 10
§ 2141 Marking and identication of animals 10
§ 2142 Humane standards and recordkeeping requirements at
auction sales 10
§ 2143 Standards and certication process for humane handling, care,
treatment, and transportation of animals 11
§ 2144 Humane standards for animals by United States Government
facilities 18
§ 2145 Consultation and cooperation with Federal, State, and local
governmental bodies by Secretary of Agriculture 18
§ 2146 Administration and enforcement by Secretary 19
§ 2147 Inspection by legally constituted law enforcement agencies 21
§ 2148 Importation of live dogs 21
§ 2149 Violations by licensees 22
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§ 2150 Repealed 24
§ 2151 Rules and regulations 24
§ 2152 Separability 24
§ 2153 Fees and authorization of appropriations 24
§ 2154 Eective dates 25
§ 2155 – Omitted 25
§ 2156 Animal ghting venture prohibition 25
§ 2157 Release of trade secrets 28
§ 2158 Protection of pets 29
§ 2159 Authority to apply for injunctions 32
ANIMAL WELFARE REGULATIONS 35
§ 1.1 Denitions 35
PART 2 – REGULATIONS 47
Part 2: TOC 47
Subpart A – Licensing 50
§ 2.1 Requirements and application 50
§ 2.2 Acknowledgement of regulations and standards 54
§ 2.3 Demonstration of compliance with standards and regulations 55
§ 2.4 Non-interference with APHIS ocials 56
§ 2.5 Duration of license and termination of license 56
§ 2.6—2.8 [Removed and Reserved] 57
§ 2.9 Ocers, agents, and employees of licensees whose licenses have been
suspended or revoked 57
§ 2.10 Licensees whose licenses have been suspended or revoked 57
§ 2.11 Denial of license application 58
§ 2.12 Termination of a license 60
§ 2.13 Appeal of inspection report 60
Subpart B – Registration 61
§ 2.25 Requirements and procedures 61
§ 2.26 Acknowledgment of regulations and standards 61
§ 2.27 Notication of change of operation 62
Subpart C – Research Facilities 63
§ 2.30 Registration 63
§ 2.31 Institutional Animal Care and Use Committee (IACUC) 64
§ 2.32 Personnel qualications 71
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§ 2.33 Attending veterinarian and adequate veterinary care 72
§ 2.34 [Reserved] 73
§ 2.35 Recordkeeping requirements 74
§ 2.36 Annual report 76
§ 2.37 Federal research facilities 78
§ 2.38 Miscellaneous 78
Subpart D – Attending Veterinarian and Adequate Veterinary Care 87
§ 2.40 Attending veterinarian and adequate veterinary care
(dealers and exhibitors) 87
Subpart E – Identication of Animals 89
§ 2.50 Time and method of identication 89
§ 2.51 Form of ocial tag 93
§ 2.52 How to obtain tags 93
§ 2.53 Use of tags 93
§ 2.54 Lost tags 94
§ 2.55 Removal and disposal of tags 94
Subpart F – Stolen Animals 95
§ 2.60 Prohibition on the purchase, sale, use, or transportation of stolen
animals 95
Subpart G – Records 96
§ 2.75 Records: Dealers and exhibitors 96
§ 2.76 Records: Operators of auction sales and brokers 99
§ 2.77 Records: Carriers and intermediate handlers 100
§ 2.78 Health certication and identication 101
§ 2.79 C.O.D. shipments 102
§ 2.80 Records, disposition 104
Subpart H – Compliance With Standards and Holding Period 105
§ 2.100 Compliance with standards 105
§ 2.101 Holding period 105
§ 2.102 Holding facility 106
Subpart I – Miscellaneous 109
§ 2.125 Information as to business; furnishing of same by dealers, exhibitors,
operators of auction sales, intermediate handlers, and carriers 109
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§ 2.126 Access and inspection of records and property; submission of
itineraries 109
§ 2.127 Publication of lists of persons subject to the provisions of
this part. 111
§ 2.128 Inspection for missing animals 111
§ 2.129 Conscation and destruction of animals 112
§ 2.130 Minimum age requirements 113
§ 2.131 Handling of animals 113
§ 2.132 Procurement of dogs, cats, and other animals; dealers 114
§ 2.133 Certication for random source dogs and cats
116
§ 2.134 Contingency planning 118
Subpart J—Importation of Live Dogs 121
§ 2.150 Import Permit 121
§ 2.151 Certications 122
§ 2.152 Notication of arrival 124
§ 2.153 Dogs refused entry 124
PART 3 – STANDARDS 126
Part 3: TOC 126
Subpart A: Specications for the Humane Handling, Care, Treatment,
and Transportation of Dogs and Cats 132
FACILITIES AND OPERATING STANDARDS 132
§ 3.1 Housing facilities, general 132
§ 3.2 Indoor housing facilities 135
§ 3.3 Sheltered housing facilities 136
§ 3.4 Outdoor housing facilities 138
§ 3.5 Mobile or traveling housing facilities 139
§ 3.6 Primary enclosures 140
ANIMAL HEALTH AND HUSBANDRY STANDARDS 144
§ 3.7 Compatible grouping 144
§ 3.8 Exercise for dogs 145
§ 3.9 Feeding 147
§ 3.10 Watering 147
§ 3.11 Cleaning, sanitization, housekeeping, and pest control 148
§ 3.12 Employees 150
§ 3.13 Veterinary care for dogs 150
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TRANSPORTATION STANDARDS 152
§ 3.14 Consignment to carriers and intermediate handlers 152
§ 3.15 Primary enclosures used to transport live dogs and cats 154
§ 3.16 Primary conveyances (motor vehicle, rail, air, and marine) 159
§ 3.17 Food and water requirements 160
§ 3.18 Care in transit 161
§ 3.19 Terminal facilities 162
§ 3.20 Handling 164
Subpart B: Specications for the Humane Handling,
Care, Treatment, and Transportation of Guinea Pigs and Hamsters 166
FACILITIES AND OPERATING STANDARDS 166
§ 3.25 Facilities, general 166
§ 3.26 Facilities, indoor 167
§ 3.27 Facilities, outdoor 167
§ 3.28 Primary enclosures 168
ANIMAL HEALTH AND HUSBANDRY STANDARDS 171
§ 3.29 Feeding 171
§ 3.30 Watering 172
§ 3.31 Sanitation 172
§ 3.32 Employees 173
§ 3.33 Classication and separation 173
§ 3.34 [Reserved] 174
TRANSPORTATION STANDARDS 174
§ 3.35 Consignments to carriers and intermediate handlers 174
§ 3.36 Primary enclosures used to transport live guinea pigs
and hamsters 176
§ 3.37 Primary conveyances (motor vehicle, rail, air, and marine) 179
§ 3.38 Food and water requirements 180
§ 3.39 Care in transit 181
§ 3.40 Terminal facilities 182
§ 3.41 Handling 183
Subpart C: Specications for the Humane Handling, Care, Treatment and
Transportation of Rabbits 184
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FACILITIES AND OPERATING STANDARDS 184
§ 3.50 Facilities, general 184
§ 3.51 Facilities, indoor 184
§ 3.52 Facilities, outdoor 185
§ 3.53 Primary enclosures 186
ANIMAL HEALTH AND HUSBANDRY STANDARDS 188
§ 3.54 Feeding 188
§ 3.55 Watering 188
§ 3.56 Sanitation 189
§ 3.57 Employees 190
§ 3.58 Classication and separation 190
§ 3.59 [Reserved] 190
TRANSPORTATION STANDARDS 190
§ 3.60 Consignments to carriers and intermediate handlers 190
§ 3.61 Primary enclosures used to transport live rabbits 192
§ 3.62 Primary conveyances (motor vehicle, rail, air, and marine) 194
§ 3.63 Food and water requirements 196
§ 3.64 Care in transit 196
§ 3.65 Terminal facilities 197
§ 3.66 Handling 198
Subpart D: Specications for the Humane Handling,
Care, Treatment, and Transportation of Nonhuman Primates 199
§ 3.75 Housing facilities, general 199
§ 3.76 Indoor housing facilities 202
§ 3.77 Sheltered housing facilities 203
§ 3.78 Outdoor housing facilities 206
§ 3.79 Mobile or traveling housing facilities 207
§ 3.80 Primary enclosures 208
§ 3.81 Environment enhancement to promote psychological
well-being 212
ANIMAL HEALTH AND HUSBANDRY STANDARDS 214
§ 3.82 Feeding 214
§ 3.83 Watering 215
§ 3.84 Cleaning, sanitization, housekeeping, and pest control 216
§ 3.85 Employees 217
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TRANSPORTATION STANDARDS 218
§ 3.86 Consignments to carriers and intermediate handlers 218
§ 3.87 Primary enclosures used to transport nonhuman primates 221
§ 3.88 Primary conveyances (motor vehicle, rail, air, and marine) 224
§ 3.89 Food and water requirements 225
§ 3.90 Care in transit 226
§ 3.91 Terminal facilities 228
§ 3.92 Handling 229
Subpart E: Specications for the Humane Handling,
Care, Treatment, and Transportation of Marine Mammals 231
§ 3.100 Special considerations regarding compliance and/or variance 231
§ 3.101 Facilities, general 233
§ 3.102 Facilities, indoor 235
§ 3.103 Facilities, outdoor 236
§ 3.104 Space requirements 238
ANIMAL HEALTH AND HUSBANDRY STANDARDS 254
§ 3.105 Feeding 254
§ 3.106 Water quality 256
§ 3.107 Sanitation 257
§ 3.108 Employees or attendants 258
§ 3.109 Separation 258
§ 3.110 Veterinary care 259
§ 3.111 Swim-with-the-dolphin programs 261
TRANSPORTATION STANDARDS 268
§ 3.112 Consignments to carriers and intermediate handlers 268
§ 3.113 Primary enclosures used to transport marine mammals 271
§ 3.114 Primary conveyances (motor vehicle, rail, air and marine) 274
§ 3.115 Food and drinking water requirements 275
§ 3.116 Care in transit 275
§ 3.117 Terminal facilities 277
§ 3.118 Handling 278
Subpart F: Specications for the Humane Handling, Care, Treatment,
and Transportation of Warmblooded Animals Other an Dogs, Cats,
Rabbits, Hamsters, Guinea Pigs, Nonhuman Primates, Marine Mammals,
and Birds 280
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FACILITIES AND OPERATING STANDARDS 280
§ 3.125 Facilities, general 280
§ 3.126 Facilities, indoor 281
§ 3.127 Facilities, outdoor 282
§ 3.128 Space requirements 283
ANIMAL HEALTH AND HUSBANDRY STANDARDS 283
§ 3.129 Feeding 283
§ 3.130 Watering 284
§ 3.131 Sanitation 284
§ 3.132 Employees 285
§ 3.133 Separation 285
§§ 3.134-3.135 [Reserved] 285
TRANSPORTATION STANDARDS 285
§ 3.136 Consignments to carriers and intermediate handlers 285
§ 3.137 Primary enclosures used to transport live animals 287
§ 3.138 Primary conveyances (motor vehicle, rail, air, and marine) 289
§ 3.139 Food and water requirements 290
§ 3.140 Care in transit 291
§ 3.141 Terminal facilities 292
§ 3.142 Handling 293
Subpart G: Specications for the Humane Handling, Care, Treatment, and
Transportation of Birds 295
FACILITIES AND OPERATING STANDARDS 295
§ 3.150 Facilities, general 295
§ 3.151 Facilities, indoor 297
§ 3.152 Facilities, outdoor 298
§ 3.153 Primary enclosures 299
§ 3.154 Environment enhancement to promote psychological well-being 302
ANIMAL HEALTH AND HUSBANDRY STANDARDS 304
§ 3.155 Feeding 304
§ 3.156 Watering 305
§ 3.157 Water quality 305
§ 3.158 Cleaning, sanitization, housekeeping, and pest control 306
§ 3.159 Employees 308
§ 3.160 Compatibility and separation 308
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TRANSPORTATION STANDARDS 309
§ 3.161 Consignments to carriers and intermediate handlers 309
§ 3.162 Primary enclosures used to transport live birds 311
§ 3.163 Primary conveyances (motor vehicle, rail, air, and marine) 314
§ 3.164 Food and water requirements 314
§ 3.165 Care in transit 316
§ 3.166 Terminal facilities 317
§ 3.167 Handling 317
§ 3.168 Climatic and environmental conditions during transportation 318
PART 4 – RULES OF PRACTICE GOVERNING PROCEEDINGS
UNDER THE ANIMAL WELFARE ACT 321
Part 4: TOC 321
Subpart A – General 321
§ 4.1 Scope and applicability of rules of practice 321
Subpart B – Supplemental Rules of Practice 321
§ 4.10 Summary action 321
§ 4.11 Stipulations 322
INDEX 323
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Introduction
INTRODUCTION
Passed by Congress in 1966, the Animal Welfare Act (AWA) sets general
standards for humane care and treatment that must be provided for
certain animals that are bred for commercial sale, sold sight unseen
(Internet sales), exhibited to the public, used in biomedical research,
or transported commercially. Congress assigned the U.S. Department of
Agriculture (USDA) the responsibility for enforcing the AWA. e Animal
and Plant Health Inspection Service (APHIS) is the agency within USDA
responsible for ensuring this occurs.
APHIS has published the Animal Welfare Act and Animal Welfare
Regulations, known as the “Blue Book,” as a tool to improve compliance
among our licensees and registrants and to enhance the consistency of
inspections by our eld inspectors. e Blue Book consolidates into one
source the AWA and the applicable regulations and standards.
Text was pulled directly from two ocial sources: the Animal Welfare Act
[United States Code, Title 7 (Agriculture), Chapter 54 (Transportation, Sale,
and Handling of Certain Animals), Sections 2131– 2159]; and the Animal
Welfare Regulations [Code of Federal Regulations, Title 9 (Animals and
Animal Products), Chapter 1 (Animal and Plant Health Inspection Service,
Department of Agriculture), Subchapter A (Animal Welfare), Parts 1–4].
Every eort has been made to ensure that this book is accurate.
e AWA is a Federal law; the associated regulations interpret the law into
enforceable standards. USDA can amend existing regulations and/or
create new regulations, but only Congress can change the actual law. Prior
to altering the regulations in any way, APHIS publicizes the proposed rule
and encourages interested parties to provide comments. All comments are
reviewed before determining a nal course of action.
CONTROL DATA
Control data is located at the top and bottom of each page to help readers
keep track of where they are and to be aware of updates to specic
chapters, appendixes, and other sections.
FOOTNOTES
The footnotes include text, figures, and tables. Text footnotes are
located at the bottom of a page. When space allows, footnotes
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9 CFR AWA (5-1-2023 Edition)
involving figures and tables are located directly below the associated
figure or table. Otherwise, the footnotes are placed as close to the
figure or table as possible.
UPDATES
APHIS maintains an electronic copy of the Blue Book on our agency’s
Animal Care Web site: www.aphis.usda.gov/aphis/ourfocus/
animalwelfare/. e electronic version contains the most up-to-
date information. When the Blue Book is revised, Animal Care noties
interested parties via the USDA-APHIS Stakeholder Registry. To subscribe,
please register here: public.govdelivery.com/accounts/USDAAPHIS/
subscriber/new. You can select the individual topics that interest you, or
you can choose to receive all of our agency’s messages.
ORDERING PRINTED COPIES
APHIS encourages you to use the electronic version of the Blue Book, as it
will always be the most current, but you can still order printed copies. e
link to the APHIS publications ordering page is: www.aphis.usda.gov/
aphis/newsroom/publications. To order, contact Animal Care mailto:
AnimalCar[email protected] or call (970) 494-7478.
QUESTIONS OR CONCERNS
If you have questions or concerns regarding the Blue Book, please contact
Animal Care’s National Policy sta at (301) 851-3751.
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§
2
ANIMAL
WELFARE
ACT
As of March
15,
2022
As found in the United States Code
Title 7 – Agriculture
Chapter 54 – Transportation, Sale, and
Handling of Certain Animals
Sections 2131 – 2159
NOTE: This copy of the Animal Welfare Act as it appears in the U.S. Code is
provided for informational purposes only. Before relying on any portion of the
Act as it appears here, reference should be made to the ofcial U.S. Code,
7 U.S.C. Sections 2131 - 2159.
These sections can be found at the U.S. Government Printing Ofce website:
uscode.house.gov/download/download.shtml
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§ 2131
ANIMAL WELFARE ACT
§ 2131 - Congressional statement of policy
e Congress nds that animals and activities which are regulated
under this chapter are either in interstate or foreign commerce or
substantially aect such commerce or the free ow thereof, and that
regulation of animals and activities as provided in this chapter is
necessary to prevent and eliminate burdens upon such commerce and
to eectively regulate such commerce, in order –
1. to insure that animals intended for use in research facilities or for
exhibition purposes or for use as pets are provided humane care
and treatment;
2. to assure the humane treatment of animals during transportation
in commerce; and
3. to protect the owners of animals from the theft of their animals by
preventing the sale or use of animals which have been stolen.
e Congress further nds that it is essential to regulate, as provided in this
chapter, the transportation, purchase, sale, housing, care, handling, and
treatment of animals by carriers or by persons or organizations engaged
in using them for research or experimental purposes or for exhibition
purposes or holding them for sale as pets or for any such purpose or use.
For a history of all of the Animal Welfare Act amendments, please visit: www.
nal.usda.gov/collections/exhibits/awahistory/list.
§ 2132 - Definitions
In this chapter:
a. e term “person” includes any individual, partnership, rm,
joint stock company, corporation, association, trust, estate, or
other legal entity.
b. e term “Secretary” means the Secretary of Agriculture of the
United States or his representative who shall be an employee of
the United States Department of Agriculture.
c. e term “commerce” means trade, trac, transportation, or
other commerce
1. between a place in a State and any place outside of such
State, or between points within the same State but through
any place outside thereof, or within any territory, possession,
or the District of Columbia;
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2. which aects trade, trac, transportation, or other commerce
described in paragraph (1).
d. e term “State” means a State of the United States, the District of
Columbia, the Commonwealth of Puerto Rico, the Virgin Islands,
Guam, American Samoa, or any other territory or possession of
the United States.
e. e term “research facility” means any school (except an
elementary or secondary school), institution, organization, or
person that uses or intends to use live animals in research, tests,
or experiments, and that (1) purchases or transports live animals
in commerce, or (2) receives funds under a grant, award, loan,
or contract from a department, agency, or instrumentality of
the United States for the purpose of carrying out research, tests,
or experiments: Provided, at the Secretary may exempt, by
regulation, any such school, institution, organization, or person
that does not use or intend to use live dogs or cats, except those
schools, institutions, organizations, or persons, which use
substantial numbers (as determined by the Secretary) of live
animals the principal function of which schools, institutions,
organizations, or persons, is biomedical research or testing, when
in the judgment of the Secretary, any such exemption does not
vitiate the purpose of this chapter.
f. e term ‘‘dealer’’ means any person who, in commerce, for
compensation or prot, delivers for transportation, or transports,
except as a carrier, buys, or sells, or negotiates the purchase or
sale of, (1) any dog or other animal whether alive or dead for
research, teaching, exhibition, or use as a pet, or (2) any dog for
hunting, security, or breeding purposes. Such term does not
include a retail pet store (other than a retail pet store which sells
any animals to a research facility, an exhibitor, or another dealer).
g. e term “animal” means any live or dead dog, cat, monkey
(nonhuman primate mammal), guinea pig, hamster, rabbit,
or such other warm-blooded animal, as the Secretary may
determine is being used, or is intended for use, for research,
testing, experimentation, or exhibition purposes, or as a pet;
but such term excludes (1) birds, rats of the genus Rattus, and
mice of the genus Mus, bred for use in research, (2) horses not
used for research purposes, and (3) other farm animals, such
as, but not limited to livestock or poultry, used or intended for
use as food or ber, or livestock or poultry used or intended for
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§ 2132
use for improving animal nutrition, breeding, management, or
production eciency, or for improving the quality of food or ber.
With respect to a dog, the term means all dogs including those
used for hunting, security, or breeding purposes.
h. e term “exhibitor” means any person (public or private)
exhibiting any animals, which were purchased in commerce
or the intended distribution of which aects commerce, or will
aect commerce, to the public for compensation, as determined
by the Secretary, and such term includes carnivals, circuses, and
zoos exhibiting such animals whether operated for prot or not;
but such term excludes retail pet stores, an owner of a common,
domesticated household pet who derives less than a substantial
portion of income from a nonprimary source (as determined by
the Secretary) for exhibiting an animal that exclusively resides
at the residence of the pet owner, organizations sponsoring and
all persons participating in State and country fairs, livestock
shows, rodeos, purebred dog and cat shows, and any other fairs or
exhibitions intended to advance agricultural arts and sciences, as
may be determined by the Secretary.
i. e term “intermediate handler” means any person including
a department, agency, or instrumentality of the United States or
of any State or local government (other than a dealer, research
facility, exhibitor, any person excluded from the denition
of a dealer, research facility, or exhibitor, an operator of an
auction sale, or a carrier) who is engaged in any business in
which he receives custody of animals in connection with their
transportation in commerce.
j. e term “carrier” means the operator of any airline, railroad,
motor carrier, shipping line, or other enterprise, which is engaged
in the business of transporting any animals for hire.
k. e term “Federal agency” means an Executive agency as such
term is dened in section 105 of title 5, and with respect to any
research facility means the agency from which the research
facility receives a Federal award for the conduct of research,
experimentation, or testing, involving the use of animals.
l. e term “Federal award for the conduct of research,
experimentation, or testing, involving the use of animals”
means any mechanism (including a grant, award, loan, contract,
or cooperative agreement) under which Federal funds are
provided to support the conduct of such research.
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AWA
§ 2133
m. e term “quorum” means a majority of the Committee members.
n. e term “Committee” means the Institutional Animal Committee
established under section 2143(b) of this title.
o. e term “Federal research facility” means each department,
agency, or instrumentality of the United States which uses live
animals for research or experimentation.
§ 2133 - Licensing of dealers and exhibitors
e Secretary shall issue licenses to dealers and exhibitors upon
application therefor in such form and manner as he may prescribe and
upon payment of such fee established pursuant to 2153 of this title:
Provided, at no such license shall be issued until the dealer or exhibitor
shall have demonstrated that his facilities comply with the standards
promulgated by the Secretary pursuant to section 2143 of this title:
Provided, however, at a dealer or exhibitor shall not be required to
obtain a license as a dealer or exhibitor under this chapter if the size of the
business is determined by the Secretary to be de minimis. e Secretary
is further authorized to license, as dealers or exhibitors, persons who do
not qualify as dealers or exhibitors within the meaning of this chapter
upon such persons’ complying with the requirements specied above and
agreeing, in writing, to comply with all the requirements of this chapter
and the regulations promulgated by the Secretary hereunder.
§ 2134 - Valid license for dealers and exhibitors required
No dealer or exhibitor shall sell or oer to sell or transport or oer for
transportation, in commerce, to any research facility or for exhibition
or for use as a pet any animal, or buy, sell, oer to buy or sell, transport
or oer for transportation, in commerce, to or from another dealer or
exhibitor under this chapter any animals, unless and until such dealer
or exhibitor shall have obtained a license from the Secretary and such
license shall not have been suspended or revoked.
§ 2135 - Time period for disposal of dogs or cats by dealers
or exhibitors
No dealer or exhibitor shall sell or otherwise dispose of any dog or
cat within a period of ve business days after the acquisition of such
animal or within such other period as may be specied by the Secretary:
Provided, at operators of auction sales subject to section 2142 of this
title shall not be required to comply with the provisions of this section.
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AWA
8
§ 2136
§ 2136 - Registration of research facilities, handlers, carriers
and unlicensed exhibitors
Every research facility, every intermediate handler, every carrier, and
every exhibitor not licensed under section 2133 of this title shall register
with the Secretary in accordance with such rules and regulations as he
may prescribe.
§ 2137 - Purchase of dogs or cats by research facilities
prohibited except from authorized operators of auction sales
and licensed dealers or exhibitors
It shall be unlawful for any research facility to purchase any dog or
cat from any person except an operator of an auction sale subject to
section 2142 of this title or a person holding a valid license as a dealer
or exhibitor issued by the Secretary pursuant to this chapter unless such
person is exempted from obtaining such license under section 2133 of
this title.
§ 2138 - Purchase of dogs or cats by United States
Government facilities prohibited except from authorized
operators of auction sales and licensed dealers or exhibitors
No department, agency, or instrumentality of the United States which
uses animals for research or experimentation or exhibition shall
purchase or otherwise acquire any dog or cat for such purposes from any
person except an operator of an auction sale subject to section 2142 of
this title or a person holding a valid license as a dealer or exhibitor issued
by the Secretary pursuant to this chapter unless such person is exempted
from obtaining such license under section 2133 of this title.
§ 2139 - Principal-agent relationship established
When construing or enforcing the provisions of this chapter, the act,
omission, or failure of any person acting for or employed by a research
facility, a dealer, or an exhibitor or a person licensed as a dealer or
an exhibitor pursuant to the second sentence of section 2133 of this
title, or an operator of an auction sale subject to section 2142 of this
title, or an intermediate handler, or a carrier, within the scope of his
employment or oce, shall be deemed the act, omission, or failure of
such research facility, dealer, exhibitor, licensee, operator of an auction
sale, intermediate handler, or carrier, as well as of such person.
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§ 2140 - Recordkeeping by dealers, exhibitors, research
facilities, intermediate handlers, and carriers
Dealers and exhibitors shall make and retain for such reasonable period
of time as the Secretary may prescribe, such records with respect to the
purchase, sale, transportation, identication, and previous ownership
of animals as the Secretary may prescribe. Research facilities shall
make and retain such records only with respect to the purchase, sale,
transportation, identication, and previous ownership of live dogs and
cats. At the request of the Secretary, any regulatory agency of the Federal
Government which requires records to be maintained by intermediate
handlers and carriers with respect to the transportation, receiving,
handling, and delivery of animals on forms prescribed by the agency,
shall require there to be included in such forms, and intermediate
handlers and carriers shall include in such forms, such information
as the Secretary may require for the eective administration of this
chapter. Such information shall be retained for such reasonable period
of time as the Secretary may prescribe. If regulatory agencies of the
Federal Government do not prescribe requirements for any such forms,
intermediate handlers and carriers shall make and retain for such
reasonable period as the Secretary may prescribe such records with
respect to the transportation, receiving, handling, and delivery of animals
as the Secretary may prescribe. Such records shall be made available at all
reasonable times for inspection and copying by the Secretary.
§ 2141 - Marking and identification of animals
All animals delivered for transportation, transported, purchased, or sold, in
commerce, by a dealer or exhibitor shall be marked or identied at such time
and in such humane manner as the Secretary may prescribe: Provided, at
only live dogs and cats need be so marked or identied by a research facility.
§ 2142 - Humane standards and recordkeeping requirements
at auction sales
e Secretary is authorized to promulgate humane standards and
recordkeeping requirements governing the purchase, handling, or sale
of animals, in commerce, by dealers, research facilities, and exhibitors at
auction sales and by the operators of such auction sales. e Secretary
is also authorized to require the licensing of operators of auction sales
where any dogs or cats are sold, in commerce, under such conditions
as he may prescribe, and upon payment of such fee as prescribed by the
Secretary under section 2153 of this title.
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§ 2143
§ 2143 - Standards and certification process for humane
handling, care, treatment, and transportation of animals
(A) Promulgation of standards, rules, regulations, and orders;
requirements; research facilities; State authority
1. e Secretary shall promulgate standards to govern the humane
handling, care, treatment, and transportation of animals by
dealers, research facilities, and exhibitors.
2. e standards described in paragraph (1) shall include minimum
requirements –
a. for handling, housing, feeding, watering, sanitation,
ventilation, shelter from extremes of weather and
temperatures, adequate veterinary care, and separation by
species where the Secretary nds necessary for humane
handling, care, or treatment of animals; and
b. for exercise of dogs, as determined by an attending
veterinarian in accordance with general standards
promulgated by the Secretary, and for a physical
environment adequate to promote the psychological well-
being of primates.
3. In addition to the requirements under paragraph (2), the
standards described in paragraph (1) shall, with respect to
animals in research facilities, include requirements –
a. for animal care, treatment, and practices in experimental
procedures to ensure that animal pain and distress are
minimized, including adequate veterinary care with the
appropriate use of anesthetic, analgesic, tranquilizing drugs,
or euthanasia;
b. that the principal investigator considers alternatives to
any procedure likely to produce pain to or distress in an
experimental animal;
c. in any practice which could cause pain to animals –
i. that a doctor of veterinary medicine is consulted in the
planning of such procedures;
ii. for the use of tranquilizers, analgesics, and anesthetics;
iii. for pre-surgical and post-surgical care by laboratory
workers, in accordance with established veterinary
medical and nursing procedures;
iv. against the use of paralytics without anesthesia; and
v. that the withholding of tranquilizers, anesthesia,
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analgesia, or euthanasia when scientically necessary
shall continue for only the necessary period of time;
d. that no animal is used in more than one major operative
experiment from which it is allowed to recover except in
cases of –
i. scientic necessity; or
ii. other special circumstances as determined by the
Secretary; and
e. that exceptions to such standards may be made only when
specied by research protocol and that any such exception
shall be detailed and explained in a report outlined under
paragraph (7) and led with the Institutional Animal
Committee.
4. e Secretary shall also promulgate standards to govern the
transportation in commerce, and the handling, care, and
treatment in connection therewith, by intermediate handlers,
air carriers, or other carriers, of animals consigned by any
dealer, research facility, exhibitor, operator of an auction sale,
or other person, or any department, agency, or instrumentality
of the United States or of any State or local government, for
transportation in commerce. e Secretary shall have authority
to promulgate such rules and regulations as he determines
necessary to assure humane treatment of animals in the course
of their transportation in commerce including requirements such
as those with respect to containers, feed, water, rest, ventilation,
temperature, and handling.
5. In promulgating and enforcing standards established pursuant to
this section, the Secretary is authorized and directed to consult
experts, including outside consultants where indicated.
6. A. Nothing in this chapter –
i. except as provided in paragraphs (7) of this subsection,
shall be construed as authorizing the Secretary to
promulgate rules, regulations, or orders with regard to
the design, outlines, or guidelines of actual research or
experimentation by a research facility as determined by
such research facility;
ii. except as provided
2
subparagraphs (A) and (C)(ii)
1 So in original. Probably should be ‘‘paragraph’.’
2 So in original. Probably should be followed by ‘‘in’’.
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through (v) of paragraph (3) and paragraph (7) of this
subsection, shall be construed as authorizing the
Secretary to promulgate rules, regulations, or orders
with regard to the performance of actual research or
experimentation by a research facility as determined by
such research facility; and
iii. shall authorize the Secretary, during inspection,
to interrupt the conduct of actual research or
experimentation.
B. No rule, regulation, order, or part of this chapter shall be
construed to require a research facility to disclose publicly or
to the Institutional Animal Committee during its inspection,
trade secrets or commercial or nancial information which is
privileged or condential.
7. A. e Secretary shall require each research facility to show upon
inspection, and to report at least annually, that the provisions
of this chapter are being followed and that professionally
acceptable standards governing the care, treatment, and use
of animals are being followed by the research facility during
actual research or experimentation.
B. In complying with subparagraph (A), such research facilities
shall provide –
i. information on procedures likely to produce pain or
distress in any animal and assurances demonstrating that
the principal investigator considered alternatives to those
procedures;
ii. assurances satisfactory to the Secretary that such facility is
adhering to the standards described in this section; and
iii. an explanation for any deviation from the standards
promulgated under this section.
8. Paragraph (1) shall not prohibit any State (or a political
subdivision of such State) from promulgating standards in
addition to those standards promulgated by the Secretary under
paragraph (1).
(B) Research facility Committee; establishment, membership,
functions, etc.
1. e Secretary shall require that each research facility establish at
least one Committee. Each Committee shall be appointed by the
chief executive ocer of each such research facility and shall be
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composed of not fewer than three members. Such members shall
possess sucient ability to assess animal care, treatment, and
practices in experimental research as determined by the needs
of the research facility and shall represent society’s concerns
regarding the welfare of animal subjects used at such facility. Of
the members of the Committee –
f. at least one member shall be a doctor of veterinary medicine;
g. at least one member –
iv. shall not be aliated in any way with such facility other
than
v. as a member of the Committee;
vi. shall not be a member of the immediate family of a
person
vii. who is aliated with such facility; and
viii. is intended to provide representation for general
community interests in the proper care and treatment of
animals; and
h. in those cases where the Committee consists of more than
three members, not more than three members shall be from
the same administrative unit of such facility.
2. A quorum shall be required for all formal actions of the
Committee, including inspections under paragraph (3).
3. e Committee shall inspect at least semiannually all animal
study areas and animal facilities of such research facility and
review as part of the inspection –
i. practices involving pain to animals, and
j. the condition of animals, to ensure compliance with the
provisions of this chapter to minimize pain and distress to
animals. Exceptions to the requirement of inspection of such
study areas may be made by the Secretary if animals are
studied in their natural environment and the study area is
prohibitive to easy access.
4. a. e Committee shall le an inspection certication report of
each inspection at the research facility. Such report shall –
ix. be signed by a majority of the Committee members
involved in the inspection;
x. include reports of any violation of the standards
promulgated, or assurances required, by the Secretary,
including any decient conditions of animal care or
treatment, any deviations of research practices from
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originally approved proposals that adversely aect
animal welfare, any notication to the facility regarding
such conditions, and any corrections made thereafter;
xi. include any minority views of the Committee; and
xii. include any other information pertinent to the activities
of the Committee.
b. Such report shall remain on le for at least three years at the
research facility and shall be available for inspection by the
Animal and Plant Health Inspection Service and any funding
Federal agency.
c. In order to give the research facility an opportunity to correct
any deciencies or deviations discovered by reason of paragraph
(3), the Committee shall notify the administrative representative
of the research facility of any deciencies or deviations from
the provisions of this chapter. If, after notication and an
opportunity for correction, such deciencies or deviations
remain uncorrected, the Committee shall notify (in writing) the
Animal and Plant Health Inspection Service and the funding
Federal agency of such deciencies or deviations.
5. e inspection results shall be available to Department of
Agriculture inspectors for review during inspections. Department
of Agriculture inspectors shall forward any Committee inspection
records which include reports of uncorrected deciencies or
deviations to the Animal and Plant Health Inspection Service and
any funding Federal agency of the project with respect to which
such uncorrected deciencies and deviations occurred.
(C) Federal research facilities; establishment, composition, and
responsibilities of Federal Committee
In the case of Federal research facilities, a Federal Committee shall be
established and shall have the same composition and responsibilities
provided in subsection (b) of this section, except that the Federal
Committee shall report deciencies or deviations to the head of the
Federal agency conducting the research rather than to the Animal and
Plant Health Inspection Service.
e head of the Federal agency conducting the research shall be
responsible for –
1. all corrective action to be taken at the facility; and
2. the granting of all exceptions to inspection protocol.
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(D) Training of scientists, animal technicians, and other personnel
involved with animal care and treatment at research facilities
Each research facility shall provide for the training of scientists, animal
technicians, and other personnel involved with animal care and
treatment in such facility as required by the Secretary. Such training
shall include instruction on –
1. the humane practice of animal maintenance and
experimentation;
2. research or testing methods that minimize or eliminate the use of
animals or limit animal pain or distress;
3. utilization of the information service at the National Agricultural
Library, established under subsection (e) of this section; and
4. methods whereby deciencies in animal care and treatment
should be reported.
(E) Establishment of information service at National Agricultural
Library; service functions
e Secretary shall establish an information service at the National
Agricultural Library. Such service shall, in cooperation with the National
Library of Medicine, provide information –
1. pertinent to employee training;
2. which could prevent unintended duplication of animal
experimentation as determined by the needs of the research
facility; and
3. on improved methods of animal experimentation, including
methods which could –
k. reduce or replace animal use; and
l. minimize pain and distress to animals, such as anesthetic
and analgesic procedures.
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(F)
3
Suspension or revocation of Federal support for research projects;
prerequisites; appeal procedure
In any case in which a Federal agency funding a research project
determines that conditions of animal care, treatment, or practice
in a particular project have not been in compliance with standards
promulgated under this chapter, despite notication by the Secretary
or such Federal agency to the research facility and an opportunity for
correction, such agency shall suspend or revoke Federal support for the
project. Any research facility losing Federal support as a result of actions
taken under the preceding sentence shall have the right of appeal as
provided in sections 701 through 706 of title 5.
(F)
3
Veterinary certicate; contents; exceptions
No dogs or cats, or additional kinds or classes of animals designated by
regulation of the Secretary, shall be delivered by any dealer, research
facility, exhibitor, operator of an auction sale, or department, agency, or
instrumentality of the United States or of any State or local government,
to any intermediate handler or carrier for transportation in commerce,
or received by any such handler or carrier for such transportation
from any such person, department, agency, or instrumentality, unless
the animal is accompanied by a certicate issued by a veterinarian
licensed to practice veterinary medicine, certifying that he inspected
the animal on a specied date, which shall not be more than ten days
before such delivery, and, when so inspected, the animal appeared
free of any infectious disease or physical abnormality which would
endanger the animal or animals or other animals or endanger public
health: Provided, however, at the Secretary may by regulation provide
exceptions to this certication requirement, under such conditions as
he may prescribe in the regulations, for animals shipped to research
facilities for purposes of research, testing or experimentation requiring
animals not eligible for such certication. Such certicates received by
the intermediate handlers and the carriers shall be retained by them,
as provided by regulations of the Secretary, in accordance with section
2140 of this title.
(G) Age of animals delivered to registered research facilities; power of
Secretary to designate additional classes of animals and age limits
No dogs or cats, or additional kinds or classes of animals designated
by regulation of the Secretary, shall be delivered by any person to any
3 So in original. Two subsecs. (f ) have been enacted.
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AWA
intermediate handler or carrier for transportation in commerce except
to registered research facilities if they are less than such age as the
Secretary may by regulation prescribe. e Secretary shall designate
additional kinds and classes of animals and may prescribe dierent ages
for particular kinds or classes of dogs, cats, or designated animals, for
the purposes of this section, when he determines that such action is
necessary or adequate to assure their humane treatment in connection
with their transportation in commerce.
(H) Prohibition of C.O.D. arrangements for transportation of animals in
commerce; exceptions
No intermediate handler or carrier involved in the transportation
of any animal in commerce shall participate in any arrangement or
engage in any practice under which the cost of such animal or the cost
of the transportation of such animal is to be paid and collected upon
delivery of the animal to the consignee, unless the consignor guarantees
in writing the payment of transportation charges for any animal not
claimed within a period of 48 hours after notice to the consignee of
arrival of the animal, including, where necessary, both the return
transportation charges and an amount sucient to reimburse the
carrier for all out-of-pocket expenses incurred for the care, feeding, and
storage of such animals.
§ 2144 - Humane standards for animals by United States
Government facilities
Any department, agency, or instrumentality of the United States
having laboratory animal facilities shall comply with the standards
and other requirements promulgated by the Secretary under sections
1
2143(a),(f ),(g) and (h) of this title. Any department, agency, or
instrumentality of the United States exhibiting animals shall comply
with the standards promulgated by the Secretary under sections
2143(a), (f ), (g), and (h) of this title.
§ 2145 - Consultation and cooperation with Federal, State,
and local governmental bodies by Secretary of Agriculture
a. e Secretary shall consult and cooperate with other Federal
departments, agencies, or instrumentalities concerned with
the welfare of animals used for research, experimentation
or exhibition, or administration of statutes regulating the
1 So in original. Probably should be ‘‘section’’.
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§ 2146
transportation in commerce or handling in connection therewith
of any animals when establishing standards pursuant to
section 2143 of this title and in carrying out the purposes of this
chapter. e Secretary shall consult with the Secretary of Health
and Human Services prior to issuance of regulations. Before
promulgating any standard governing the air transportation
and handling in connection therewith, of animals, the Secretary
shall consult with the Secretary of Transportation who shall
have the authority to disapprove any such standard if he
noties the Secretary, within 30 days after such consultation,
that changes in its provisions are necessary in the interest of
ight safety. e Surface Transportation Board, the Secretary of
Transportation, and the Federal Maritime Commission, to the
extent of their respective lawful authorities, shall take such action
as is appropriate to implement any standard established by the
Secretary with respect to a person subject to regulation by it.
b. e Secretary is authorized to cooperate with the ocials of the
various States or political subdivisions thereof in carrying out
the purposes of this chapter and of any State, local, or municipal
legislation or ordinance on the same subject.
§ 2146 - Administration and enforcement by Secretary
(A) Investigations and inspections
e Secretary shall make such investigations or inspections as he deems
necessary to determine whether any dealer, exhibitor, intermediate
handler, carrier, research facility, or operator of an auction sale subject
to section 2142 of this title, has violated or is violating any provision
of this chapter or any regulation or standard issued thereunder, and
for such purposes, the Secretary shall, at all reasonable times, have
access to the places of business and the facilities, animals, and those
records required to be kept pursuant to section 2140 of this title of
any such dealer, exhibitor, intermediate handler, carrier, research
facility, or operator of an auction sale. e Secretary shall inspect each
research facility at least once each year and, in the case of deciencies
or deviations from the standards promulgated under this chapter,
shall conduct such follow-up inspections as may be necessary until
all deciencies or deviations from such standards are corrected. e
Secretary shall promulgate such rules and regulations as he deems
necessary to permit inspectors to conscate or destroy in a humane
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manner any animal found to be suering as a result of a failure to
comply with any provision of this chapter or any regulation or standard
issued thereunder if (1) such animal is held by a dealer, (2) such animal
is held by an exhibitor, (3) such animal is held by a research facility and
is no longer required by such research facility to carry out the research,
test, or experiment for which such animal has been utilized, (4) such
animal is held by an operator of an auction sale, or (5) such animal is
held by an intermediate handler or a carrier.
(B) Penalties for interfering with ocial duties
Any person who forcibly assaults, resists, opposes, impedes, intimidates,
or interferes with any person while engaged in or on account of the
performance of his ocial duties under this chapter shall be ned not
more than $5,000, or imprisoned not more than three years, or both.
Whoever, in the commission of such acts, uses a deadly or dangerous
weapon shall be ned not more than $10,000, or imprisoned not more
than ten years, or both. Whoever kills any person while engaged in or on
account of the performance of his ocial duties under this chapter shall
be punished as provided under sections 1111 and 1114 of title 18.
(C) Procedures
For the ecient administration and enforcement of this chapter and
the regulations and standards promulgated under this chapter, the
provisions (including penalties) of sections 46, 48, 49 and 50 of title 15
(except paragraph (c) through (h) of section 46 and the last paragraph
of section 49 of title 15), and the provisions of Title II of the Organized
Crime Control Act of 1970, are made applicable to the jurisdiction,
powers, and duties of the Secretary in administering and enforcing
the provisions of this chapter and to any person, rm, or corporation
with respect to whom such authority is exercised. e Secretary may
prosecute any inquiry necessary to his duties under this chapter in
any part of the United States, including any territory, or possession
thereof, the District of Columbia, or the Commonwealth of Puerto
Rico. e powers conferred by said sections 49 and 50 of title 15 on the
district courts of the United States may be exercised for the purposes
of this chapter by any district court of the United States. e United
States district courts, the District Court of Guam, the District Court
of the Virgin Islands, the highest court of American Samoa, and the
United States courts of the other territories, are vested with jurisdiction
specically to enforce, and to prevent and restrain violations of this
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§ 2147
chapter, and shall have jurisdiction in all other kinds of cases arising
under this chapter, except as provided in section 2149(c) of this title.
§ 2147 - Inspection by legally constituted law enforcement
agencies
e Secretary shall promulgate rules and regulations requiring dealers,
exhibitors, research facilities, and operators of auction sales subject
to section 2142 of this title to permit inspection of their animals and
records at reasonable hours upon request by legally constituted law
enforcement agencies in search of lost animals.
§ 2148 - Importation of live dogs
(A) Denitions
In this section:
1. Importer
e term “importer” means any person who, for purposes of
resale, transports into the United States puppies from a foreign
country.
2. Resale
e term “resale” includes any transfer of ownership or control of
an imported dog of less than 6 months of age to another person,
for more than de minimis consideration.
(B) Requirements
1. In general
Except as provided in paragraph (2), no person shall import a dog
into the United States for purposes of resale unless, as determined
by the Secretary, the dog –
c. is in good health;
d. has received all necessary vaccinations; and
e. is at least 6 months of age, if imported for resale.
2. Exception
f. In general
e Secretary, by regulation, shall provide an exception to
any requirement under paragraph (1) in any case in which a
dog is imported for –
i. research purposes; or
ii. veterinary treatment.
g. Lawful importation into Hawaii
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Paragraph (1)(C) shall not apply to the lawful importation of
a dog into the State of Hawaii from the British Isles, Australia,
Guam, or New Zealand in compliance with the applicable
regulations of the State of Hawaii and the other requirements
of this section, if the dog is not transported out of the State of
Hawaii for purposes of resale at less than 6 months of age.
h. Implementation and regulations
e Secretary, the Secretary of Health and Human Services,
the Secretary of Commerce, and the Secretary of Homeland
Security shall promulgate such regulations as the Secretaries
determine to be necessary to implement and enforce this
section.
i. Enforcement
An importer that fails to comply with this section shall –
1. be subject to penalties under section 2149 of this title;
and
2. provide for the care (including appropriate veterinary
care), forfeiture, and adoption of each applicable dog, at
the expense of the importer.
§ 2149 - Violations by licensees
(A) Temporary license suspension; notice and hearing; revocation
If the Secretary has reason to believe that any person licensed as a
dealer, exhibitor, or operator of an auction sale subject to section 2142 of
this title, has violated or is violating any provision of this chapter, or any
of the rules or regulations or standards promulgated by the Secretary
hereunder, he may suspend such person’s license temporarily, but not
to exceed 21 days, and after notice and opportunity for hearing, may
suspend for such additional period as he may specify, or revoke such
license, if such violation is determined to have occurred.
(B) Civil penalties for violation of any section, etc.; separate oenses;
notice and hearing; appeal; considerations in assessing penalty;
compromise of penalty; civil action by Attorney General for failure
to pay penalty; district court jurisdiction; failure to obey cease and
desist order
Any dealer, exhibitor, research facility, intermediate handler, carrier,
or operator of an auction sale subject to section 2142 of this title,
that violates any provision of this chapter, or any rule, regulation, or
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§ 2149
standard promulgated by the Secretary thereunder, may be assessed
a civil penalty by the Secretary of not more than $10,000 for each such
violation, and the Secretary may also make an order that such person
shall cease and desist from continuing such violation. Each violation
and each day during which a violation continues shall be a separate
oense. No penalty shall be assessed or cease and desist order issued
unless such person is given notice and opportunity for a hearing
with respect to the alleged violation, and the order of the Secretary
assessing a penalty and making a cease and desist order shall be nal
and conclusive unless the aected person les an appeal from the
Secretary’s order with the appropriate United States Court of Appeals.
e Secretary shall give due consideration to the appropriateness of the
penalty with respect to the size of the business of the person involved,
the gravity of the violation, the person’s good faith, and the history of
previous violations. Any such civil penaltymay be compromised by the
Secretary. Upon any failure to pay the penalty assessed by a nal order
under this section, the Secretary shall request the Attorney General to
institute a civil action in a district court of the United States or other
United States court for any district in which such person is found or
resides or transacts business, to collect the penalty, and such court shall
have jurisdiction to hear and decide any such action. Any person who
knowingly fails to obey a cease and desist order made by the Secretary
under this section shall be subject to a civil penalty of $1,500 for each
oense, and each day during which such failure continues shall be
deemed a separate oense.
(C) Appeal of nal order by aggrieved person; limitations; exclusive
jurisdiction of United States Courts of Appeals
Any dealer, exhibitor, research facility, intermediate handler, carrier, or
operator of an auction sale subject to section 2142 of this title, aggrieved
by a nal order of the Secretary issued pursuant to this section may,
within 60 days after entry of such an order, seek review of such order in
the appropriate United States Court of Appeals in accordance with the
provisions of sections 2341, 2343 through 2350 of title 28, and such court
shall have exclusive jurisdiction to enjoin, set aside, suspend (in whole
or in part), or to determine the validity of the Secretary’s order.
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§ 2150
(D) Criminal penalties for violation; initial prosecution brought before
United States magistrate judges; conduct of prosecution by attorneys
of United States Department of Agriculture
Any dealer, exhibitor, or operator of an auction sale subject to section
2142 of this title, who knowingly violates any provision of this chapter
shall, on conviction thereof, be subject to imprisonment for not more
than 1 year, or a ne of not more than $2,500, or both. Prosecution of
such violations shall, to the maximum extent practicable, be brought
initially before United States magistrate judges as provided in section
636 of title 28, and sections 3401 and 3402 of title 18, and, with the
consent of the Attorney General, may be conducted, at both trial
and upon appeal to district court, by attorneys of the United States
Department of Agriculture.
§ 2150 - Repealed
§ 2151 - Rules and regulations
e Secretary is authorized to promulgate such rules, regulations, and
orders as he may deem necessary in order to eectuate the purposes of
this chapter.
§ 2152 - Separability
If any provision of this chapter or the application of any such provision
to any person or circumstances shall be held invalid, the remainder
of this chapter and the application of any such provision to persons or
circumstances other than those as to which it is held invalid shall not be
aected thereby.
§ 2153 - Fees and authorization of appropriations
e Secretary shall charge, assess, and cause to be collected reasonable
fees for licenses issued. Such fees shall be adjusted on an equitable
basis taking into consideration the type and nature of the operations
to be licensed and shall be deposited and covered into the Treasury as
miscellaneous receipts. ere are hereby authorized to be appropriated
such funds as Congress may from time to time provide: Provided, at
there is authorized to be appropriated to the Secretary of Agriculture
for enforcement by the Department of Agriculture of the provisions
of section 2156 of this title an amount not to exceed $100,000 for the
transition quarter ending September 30, 1976, and not to exceed
$400,000 for each scal year thereafter.
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§ 2154
§ 2154 - Effective dates
e regulations referred to in sections 2140 and 2143 of this title shall
be prescribed by the Secretary as soon as reasonable but not later than
six months from August 24, 1966. Additions and amendments thereto
may be prescribed from time to time as may be necessary or advisable.
Compliance by dealers with the provisions of this chapter and such
regulations shall commence ninety days after the promulgation of such
regulations. Compliance by research facilities with the provisions of
this chapter and such regulations shall commence six months after the
promulgation of such regulations, except that the Secretary may grant
extensions of time toresearch facilities which do not comply with the
standards prescribed by the Secretary pursuant to section 2143 of this
title provided that the Secretary determines that there is evidence that
the research facilities will meet such standards within a reasonable
time. Notwithstanding the other provisions of this section, compliance
by intermediate handlers, and carriers, and other persons with those
provisions of this chapter, as amended by the Animal Welfare Act
Amendments of 1976, and those regulations promulgated thereunder,
which relate to actions of intermediate handlers and carriers, shall
commence 90 days after promulgation of regulations under section
2143 of this title, as amended, with respect to intermediate handlers
and carriers, and such regulations shall be promulgated no later than
9 months after April 22, 1976; and compliance by dealers, exhibitors,
operators of auction sales, and research facilities with other provisions
of this chapter, as so amended, and the regulations thereunder, shall
commence upon the expiration of 90 days after April 22, 1976: Provided,
however, at compliance by all persons with subsections (b), (c), and
(d) of section 2143 and with section 2156 of this title, as so amended, shall
commence upon the expiration of said ninety-day period. In all other
respects, said amendments shall become eective on April 22, 1976.
§ 2155 – Omitted
§ 2156 - Animal fighting venture prohibition
(A) Sponsoring or exhibiting an animal in, attending, or causing an
individual who has not attained the age of 16 to attend an animal
ghting venture
1. In general Sponsoring or Exhibiting
Except as provided in paragraph (3), it shall be unlawful for any
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§ 2156
person to knowingly sponsor or exhibit an animal in an animal
ghting venture.
2. Attending or causing an individual who has not attained the
age of 16 to attend – It shall be unlawful for any person to –
knowingly attend an animal ghting venture; or knowingly cause
an individual who has not attained the age of 16 to attend an
animal ghting venture.
3. Special rule for certain States
1
With respect to ghting ventures involving live birds in a State
where it would not be in violation of the law, it shall be unlawful
under this subsection for a person to sponsor or exhibit a bird
in the ghting venture only if the person knew that any bird in
the ghting venture was knowingly bought, sold, delivered,
transported, or received in interstate or foreign commerce for the
purpose of participation in the ghting venture.
(B) Buying, selling, delivering, possessing, training, or transporting
animals for participation in animal ghting venture
It shall be unlawful for any person to knowingly sell, buy, possess, train,
transport, deliver, or receive any animal for purposes of having the
animal participate in an animal ghting venture.
(C) Use of Postal Service or other interstate instrumentality for
promoting or furthering animal ghting venture
It shall be unlawful for any person to knowingly use the mail service
of the United States Postal Service or any instrumentality of interstate
commerce for commercial speech for purposes of advertising an animal,
or an instrument described in subsection (e), for use in an animal
ghting venture, promoting
2
or in any other manner furthering an
animal ghting venture except as performed outside the limits of the
States of the United States.
(D) Violation of State law
Notwithstanding the provisions of subsection (c) of this section, the
activities prohibited by such subsection shall be unlawful with respect
to ghting ventures involving live birds only if the ght is to take place in
a State where it would be in violation of the laws thereof.
1 So in original. Probably should be ‘‘States’’.
2 So in original. Probably should be preceded by ‘‘or’’.
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Animal Welfare Act, USDA
AWA
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§ 2156
(E) Buying, selling, delivering, or transporting sharp instruments for use
in animal ghting venture
It shall be unlawful for any person to knowingly sell, buy, transport,
or deliver in interstate or foreign commerce a knife, a ga, or any other
sharp instrument attached, or designed or intended to be attached, to
the leg of a bird for use in an animal ghting venture.
(F) Investigation of violations by Secretary; assistance by other
Federal agencies; issuance of search warrant; forfeiture; costs
recoverable in forfeiture or civil action
e Secretary or any other person authorized by him shall make
such investigations as the Secretary deems necessary to determine
whether any person has violated or is violating any provision of this
section, and the Secretary may obtain the assistance of the Federal
Bureau of Investigation, the Department of the Treasury, or other
law enforcement agencies of the United States, and State and local
governmental agencies, in the conduct of such investigations, under
cooperative agreements with such agencies. A warrant to search for and
seize any animal which there is probable cause to believe was involved
in any violation of this section may be issued by any judge of the United
States or of a State court of record or by a United States magistrate judge
within the district wherein the animal sought is located. Any United
States marshal or any person authorized under this section to conduct
investigations may apply for and execute any such warrant, and any
animal seized under such a warrant shall be held by the United States
marshal or other authorized person pending disposition thereof by the
court in accordance with this subsection. Necessary care including
veterinary treatment shall be provided while the animals are so held
in custody. Any animal involved in any violation of this section shall be
liable to be proceeded against and forfeited to the United States at any
time on complaint led in any United States district court or other court
of the United States for any jurisdiction in which the animal is found
and upon a judgment of forfeiture shall be disposed of by sale for lawful
purposes or by other humane means, as the court may direct. Costs
incurred for care of animals seized and forfeited under this section shall
be recoverable from the owner of the animals (1) if he appears in such
forfeiture proceeding, or (2) in a separate civil action brought in the
jurisdiction in which the owner is found, resides, or transacts business.
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(G) Denitions
In this section –
1. the term “animal ghting venture” means any event, in or
aecting interstate or foreign commerce, that involves a ght
conducted or to be conducted between at least 2 animals for
purposes of sport, wagering, or entertainment, except that the
term “animal ghting venture” shall not be deemed to include any
activity the primary purpose of which involves the use of one or
more animals in hunting another animal;
2. the term “instrumentality of interstate commerce” means any
written, wire, radio, television or other form of communication in,
or using a facility of, interstate commerce;
3. the term “State” means any State of the United States, the District
of Columbia, the Commonwealth of Puerto Rico, and any
territory or possession of the United States;
4. the term “animal” means any live bird, or any live mammal,
except man.
(H) Relationship to other provisions
e conduct by any person of any activity prohibited by this section
shall not render such person subject to the other sections of this chapter
as a dealer, exhibitor, or otherwise.
(I) Conict with State law
1. In general
e provisions of this chapter shall not supersede or otherwise
invalidate any such State, local, or municipal legislation or ordinance
relating to animal ghting ventures except in case of a direct and
irreconcilable conict between any requirements thereunder and
this chapter or any rule, regulation, or standard hereunder.
2. Omitted
(J) Criminal penalties
e criminal penalties for violations of subsection (a), (b), (c), or (e) are
provided in section 49 of title 18.
§ 2157 - Release of trade secrets
(A) Release of condential information prohibited
It shall be unlawful for any member of an Institutional Animal
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Animal Welfare Act, USDA
AWA
28
§ 2158
Committee to release any condential information of the research
facility including any information that concerns or relates to –
1. the trade secrets, processes, operations, style of work, or
apparatus; or
2. the identity, condential statistical data, amount or source of any
income, prots, losses, or expenditures, of the research facility.
(B) Wrongful use of condential information prohibited
It shall be unlawful for any member of such Committee –
1. to use or attempt to use to his advantages; or
2. to reveal to any other person, any information which is entitled to
protection as condential information under subsection (a) of this
section.
(C) Penalties
A violation of subsection (a) or (b) of this section is punishable by –
3. removal from such Committee; and
4. A. a ne of not more than $1,000 and imprisonment of not more
than one year; or
B. if such violation is willful, a ne of not more than $10,000 and
imprisonment of not more than three years.
(D) Recovery of damages by injured person; costs; attorney’s fee
Any person, including any research facility, injured in its business or
property by reason of a violation of this section may recover all actual
and consequential damages sustained by such person and the cost of
the suit including a reasonable attorney’s fee.
(E) Other rights and remedies
Nothing in this section shall be construed to aect any other rights of
a person injured in its business or property by reason of a violation of
this section. Subsection (d) of this section shall not be construed to limit
the exercise of any such rights arising out of or relating to a violation of
subsections (a) and (b) of this section.
§ 2158 - Protection of pets
(A) Holding period
1. Requirement
In the case of each dog or cat acquired by an entity described in
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§ 2158
paragraph (2), such entity shall hold and care for such dog or cat
for a period of not less than ve days to enable such dog or cat to
be recovered by its original owner or adopted by other individuals
before such entity sells such dog or cat to a dealer.
2. Entities described
An entity subject to paragraph (1) is –
a. each State, county, or city owned and operated pound or
shelter;
b. each private entity established for the purpose of caring for
animals, such as a humane society, or other organization that
is under contract with a State, county, or city that operates as
a pound or shelter and that releases animals on a voluntary
basis; and
c. each research facility licensed by the Department of Agriculture.
(B) Certication
1. In general
A dealer may not sell, provide, or make available to any
individual or entity a random source dog or cat unless such dealer
provides the recipient with a valid certication that meets the
requirements of paragraph (2) and indicates compliance with
subsection (a) of this section.
2. Requirements
A valid certication shall contain –
a. the name, address, and Department of Agriculture license or
registration number (if such number exists) of the dealer;
b. the name, address, Department of Agriculture license
or registration number (if such number exists), and the
signature of the recipient of the dog or cat;
c. a description of the dog or cat being provided that shall
include
i. the species and breed or type of such;
ii. the sex of such;
iii. the date of birth (if known) of such;
iv. the color and any distinctive marking of such; and
v. any other information that the Secretary by regulation
shall determine to be appropriate;
d. the name and address of the person, pound, or shelter from
which the dog or cat was purchased or otherwise acquired
by the dealer, and an assurance that such person, pound,
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§ 2158
or shelter was notied that such dog or cat may be used for
research or educational purposes;
e. the date of the purchase or acquisition referred to in
subparagraph (D);
f. a statement by the pound or shelter (if the dealer acquired
the dog or cat from such) that it satised the requirements of
subsection (a) of this section; and
g. any other information that the Secretary of Agriculture by
regulation shall determine appropriate.
3. Records
e original certication required under paragraph (1) shall
accompany the shipment of a dog or cat to be sold, provided, or
otherwise made available by the dealer, and shall be kept and
maintained by the research facility for a period of at least one year
for enforcement purposes. e dealer shall retain one copy of the
certication provided under this paragraph for a period of at least
one year for enforcement purposes.
4. Transfers
In instances where one research facility transfers animals to
another research facility a copy of the certicate must accompany
such transfer.
5. Modication
Certication requirements may be modied to reect
technological advances in identication techniques, such as
microchip technology, if the Secretary determines that adequate
information such as described in this section, will be collected,
transferred, and maintained through such technology.
(C) Enforcement
1. In general
Dealers who fail to act according to the requirements of this
section or who include false information in the certification
required under subsection (b) of this section, shall be subject
to the penalties provided for under section 2149 of this title.
2. Subsequent violations
Any dealer who violates this section more than one time shall
be subject to a ne of $5,000 per dog or cat acquired or sold in
violation of this section.
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3. Permanent revocations
Any dealer who violates this section three or more times shall
have such dealers license permanently revoked.
(D) Regulation
Not later than 180 days after November 28, 1990, the Secretary shall
promulgate regulations to carry out this section.
§ 2159 - Authority to apply for injunctions
(A) Request
Whenever the Secretary has reason to believe that any dealer, carrier,
exhibitor, or intermediate handler is dealing in stolen animals, or is
placing the health of any animal in serious danger in violation of this
chapter or the regulations or standards promulgated thereunder, the
Secretary shall notify the Attorney General, who may apply to the
United States district court in which such dealer, carrier, exhibitor, or
intermediate handler resides or conducts business for a temporary
restraining order or injunction to prevent any such person from
operating in violation of this chapter or the regulations and standards
prescribed under this chapter.
(B) Issuance
e court shall, upon a proper showing, issue a temporary restraining
order or injunction under subsection (a) of this section without bond.
Such injunction or order shall remain in eect until a complaint
pursuant to section 2149 of this title is issued and dismissed by
the Secretary or until an order to cease and desist made thereon
by the Secretary has become nal and eective or is set aside on
appellate review. Attorneys of the Department of Agriculture may,
with the approval of the Attorney General, appear in the United
States district court representing the Secretary in any action brought
under this section.
Chapter 1 – Animal and Plant Health
Inspec
S
tion Service, Department of Agriculture
ubchapter A – Animal Welfare Parts 1 - 4
33
Animal Welfare Act, USDA
§ 2144
32
ANIMAL
WELFARE
REGULATIONS
As of Feb. 21, 2023
As found in the Code of Federal Regulations
Title 9 – Animals and Animal Products
Chapter 1 – Animal and Plant Health Inspection Service,
Department of Agriculture
Subchapter A – Animal Welfare
Parts 1 – 4
NOTE: This copy of the Animal Welfare Regulations as it appears in the Code of
Federal Regulations is provided for informational purposes only. Before relying
on any portion of the regulations as they appear here, reference should be
made to the official Code of Federal Regulations, 9 C.F.R. Parts 1-4.
These parts can be found at the U.S. Government Printing Office website:
www.ecfr.gov/current/title-9/chapter-I/subchapter-A
34
35
PART 1
Denitions
34
Animal Welfare Act, USDA
Part 1, § 1.1
ANIMAL WELFARE REGULATIONS
PART 1 – DEFINITION OF TERMS
Authority: 7 U.S.C. 2131-2159; 7 CFR 2.22, 2.80, and 371.7.
§ 1.1 - Definitions.
For the purposes of this subchapter, unless the context otherwise
requires, the following terms shall have the meanings assigned to them
in this section. e singular form shall also signify the plural and the
masculine form shall also signify the feminine. Words undened in
the following paragraphs shall have the meaning attributed to them in
general usage as reected by denitions in a standard dictionary.
Act means the Act of August 24, 1966 (Pub. L. 89-544), (commonly
known as the Laboratory Animal Welfare Act), as amended by the Act
of December 24, 1970 (Pub. L. 91-579), (the Animal Welfare Act of 1970),
the Act of April 22, 1976 (Pub. L. 94-279), (the Animal Welfare Act of
1976), and the Act of December 23, 1985 (Pub. L. 99-198), (the Food
Security Act of 1985), and as it may be subsequently amended.
Activity means, for purposes of part 2, subpart C of this subchapter,
those elements of research, testing, or teaching procedures that involve
the care and use of animals.
Administrative unit means the organizational or management unit at
the departmental level of a research facility.
Administrator e Administrator, Animal and Plant Health Inspection
Service, or any person authorized to act for the Administrator.
Ambient temperature means the air temperature surrounding the
animal.
Animal means any live or dead dog, cat, nonhuman primate, guinea
pig, hamster, rabbit, or any other warmblooded animal, which is
being used, or is intended for use for research, teaching, testing,
experimentation, or exhibition purposes, or as a pet. is term
excludes birds, rats of the genus Rattus, and mice of the genus Mus,
bred for use in research; horses not used for research purposes; and
other farm animals, such as, but not limited to, livestock or poultry
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Denitions
Part 1, § 1.1
used or intended for use as food or ber, or livestock or poultry
used or intended for use for improving animal nutrition, breeding,
management, or production eciency, or for improving the quality of
food or ber. is term also excludes falconry. With respect to a dog,
the term means all dogs, including those used for hunting, security, or
breeding purposes.
Animal act means any performance of animals where such animals
are trained to perform some behavior or action or are part of a show,
performance, or exhibition.
APHIS ocial means any person employed by the Department who is
authorized to perform a function under the Act and the regulations in 9
CFR parts 1, 2, and 3.
Attending veterinarian means a person who has graduated from
a veterinary school accredited by the American Veterinary Medical
Association’s Council on Education, or has a certicate issued by the
American Veterinary Medical Association’s Education Commission
for Foreign Veterinary Graduates, or has received equivalent formal
education as determined by the Administrator; has received training
and/or experience in the care and management of the species being
attended; and who has direct or delegated authority for activities
involving animals at a facility subject to the jurisdiction of the Secretary.
Bird means any member of the class Aves, excluding eggs, but including
birds once the hatching process commences.
Bred for use in research means an animal that is bred in captivity and
used for research, teaching, testing, or experimentation purposes.
Buer area means that area in a primary enclosure for a swim-with-
the- dolphin program that is o-limits to members of the public and that
directly abuts the interactive area.
Business hours means a reasonable number of hours between 7 a.m.
and 7 p.m. each week of the year, during which inspections by APHIS
may be made.
Business year means the 12-month period during which business is
conducted, and may be either on a calendar or scal-year basis.
Carrier means the operator of any airline, railroad, motor carrier,
shipping line, or other enterprise which is engaged in the business
of transporting any animals for hire. Except anyone transporting a
migratory bird covered under the Migratory Bird Treaty Act from the
wild to a facility for rehabilitation and eventual release in the wild, or
between rehabilitation facilities, and has obtained authorization from
the U.S. Fish and Wildlife Service for that purpose, is not a “carrier”.
37
PART 1
Denitions
36
Animal Welfare Act, USDA
Part 1, § 1.1
Cat means any live or dead cat (Felis catus) or any cat-hybrid cross.
Class “A” licensee (breeder) means a person subject to the licensing
requirements under part 2 and meeting the denition of a “dealer” (§
1.1), and whose business involving animals consists only of animals
that are bred and raised on the premises in a closed or stable colony
and those animals acquired for the sole purpose of maintaining or
enhancing the breeding colony.
Class “B” licensee means a person subject to the licensing requirements
under part 2 and meeting the denition of a “dealer” (§ 1.1), and whose
business includes the purchase and/or resale of any animal. is term
includes brokers, and operators of an auction sale, as such individuals
negotiate or arrange for the purchase, sale, or transport of animals
in commerce. Such individuals do not usually take actual physical
possession or control of the animals, and do not usually hold animals in
any facilities. A class “B” licensee may also exhibit animals as a minor
part of the business.
Class “C” licensee (exhibitor) means a person subject to the licensing
requirements under part 2 and meeting the denition of an “exhibitor” (§
1.1), and whose business involves the showing or displaying of animals to
the public. A class “C” licensee may buy and sell animals as a minor part
of the business in order to maintain or add to his animal collection.
Commerce means trade, trac, transportation, or other commerce:
1. Between a place in a State and any place outside of such State,
including any foreign country, or between points within the
same State but through any place outside thereof, or within any
territory, possession, or the District of Columbia; or
2. Which aects the commerce described in this part.
Committee means the Institutional Animal Care and Use Committee
(IACUC) established under section 13(b) of the Act. It shall consist of
at least three (3) members, one of whom is the attending veterinarian
of the research facility and one of whom is not aliated in any way
with the facility other than as a member of the committee, however, if
the research facility has more than one Doctor of Veterinary Medicine
(DVM), another DVM with delegated program responsibility may serve.
e research facility shall establish the Committee for the purpose of
evaluating the care, treatment, housing, and use of animals, and for
certifying compliance with the Act by the research facility.
Dealer means any person who, in commerce, for compensation or
prot, delivers for transportation, or transports, except as a carrier, buys,
or sells, or negotiates the purchase or sale of: Any dog or other animal
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Denitions
Part 1, § 1.1
whether alive or dead (including unborn animals, organs, limbs, blood,
serum, or other parts) for research, teaching, testing, experimentation,
exhibition, or use as a pet; or any dog at the wholesale level for hunting,
security, or breeding purposes. is term does not include: A retail pet
store, as dened in this section; and any retail outlet where dogs are sold
for hunting, breeding, or security purposes.
Department means the U.S. Department of Agriculture.
Deputy Administrator means the Deputy Administrator for Animal
Care (AC) or any other ocial of AC to whom authority has been
delegated to act in his stead.
Dog means any live or dead dog (Canis familiaris) or any dog-hybrid
cross.
Dwarf hamster means any species of hamster such as the Chinese and
Armenian species whose adult body size is substantially less than that
attained by the Syrian or Golden species of hamsters.
Endangered species means those species dened in the Endangered
Species Act (16 U.S.C. 1531 et seq.) and as it may be subsequently amended.
Euthanasia means the humane destruction of an animal accomplished
by a method that produces rapid unconsciousness and subsequent
death without evidence of pain or distress, or a method that utilizes
anesthesia produced by an agent that causes painless loss of
consciousness and subsequent death.
Exhibitor means any person (public or private) exhibiting any animals,
which were purchased in commerce or the intended distribution of
which aects commerce, or will aect commerce, to the public for
compensation, as determined by the Secretary. is term includes
carnivals, circuses, animal acts (including free-ighted bird shows),
zoos, and educational exhibits, exhibiting such animals whether
operated for prot or not. is term excludes retail pet stores, horse,
dog, and pigeon races, an owner of a common, domesticated household
pet who derives less than a substantial portion of income from a
nonprimary source (as determined by the Secretary) for exhibiting
an animal that exclusively resides at the residence of the pet owner,
organizations sponsoring and all persons participating in State and
country fairs, livestock shows, rodeos, eld trials, coursing events,
falconry, purebred dog and cat shows, bird fancier shows, and any other
fairs or exhibitions intended to advance agricultural arts and sciences,
as may be determined by the Secretary.
Exotic animal means any animal not identied in the denition of
“animal” provided in this part that is native to a foreign country or of
39
Animal Welfare Act, USDA
PART 1
Denitions
38
Part 1, § 1.1
foreign origin or character, is not native to the United States, or was
introduced from abroad. is term specically includes animals such
as, but not limited to, lions, tigers, leopards, elephants, camels, antelope,
anteaters, kangaroos, and water bualo, and species of foreign domestic
cattle, such as Ankole, Gayal, and Yak.
Farm animal means any domestic species of cattle, sheep, swine,
goats, llamas, horses, or poultry, which are normally and have
historically been kept and raised on farms in the United States and
used or intended for use as food or ber, or for improving animal
nutrition, breeding, management, or production eciency, or for
improving the quality of food or ber. is term also includes animals
such as rabbits, mink, chinchilla, and ratites when they are used solely
for purposes of meat, fur, feathers, or skin, and animals such as horses
and llamas when used solely as work and pack animals.
Federal agency means an Executive agency as such term is dened
in section 105 of title 5, United States Code, and with respect to any
research facility means the agency from which the research facility
receives a Federal award for the conduct of research, experimentation,
or testing involving the use of animals.
Federal award means any mechanism (including a grant, award,
loan, contract, or cooperative agreement) under which Federal funds
are used to support the conduct of research, experimentation, or
testing, involving the use of animals. e permit system established
under the authorities of the Endangered Species Act, the Marine
Mammal Protection Act, and the Migratory Bird Treaty Act, are not
considered to be Federal awards under the Animal Welfare Act.
Federal research facility means each department, agency, or
instrumentality of the United States which uses live animals for research
or experimentation.
Field study means a study conducted on free-living wild animals in their
natural habitat. However, this term excludes any study that involves
an invasive procedure, harms, or materially alters the behavior of an
animal under study.
Handling means petting, feeding, watering, cleaning, manipulating,
loading, crating, shifting, transferring, immobilizing, restraining,
treating, training, working and moving, or any similar activity with
respect to any animal.
Housing facility means any land, premises, shed, barn, building, trailer,
or other structure or area housing or intended to house animals.
40
9 CFR AWA (5-1-2023 Edition)
PART 1
Denitions
Part 1, § 1.1
Hybrid cross means an animal resulting from the crossbreeding
between two dierent species or types of animals. Crosses between
wild animal species, such as lions and tigers, are considered to be wild
animals. Crosses between wild animal species and domestic animals,
such as dogs and wolves or bualo and domestic cattle, are considered
to be domestic animals.
Impervious surface means a surface that does not permit the
absorption of uids. Such surfaces are those that can be thoroughly
and repeatedly cleaned and disinfected, will not retain odors, and from
which uids bead up and run o or can be removed without their being
absorbed into the surface material.
Indoor housing facility means any structure or building with
environmental controls housing or intended to house animals and
meeting the following three requirements:
1. It must be capable of controlling the temperature within the
building or structure within the limits set forth for that species of
animal, of maintaining humidity levels of 30 to 70 percent and of
rapidly eliminating odors from within the building; and
2. It must be an enclosure created by the continuous connection
of a roof, oor, and walls (a shed or barn set on top of the ground
does not have a continuous connection between the walls and the
ground unless a foundation and oor are provided); and
3. It must have at least one door for entry and exit that can be
opened and closed (any windows or openings which provide
natural light must be covered with a transparent material such as
glass or hard plastic).
Interactive area means that area in a primary enclosure for a swim-
with- the-dolphin program where an interactive session takes place.
Interactive session means a swim-with-the-dolphin program session
where members of the public enter a primary enclosure to interact with
cetaceans.
Intermediate handler means any person, including a department,
agency, or instrumentality of the United States or of any State or local
government (other than a dealer, research facility, exhibitor, any
person excluded from the denition of a dealer, research facility, or
exhibitor, an operator of an auction sale, or a carrier), who is engaged
in any business in which he receives custody of animals in connection
with their transportation in commerce. Except anyone transporting a
migratory bird covered under the Migratory Bird Treaty Act from the
wild to a facility for rehabilitation and eventual release in the wild,
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Animal Welfare Act, USDA
PART 1
Denitions
40
Part 1, § 1.1
or between rehabilitation facilities, and has obtained authorization
from the U.S. Fish and Wildlife Service for that purpose, is not an
“intermediate handler”.
Inspector means any person employed by the Department who is
authorized to perform a function under the Act and the regulations in 9
CFR parts 1, 2, and 3.
Institutional ocial means the individual at a research facility who is
authorized to legally commit on behalf of the research facility that the
requirements of 9 CFR parts 1, 2, and 3 will be met.
Isolation in regard to marine mammals means the physical separation
of animals to prevent contact and a separate, noncommon, water
circulation and ltration system for the isolated animals.
Licensed veterinarian means a person who has graduated from an
accredited school of veterinary medicine or has received equivalent
formal education as determined by the Administrator, and who has a
valid license to practice veterinary medicine in some State.
Licensee means any person licensed according to the provisions of the
Act and the regulations in part 2 of this subchapter.
Major operative procedure means any surgical intervention that
penetrates and exposes a body cavity or any procedure which produces
permanent impairment of physical or physiological functions.
Minimum horizontal dimension (MHD) means the diameter of a
circular pool of water, or in the case of a square, rectangle, oblong, or
other shape pool, the diameter of the largest circle that can be inserted
within the connes of such a pool of water.
Mobile or traveling housing facility means a transporting vehicle such
as a truck, trailer, or railway car, used to house animals while traveling
for exhibition or public education purposes.
Non-conditioned animals means animals which have not been
subjected to special care and treatment for sucient time to stabilize,
and where necessary, to improve their health.
Nonhuman primate means any nonhuman member of the highest
order of mammals including prosimians, monkeys, and apes.
Operator of an auction sale means any person who is engaged in
operating an auction at which animals are purchased or sold in commerce.
Outdoor housing facility means any structure, building, land, or
premise, housing or intended to house animals, which does not meet
the definition of any other type of housing facility provided in the
regulations, and in which temperatures cannot be controlled within
set limits.
42
9 CFR AWA (5-1-2023 Edition)
PART 1
Denitions
Part 1, § 1.1
Painful procedure as applied to any animal means any procedure that
would reasonably be expected to cause more than slight or momentary
pain or distress in a human being to which that procedure was applied,
that is, pain in excess of that caused by injections or other minor
procedures.
Paralytic drug means a drug which causes partial or complete loss
of muscle contraction and which has no anesthetic or analgesic
properties, so that the animal cannot move, but is completely aware of
its surroundings and can feel pain.
Person means any individual, partnership, rm, joint stock company,
corporation, association, trust, estate, or other legal entity.
Pet animal means any animal that has commonly been kept as a pet in
family households in the United States, such as dogs, cats, guinea pigs,
rabbits, hamsters, and birds. is term also includes but is not limited to
such birds as canaries, cockatiels, lovebirds, and budgerigar parakeets.
is term excludes exotic animals and wild animals.
Positive physical contact means petting, stroking, or other touching,
which is benecial to the well-being of the animal.
Poultry means any species of chickens, turkeys, swans, partridges,
guinea fowl, and pea fowl; ducks, geese, pigeons, and doves; grouse,
pheasants, and quail.
Pound or shelter means a facility that accepts and/or seizes animals for the
purpose of caring for them, placing them through adoption, or carrying out
law enforcement, whether or not the facility is operated for prot.
Primary conveyance means the main method of transportation used
to convey an animal from origin to destination, such as a motor vehicle,
plane, ship, or train.
Primary enclosure means any structure or device used to restrict an
animal or animals to a limited amount of space, such as a room, pen,
run, cage, compartment, pool, or hutch.
Principal investigator means an employee of a research facility,
or other person associated with a research facility, responsible for a
proposal to conduct research and for the design and implementation of
research involving animals.
Quorum means a majority of the Committee members.
Random source means dogs and cats obtained from animal pounds or
shelters, auction sales, or from any person who did not breed and raise them
on his or her premises.
Registrant means any research facility, carrier, intermediate handler,
or exhibitor not required to be licensed under section 3 of the Act,
43
Animal Welfare Act, USDA
PART 1
Denitions
42
Part 1, § 1.1
registered pursuant to the provisions of the Act and the regulations in
part 2 of this subchapter.
Research facility means any school (except an elementary or secondary
school), institution, organization, or person that uses or intends to use
live animals in research, tests, or experiments, and that (1) purchases or
transports live animals in commerce, or (2) receives funds under a grant,
award, loan, or contract from a department, agency, or instrumentality
of the United States for the purpose of carrying out research, tests, or
experiments: Provided, at the Administrator may exempt, by regulation,
any such school, institution, organization, or person that does not use
or intend to use live dogs or cats, except those schools, institutions,
organizations, or persons, which use substantial numbers (as determined
by the Administrator) of live animals the principal function of which
schools, institutions, organizations, or persons, is biomedical research or
testing, when in the judgment of the Administrator, any such exemption
does not vitiate the purpose of the Act.
Retail pet store means a place of business or residence at which the
seller, buyer, and the animal available for sale are physically present so
that every buyer may personally observe the animal prior to purchasing
and/or taking custody of that animal after purchase, and where only the
following animals are sold or oered for sale, at retail, for use as pets:
Dogs, cats, rabbits, guinea pigs, hamsters, gerbils, rats, mice, gophers,
chinchillas, domesticated ferrets, domesticated farm-type animals,
birds, and coldblooded species. Such denition excludes -
1. Establishments or persons who deal in dogs used for hunting,
security, or breeding purposes;
2. Establishments or persons exhibiting, selling, or oering to
exhibit or sell any wild or exotic or other nonpet species of
warmblooded animals such as skunks, raccoons, nonhuman
primates, squirrels, ocelots, foxes, coyotes, etc.;
3. Any establishment or person selling warmblooded animals (except
laboratory rats and mice) for research or exhibition purposes;
4. Any establishment wholesaling any animals (except rats and
mice); and
5. Any establishment exhibiting pet animals in a room that is
separate from or adjacent to the retail pet store, or in an outside
area, or anywhere o the retail pet store premises.
Sanctuary area means that area in a primary enclosure for a swim-
with- the-dolphin program that is o-limits to the public and that
directly abuts the buer area.
44
9 CFR AWA (5-1-2023 Edition)
PART 1
Denitions
Part 1, § 1.1
Sanitize means to make physically clean and to remove and destroy, to
the maximum degree that is practical, agents injurious to health.
Secretary means the Secretary of Agriculture of the United States or his
representative who shall be an employee of the Department.
Sheltered housing facility means a housing facility which provides
the animals with shelter; protection from the elements; and protection
from temperature extremes at all times. A sheltered housing facility
may consist of runs or pens totally enclosed in a barn or building, or of
connecting inside/ outside runs or pens with the inside pens in a totally
enclosed building.
Standards means the requirements with respect to the humane
housing, exhibition, handling, care, treatment, temperature, and
transportation of animals by dealers, exhibitors research facilities,
carriers, intermediate handlers, and operators of auction sales as set
forth in part 3 of this subchapter.
State means a State of the United States, the District of Columbia,
Commonwealth of Puerto Rico, the Virgin Islands, Guam, American
Samoa, or any other territory or possession of the United States.
Study area means any building room, area, enclosure, or other
containment outside of a core facility or centrally designated or
managed area in which animals are housed for more than 12 hours.
Swim-with-the-dolphin (SWTD) program means any human-
cetacean interactive program in which a member of the public
enters the primary enclosure in which an SWTD designated
cetacean is housed to interact with the animal. This interaction
includes, but such inclusions are not limited to, wading, swimming,
snorkeling, or scuba diving in the enclosure. This interaction
excludes, but such exclusions are not limited to, feeding and
petting pools, and the participation of any member(s) of the public
audience as a minor segment of an educational presentation or
performance of a show.
Transporting device means an interim vehicle or device, other than
man, used to transport an animal between the primary conveyance and
the terminal facility or in and around the terminal facility of a carrier or
intermediate handler.
Transporting vehicle means any truck, car, trailer, airplane, ship, or
railroad car used for transporting animals.
Weaned means that a mammal has become accustomed to take
solid food and has so done, without nursing, for a period of at least 5
consecutive days; or that a bird has become accustomed to take food
45
Animal Welfare Act, USDA
PART 1
Denitions
44
Part 1, § 1.1
and has so done, without supplemental feeding from a parent or human
caretaker, for a period of at least 5 consecutive days.
Wild animal means any animal which is now or historically has been
found in the wild, or in the wild state, within the boundaries of the
United States, its territories, or possessions. is term includes, but is
not limited to, animals such as: deer, skunk, opossum, raccoon, mink,
armadillo, coyote, squirrel, fox, wolf, etc.
Wild state means living in its original, natural condition; not
domesticated.
Zoo means any park, building, cage, enclosure, or other structure or
premise in which a live animal or animals are kept for public exhibition
or viewing, regardless of compensation.
22, 1993; 62 FR 43275, Aug. 13, 1997; 63 FR 47148, Sept. 4, 1998; 63 FR 62926, Nov. 10, 1998;
65 FR 6314, Feb. 9, 2000; 68 FR 12285, Mar. 14, 2003; 69 FR 31514, June 4, 2004; 69 FR 42099,
July 14, 2004; 78 FR 57249, Sept. 18, 2013; 83 FR 25554, June 4, 2018; 85 FR 28795, May 13,
2020; 88 FR 10712, Feb. 21, 2023]
Eective Date Note: At 64 FR 15920, Apr. 2, 1999, the denitions of buer area, interactive
area, interactive session, sanctuary area, and swim- with-the-dolphin (SWTD) program were
suspended, eective Apr. 2, 1999.
46
47
PART 2
Table of
Contents
46
Animal Welfare Act, USDA
Part 2
PART 2 – REGULATIONS
Subpart A – Licensing
§ 2.1 Requirements and application.
§ 2.2 Acknowledgement of regulations and standards.
§ 2.3 Demonstration of compliance with standards and regulations.
§ 2.4 Non-interference with APHIS ocials.
§ 2.5 Duration of license and termination of license.
§ 2.6 Annual license fees.
§ 2.7 Annual report by licensees.
§ 2.8 Notication of change of name, address, control, or ownership of
business.
§ 2.9 Ocers, agents, and employees of licensees whose licenses have
been suspended or revoked.
§ 2.10 Licensees whose licenses have been suspended or revoked.
§ 2.11 Denial of license application.
§ 2.12 Termination of a license.
§ 2.13 Appeal of inspection report.
Subpart B – Registration
§ 2.25 Requirements and procedures.
§ 2.26 Acknowledgment of regulations and standards.
§ 2.27 Notication of change of operation.
Subpart C – Research Facilities
§ 2.30 Registration.
§ 2.31 Institutional Animal Care and Use Committee (IACUC).
§ 2.32 - Personnel qualications.
§ 2.33 Attending veterinarian and adequate
veterinary care.
§ 2.34 [Reserved]
§ 2.35 Recordkeeping requirements.
§ 2.36 Annual report.
§ 2.37 Federal research facilities.
§ 2.38 Miscellaneous.
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PART 2
Table of
Contents
Part 2
9 CFR AWA (5-1-2023 Edition)
Subpart D – Attending Veterinarian and
Adequate Veterinary Care
§ 2.40 Attending veterinarian and adequate veterinary care
(dealers and exhibitors).
Subpart E – Identification of Animals
§ 2.50 Time and method of identication.
§ 2.51 Form of ocial tag.
§ 2.52 How to obtain tags.
§ 2.53 Use of tags.
§ 2.54 Lost tags.
§ 2.55 Removal and disposal of tags.
Subpart F – Stolen Animals
§ 2.60 Prohibition on the purchase, sale, use, or transportation of stolen
animals.
Subpart G – Records
§ 2.75 Records: Dealers and exhibitors.
§ 2.76 Records: Operators of auction sales and brokers.
§ 2.77 Records: Carriers and intermediate handlers.
§ 2.78 Health certication and identication.
§ 2.79 C.O.D. shipments.
§ 2.80 Records, disposition.
Subpart H – Compliance With Standards and Holding Period
§ 2.100 Compliance with standards.
§ 2.101 Holding period.
§ 2.102 Holding facility.
Subpart I – Miscellaneous
§ 2.125 Information as to business; furnishing of same by dealers,
exhibitors, operators of auction sales, intermediate handlers, and
carriers.
§ 2.126 Access and inspection of records and property; submission of
itineraries.
§ 2.127 Publication of lists of persons subject to the provisions of this
part.
§ 2.128 Inspection for missing animals.
§ 2.129 Conscation and destruction of animals.
49
PART 2
Table of
Contents
48
Animal Welfare Act, USDA
Part 2
§ 2.130 Minimum age requirements.
§ 2.131 Handling of animals.
§ 2.132 Procurement of dogs, cats, and other animals; dealers.
§ 2.133 Certication for random source dogs and cats.
§ 2.134 Contingency planning.
Subpart J – Importation of Live Dogs
§ 2.150 Import Permit
§ 2.151 Certications.
§ 2.152 Notication of arrival.
§ 2.153 Dogs refused entry.
Authority: 7 U.S.C. 2131-2159; 7 CFR 2.22, 2.80, and 371.7.
Source: 54 FR 36147, Aug. 31, 1989, unless otherwise noted.
50
PART 2
Subpart A
Part 2, Subpart A, § 2.1
9 CFR AWA (5-1-2023 Edition)
SUBPART A – LICENSING
§ 2.1 - Requirements and application.
a. 1. No person shall operate as a dealer, exhibitor, or operator of an
auction sale, without a valid license, except persons who are
exempt from the licensing requirements under paragraph (a)
(3) of this section. A person must be 18 years of age or older
to obtain a license. A person seeking a license shall apply on
a form which will be furnished by the Deputy Administrator.
e applicant shall provide the information requested on the
application form, including, but not limited to:
i. e name of the person applying for the license;
ii. A valid mailing address through which the applicant can
be reached at all times;
iii. Valid addresses for all locations, facilities, premises, or
sites where animals, animal facilities, equipment, and
records are held, kept, or maintained;
iv. e anticipated maximum number of animals on hand at
any one time during the period of licensure;
v. e anticipated type of animals described in paragraph
(b)(2)(ii) of this section to be owned, held, maintained,
sold, or exhibited, including those animals leased, during
the period of licensure;
vi. If the person is seeking a license as an exhibitor, whether
the person intends to exhibit any animal at any location
other than the person’s location(s) listed pursuant to
paragraph (a)(1)(iii) of this section; and
vii. Disclosure of any plea of nolo contendere (no contest)
or nding of violation of Federal, State, or local laws
or regulations pertaining to animal cruelty or the
transportation, ownership, neglect, or welfare of animals.
2. e completed application form, along with a $120 license fee,
shall be submitted to the appropriate Animal Care oce.
3. e following persons are exempt from the licensing
requirements under section 2 or section 3 of the Act:
i. Retail pet stores as dened in part 1 of this subchapter;
ii. Any person who sells or negotiates the sale or purchase
51
PART 2
Subpart A
50
Animal Welfare Act, USDA
Part 2, Subpart A, § 2.1
of any animal except wild or exotic animals, dogs, or cats,
and who derives no more than $500 gross income from
the sale of such animals during any calendar year and is
not otherwise required to obtain a license;
iii. Any person who maintains a total of four or fewer
breeding female pet animals as dened in part 1 of
this subchapter, small exotic or wild mammals (such
as hedgehogs, degus, spiny mice, prairie dogs, ying
squirrels, jerboas, domesticated ferrets, chinchillas, and
gerbils), and/or domesticated farm-type animals (such
as cows, goats, pigs, sheep, llamas, and alpacas) and sells
only the ospring of these animals, which were born
and raised on his or her premises, for pets or exhibition,
and is not otherwise required to obtain a license. is
exemption does not extend to any person residing in a
household that collectively maintains a total of more
than four of these breeding female animals, regardless of
ownership, or to any person maintaining such breeding
female animals on premises on which more than four
of these breeding female animals are maintained, or
to any person acting in concert with others where they
collectively maintain a total of more than four of these
breeding female animals, regardless of ownership. Also
exempt from licensing is any person who sells 200 or
fewer pet birds 250 grams or less annually, and/or sells
8 or fewer pet birds more than 250 grams annually,
determined by average adult weight of the species, which
were born and raised on his or her premises, for pets
or exhibition, and is not otherwise required to obtain a
license. is exemption does not extend to any person
residing in a household that collectively sells more than
200 pet birds 250 grams or less annually, and/or sells
more than 8 pet birds more than 250 grams annually,
regardless of ownership;
iv. Any person who sells fewer than 25 dogs and/or cats
per year, which were born and raised on his or her
premises, for research, teaching, or testing purposes or
to any research facility and is not otherwise required to
obtain a license. is exemption does not extend to any
person residing in a household that collectively sells 25
52
9 CFR AWA (5-1-2023 Edition)
PART 2
Subpart A
Part 2, Subpart A, § 2.1
or more dogs and/or cats, regardless of ownership, nor
to any person acting in concert with others where they
collectively sell 25 or more dogs and/or cats, regardless of
ownership. e sale of any dog or cat not born and raised
on the premises for research purposes requires a license;
v. Any person who arranges for transportation or transports
animals solely for the purpose of breeding, exhibiting
in purebred shows, boarding (not in association with
commercial transportation), grooming, or medical
treatment, and is not otherwise required to obtain a
license;
vi. Any person who buys, sells, transports, or negotiates the
sale, purchase, or transportation of any animals used
only for the purposes of food or ber (including fur);
vii. Any person who maintains a total of eight or fewer pet
animals as dened in part 1 of this subchapter, small
exotic or wild mammals (such as hedgehogs, degus,
spiny mice, prairie dogs, ying squirrels, jerboas,
domesticated ferrets, chinchillas, and gerbils), and/
or domesticated farm-type animals (such as cows,
goats, pigs, sheep, llamas, and alpacas) for exhibition,
and is not otherwise required to obtain a license. is
exemption does not extend to any person acting in
concert with others where they collectively maintain a
total of more than eight of these animals for exhibition,
regardless of possession and/or ownership;
viii. Any person who maintains a total of four or fewer raptors
for exhibition, holds a valid permit from the U.S. Fish and
Wildlife Service, and is not otherwise required to obtain
a license. is exemption does not extend to any person
acting in concert with others where they collectively
maintain a total of more than four raptors for exhibition,
regardless of possession and/or ownership;
ix. Any person who buys animals solely for his or her own
use or enjoyment and does not sell or exhibit animals, or
is not otherwise required to obtain a license;
b. 1. No person shall have more than one license. Licenses are issued
to specic persons, and are issued for specic activities, types
and numbers of animals, and approved sites. A licensee shall
53
Animal Welfare Act, USDA
PART 2
Subpart A
52
Part 2, Subpart A, § 2.1
notify Animal Care no fewer than 90 days and obtain a new
license before any change in the name, address, substantial
control or ownership of his business or operation, locations,
activities, and number or type of animals described in
paragraph (b)(2) of this section. Any person who is subject to
the regulations, in this subchapter, and who intends to exhibit
any animal at any location other than the person’s approved
site must provide that information on their application form
in accordance with paragraph (a) of this section and submit
written itineraries in accordance with § 2.126.
2. Licenses authorize a specic number and specic type(s) of
animals, as follows:
i. Licenses authorize increments of 50 animals on hand at
any single point in time during the period of licensure.
A licensee must obtain a new license before any change
resulting in more than the authorized number of animals
on hand at any single point in time during the period of
licensure.
ii. Licenses authorize the use of animals subject to subparts
A through G in part 3 of this subchapter, except that,
for animals subject to subparts D and F, licenses must
specically authorize the use of each of the following
groups of animals: Group 5 (baboons and nonbrachiating
species larger than 33 pounds) and Group 6 (great apes
over 55 pounds and brachiating species) nonhuman
primates; exotic and wild felids (including but not limited
to lions, tigers, leopards, cheetahs, jaguars, cougars,
lynx, servals, bobcats, and caracals, and any hybrid cross
thereof ); hyenas and/or exotic and wild canids (including
but not limited to wolves, coyotes, foxes, and jackals);
bears; and mega-herbivores (including but not limited to
elephants, rhinoceroses, hippopotamuses, and giraes).
A licensee must obtain a new license before using any
animal beyond those types or numbers of animals
authorized under the existing license. Notwithstanding
these provisions, a licensee in possession of birds on
March 23, 2023, may continue to operate under that
license until its scheduled expiration date. APHIS
encourages such persons to apply for a new license at least
90 days before expiration of the current one.
54
9 CFR AWA (5-1-2023 Edition)
PART 2
Subpart A
Part 2, Subpart A, § 2.2
c. A license will be issued to any applicant, except as provided in §§
2.9 through 2.11, when:
1. e applicant has met the requirements of this section and §§
2.2 and 2.3; and
2. e applicant has paid a $120 license fee to the appropriate
Animal Care oce. e applicant may pay the fee by certied
check, cashier’s check, personal check, money order, or credit
card. An applicant whose check is returned by a bank will be
charged a fee of $20 for each returned check. If an applicant’s
check is returned, subsequent fees must be paid by certied
check, cashier’s check, money order, or credit card.
d. e failure of any person to comply with any provision of the
Act, or any of the provisions of the regulations or standards in
this subchapter, shall constitute grounds for denial of a license
or for its suspension or revocation by the Secretary, as provided
in the Act.
(Approved by the Oce of Management and Budget under control numbers 0579-0036,
0579-0470, and 0579-0486)
[54 FR 36147, Aug. 31, 1989, as amended at 63 FR 62926, Nov. 10, 1998; 69 FR 42099, July 14,
2004; 78 FR 57249, Sept. 18, 2013; 83 FR 25555, June 4, 2018; 85 FR 28795, May 13, 2020; 88 FR
10713, Feb. 21, 2023; 88 FR 16173, Mar. 16, 2023]
§ 2.2 - Acknowledgement of regulations and standards.
Animal Care will supply a copy of the Act and the regulations and
standards in this subchapter to an applicant upon request. Signing
the application form is an acknowledgement that the applicant has
reviewed the Act and the regulations and standards and agrees to
comply with them.
(Approved by the Oce of Management and Budget under control numbers 0579-0036,
0579-0470, and 0579-0486)
[85 FR 28796, May 13, 2020, as amended at 88 FR 10713, Feb. 21, 2023]
55
Animal Welfare Act, USDA
PART 2
Subpart A
54
Part 2, Subpart A, § 2.3
§ 2.3 - Demonstration of compliance with standards and
regulations.
a. Each applicant for a license must demonstrate that his or her
location(s) and any animals, facilities, vehicles, equipment, or other
locations used or intended for use in the business comply with the
Act and the regulations and standards set forth in parts 2 and 3 of this
subchapter. Each applicant must make his or her animals, locations,
facilities, vehicles, equipment, and records available for inspection
during business hours and at other times mutually agreeable to the
applicant and APHIS, to ascertain the applicant’s compliance with
the Act and the regulations and standards.
b. Each applicant for a license must be inspected by APHIS and
demonstrate compliance with the Act and the regulations and
standards, as required in paragraph (a) of this section, before
APHIS will issue a license. If the rst inspection reveals that the
applicant’s animals, premises, facilities, vehicles, equipment,
locations, or records do not meet the applicable requirements
of this subchapter, APHIS will advise the applicant of existing
deciencies and the corrective measures that must be completed
to come into compliance with the regulations and standards. An
applicant who fails the rst inspection may request up to two
more inspections by APHIS to demonstrate his or her compliance
with the Act and the regulations and standards. e applicant
must request the second inspection, and if applicable, the third
inspection, within 60 days following the rst inspection.
c. Any applicant who fails the third and nal prelicense inspection
may appeal all or part of the inspection ndings to the Deputy
Administrator. To appeal, the applicant must send a written
statement contesting the inspection nding(s) and include any
documentation or other information in support of the appeal.
To receive consideration, the appeal must be received by the
Deputy Administrator within 7 days of the date the applicant
received the third prelicense inspection report. Within 7 days of
receiving a timely appeal, the Deputy Administrator will issue a
written response to notify the applicant whether APHIS will issue
a license or deny the application.
56
9 CFR AWA (5-1-2023 Edition)
PART 2
Subpart A
Part 2, Subpart A, § 2.4
d. If an applicant fails inspection or fails to request reinspections
within the 60-day period, or fails to submit a timely appeal of
the third prelicense inspection report as described in paragraph
(c) of this section, the applicant cannot reapply for a license for
a period of 6 months from the date of the failed third inspection
or the expiration of the time to request a third inspection. No
license will be issued until the applicant pays the license fee
and demonstrates upon inspection that the animals, premises,
facilities, vehicles, equipment, locations, and records are in
compliance with all applicable requirements in the Act and the
regulations and standards in this subchapter.
(Approved by the Oce of Management and Budget under control numbers
0579-0036 and 0579-0486)
[85 FR 28796, May 13, 2020, as amended at 88 FR 10713, Feb. 21, 2023]
§ 2.4 - Non-interference with APHIS officials.
A licensee or applicant for an initial license shall not interfere with,
threaten, abuse (including verbally abuse), or harass any APHIS ocial
in the course of carrying out his or her duties.
§ 2.5 - Duration of license and termination of license.
a. A license issued under this part shall be valid and eective for 3
years unless:
1. e license has been revoked or suspended pursuant to
section 19 of the Act or terminated pursuant to § 2.12.
2. e license is voluntarily terminated upon request of the
licensee, in writing, to the Deputy Administrator.
3. e license has expired, except that:
iii. e Deputy Administrator may issue a temporary license,
which automatically expires after 120 days to an applicant
whose immediately preceding 3-year license has expired if:
a. e applicant submits the appropriate application
form before the expiration date of a preceding
license; and
b. e applicant had no noncompliances with the Act
and the regulations and standards in parts 2 and 3
of this subchapter documented in any inspection
report during the preceding period of licensure.
57
Animal Welfare Act, USDA
PART 2
Subpart A
56
Part 2, Subpart A, § 2.6
iv. For expedited hearings occurring under § 2.11(b)
(2), a license will remain valid and eective until
the administrative law judge issues his or her initial
decision. Should the administrative law judge’s initial
decision arm the denial of the license application, the
applicant’s license shall terminate immediately.
4. ere will not be a refund of the license fee if a license is
denied, or terminated, suspended, or revoked prior to its
expiration date.
b. Any person who seeks the reinstatement of a license that has
expired or been terminated must follow the procedure applicable
to new applicants for a license set forth in § 2.1.
c. A license which is invalid under this part shall be surrendered
to the Deputy Administrator. If the license cannot be found, the
licensee shall provide a written statement so stating to the Deputy
Administrator.
(Approved by the Oce of Management and Budget under control numbers 0579-0036 and
0579-0486)
[85 FR 28796, May 13, 2020, as amended at 88 FR 10713, Feb. 21, 2023]
§ 2.6—2.8 [Removed and Reserved]
§ 2.9 - Officers, agents, and employees of licensees whose
licenses have been suspended or revoked.
Any person who has been or is an ocer, agent, or employee of a
licensee whose license has been suspended or revoked and who was
responsible for or participated in the activity upon which the order of
suspension or revocation was based will not be licensed, or registered
as a carrier, intermediate handler, dealer, exhibitor, or research facility,
within the period during which the order of suspension or revocation
is in eect.
§ 2.10 - Licensees whose licenses have been suspended or
revoked.
a. Any person whose license or registration has been suspended
for any reason shall not be licensed, or registered, in his or her
58
9 CFR AWA (5-1-2023 Edition)
PART 2
Subpart A
Part 2, Subpart A, § 2.11
own name or in any other manner, within the period during
which the order of suspension is in eect. No partnership, rm,
corporation, or other legal entity in which any such person has
a substantial interest, nancial or otherwise, will be licensed or
registered during that period. Any person whose license has been
suspended for any reason may apply to the Deputy Administrator,
in writing, for reinstatement of his or her license or registration.
b. Any person whose license has been revoked shall not be licensed
or registered, in his or her own name or in any other manner, and
no partnership, rm, corporation, or other legal entity in which
any such person has a substantial interest, nancial or otherwise,
will be licensed or registered.
c. Any person whose license has been suspended or revoked shall
not buy, sell, transport, exhibit, or deliver for transportation, any
animal during the period of suspension or revocation, under
any circumstances, whether on his or her behalf or on the behalf
another licensee or registrant.
[54 FR 36147, Aug. 31, 1989, as amended at 63 FR 62926, Nov. 10, 1998; 69 FR 42101, July 14,
2004]
§ 2.11 - Denial of license application.
a. A license will not be issued to any applicant who:
1. Has not complied with the requirements of §§ 2.1, through
2.4 and has not paid the fees indicated in § 2.1;
2. Is not in compliance with the Act or any of the regulations or
standards in this subchapter;
3. Has had a license revoked or whose license is suspended, as
set forth in § 2.1(d);
4. Was an ocer, agent, or employee of a licensee whose license
has been suspended or revoked and who was responsible
for or participated in the activity upon which the order of
suspension or revocation was based, as set forth in § 2.9;
5. Has pled nolo contendere (no contest) or has been found to
have violated any Federal, State, or local laws or regulations
pertaining to animal cruelty within 3 years of application,
or after 3 years if the Administrator determines that the
circumstances render the applicant unt to be licensed;
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Part 2, Subpart A, § 2.11
6. Is or would be operating in violation or circumvention of any
Federal, State, or local laws; or
7. Has made any false or fraudulent statements or provided
any false or fraudulent records to the Department or
other government agencies, or has pled nolo contendere
(no contest) or has been found to have violated any
Federal, State, or local laws or regulations pertaining to the
transportation, ownership, neglect, or welfare of animals,
or is otherwise unt to be licensed and the Administrator
determines that the issuance of a license would be contrary
to the purposes of the Act.
b. 1. An applicant whose initial license application has been denied
may request a hearing in accordance with the applicable rules
of practice in 7 CFR part 1 for the purpose of showing why the
application for license should not be denied. e denial of
an initial license application shall remain in eect until the
nal decision has been rendered. Should the license denial be
upheld, the applicant may again apply for a license 1 year from
the date of the nal order denying the application, unless the
order provides otherwise.
2. An applicant who submitted a timely appeal of a third pre-
license inspection as described in § 2.3(c), and whose appeal
results in the denial of the license application, may request an
expedited hearing if the applicant held a valid license when he
or she submitted the license application that has been denied
and the Deputy Administrator received such license application
no fewer than 90 days prior to the expiration of the valid license.
If the applicant meets the criteria in this paragraph (b)(2), and
notwithstanding the timeframes of the proceedings set forth in
the applicable rules of practice (7 CFR 1.130 through 1.151):
i. e applicant must submit the request for an expedited
hearing within 30 days of receiving notice from the
Deputy Administrator that the license application has
been denied;
ii. e administrative law judge shall set the expedited
hearing so that it occurs within 30 days of receiving a
timely request for expedited hearing as described in
paragraph (b)(2)(i) of this section; and
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Subpart A
Part 2, Subpart A, § 2.12
iii. e administrative law judge must issue an initial
decision no later than 30 days after the expedited
hearing.
iv. e applicant’s license will remain valid until the
administrative law judge issues his or her initial
decision. Should the administrative law judge’s initial
decision arm the denial of the license application, the
applicant’s license shall terminate immediately.
c. No partnership, rm, corporation, or other legal entity in which
a person whose license application has been denied has a
substantial interest, nancial or otherwise, will be licensed within
1 year of the license denial.
d. No license will be issued under circumstances that the
Administrator determines would circumvent any order,
stipulation, or settlement agreement suspending, revoking,
terminating, or denying a license or disqualifying a person from
engaging in activities under the Act.
(Approved by the Oce of Management and Budget under control numbers 0579-0036 and
0579-0486)
[85 FR 28797, May 13, 2020, as amended at 88 FR 10713, Feb. 21, 2023]
§ 2.12 - Termination of a license.
A license may be terminated at any time for any reason that a license
application may be denied pursuant to § 2.11 after a hearing in
accordance with the applicable rules of practice in 7 CFR part 1.
§ 2.13 - Appeal of inspection report.
Except as otherwise provided in § 2.3(c), any licensee or registrant may
appeal all or part of the inspection ndings in an inspection report to the
Deputy Administrator. To appeal, the licensee or registrant must send
a written statement contesting the inspection nding(s) and include
any documentation or other information in support of the appeal.
To receive consideration, the appeal must be received by the Deputy
Administrator within 21 days of the date the licensee or registrant
received the inspection report that is the subject of the appeal.
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PART 2
Subpart B
60
Part 2, Subpart B, § 2.25
SUBPART B – REGISTRATION
§ 2.25 - Requirements and procedures.
a. Each carrier and intermediate handler, and each exhibitor not
required to be licensed under section 3 of the Act and the regulations
of this subchapter, shall register with the Secretary by completing and
ling a properly executed form which will be furnished, upon request,
by the Deputy Administrator. e registration form shall be led with
the Deputy Administrator for the State in which the registrant has his
or her principal place of business, and shall be updated every 3 years
by the completion and ling of a new registration form which will be
provided by the Deputy Administrator.
b. A subsidiary of a business corporation, rather than the parent
corporation, will be registered as an exhibitor unless the
subsidiary is under such direct control of the parent corporation
that the Secretary determines that it is necessary that the parent
corporation be registered to eectuate the purposes of the Act.
c. No registrant or person required to be registered shall interfere
with, threaten, abuse (including verbally abuse), or harass any
APHIS ocial who is in the course of carrying out his or her duties.
(Approved by the Oce of Management and Budget under control numbers 0579-0036 and
0579-0486)
[54 FR 36147, Aug. 31, 1989, as amended at 63 FR 62926, Nov. 10, 1998; 69 FR 42101, July 14,
2004; 85 FR 28797, May 13, 2020; 88 FR 10713, Feb. 21, 2023]
§ 2.26 - Acknowledgment of regulations and standards.
APHIS will supply a copy of the regulations and standards in
this subchapter with each registration form. e registrant shall
acknowledge receipt of and shall agree to comply with the regulations
and standards by signing a form provided for this purpose by APHIS, and
by ling it with the Deputy Administrator.
(Approved by the Oce of Management and Budget under control numbers 0579-0036 and
0579-0486)
[54 FR 36147, Aug. 31, 1989, as amended at 63 FR 62926, Nov. 10, 1998; 85 FR 28797, May 13,
2020; 88 FR 10713, Feb. 21, 2023]
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Subpart B
Part 2, Subpart B, § 2.27
§ 2.27 - Notification of change of operation.
a. A registrant shall notify the Deputy Administrator by certied
mail of any change in the name, address, or ownership, or other
change in operations aecting its status as an exhibitor, carrier, or
intermediate handler, within 10 days after making such change.
b. 1. A registrant which has not used, handled, or transported
animals for a period of at least 2 years may be placed
in an inactive status by making a written request to the
Deputy Administrator. A registrant shall notify the Deputy
Administrator in writing at least 10 days before using,
handling, or transporting animals again after being in an
inactive status.
2. A registrant which goes out of business or which ceases to
function as a carrier, intermediate handler, or exhibitor, or
which changes its method of operation so that it no longer
uses, handles, or transports animals, and which does not plan
to use, handle, or transport animals again at any time in the
future, may have its registration canceled by making a written
request to the Deputy Administrator. e former registrant is
responsible for reregistering and demonstrating its compliance
with the Act and regulations should it start using, handling,
or transporting animals at any time after its registration is
canceled.
[54 FR 36147, Aug. 31, 1989, as amended at 63 FR 62926, Nov. 10, 1998]
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Animal Welfare Act, USDA
PART 2
Subpart C
62
Part 2, Subpart C, § 2.30
SUBPART C – RESEARCH FACILITIES
§ 2.30 - Registration.
a. Requirements and procedures.
1. Each research facility, other than a Federal research facility,
shall register with the Secretary by completing and ling
a properly executed form which will be furnished, upon
request, by the Deputy Administrator. e registration
form shall be led with the Deputy Administrator. Except as
provided in paragraph (a)(2) of this section, where a school or
department of a university or college uses or intends to use
live animals for research, tests, experiments, or teaching, the
university or college rather than the school or department
will be considered the research facility and will be required
to register with the Secretary. An ocial who has the legal
authority to bind the parent organization shall sign the
registration form.
2. In any situation in which a school or department of a
university or college demonstrates to the Secretary that it is
a separate legal entity and its operations and administration
are independent of those of the university or college, the
school or department will be registered rather than the
university or college.
3. A subsidiary of a business corporation, rather than the parent
corporation, will be registered as a research facility unless
the subsidiary is under such direct control of the parent
corporation that the Secretary determines that it is necessary
that the parent corporation be registered to eectuate the
purposes of the Act.
b. Acknowledgment of regulations and standards. APHIS
will supply a copy of the regulations and standards in this
subchapter with each registration form. e research facility
shall acknowledge receipt of and shall agree to comply with the
regulations and standards by signing a form provided for this
purpose by APHIS, and by ling it with the Deputy Administrator.
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Subpart C
Part 2, Subpart C, § 2.31
c. Notication of change of operation. A research facility shall
notify the Deputy Administrator in writing of any change in the
name, address, or ownership, or other change in operations
aecting its status as a research facility, within 10 days after
making such change. e Notication of Change form (APHIS
Form 7033) may be used to provide the information.
d. Duration of a registration and conditions for cancellation of a
registration.
1. A research facility that goes out of business or ceases to
function as a research facility, or that changes its method of
operation so that it no longer uses, handles, or transports
animals, and does not plan to use, handle, or transport
animals at any time in the future, may have its registration
canceled by making a written request to the Deputy
Administrator.
2. If the Deputy Administrator has sucient evidence showing
that a research facility has ceased to function as a research
facility, then the Deputy Administrator may cancel the
registration on its own, without a written request from the
research facility.
3. If a research facility plans to resume regulated activity, the
facility is responsible for submitting a form (APHIS Form
7011A) to reregister at least 10 days prior to it using, handling,
or transporting animals. ere are no fees associated with
such reregistration.
e. Non-interference with APHIS ocials. No research facility shall
interfere with, threaten, abuse (including verbally abuse), or
harass any APHIS ocial who is in the course of carrying out his
or her duties.
[54 FR 36147, Aug. 31, 1989, as amended at 63 FR 62926, Nov. 10, 1998; 69 FR 42101, July 14,
2004; 85 FR 28797, May 13, 2020; 86 FR 66925, Nov. 24, 2021]
§ 2.31 - Institutional Animal Care and Use Committee
(IACUC).
a. e Chief Executive Ocer of the research facility shall appoint
an Institutional Animal Care and Use Committee (IACUC),
qualied through the experience and expertise of its members
to assess the research facility’s animal program, facilities, and
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Subpart C
64
Part 2, Subpart C, § 2.31
procedures. Except as specically authorized by law or these
regulations, nothing in this part shall be deemed to permit the
Committee or IACUC to prescribe methods or set standards
for the design, performance, or conduct of actual research or
experimentation by a research facility.
b. IACUC membership.
1. e members of each Committee shall be appointed by the
Chief Executive Ocer of the research facility;
2. e Committee shall be composed of a Chairman and at least
two additional members;
3. Of the members of the Committee:
i. At least one shall be a Doctor of Veterinary Medicine,
with training or experience in laboratory animal science
and medicine, who has direct or delegated program
responsibility for activities involving animals at the
research facility;
ii. At least one shall not be aliated in any way with the
facility other than as a member of the Committee, and
shall not be a member of the immediate family of a
person who is aliated with the facility. e Secretary
intends that such person will provide representation
for general community interests in the proper care and
treatment of animals;
4. If the Committee consists of more than three members,
not more than three members shall be from the same
administrative unit of the facility.
c. IACUC functions. With respect to activities involving animals, the
IACUC, as an agent of the research facility, shall:
1. Review, at least once every six months, the research facility’s
program for humane care and use of animals, using title
9, chapter I, subchapter A – Animal Welfare, as a basis for
evaluation;
2. Inspect, at least once every six months, all of the research
facility’s animal facilities, including animal study areas, using
title 9, chapter I, subchapter A-Animal Welfare, as a basis for
evaluation; Provided, however, at animal areas containing
free-living wild animals in their natural habitat need not be
included in such inspection;
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Subpart C
Part 2, Subpart C, § 2.31
3. Prepare reports of its evaluations conducted as required
by paragraphs (c)(1) and (2) of this section, and submit the
reports to the Institutional Ocial of the research facility;
Provided, however, at the IACUC may determine the best
means of conducting evaluations of the research facility’s
programs and facilities; and Provided, further, at no
Committee member wishing to participate in any evaluation
conducted under this subpart may be excluded. e IACUC
may use subcommittees composed of at least two Committee
members and may invite ad hoc consultants to assist in
conducting the evaluations, however, the IACUC remains
responsible for the evaluations and reports as required by the
Act and regulations. e reports shall be reviewed and signed
by a majority of the IACUC members and must include any
minority views. e reports shall be updated at least once
every six months upon completion of the required semiannual
evaluations and shall be maintained by the research facility
and made available to APHIS and to ocials of funding
Federal agencies for inspection and copying upon request. e
reports must contain a description of the nature and extent
of the research facility’s adherence to this subchapter, must
identify specically any departures from the provisions of title
9, chapter I, subchapter A – Animal Welfare, and must state
the reasons for each departure. e reports must distinguish
signicant deciencies from minor deciencies. A signicant
deciency is one which, with reference to Subchapter A, and,
in the judgment of the IACUC and the Institutional Ocial,
is or may be a threat to the health or safety of the animals. If
program or facility deciencies are noted, the reports must
contain a reasonable and specic plan and schedule with
dates for correcting each deciency. Any failure to adhere to
the plan and schedule that results in a signicant deciency
remaining uncorrected shall be reported in writing within 15
business days by the IACUC, through the Institutional Ocial,
to APHIS and any Federal agency funding that activity;
4. Review, and, if warranted, investigate concerns involving
the care and use of animals at the research facility resulting
from public complaints received and from reports of
noncompliance received from laboratory or research facility
personnel or employees;
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66
Part 2, Subpart C, § 2.31
5. Make recommendations to the Institutional Ocial regarding
any aspect of the research facility’s animal program, facilities,
or personnel training;
6. Review and approve, require modications in (to secure
approval), or withhold approval of those components of
proposed activities related to the care and use of animals, as
specied in paragraph (d) of this section;
7. Review and approve, require modications in (to secure
approval), or withhold approval of proposed signicant
changes regarding the care and use of animals in ongoing
activities; and
8. Be authorized to suspend an activity involving animals in
accordance with the specications set forth in paragraph (d)
(6) of this section.
d. IACUC review of activities involving animals.
1. In order to approve proposed activities or proposed
signicant changes in ongoing activities, the IACUC shall
conduct a review of those components of the activities
related to the care and use of animals and determine that the
proposed activities are in accordance with this subchapter
unless acceptable justication for a departure is presented
in writing; Provided, however, at eld studies as dened in
part 1 of this subchapter are exempt from this requirement.
Further, the IACUC shall determine that the proposed
activities or signicant changes in ongoing activities meet the
following requirements:
i. Procedures involving animals will avoid or minimize
discomfort, distress, and pain to the animals;
ii. e principal investigator has considered alternatives
to procedures that may cause more than momentary or
slight pain or distress to the animals, and has provided a
written narrative description of the methods and sources,
e.g., the Animal Welfare Information Center, used to
determine that alternatives were not available;
iii. e principal investigator has provided written assurance
that the activities do not unnecessarily duplicate
previous experiments;
iv. Procedures that may cause more than momentary or
slight pain or distress to the animals will:
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Subpart C
Part 2, Subpart C, § 2.31
a. Be performed with appropriate sedatives, analgesics
or anesthetics, unless withholding such agents is
justied for scientic reasons, in writing, by the
principal investigator and will continue for only the
necessary period of time;
b. Involve, in their planning, consultation with the
attending veterinarian or his or her designee;
c. Not include the use of paralytics without anesthesia;
v. Animals that would otherwise experience severe or
chronic pain or distress that cannot be relieved will be
painlessly euthanized at the end of the procedure or, if
appropriate, during the procedure;
vi. e animals’ living conditions will be appropriate for
their species in accordance with part 3 of this subchapter,
and contribute to their health and comfort. e housing,
feeding, and nonmedical care of the animals will be
directed by the attending veterinarian or other scientist
trained and experienced in the proper care, handling,
and use of the species being maintained or studied;
vii. Medical care for animals will be available and provided
as necessary by a qualied veterinarian;
viii. Personnel conducting procedures on the species being
maintained or studied will be appropriately qualied and
trained in those procedures;
ix. Activities that involve surgery include appropriate
provision for pre-operative and post-operative care of
the animals in accordance with established veterinary
medical and nursing practices. All survival surgery
will be performed using aseptic procedures, including
surgical gloves, masks, sterile instruments, and aseptic
techniques. Major operative procedures on animals,
other than rodents and birds, will be conducted only
in facilities intended for that purpose which shall be
operated and maintained under aseptic conditions.
Non-major operative procedures and all surgery on
rodents and birds do not require a dedicated facility, but
must be performed using aseptic procedures. Operative
procedures conducted at eld sites need not be
performed in dedicated facilities, but must be performed
using aseptic procedures;
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Animal Welfare Act, USDA
PART 2
Subpart C
68
Part 2, Subpart C, § 2.31
x. No animal will be used in more than one major operative
procedure from which it is allowed to recover, unless:
a. Justied for scientic reasons by the principal
investigator, in writing;
b. Required as routine veterinary procedure or to
protect the health or well-being of the animal as
determined by the attending veterinarian; or
c. In other special circumstances as determined by
the Administrator on an individual basis. Written
requests and supporting data should be sent to the
Animal and Plant Health Inspection Service, Animal
Care, 4700 River Road, Unit 84, Riverdale, Maryland
20737-1234;
xi. Methods of euthanasia used must be in accordance
with the denition of the term set forth in 9 CFR part 1,
§ 1.1 of this subchapter, unless a deviation is justied for
scientic reasons, in writing, by the investigator.
2. Prior to IACUC review, each member of the Committee shall be
provided with a list of proposed activities to be reviewed. Written
descriptions of all proposed activities that involve the care and
use of animals shall be available to all IACUC members, and any
member of the IACUC may obtain, upon request, full Committee
review of those activities. If full Committee review is not requested,
at least one member of the IACUC, designated by the chairman
and qualied to conduct the review, shall review those activities,
and shall have the authority to approve, require modications
in (to secure approval), or request full Committee review of any
of those activities. If full Committee review is requested for a
proposed activity, approval of that activity may be granted only
after review, at a convened meeting of a quorum of the IACUC,
and with the approval vote of a majority of the quorum present.
No member may participate in the IACUC review or approval of
an activity in which that member has a conicting interest (e.g., is
personally involved in the activity), except to provide information
requested by the IACUC, nor may a member who has a conicting
interest contribute to the constitution of a quorum;
3. e IACUC may invite consultants to assist in the review of complex
issues arising out of its review of proposed activities. Consultants
may not approve or withhold approval of an activity, and may not
vote with the IACUC unless they are also members of the IACUC;
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Subpart C
Part 2, Subpart C, § 2.31
4. e IACUC shall notify principal investigators and the research
facility in writing of its decision to approve or withhold approval
of those activities related to the care and use of animals, or of
modications required to secure IACUC approval. If the IACUC
decides to withhold approval of an activity, it shall include in its
written notication a statement of the reasons for its decision
and give the principal investigator an opportunity to respond
in person or in writing. e IACUC may reconsider its decision,
with documentation in Committee minutes, in light of the
information provided by the principal investigator;
5. e IACUC shall conduct complete reviews of activities covered
by this subchapter at appropriate intervals as determined
by the IACUC, but not less than every 3 years. e complete
review shall address all requirements related to the care and
use of animals under paragraphs (d) and (e) of this section. e
IACUC shall be provided a written description of all activities
that involve the care and use of animals for review and approval
at the end of the term.
6. e IACUC may suspend an activity that it previously approved
if it determines that the activity is not being conducted in
accordance with the description of that activity provided by
the principal investigator and approved by the Committee. e
IACUC may suspend an activity only after review of the matter
at a convened meeting of a quorum of the IACUC and with the
suspension vote of a majority of the quorum present;
7. If the IACUC suspends an activity involving animals, the
Institutional Ocial, in consultation with the IACUC, shall
review the reasons for suspension, take appropriate corrective
action, and report that action with a full explanation to APHIS
and any Federal agency funding that activity; and
8. Proposed activities and proposed signicant changes in
ongoing activities that have been approved by the IACUC
may be subject to further appropriate review and approval by
ocials of the research facility. However, those ocials may
not approve an activity involving the care and use of animals if
it has not been approved by the IACUC.
e. A proposal to conduct an activity involving animals, or to make a
signicant change in an ongoing activity involving animals, must
contain the following:
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Animal Welfare Act, USDA
PART 2
Subpart C
70
Part 2, Subpart C, § 2.32
1. Identication of the species and the approximate number of
animals to be used;
2. A rationale for involving animals, and for the appropriateness
of the species and numbers of animals to be used;
3. A complete description of the proposed use of the animals;
4. A description of procedures designed to assure that
discomfort and pain to animals will be limited to that which
is unavoidable for the conduct of scientically valuable
research, including provision for the use of analgesic,
anesthetic, and tranquilizing drugs where indicated and
appropriate to minimize discomfort and pain to animals; and
5. A description of any euthanasia method to be used.
(Approved by the Oce of Management and Budget under control numbers 0579-0036 and
0579-0486)
[54 FR 36147, Aug. 31, 1989, as amended at 59 FR 67611, Dec. 30, 1994; 63 FR 62926, Nov. 10,
1998; 86 FR 66926, Nov. 24, 2021; 88 FR 10713, Feb. 21, 2023]
§ 2.32 - Personnel qualifications.
a. It shall be the responsibility of the research facility to ensure that
all scientists, research technicians, animal technicians, and other
personnel involved in animal care, treatment, and use are qualied
to perform their duties. is responsibility shall be fullled in part
through the provision of training and instruction to those personnel.
b. Training and instruction shall be made available, and the
qualications of personnel reviewed, with sucient frequency to fulll
the research facility’s responsibilities under this section and § 2.31.
c. Training and instruction of personnel must include guidance in at
least the following areas:
1. Humane methods of animal maintenance and
experimentation, including:
i. e basic needs of each species of animal;
ii. Proper handling and care for the various species of
animals used by the facility;
iii. Proper pre-procedural and post-procedural care of
animals; and
iv. Aseptic surgical methods and procedures;
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Subpart C
Part 2, Subpart C, § 2.33
2. e concept, availability, and use of research or testing
methods that limit the use of animals or minimize animal
distress;
3. Proper use of anesthetics, analgesics, and tranquilizers for
any species of animals used by the facility;
4. Methods whereby deciencies in animal care and treatment
are reported, including deciencies in animal care and
treatment reported by any employee of the facility. No facility
employee, Committee member, or laboratory personnel shall be
discriminated against or be subject to any reprisal for reporting
violations of any regulation or standards under the Act;
5. Utilization of services (e.g., National Agricultural Library,
National Library of Medicine) available to provide
information:
i. On appropriate methods of animal care and use;
ii. On alternatives to the use of live animals in research;
iii. at could prevent unintended and unnecessary
duplication of research involving animals; and
iv. Regarding the intent and requirements of the Act.
§ 2.33 - Attending veterinarian and adequate
veterinary care.
a. Each research facility shall have an attending veterinarian
who shall provide adequate veterinary care to its animals in
compliance with this section:
1. Each research facility shall employ an attending veterinarian
under formal arrangements. In the case of a part-time
attending veterinarian or consultant arrangements, the
formal arrangements shall include a written program of
veterinary care and regularly scheduled visits to the research
facility;
2. Each research facility shall assure that the attending
veterinarian has appropriate authority to ensure the
provision of adequate veterinary care and to oversee the
adequacy of other aspects of animal care and use; and
3. The attending veterinarian shall be a voting member of
the IACUC; Provided, however, That a research facility
with more than one Doctor of Veterinary Medicine (DVM)
may appoint to the IACUC another DVM with delegated
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Animal Welfare Act, USDA
PART 2
Subpart C
72
Part 2, Subpart C, § 2.34
program responsibility for activities involving animals at
the research facility.
b. Each research facility shall establish and maintain programs of
adequate veterinary care that include:
1. e availability of appropriate facilities, personnel,
equipment, and services to comply with the provisions of this
subchapter;
2. e use of appropriate methods to prevent, control, diagnose,
and treat diseases and injuries, and the availability of
emergency, weekend, and holiday care;
3. Daily observation of all animals to assess their health and
well-being; Provided, however, at daily observation of
animals may be accomplished by someone other than
the attending veterinarian; and Provided, further, at a
mechanism of direct and frequent communication is required
so that timely and accurate information on problems of
animal health, behavior, and well-being is conveyed to the
attending veterinarian;
4. Guidance to principal investigators and other personnel
involved in the care and use of animals regarding handling,
immobilization, anesthesia, analgesia, tranquilization, and
euthanasia; and
5. Adequate pre-procedural and post-procedural care in accordance
with current established veterinary medical and nursing
procedures.
(Approved by the Oce of Management and Budget under control numbers 0579-0036 and
0579-0486)
[54 FR 36147, Aug. 31, 1989, as amended at 88 FR 10713, Feb. 21, 2023]
§ 2.34 - [Reserved]
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PART 2
Subpart C
Part 2, Subpart C, § 2.35
§ 2.35 - Recordkeeping requirements.
a. e research facility shall maintain the following IACUC records:
1. Minutes of IACUC meetings, including records of attendance,
activities of the Committee, and Committee deliberations;
2. Records of proposed activities involving animals and
proposed signicant changes in activities involving animals,
and whether IACUC approval was given or withheld; and
3. Records of semiannual IACUC reports and recommendations
(including minority views), prepared in accordance with the
requirements of § 2.31(c)(3) of this subpart, and forwarded to
the Institutional Ocial.
b. Every research facility shall make, keep, and maintain records or
forms which fully and correctly disclose the following information
concerning each live dog or cat purchased or otherwise acquired,
owned, held, or otherwise in their possession or under their
control, transported, euthanized, sold, or otherwise disposed of
by the research facility. e records shall include any ospring
born of any animal while in the research facility’s possession or
under its control:
1. e name and address of the person from whom a dog or
cat was purchased or otherwise acquired, whether or not the
person is required to be licensed or registered under the Act;
2. e USDA license or registration number of the person if he or
she is licensed or registered under the Act;
3. e vehicle license number and State, and the driver’s license
number (or photographic identication card for non-drivers
issued by a State) and State of the person, if he or she is not
licensed or registered under the Act;
4. e date of acquisition of each dog or cat;
5. e ocial USDA tag number or tattoo assigned to each dog
or cat under § 2.38(g) of this subpart;
6. A description of each dog or cat which shall include:
i. e species and breed or type of animal;
ii. e sex;
iii. e date of birth or approximate age; and
iv. e color and any distinctive markings;
7. Any identication number or mark assigned to each dog or
cat by the research facility;
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8. If dogs or cats are acquired from any person not licensed
or registered under the Act and not a pound or shelter, the
research facility must obtain a certication that the animals
were born and raised on the person’s premises and that the
person has sold fewer than 25 dogs and/or cats that year.
c. In addition to the information required to be kept and maintained
by every research facility concerning each live dog or cat under
paragraph (a) of this section, every research facility transporting,
selling, or otherwise disposing of any live dog or cat to another
person, shall make and maintain records or forms which fully and
correctly disclose the following information:
1. e name and address of the person to whom a live dog or cat
is transported, sold, or otherwise disposed of;
2. e date of transportation, sale, euthanasia, or other
disposition of the animal; and
3. e method of transportation, including the name of the
initial carrier or intermediate handler, or if a privately owned
vehicle is used to transport the dog or cat, the name of the
owner of the privately owned vehicle.
d. 1. e USDA Interstate and International Certicate of Health
Examination for Small Animals (APHIS Form 7001) and
Record of Acquisition and Dogs and Cats on Hand (APHIS
Form 7005) are forms which may be used by research facilities
to keep and maintain the information required by paragraph
(b) of this section.
2. e USDA Interstate and International Certicate of Health
Examination for Small Animals (APHIS Form 7001) and Record
of Disposition of Dogs and Cats (APHIS Form 7006) are forms
which may be used by research facilities to keep and maintain
the information required by paragraph (c) of this section.
e. One copy of the record containing the information required
by paragraphs (b) and (c) of this section shall accompany each
shipment of any live dog or cat sold or otherwise disposed of by a
research facility; Provided, however, at, except as provided in §
2.133 of this part, information that indicates the source and date
of acquisition of any dog or cat need not appear on the copy of
the record accompanying the shipment. One copy of the record
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containing the information required by paragraphs (b) and (c) of
this section shall be retained by the research facility.
f. All records and reports shall be maintained for at least three
years. Records that relate directly to proposed activities and
proposed signicant changes in ongoing activities reviewed and
approved by the IACUC shall be maintained for the duration of
the activity and for an additional three years after completion
of the activity. All records shall be available for inspection
and copying by authorized APHIS or funding Federal agency
representatives at reasonable times. APHIS inspectors will
maintain the condentiality of the information and will not
remove the materials from the research facilities’ premises unless
there has been an alleged violation, they are needed to investigate
a possible violation, or for other enforcement purposes. Release
of any such materials, including reports, summaries, and
photographs that contain trade secrets or commercial or nancial
information that is privileged or condential will be governed by
applicable sections of the Freedom of Information Act. Whenever
the Administrator noties a research facility in writing that
specied records shall be retained pending completion of an
investigation or proceeding under the Act, the research facility
shall hold those records until their disposition is authorized in
writing by the Administrator.
(Approved by the Oce of Management and Budget under control numbers 0579-0036 and
0579-0486)
[54 FR 36147, Aug. 31, 1989, as amended at 58 FR 39129, July 22, 1993; 60 FR 13895, Mar. 15,
1995; 69 FR 42101, July 14, 2004; 85 FR 28797, May 13, 2020; 88 FR 10713, Feb. 21, 2023]
§ 2.36 - Annual report.
a. e reporting facility shall be that segment of the research
facility, or that department, agency, or instrumentality of the
United States that uses or intends to use live animals in research,
tests, experiments, or for teaching. Each reporting facility shall
submit an annual report to the Deputy Administrator on or
before December 1 of each calendar year. e report shall cover
the previous Federal scal year. e Annual Report of Research
Facility (APHIS Form 7023), Continuation Sheet for Annual
Report of Research Facility (APHIS Form 7023A), and Annual
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Part 2, Subpart C, § 2.36
Report of Research Facility Column E Explanation (APHIS Form
7023B) are forms which may be used to submit the information
required by paragraph (b) of this section.
b. e annual report shall:
1. Assure that 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 the research facility;
2. Assure that each principal investigator has considered
alternatives to painful procedures;
3. Assure that the facility is adhering to the standards and
regulations under the Act, and that it has required that
exceptions to the standards and regulations be specied and
explained by the principal investigator and approved by the
IACUC. A summary of all such exceptions must be attached
to the facility’s annual report. In addition to identifying the
IACUC-approved exceptions, this summary must include a
brief explanation of the exceptions, as well as the species and
number of animals aected;
4. State the location of all facilities where animals were
housed or used in actual research, testing, teaching, or
experimentation, or held for these purposes;
5. State the common names and the numbers of animals
upon which teaching, research, experiments, or tests were
conducted involving no pain, distress, or use of pain-relieving
drugs. Routine procedures (e.g., injections, tattooing, blood
sampling) should be reported with this group;
6. State the common names and the numbers of animals upon
which experiments, teaching, research, surgery, or tests were
conducted involving accompanying pain or distress to the
animals and for which appropriate anesthetic, analgesic, or
tranquilizing drugs were used;
7. State the common names and the numbers of animals
upon which teaching, experiments, research, surgery, or
tests were conducted involving accompanying pain or
distress to the animals and for which the use of appropriate
anesthetic, analgesic, or tranquilizing drugs would have
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adversely aected the procedures, results, or interpretation
of the teaching, research, experiments, surgery, or tests. An
explanation of the procedures producing pain or distress in
these animals and the reasons such drugs were not used shall
be attached to the annual report;
8. State the common names and the numbers of animals
being bred, conditioned, or held for use in teaching, testing,
experiments, research, or surgery but not yet used for such
purposes.
(Approved by the Oce of Management and Budget under control numbers 0579-0036 and
0579-0486)
[54 FR 36147, Aug. 31, 1989, as amended at 63 FR 62926, Nov. 10, 1998; 85 FR 28797, May 13,
2020; 86 FR 66926, Nov. 24, 2021; 88 FR 10713, Feb. 21, 2023]
§ 2.37 - Federal research facilities.
Each Federal research facility shall establish an Institutional Animal
Care and Use Committee which shall have the same composition,
duties, and responsibilities required of nonfederal research facilities by
§ 2.31 with the following exceptions:
a. e Committee shall report deciencies to the head of the Federal
agency conducting the research rather than to APHIS; and
b. e head of the Federal agency conducting the research shall be
responsible for all corrective action to be taken at the facility and
for the granting of all exceptions to inspection protocol.
§ 2.38 - Miscellaneous.
a. Information as to business: furnishing of same by research
facilities. Each research facility shall furnish to any APHIS ocial
any information concerning the business of the research facility
which the APHIS ocial may request in connection with the
enforcement of the provisions of the Act, the regulations, and the
standards in this subchapter. e information shall be furnished
within a reasonable time and as may be specied in the request
for information.
b. Access and inspection of records and property.
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Part 2, Subpart C, § 2.38
1. Each research facility shall, during business hours, allow
APHIS ocials:
i. To enter its place of business;
ii. To examine records required to be kept by the Act and the
regulations in this part;
iii. To make copies of the records;
iv. To inspect the facilities, property, and animals, as the
APHIS ocials consider necessary to enforce the
provisions of the Act, the regulations, and the standards
in this subchapter; and
v. To document, by the taking of photographs and other
means, conditions and areas of noncompliance.
2. e use of a room, table or other facilities necessary for the
proper examination of the records and for inspection of the
property or animals shall be extended to APHIS ocials by
the research facility.
c. Publication of lists of research facilities subject to the
provisions of this part. APHIS will publish on its website lists of
research facilities registered in accordance with the provisions of
this subpart. e lists may also be obtained upon request from
the Deputy Administrator.
d. Inspection for missing animals. Each research facility shall allow,
upon request and during business hours, police or ocers of
other law enforcement agencies with general law enforcement
authority (not those agencies whose duties are limited to
enforcement of local animal regulations) to enter its place of
business to inspect animals and records for the purpose of
seeking animals that are missing, under the following conditions:
1. e police or other law ocer shall furnish to the research
facility a written description of the missing animal and the
name and address of its owner before making a search;
2. e police or other law ocer shall abide by all security
measures required by the research facility to prevent the
spread of disease, including the use of sterile clothing,
footwear, and masks where required, or to prevent the escape
of an animal.
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e. Conscation and destruction of animals.
1. If an animal being held by a research facility is not being
used to carry out research, testing, or experimentation, and
is found by an APHIS ocial to be suering as a result of the
failure of the research facility to comply with any provision of
the regulations or the standards set forth in this subchapter,
the APHIS ocial shall make a reasonable eort to notify
the research facility of the condition of the animal(s) and
request that the condition be corrected and that adequate
care be given to alleviate the animal’s suering or distress,
or that the animal(s) be destroyed by euthanasia. In the
event that the research facility refuses to comply with this
request, the APHIS ocial may conscate the animal(s) for
care, treatment, or disposal as indicated in paragraph (e)
(2) of this section, if, in the opinion of the Administrator, the
circumstances indicate the animal’s health is in danger.
2. In the event that the APHIS ocial is unable to locate or
notify the research facility as required in this section, the
APHIS ocial shall contact a local police or other law
ocer to accompany him or her to the premises and shall
provide for adequate care when necessary to alleviate the
animal’s suering. If, in the opinion of the Administrator,
the condition of the animal(s) cannot be corrected by this
temporary care, the APHIS ocial shall conscate the
animal(s).
3. Conscated animals may be placed, by sale or donation, with
other registrants or licensees that comply with the standards
and regulations and can provide proper care, or they may
be euthanized. e research facility from which the animals
were conscated shall bear all costs incurred in performing
the placement or euthanasia activities authorized by this
section.
f. Handling.
1. Handling of all animals shall be done as expeditiously and
carefully as possible in a manner that does not cause trauma,
overheating, excessive cooling, behavioral stress, physical
harm, or unnecessary discomfort.
2. i. Physical abuse shall not be used to train, work, or
otherwise handle animals.
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Part 2, Subpart C, § 2.38
ii. Deprivation of food or water shall not be used to train, work, or
otherwise handle animals; Provided, however: at the short-
term withholding of food or water from animals, when specied
in an IACUC- approved activity that includes a description of
monitoring procedures, is allowed by these regulations.
g. Identication of dogs and cats.
1. All live dogs or cats, including those from any exempt source,
delivered for transportation, transported, purchased or otherwise
acquired, sold, or disposed of by a research facility, shall be
identied at the time of such delivery for transportation, purchase,
sale, disposal, or acquisition in one of the following ways:
i. By the ocial tag or tattoo which was axed to the
animal at the time it was acquired by the research facility,
as required by this section; or
ii. By a tag, tattoo, or collar, applied to the live dog or cat by
the research facility and which individually identies the
dog or cat by number.
2. All ocial tag or tattoo numbers shall be correctly listed in
the records of purchase, acquisition, disposal, or sale which
shall be maintained in accordance with § 2.35.
3. Unweaned puppies or kittens need not be individually
identied while they are maintained as a litter with their
dam in the same primary enclosure, provided the dam has
been individually identied.
4. e ocial tag shall be made of a durable alloy such as
brass, bronze, or steel, or of a durable plastic. Aluminum of a
sucient thickness to assure the tag is durable and legible may
also be used. e tag may be circular in shape and not less than
1¼ inches in diameter, or oblong and at in shape and not less
than 2 inches by ¾ inch, and riveted to an acceptable collar.
5. Each tag shall have the following information embossed or
stamped on so that it is easily readable:
i. e letters “USDA”;
ii. Numbers identifying the State and dealer, exhibitor, or
research facility (e.g., 39-AB); and
iii. Numbers identifying the animal (e.g., 82488).
6. Ocial tags shall be serially numbered and shall be applied
to dogs or cats in the manner set forth in this section in as
close to consecutive numerical order as possible. No tag
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number shall be used to identify more than one animal or
shall be reused within a 5-year period.
7. Research facilities may obtain, at their own expense, ocial tags
from commercial tag manufacturers.
1
At the time the research
facility is registered, the Department will assign identication
letters and numbers to be used on the ocial tags.
8. Each research facility shall be held accountable for all ocial
tags acquired. In the event an ocial tag is lost from a dog or
cat while in the possession of a research facility, the facility
shall make a diligent eort to locate and reapply the tag to
the proper animal. If the lost tag is not located, the research
facility shall ax another ocial tag to the animal in the
manner prescribed in this section and record the tag number
on the ocial records.
9. When a dog or cat wearing or identied by an ocial tag
arrives at a research facility, the facility may continue to use
that tag to identify the dog or cat or the tag may be replaced
as indicated in paragraph (g)(1) of this section. All tags
removed by a research facility shall be retained and disposed
of as indicated in this section.
10. Where a dog or cat to which is axed or which is identied
by an ocial tag is euthanized, or dies from other causes,
the research facility shall remove and retain the tag for
the required period, as set forth in paragraph (g) 11 of this
section.
11. All ocial tags removed and retained by a research facility
shall be held until called for by an APHIS ocial or for a
period of 1 year.
12. When ocial tags are removed from animals for disposal,
the tags must be disposed of so as to preclude their reuse for
animal identication. No animal identication number shall
be used within any 5-year period following its previous use.
h. Health certication.
1. No research facility, including a Federal research facility,
shall deliver to any intermediate handler or carrier for
transportation, in commerce, or shall transport in commerce
1 A list of the commercial manufacturers who produce these tags and are known to the
Department may be obtained from the Deputy Administrator. Any manufacturer who
desires to be included in the list should notify the Administrator.
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Part 2, Subpart C, § 2.38
any dog, cat, or nonhuman primate unless the dog, cat, or
nonhuman primate is accompanied by a health certicate
executed and issued by a licensed veterinarian. e health
certicate shall state that:
i. e licensed veterinarian inspected the dog, cat, or
nonhuman primate on a specied date which shall not be
more than 10 days prior to the delivery of the dog, cat, or
nonhuman primate for transportation; and
ii. When so inspected, the dog, cat, or nonhuman primate
appeared to the licensed veterinarian to be free of any
infectious disease or physical abnormality which would
endanger the animal(s) or other animals or endanger
public health.
2. e Secretary may provide exceptions to the health
certication requirement on an individual basis for animals
shipped to a research facility for purposes of research, testing,
or experimentation when the research facility requires
animals not eligible for certication. Requests should be
addressed to the Animal and Plant Health Inspection Service,
Animal Care, 4700 River Road, Unit 84, Riverdale, Maryland
20737-1234.
3. e U.S. Interstate and International Certicate of Health
Examination for Small Animals (APHIS Form 7001) may be
used for health certication by a licensed veterinarian as
required by this section.
i. Holding of animals. If any research facility obtains prior approval
of the Deputy Administrator, it may arrange to have another
person hold animals: Provided, at:
1. e other person agrees, in writing, to comply with the
regulations in this part and the standards in part 3 of this
subchapter, and to allow inspection of the premises by an
APHIS ocial during business hours;
2. e animals remain under the total control and responsibility
of the research facility; and
3. e Institutional Ocial agrees, in writing, that the other
person or premises is a recognized animal site under its
research facility registration. APHIS Form 7009 shall be used
for approval.
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Part 2, Subpart C, § 2.38
4. e other person or premises must either be directly
included in the research facility’s contingency plan required
under paragraph (l) of this section or must develop its own
contingency plan in accordance with paragraph (l) of this
section.
j. Holding period. Research facilities that obtain dogs and cats
from sources other than dealers, exhibitors, and exempt persons
shall hold the animals for 5 full days, not including the day of
acquisition, after acquiring the animal, excluding time in transit,
before they may be used by the facility. Research facilities shall
comply with the identication of animals requirements set forth
in § 2.38(g) during this period.
k. Compliance with standards and prohibitions.
1. Each research facility shall comply in all respects with
the regulations set forth in subpart C of this part and
the standards set forth in part 3 of this subchapter for
the humane handling, care, treatment, housing, and
transportation of animals; Provided, however, at exceptions
to the standards in part 3 and the provisions of subpart C
of this part may be made only when such exceptions are
specied and justied in the proposal to conduct the activity
and are approved by the IACUC.
2. No person shall obtain live dogs or cats by use of false
pretenses, misrepresentation, or deception.
3. No person shall acquire, buy, sell, exhibit, use for research,
transport, or oer for transportation, any stolen animal.
4. Each research facility shall comply with the regulations set
forth in § 2.133 of subpart I of this part.
l. Contingency planning.
1. Research facilities must develop, document, and follow
an appropriate plan to provide for the humane handling,
treatment, transportation, housing, and care of their animals
in the event of an emergency or disaster (one which could
reasonably be anticipated and expected to be detrimental
to the good health and well-being of the animals in their
possession). Such contingency plans must:
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Part 2, Subpart C, § 2.38
i. Identify situations the facility might experience that
would trigger the need for the measures identied in a
contingency plan to be put into action including, but
not limited to, emergencies such as electrical outages,
faulty HVAC systems, res, and animal escapes, as well as
natural disasters the facility is most likely to experience.
ii. Outline specic tasks required to be carried out in
response to the identied emergencies or disasters
including, but not limited to, detailed animal evacuation
instructions or shelter-in-place instructions and
provisions for providing backup sources of food and
water as well as sanitation, ventilation, bedding,
veterinary care, etc.;
iii. Identify a chain of command and who (by name or by
position title) will be responsible for fullling these tasks;
and
iv. Address how response and recovery will be handled in
terms of materials, resources, and training needed.
2. For current registrants, the contingency plan must be in place by
July 5, 2022. For research facilities registered after this date, the
contingency plan must be in place prior to conducting regulated
activities. e plan must be reviewed by the research facility on
at least an annual basis to ensure that it adequately addresses the
criteria listed in paragraph (l)(1) of this section. Each registrant
must maintain documentation of their annual reviews, including
documenting any amendments or changes made to their plan
since the previous year’s review, such as changes made as a result
of recently predicted, but historically unforeseen, circumstances
(e.g., weather extremes). Contingency plans, as well as all annual
review documentation, must be made available to APHIS and any
funding Federal agency representatives upon request. e APHIS
Contingency Plan form may be used to keep and maintain the
information required by paragraph (l)(1) and (2) of this section.
3. e facility must provide training for its personnel regarding their
roles and responsibilities as outlined in the plan. For current
registrants, training of facility personnel must be completed
within 60 days of the research facility putting their plan in place;
for research facilities registered after July 5, 2022, training of
facility personnel must be completed within 60 days of the facility
putting its contingency plan in place. is deadline applies to
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Part 2, Subpart C, § 2.38
employees hired before and up to 30 days after the facility puts its
contingency plan in place. For employees hired more than 30 days
after the facility puts its contingency plan in place, training must
be conducted within 30 days of their start date. Any substantive
changes to the plan as a result of the annual review must be
communicated to employees through training which must be
conducted within 30 days of making the changes.
(Approved by the Oce of Management and Budget under control numbers 0579-0036,
0579-0479, and 0579-0486)
[54 FR 36147, Aug. 31, 1989, as amended at 58 FR 39129, July 22, 1993; 59 FR 67612, Dec.
30, 1994; 60 FR 13895, Mar. 15, 1995; 63 FR 62926, Nov. 10, 1998; 69 FR 42101, July 14, 2004;
77 FR 76823, Dec. 31, 2012; 85 FR 28797, May 13, 2020; 86 FR 68537, Dec. 3, 2021; 88 FR
10713, Feb. 21, 2023]
87
Animal Welfare Act, USDA
PART 2
Subpart D
86
Part 2, Subpart D, § 2.40
SUBPART D – ATTENDING VETERINARIAN
AND ADEQUATE VETERINARY CARE
§ 2.40 - Attending veterinarian and adequate veterinary
care (dealers and exhibitors).
a. Each dealer or exhibitor shall have an attending veterinarian
who shall provide adequate veterinary care to its animals in
compliance with this section.
1. Each dealer and exhibitor shall employ an attending
veterinarian under formal arrangements. In the case of a
part-time attending veterinarian or consultant arrangements,
the formal arrangements shall include a written program of
veterinary care and regularly scheduled visits to the premises
of the dealer or exhibitor; and
2. Each dealer and exhibitor shall assure that the attending
veterinarian has appropriate authority to ensure the
provision of adequate veterinary care and to oversee the
adequacy of other aspects of animal care and use.
b. Each dealer or exhibitor shall establish and maintain programs of
adequate veterinary care that include:
1. e availability of appropriate facilities, personnel,
equipment, and services to comply with the provisions of this
subchapter;
2. e use of appropriate methods to prevent, control, diagnose,
and treat diseases and injuries, and the availability of
emergency, weekend, and holiday care;
3. Daily observation of all animals to assess their health and
well-being; Provided, however, at daily observation of
animals may be accomplished by someone other than
the attending veterinarian; and Provided, further, at a
mechanism of direct and frequent communication is required
so that timely and accurate information on problems of
animal health, behavior, and well-being is conveyed to the
attending veterinarian;
4. Adequate guidance to personnel involved in the care and use
of animals regarding handling, immobilization, anesthesia,
analgesia, tranquilization, and euthanasia; and
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Part 2, Subpart D, § 2.40
5. Adequate pre-procedural and post-procedural care in
accordance with established veterinary medical and nursing
procedures.
(Approved by the Oce of Management and Budget under control numbers 0579-0036 and
0579-0486)
[54 FR 36147, Aug. 31, 1989, as amended at 88 FR 10714, Feb. 21, 2023] 9 CFR AWR (5-1-2023
Edition)
89
Animal Welfare Act, USDA
PART 2
Subpart E
88
Part 2, Subpart E, § 2.50
SUBPART E – IDENTIFICATION
OF ANIMALS
§ 2.50 - Time and method of identification.
a. A class “A” dealer (breeder) shall identify all live dogs and cats on
the premises as follows:
1. All live dogs and cats held on the premises, purchased,
or otherwise acquired, sold or otherwise disposed of,
or removed from the premises for delivery to a research
facility or exhibitor or to another dealer, or for sale, through
an auction sale or to any person for use as a pet, shall be
identied by an ocial tag of the type described in § 2.51
axed to the animal’s neck by means of a collar made of
material generally considered acceptable to pet owners
as a means of identifying their pet dogs or cats
2
, or shall
be identied by a distinctive and legible tattoo marking
acceptable to and approved by the Administrator.
2. Live puppies or kittens, less than 16 weeks of age, shall be
identied by:
i. An ocial tag as described in § 2.51;
ii. A distinctive and legible tattoo marking approved by the
Administrator; or
iii. A plastic-type collar acceptable to the Administrator
which has legibly placed thereon the information
required for an ocial tag pursuant to § 2.51.
b. A class “B” dealer shall identify all live dogs and cats under his or
her control or on his or her premises as follows:
1. When live dogs or cats are held, purchased, or otherwise
acquired, they shall be immediately identied:
i. By axing to the animal’s neck an ocial tag as set forth
in § 2.51 by means of a collar made of material generally
2 In general, well tted collars made of leather or plastic will be acceptable under this
provision. e use of certain types of chains presently used by some dealers may also be
deemed acceptable. APHIS will deter- mine the acceptability of a material proposed for
usage as collars from the standpoint of humane considerations on an individual basis
in consultation with the dealer or exhibitor involved. e use of materials such as wire,
elastic, or sharp metal that might cause discomfort or injury to the dogs or cats is not
acceptable.
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Part 2, Subpart E, § 2.50
acceptable to pet owners as a means of identifying their
pet dogs or cats
3
; or
ii. By a distinctive and legible tattoo marking approved by
the Administrator.
2. If any live dog or cat is already identied by an ocial tag or
tattoo which has been applied by another dealer or exhibitor,
the dealer or exhibitor who purchases or otherwise acquires
the animal may continue identifying the dog or cat by the
previous identication number, or may replace the previous
tag with his own ocial tag or approved tattoo. In either case,
the class B dealer or class C exhibitor shall correctly list all old
and new ocial tag numbers or tattoos in his or her records
of purchase which shallbe maintained in accordance with §§
2.75 and 2.77. Any new ocial tag or tattoo number shall be
used on all records of any subsequent sales by the dealer or
exhibitor, of any dog or cat.
3. Live puppies or kittens less than 16 weeks of age, shall be
identied by:
i. An ocial tag as described in § 2.51;
ii. A distinctive and legible tattoo marking approved by the
iii. Administrator; or
iv. A plastic-type collar acceptable to the Administrator
which has
v. legibly placed thereon the information required for an
ocial tag pursuant to § 2.51.
4. When any dealer has made a reasonable eort to ax an
ocial tag to a cat, as set forth in paragraphs (a) and (b) of
this section, and has been unable to do so, or when the cat
exhibits serious distress from the attachment of a collar and
tag, the dealer shall attach the collar and tag to the door of
the primary enclosure containing the cat and take measures
adequate to maintain the identity of the cat in relation to the
tag. Each primary enclosure shall contain no more than one
weaned cat without an axed collar and ocial tag, unless
the cats are identied by a distinctive and legible tattoo or
plastic- type collar approved by the Administrator.
3 See footnote 2 in § 2.50(a)(1).
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Part 2, Subpart E, § 2.50
c. A class “C” exhibitor shall identify all live dogs and cats under his
or her control or on his or her premises, whether held, purchased,
or otherwise acquired:
1. As set forth in paragraph (b)(1) or (b)(3) of this section, or
2. By identifying each dog or cat with:
i. An ocial USDA sequentially numbered tag that is kept
on the door of the animal’s cage or run;
ii. A record book containing each animal’s tag number, a
written description of each animal, the data required by
§ 2.75(a), and a clear photograph of each animal; and
iii. A duplicate tag that accompanies each dog or cat
whenever it leaves the compound or premises.
d. Unweaned puppies or kittens need not be individually identied
as required by paragraphs (a) and (b) of this section while they
are maintained as a litter with their dam in the same primary
enclosure, provided the dam has been individually identied.
e. 1. All animals, except dogs and cats, delivered for transportation,
transported, purchased, sold, or otherwise acquired or
disposed of by any dealer or exhibitor shall be identied
by the dealer or exhibitor at the time of delivery for
transportation, purchase, sale, acquisition or disposal, as
provided for in this paragraph and in records maintained as
required in §§ 2.75 and 2.77.
2. When one or more birds are conned in a primary enclosure,
the bird shall be identied by:
i. A label attached to the primary enclosure which
shall bear a description of the animals in the primary
enclosure, including:
a. e number of birds;
b. e species of birds;
c. Any distinctive features of the birds, and
d. Any identifying marks on the birds; or
ii. A leg or wind band applied to each bird in the primary
enclosure by the dealer or exhibitor that individually
identies each bird by description or number; or
iii. A transponder (microchip) placed in a standard
anatomical location for the species in accordance
with professionally accepted standards, provided that
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Subpart E
Part 2, Subpart E, § 2.50
the receiving facility has a compatible transponder
(microchip) reader that is capable of reading the
transponder (microchip) and that the reader is readily
available for use by an APHIS ocial and/or facility
employee accompanying the APHIS ocial.
3. When one or more animals, other than dogs or cats, are
conned in a primary enclosure, the animal(s) shall be
identied by:
i. A label attached to the primary enclosure which shall
bear a description of the animals in the primary
enclosure, including:
a. e number of animals;
b. e species of the animals;
c. Any distinctive physical features of the animals; and
d. Any identifying marks, tattoos, or tags attached to the
animals;
ii. Marking the primary enclosure with a painted or
stenciled number which shall be recorded in the records
of the dealer or exhibitor together with:
a. A description of the animal(s);
b. e species of the animal(s); and
c. Any distinctive physical features of the animal(s); or
iii. A tag or tattoo applied to each animal in the primary
enclosure by the dealer or exhibitor which individually
identies each animal by description or number.
4. When any animal, other than a dog or cat, is not conned
in a primary enclosure, it shall be identied on a record,
as required by § 2.75, which shall accompany the animal
at the time it is delivered for transportation, transported,
purchased, or sold, and shall be kept and maintained by the
dealer or exhibitor as part of his or her records.
(Approved by the Oce of Management and Budget under control numbers 0579-0036 and
0579-0486)
[54 FR 36147, Aug. 31, 1989, as amended at 88 FR 10714, Feb. 21, 2023]
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PART 2
Subpart E
92
Part 2, Subpart E, § 2.51
§ 2.51 - Form of official tag.
a. e ocial tag shall be made of a durable alloy such as brass,
bronze, or steel, or of a durable plastic. Aluminum of a sucient
thickness to assure the tag is durable and legible may also be
used. e tag shall be one of the following shapes:
1. Circular in shape and not less than 1¼ inches in diameter, or
2. Oblong and at in shape, not less than 2 inches by ¾ inch and
riveted to an acceptable collar.
b. Each tag shall have the following information embossed or
stamped on so that it is easily readable:
1. e letters “USDA”;
2. Numbers identifying the State and dealer, exhibitor, or
research facility (e.g., 39-AB); and
3. Numbers identifying the animal (e.g., 82488).
c. Ocial tags shall be serially numbered. No individual dealer or
exhibitor shall use any identication tag number more than once
within a 5-year period.
§ 2.52 - How to obtain tags.
Dealers or exhibitors may obtain, at their own expense, ocial
tags from commercial tag manufacturers.
4
At the time the dealer or
exhibitor is issued a license or is registered, the Department will assign
identication letters and numbers and inform them of the identication
letters and numbers to be used on the ocial tags.
[54 FR 36147, Aug. 31, 1989, as amended at 63 FR 62927, Nov. 10, 1998]
§ 2.53 - Use of tags.
Ocial tags obtained by a dealer, exhibitor, or research facility, shall be
applied to dogs or cats in the manner set forth in § 2.50 and in as close
to consecutive numerical order as possible. No tag number shall be used
to identify more than one animal. No number shall be repeated within a
5-year period.
4 A list of the commercial manufacturers who produce these tags and are known to the
Department may be obtained from the Deputy Administrator. Any manufacturer who
desires to be included in the list should notify the Administrator.
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Subpart E
Part 2, Subpart E, § 2.54
§ 2.54 - Lost tags.
Each dealer or exhibitor shall be held accountable for all ocial tags
acquired. In the event an ocial tag is lost from a dog or cat while in the
possession of a dealer or exhibitor, the dealer or exhibitor shall make a
diligent eort to locate and reapply the tag to the proper animal. If the
lost tag is not located, the dealer or exhibitor shall ax another ocial
tag to the animal in the manner prescribed in § 2.50, and record the tag
number on the ocial records.
§ 2.55 - Removal and disposal of tags.
a. Where a dog or cat to which is axed or which is identied by an
ocial tag is euthanized, or dies from other causes, the dealer or
exhibitor shall remove and retain the tag for the required period,
as set forth in paragraph (b) of this section.
b. All ocial tags removed and retained by a dealer or exhibitor shall
be held until called for by an APHIS ocial or for a period of 1
yea r.
c. When ocial tags are removed from animals for disposal, the
tags must be disposed of so as to preclude their reuse for animal
identication. No animal identication number shall be used
within any 5-year period following its previous use.
95
Animal Welfare Act, USDA
PART 2
Subpart F
94
Part 2, Subpart F, § 2.60
SUBPART F – STOLEN ANIMALS
§ 2.60 - Prohibition on the purchase, sale, use, or
transportation of stolen animals.
No person shall buy, sell, exhibit, use for research, transport, or oer for
transportation, any stolen animal.
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PART 2
Subpart G
Part 2, Subpart G, § 2.75
SUBPART G – RECORDS
§ 2.75 - Records: Dealers and exhibitors.
a. 1. Each dealer, other than operators of auction sales and brokers
to whom animals are consigned, and each exhibitor shall
make, keep, and maintain records or forms which fully and
correctly disclose the following information concerning each
dog or cat purchased or otherwise acquired, owned, held, or
otherwise in his or her possession or under his or her control,
or which is transported, euthanized, sold, or otherwise
disposed of by that dealer or exhibitor. e records shall
include any ospring born of any animal while in his or her
possession or under his or her control.
i. e name and address of the person from whom a dog or
cat was purchased or otherwise acquired whether or not
the person is required to be licensed or registered under
the Act;
ii. e USDA license or registration number of the person if
he or she is licensed or registered under the Act;
iii. e vehicle license number and State, and the driver’s
license number (or photographic identication card for
non-drivers issued by a State) and State of the person, if
he or she is not licensed or registered under the Act;
iv. e name and address of the person to whom a dog
or cat was sold or given and that person’s license or
registration number if he or she is licensed or registered
under the Act;
v. e date a dog or cat was acquired or disposed of,
including by euthanasia;
vi. e ocial USDA tag number or tattoo assigned to a dog
or cat under §§ 2.50 and 2.54;
vii. A description of each dog or cat which shall include:
a. e species and breed or type;
b. e sex;
c. e date of birth or approximate age; and
d. e color and any distinctive markings;
viii. e method of transportation including the name of the
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Animal Welfare Act, USDA
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Subpart G
96
PART 2
Subpart G
PART 2
Subpart G
Part 2, Subpart G, § 2.75
initial carrier or intermediate handler or, if a privately
owned vehicle is used to transport a dog or cat, the name
of the owner of the privately owned vehicle;
ix. e date and method of disposition of a dog or cat, e.g.,
sale, death, euthanasia, or donation.
2. Each dealer and exhibitor shall use Record of Acquisition
and Dogs and Cats on Hand (APHIS Form 7005) and Record
of Disposition of Dogs and Cats (APHIS Form 7006) to make,
keep, and maintain the information required by paragraph
(a)(1) of this section: Provided, that if a dealer or exhibitor
who uses a computerized recordkeeping system believes
that APHIS Form 7005 and APHIS Form 7006 are unsuitable
for him or her to make, keep, and maintain the information
required by paragraph (a)(1) of this section, the dealer or
exhibitor may request a variance from the requirement to use
APHIS Form 7005 and APHIS Form 7006.
i. e request for a variance must consist of a written
statement describing why APHIS Form 7005 and APHIS
Form 7006 are unsuitable for the dealer or exhibitor to
make, keep, and maintain the information required by
paragraph (a)(1) of this section, and a description of the
computerized recordkeeping system the person would
use in lieu of APHIS Form 7005 and APHIS Form 7006 to
make, keep, and maintain the information required by
paragraph (a)(1) of this section. APHIS will advise the
person as to the disposition of his or her request for a
variance from the requirement to use APHIS Form 7005
and APHIS Form 7006.
ii. A dealer or exhibitor whose request for a variance has
been denied may request a hearing in accordance
with the applicable rules of practice for the purpose of
showing why the request for a variance should not be
denied. e denial of the variance shall remain in eect
until the nal legal decision has been rendered.
3. e USDA Interstate and International Certicate of Health
Examination for Small Animals (APHIS Form 7001) may be
used by dealers and exhibitors to make, keep, and maintain
the information required by § 2.78.
4. One copy of the record containing the information required
by paragraph (a)(1) of this section shall accompany each
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Subpart G
Part 2, Subpart G, § 2.75
shipment of any dog or cat purchased or otherwise acquired
by a dealer or exhibitor. One copy of the record containing
the information required by paragraph (a)(1) of this section
shall accompany each shipment of any dog or cat sold or
otherwise disposed of by a dealer or exhibitor: Provided,
however, that, except as provided in § 2.133(b) of this part
for dealers, information that indicates the source and date of
acquisition of a dog or cat need not appear on the copy of the
record accompanying the shipment. One copy of the record
containing the information required by paragraph (a)(1) of
this section shall be retained by the dealer or exhibitor.
b. 1. Every dealer other than operators of auction sales and brokers
to whom animals are consigned, and exhibitor shall make,
keep, and maintain records or forms which fully and correctly
disclose the following information concerning animals other
than dogs and cats, purchased or otherwise acquired, owned,
held, leased, or otherwise in his or her possession or under his
or her control, or which is transported, sold, euthanized, or
otherwise disposed of by that dealer or exhibitor. The records
shall include any offspring born or hatched of any animal while
in his or her possession or under his or her control, to the extent
that any identification or counting of offspring can be carried out
without unduly disturbing nesting or rearing activities.
i. e name and address of the person from whom the
animals were purchased or otherwise acquired;
ii. e USDA license or registration number of the person if
he or she is licensed or registered under the Act;
iii. e vehicle license number and State, and the driver’s
license number (or photographic identication card for
nondrivers issued by a State) and State of the person, if
he or she is not licensed or registered under the Act;
iv. e name and address of the person to whom an animal
was sold or given;
v. e date of purchase, acquisition, sale, or disposal of the
animal(s);
vi. e species of the animal(s); and
vii. e number of animals in the shipment.
2. Record of Animals on Hand (other than dogs and cats) (APHIS
Form 7019) and Record of Acquisition, Disposition, or Transport
of Animals (other than dogs and cats) (APHIS Form 7020) are
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PART 2
Subpart G
98
Part 2, Subpart G, § 2.76
forms which may be used by dealers and exhibitors to keep and
maintain the information required by paragraph (b)(1) of this
section concerning animals other than dogs and cats except as
provided in § 2.78.
3. One copy of the record containing the information required
by paragraph (b)(1) of this section shall accompany each
shipment of any animal(s) other than a dog or cat purchased
or otherwise acquired by a dealer or exhibitor. One copy of
the record containing the information required by paragraph
(b)(1) of this section shall accompany each shipment of any
animal other than a dog or cat sold or otherwise disposed of
by a dealer or exhibitor; Provided, however, at information
which indicates the source and date of acquisition of any
animal other than a dog or cat need not appear on the copy of
the record accompanying the shipment. e dealer or exhibitor
shall retain one copy of the record containing the information
required by paragraph (b) (1) of this section.
(Approved by the Oce of Management and Budget under control numbers 0579-0036 and
0579-0486)
[54 FR 36147, Aug. 31, 1989, as amended at 58 FR 39129, July 22, 1993; 58 FR 45041, Aug. 26,
1993; 60 FR 13895, Mar. 15, 1995; 69 FR 42102, July 14, 2004; 85 FR 28798, May 13, 2020; 88 FR
10714, Feb. 21, 2023]
§ 2.76 - Records: Operators of auction sales and brokers.
a. Every operator of an auction sale or broker shall make, keep, and
maintain records or forms which fully and correctly disclose the
following information concerning each animal consigned for
auction or sold, whether or not a fee or commission is charged:
1. e name and address of the person who owned or consigned
the animal(s) for sale;
2. e name and address of the buyer or consignee who
received the animal;
3. e USDA license or registration number of the person(s)
selling, consigning, buying, or receiving the animals if he or
she is licensed or registered under the Act;
4. e vehicle license number and State, and the driver’s license
number (or photographic identication card for non-drivers
issued by a State) and State of the person, if he or she is not
licensed or registered under the Act;
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Subpart G
Part 2, Subpart G, § 2.77
5. e date of the consignment;
6. e ocial USDA tag number or tattoo assigned to the animal
under §§ 2.50 and 2.54;
7. A description of the animal which shall include:
i. e species and breed or type of animal;
ii. e sex of the animal; or if the animal is a bird, only if sex
is readily determinable;
iii. e date of birth or hatch date; or, if unknown, the
approximate age or developmental stage; and
iv. e color and any distinctive markings; and
8. e auction sales number or records number assigned to the
animal.
b. One copy of the record containing the information required
by paragraph (a) of this section shall be given to the consignor
of each animal, one copy of the record shall be given to the
purchaser of each animal: Provided, however, at information
which indicates the source and date of consignment of any
animal need not appear on the copy of the record given the
purchaser of any animal. One copy of the record containing the
information required by paragraph (a) of this section shall be
retained by the operator of such auction sale, or broker, for each
animal sold by the auction sale or broker.
(Approved by the Oce of Management and Budget under control numbers 0579-0036 and
0579-0486)
[54 FR 36147, Aug. 31, 1989, as amended at 69 FR 42102, July 14, 2004; 88 FR 10714, Feb. 21,
2023]
§ 2.77 - Records: Carriers and intermediate handlers.
a. In connection with all live animals accepted for shipment on a
C.O.D. basis or other arrangement or practice under which the cost
of an animal or the transportation of an animal is to be paid and
collected upon delivery of the animal to the consignee, the accepting
carrier or intermediate handler, if any, shall keep and maintain
a copy of the consignor’s written guarantee for the payment of
transportation charged for any animal not claimed as provided in
§ 2.80, including, where necessary, both the return transportation
charges and an amount sucient to reimburse the carrier for out-
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Subpart G
100
Part 2, Subpart G, § 2.78
of-pocket expenses incurred for the care, feeding, and storage of the
animal. e carrier or intermediate handler at destination shall also
keep and maintain a copy of the shipping document containing the
time, date, and method of each attempted notication and the nal
notication to the consignee and the name of the person notifying
the consignee, as provided in § 2.80.
b. In connection with all live dogs, cats, or nonhuman primates
delivered for transportation, in commerce, to any carrier or
intermediate handler, by any dealer, research facility, exhibitor,
operator of an auction sale, broker, or department, agency or
instrumentality of the United States or of any state or local
government, the accepting carrier or intermediate handler shall
keep and maintain a copy of the health certication completed
as required by § 2.78, tendered with each live dog, cat, or
nonhuman primate.
(Approved by the Oce of Management and Budget under control numbers
0579-0036 and 0579-0486)
[54 FR 36147, Aug. 31, 1989, as amended at 85 FR 28798, May 13, 2020;
88 FR 10714, Feb. 21, 2023]
§ 2.78 - Health certification and identification.
a. No dealer, exhibitor, operator of an auction sale, broker, or
department, agency, or instrumentality of the United States or of
any State or local government shall deliver to any intermediate
handler or carrier for transportation, in commerce, or shall
transport in commerce any dog, cat, or nonhuman primate unless
the dog, cat, or nonhuman primate is accompanied by a health
certicate executed and issued by a licensed veterinarian. e
health certicate shall state that:
1. e licensed veterinarian inspected the dog, cat, or
nonhuman primate on a specied date which shall not be
more than 10 days prior to the delivery of the dog, cat, or
nonhuman primate for transportation; and
2. when so inspected, the dog, cat, or nonhuman primate
appeared to the licensed veterinarian to be free of any infectious
disease or physical abnormality which would endanger the
animal(s) or other animals or endanger public health.
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Subpart G
Part 2, Subpart G, § 2.79
b. e Secretary may provide exceptions to the health certication
requirement on an individual basis for animals shipped
to a research facility for purposes of research, testing, or
experimentation when the research facility requires animals not
eligible for certication. Requests should be addressed to the
Animal and Plant Health Inspection Service, Animal Care, 4700
River Road, Unit 84, Riverdale, Maryland 20737-1234.
c. No intermediate handler or carrier to whom any live dog, cat, or
nonhuman primate is delivered for transportation by any dealer,
research facility, exhibitor, broker, operator of an auction sale,
or department, agency, or instrumentality of the United States
or any State or local government shall receive a live dog, cat, or
nonhuman primate for transportation, in commerce, unless and
until it is accompanied by a health certicate issued by a licensed
veterinarian in accordance with paragraph (a) of this section,
or an exemption issued by the Secretary in accordance with
paragraph (b) of this section.
d. e U.S. Interstate and International Certicate of Health Examination
for Small Animals (APHIS Form 7001) may be used for health
certication by a licensed veterinarian as required by this section.
(Approved by the Oce of Management and Budget under control numbers 0579-0036 and
0579-0486)
[54 FR 36147, Aug. 31, 1989, as amended at 59 FR 67612, Dec. 30, 1994; 60 FR 13896, Mar. 15,
1995; 63 FR 62927, Nov. 10, 1998; 69 FR 42102, July 14, 2004; 88 FR 10714, Feb. 21, 2023]
§ 2.79 - C.O.D. shipments.
a. No carrier or intermediate handler shall accept any animal for
transportation, in commerce, upon any C.O.D. or other basis
where any money is to be paid and collected upon delivery of
the animal to the consignee, unless the consignor guarantees in
writing the payment of all transportation, including any return
transportation, if the shipment isunclaimed or the consignee
cannot be notied in accordance with paragraphs (b) and (c) of
this section, including reimbursing the carrier or intermediate
handler for all out-of-pocket expenses incurred for the care,
feeding, and storage or housing of the animal.
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PART 2
Subpart G
102
Part 2, Subpart G, § 2.79
b. Any carrier or intermediate handler receiving an animal at a
destination on a C.O.D. or other basis any money is to be paid
and collected upon delivery of the animal to the consignee
shall attempt to notify the consignee at least once every 6
hours for a period of 24 hours after arrival of the animal at the
animal holding area of the terminal cargo facility. e carrier or
intermediate handler shall record the time, date, and method
of each attempted notication and the nal notication to the
consignee, and the name of the person notifying the consignee,
on the shipping document and on the copy of the shipping
document accompanying the C.O.D. shipment. If the consignee
cannot be notied of the C.O.D. shipment within 24 hours after
its arrival, the carrier or intermediate handler shall return the
animal to the consignor, or to whomever the consignor has
designated, on the next practical available transportation, in
accordance with the written agreement required in paragraph
(a) of this section and shall notify the consignor. Any carrier
or intermediate handler which has notied a consignee of the
arrival of a C.O.D. or other shipment of an animal, where any
money is to be paid and collected upon delivery of the animal to
the consignee, which is not claimed by the consignee within 48
hours from the time of notication, shall return the animal to the
consignor, or to whomever the consignor has designated, on the
next practical available transportation, in accordance with the
written agreement required in paragraph (a) of this section and
shall notify the consignor.
c. It is the responsibility of any carrier or intermediate handler to
hold, feed, and care for any animal accepted for transportation, in
commerce, under a C.O.D. or other arrangement where any money
is to be paid and collected upon delivery of the animal until the
consignee accepts shipment at destination or until returned to the
consignor or his or her designee should the consignee fail to accept
delivery of the animal or if the consignee could not be notied as
prescribed in paragraph (b) of this section.
d. Nothing in this section shall be construed as prohibiting any
carrier or intermediate handler from requiring any guarantee
in addition to that required in paragraph (a) of this section for
the payment of the cost of any transportation or out-of-pocket
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Subpart G
Part 2, Subpart G, § 2.80
or other incidental expenses incurred in the transportation of
any animal.
(Approved by the Oce of Management and Budget under control numbers 0579-0036 and
0579-0486)
[54 FR 36147, Aug. 31, 1989, as amended at 88 FR 10714, Feb. 21, 2023]
§ 2.80 - Records, disposition.
a. No dealer, exhibitor, broker, operator of an auction sale, carrier,
or intermediate handler shall, for a period of 1 year, destroy or
dispose of, without the consent in writing of the Administrator,
any books, records, documents, or other papers required to be
kept and maintained under this part.
b. Unless otherwise specied, the records required to be kept
and maintained under this part shall be held for 1 year after
an animal is euthanized or disposed of and for any period in
excess of one year as necessary to comply with any applicable
Federal, State, or local law. Whenever the Administrator noties
a dealer, exhibitor, broker, operator of an auction sale, carrier, or
intermediate handler in writing that specied records shall be
retained pending completion of an investigation or proceeding
under the Act, the dealer, exhibitor, broker, operator of an auction
sale, carrier, or intermediate handler shall hold those records until
their disposition is authorized by the Administrator.
105
PART 2
Subpart H
104
Animal Welfare Act, USDA
Part 2, Subpart H, § 2.100
SUBPART H – COMPLIANCE WITH
STANDARDS AND HOLDING PERIOD
§ 2.100 - Compliance with standards.
a. Each dealer, exhibitor, operator of an auction sale, and
intermediate handler shall comply in all respects with the
regulations set forth in part 2 and the standards set forth in part
3 of this subchapter for the humane handling, care, treatment,
housing, and transportation of animals.
b. Each carrier shall comply in all respects with the regulations in
part 2 and the standards in part 3 of this subchapter setting forth
the conditions and requirements for the humane transportation
of animals in commerce and their handling, care, and treatment
in connection therewith.
§ 2.101 - Holding period.
a. Any live dog or cat acquired by a dealer
5
or exhibitor shall be
held by him or her, under his or her supervision and control,
for a period of not less than 5 full days, not including the day of
acquisition, after acquiring the animal, excluding time in transit:
Provided, however:
1. at any live dog or cat acquired by a dealer or exhibitor from
any private or contract animal pound or shelter shall be held
by that dealer or exhibitor under his or her supervision and
control for a period of not less than 10 full days, not including
the day of acquisition, after acquiring the animal, excluding
time in transit;
2. Live dogs or cats which have completed a 5-day holding
period with another dealer or exhibitor, or a 10-day holding
period with another dealer or exhibitor if obtained from a
private or contract shelter or pound, may be sold or otherwise
disposed of by subsequent dealers or exhibitors after a
5 An operator of an auction sale is not considered to have acquired a dog or cat which is sold
through the auction sale.
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PART 2
Subpart H
Part 2, Subpart H, § 2.102
minimum holding period of 24 hours by each subsequent
dealer or exhibitor excluding time in transit;
3. Any dog or cat suering from disease, emaciation, or injury
may be destroyed by euthanasia prior to the completion of
the holding period required by this section; and
4. Any live dog or cat, 120 days of age or less, that was obtained
from the person that bred and raised such dog or cat, may be
exempted from the 5-day holding requirement and may be
disposed of by dealers or exhibitors after a minimum holding
period of 24 hours, excluding time in transit. Each subsequent
dealer or exhibitor must also hold each such dog or cat for a
24- hour period excluding time in transit.
b. During the period in which any dog or cat is being held as
required by this section, the dog or cat shall be unloaded from
any means of conveyance in which it was received, for food,
water, and rest, and shall be handled, cared for, and treated in
accordance with the standards set forth in part 3, subpart A, of this
subchapter and § 2.131.
§ 2.102 - Holding facility.
a. If any dealer or exhibitor obtains the prior approval of the Deputy
Administrator, he may arrange to have another person hold
animals for the required period provided for in paragraph (a) of §
2.101: Provided, at:
1. e other person agrees in writing to comply with the
regulations in part 2 and the standards in part 3 of this
subchapter and to allow inspection of his premises by an
APHIS ocial during business hours; and
2. e animals remain under the total control and responsibility
of the dealer or exhibitor.
3. Approval will not be given for a dealer or exhibitor holding a
license as set forth in § 2.1 to have animals held for purposes
of this section by another licensed dealer or exhibitor. APHIS
Form 7009 shall be used for approval.
4. e other person or premises must either be directly
included in the dealer’s or exhibitor’s contingency plan
required under § 2.134 or must develop its own contingency
plan in accordance with § 2.134.
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b. If any intermediate handler obtains prior approval of the Deputy
Administrator, it may arrange to have another person hold
animals: Provided, at:
1. e other person agrees in writing to comply with the
regulations in part 2 and the standards in part 3 of this
subchapter and to allow inspection of the premises by an
APHIS ocial during business hours; and
2. e animals remain under the total control and responsibility
of the research facility or intermediate handler.
3. e other person or premises must either be directly
included in the intermediate handler’s contingency plan
required under § 2.134 or must develop its own contingency
plan in accordance with § 2.134.
[54 FR 36147, Aug. 31, 1989, as amended at 60 FR 13896, Mar. 15, 1995; 63 FR 62927, Nov. 10,
1998; 69 FR 42102, July 14, 2004; 77 FR 76823, Dec. 31, 2012]
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SUBPART I – MISCELLANEOUS
§ 2.125 - Information as to business; furnishing of same by
dealers, exhibitors, operators of auction sales, intermediate
handlers, and carriers.
Each dealer, exhibitor, operator of an auction sale, intermediate
handler, and carrier shall furnish to any APHIS ocial any information
concerning the business of the dealer, exhibitor, operator of an
auction sale, intermediate handler or carrier which the APHIS ocial
may request in connection with the enforcement of the provisions
of the Act, the regulations and the standards in this subchapter. e
information shall be furnished within a reasonable time and as may be
specied in the request for information.
(Approved by the Oce of Management and Budget under control numbers 0579-0036 and
0579-0486)
[54 FR 36147, Aug. 31, 1989, as amended at 88 FR 10714, Feb. 21, 2023]
§ 2.126 - Access and inspection of records and property;
submission of itineraries.
a. Each dealer, exhibitor, intermediate handler, or carrier, shall,
during business hours, allow APHIS ocials:
1. To enter its place of business;
2. To examine records required to be kept by the Act and the
regulations in this part;
3. To make copies of the records;
4. To inspect and photograph the facilities, property and
animals, as the APHIS ocials consider necessary to enforce
the provisions of the Act, the regulations and the standards in
this subchapter; and
5. To document, by the taking of photographs and other means,
conditions and areas of noncompliance.
b. e use of a room, table, or other facilities necessary for the
proper examination of the records and inspection of the property
or animals must be extended to APHIS ocials by the dealer,
exhibitor, intermediate handler or carrier, and a responsible adult
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shall be made available to accompany APHIS ocials during the
inspection process.
c. Any person who is subject to the Animal Welfare regulations and
who intends to exhibit any animal at any location other than the
person’s approved site (including, but not limited to, circuses,
traveling educational exhibits, animal acts, and petting zoos),
except for travel that does not extend overnight, shall submit a
written itinerary to the Deputy Administrator. e itinerary shall
be received by the Deputy Administrator no fewer than 2 days in
advance of any travel and shall contain complete and accurate
information concerning the whereabouts of any animal intended
for exhibition at any location other than the person’s approved
site. If the exhibitor accepts an engagement for which travel
will begin with less than 48 hours’ notice, the exhibitor shall
immediately contact the Deputy Administrator in writing with
the required information. APHIS expects such situations to occur
infrequently, and exhibitors who repeatedly provide less than 48
hours’ notice will, after notice by APHIS, be subject to increased
scrutiny under the Act.
1. e itinerary shall include the following:
i. e name of the person who intends to exhibit the
animal and transport the animal for exhibition purposes,
including any business name and current Act license or
registration number and, in the event that any animal
is leased, borrowed, loaned, or under some similar
arrangement, the name of the person who owns such
animal;
ii. e name, identication number or identifying
characteristics, species (common or scientic name), sex
and age of each animal; and
iii. e names, dates, and locations (with addresses) where
the animals will travel, be housed, and be exhibited,
including all anticipated dates and locations (with
addresses) for any stops and layovers that allow or require
removal of the animals from the transport enclosures.
Unanticipated delays of such length shall be reported to
the Deputy Administrator the next APHIS business day.
APHIS Regional oces are available each weekday, except
on Federal holidays, from 8 a.m. to 5 p.m.
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2. e itinerary shall be revised as necessary, and the Deputy
Administrator shall be notied of any changes. If initial
notication of a change due to an emergency is made by a means
other than email or facsimile, it shall be followed by written
documentation at the earliest possible time. For changes that
occur after normal APHIS business hours, the change shall be
conveyed to the Deputy Administrator no later than the following
APHIS business day. APHIS Regional oces are available each
weekday, except on Federal holidays, from 8 a.m. to 5 p.m.
(Approved by the Oce of Management and Budget under control numbers 0579-0036 and
0579-0486)
[54 FR 36147, Aug. 31, 1989, as amended at 69 FR 42102, July 14, 2004; 77 FR 76814, Dec. 31,
2012; 85 FR 28798, May 13, 2020; 88 FR 10714, Feb. 21, 2023]
§ 2.127 - Publication of lists of persons subject to the
provisions of this part.
APHIS will publish on its website lists of persons licensed or registered
in accordance with the provisions of this part. e lists may also be
obtained upon request from the Deputy Administrator.
[54 FR 36147, Aug. 31, 1989, as amended at 63 FR 62927, Nov. 10, 1998]
§ 2.128 - Inspection for missing animals.
Each dealer, exhibitor, intermediate handler and carrier shall allow,
upon request and during business hours, police or ocers of other law
enforcement agencies with general law enforcement authority (not
those agencies whose duties are limited to enforcement of local animal
regulations) to enter his or her place of business to inspect animals and
records for the purpose of seeking animals that are missing, under the
following conditions:
a. e police or other law ocer shall furnish to the dealer, exhibitor,
intermediate handler or carrier a written description of the
missing animal and the name and address of its owner before
making a search.
b. e police or other law ocer shall abide by all security measures
required by the dealer, exhibitor, intermediate handler or carrier
to prevent the spread of disease, including the use of sterile
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clothing, footwear, and masks where required, or to prevent the
escape of an animal.
§ 2.129 - Confiscation and destruction of animals.
a. If an animal being held by a dealer, exhibitor, intermediate handler,
or by a carrier is found by an APHIS ocial to be suering as a
result of the failure of the dealer, exhibitor, intermediate handler,
or carrier to comply with any provision of the regulations or the
standards set forth in this subchapter, the APHIS ocial shall make
a reasonable eort to notify the dealer, exhibitor, intermediate
handler, or carrier of the condition of the animal(s) and request
that the condition be corrected and that adequate care be given
to alleviate the animal’s suering or distress, or that the animal(s)
be destroyed by euthanasia. In the event that the dealer, exhibitor,
intermediate handler, or carrier refuses to comply with this request,
the APHIS ocial may conscate the animal(s) for care, treatment,
or disposal as indicated in paragraph (b) of this section, if, in the
opinion of the Administrator, the circumstances indicate the
animal’s health is in danger.
b. In the event that the APHIS ocial is unable to locate or notify the
dealer, exhibitor, intermediate handler, or carrier as required in
this section, the APHIS ocial shall contact a local police or other
law ocer to accompany him to the premises and shall provide for
adequate care when necessary to alleviate the animal’s suering. If
in the opinion of the Administrator, the condition of the animal(s)
cannot be corrected by this temporary care, the APHIS ocial shall
conscate the animals.
c. Conscated animals may be:
1. Placed, by sale or donation, with other licensees or registrants
that comply with the standards and regulations and can
provide proper care; or
2. Placed with persons or facilities that can oer a level of care
equal to or exceeding the standards and regulations, as
determined by APHIS, even if the persons or facilities are not
licensed by or registered with APHIS; or
3. Euthanized.
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d. e dealer, exhibitor, intermediate handler, or carrier from whom
the animals were conscated must bear all costs incurred in
performing the placement or euthanasia activities authorized by
this section.
[54 FR 36147, Aug. 31, 1989, as amended at 66 FR 239, Jan. 3, 2001]
§ 2.130 - Minimum age requirements.
No dog or cat shall be delivered by any person to any carrier or
intermediate handler for transportation, in commerce, or shall be
transported in commerce by any person, except to a registered research
facility, unless such dog or cat is at least eight (8) weeks of age and has
been weaned.
§ 2.131 - Handling of animals.
a. All licensees who maintain wild or exotic animals must
demonstrate adequate experience and knowledge of the species
they maintain.
b. 1. Handling of all animals shall be done as expeditiously and
carefully as possible in a manner that does not cause trauma,
overheating, excessive cooling, behavioral stress, physical
harm, or unnecessary discomfort.
2. i. Physical abuse shall not be used to train, work, or otherwise
handle animals.
ii. Deprivation of food or water shall not be used to train,
work, or otherwise handle animals; Provided, however,
at the short-term withholding of food or water from
animals by exhibitors is allowed by these regulations as
long as each of the animals aected receives its full dietary
and nutrition requirements each day.
c. 1. During public exhibition, any animal must be handled so
there is minimal risk of harm to the animal and to the public,
with sucient distance and/or barriers between the animal
and the general viewing public so as to assure the safety of
animals and the public.
2. Performing animals shall be allowed a rest period between
performances at least equal to the time for one performance.
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3. Young or immature animals shall not be exposed to rough or
excessive public handling or exhibited for periods of time which
would be detrimental to their health or well-being.
4. Drugs, such as tranquilizers, shall not be used to facilitate, allow,
or provide for public handling of the animals.
d. 1. Animals shall be exhibited only for periods of time and under
conditions consistent with their good health and well-being.
2. A responsible, knowledgeable, and readily identiable employee
or attendant must be present at all times during periods of public
contact.
3. During public exhibition, dangerous animals such as lions, tigers,
wolves, bears, or elephants must be under the direct control and
supervision of a knowledgeable and experienced animal handler.
4. If public feeding of animals is allowed, the food must be provided
by the animal facility and shall be appropriate to the type of
animal and its nutritional needs and diet.
e. When climatic conditions present a threat to an animal’s health
or well-being, appropriate measures must be taken to alleviate
the impact of those conditions. An animal may never be subjected
to any combination of temperature, humidity, and time that
is detrimental to the animal’s health or well-being, taking into
consideration such factors as the animal’s age, species, breed,
overall health status, and acclimation.
[54 FR 36147, Aug. 31, 1989, as amended at 63 FR 10498, Mar. 4, 1998; 69 FR 42102, July 14,
2004]
§ 2.132 - Procurement of dogs, cats, and
other animals; dealers.
a. A class “B” dealer may obtain live random source dogs and cats
only from:
1. Other dealers who are licensed under the Act and in
accordance with the regulations in part 2;
2. State, county, or city owned and operated animal pounds or
shelters; and
3. A legal entity organized and operated under the laws of the
State in which it is located as an animal pound or shelter, such
as a humane shelter or contract pound.
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b. No person shall obtain live dogs, cats, or other animals by use of
false pretenses, misrepresentation, or deception.
c. Any dealer, exhibitor, research facility, carrier, or intermediate
handler who also operates a private or contract animal pound or
shelter shall comply with the following:
1. e animal pound or shelter shall be located on premises
that are physically separated from the licensed or registered
facility. e animal housing facility of the pound or shelter
shall not be adjacent to the licensed or registered facility.
2. Accurate and complete records shall be separately
maintained by the licensee or registrant and by the pound or
shelter. e records shall be in accordance with §§ 2.75 and
2.76, unless the animals are lost or stray. If the animals are
lost or stray, the pound or shelter records shall provide:
i. An accurate description of the animal;
ii. How, where, from whom, and when the dog or cat was
obtained;
iii. How long the dog or cat was held by the pound or shelter
before being transferred to the dealer; and
iv. e date the dog or cat was transferred to the dealer.
3. Any dealer who obtains or acquires a live dog or cat from
a private or contract pound or shelter, including a pound
or shelter he or she operates, shall hold the dog or cat for
a period of at least 10 full days, not including the day of
acquisition, excluding time in transit, after acquiring the
animal, and otherwise in accordance with § 2.101.
d. No dealer or exhibitor shall knowingly obtain any dog, cat, or
other animal from any person who is required to be licensed but
who does not hold a current, valid, and unsuspended license. No
dealer or exhibitor shall knowingly obtain any dog or cat from any
person who is not licensed, other than a pound or shelter, without
obtaining a certication that the animals were born and raised
on that person’s premises and, if the animals are for research
purposes, that the person has sold fewer than 25 dogs and/or cats
that year, or, if the animals are for use as pets, that the person does
not maintain more than four breeding female dogs and/or cats.
(Approved by the Oce of Management and Budget under control number 0579-0036)
[54 FR 36147, Aug. 31, 1989, as amended at 69 FR 42102, July 14, 2004; 80 FR 3463, Jan. 23, 2015]
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§ 2.133 - Certification for random source dogs and cats.
a. Each of the entities listed in paragraphs (a)(1) through (a)(3) of
this section that acquire any live dog or cat shall, before selling or
providing the live dog or cat to a dealer, hold and care for the dog
or cat for a period of not less than 5 full days after acquiring the
animal, not including the date of acquisition and excluding time
in transit. is holding period shall include at least one Saturday.
e provisions of this paragraph apply to:
1. Each pound or shelter owned and operated by a State, county,
or city;
2. Each private pound or shelter established for the purpose
of caring for animals, such as a humane society, or other
organization that is under contract with a State, county, or
city, that operates as a pound or shelter, and that releases
animals on a voluntary basis; and
3. Each research facility licensed by USDA as a dealer.
b. A dealer shall not sell, provide, or make available to any person
a live random source dog or cat unless the dealer provides the
recipient of the dog or cat with certication that contains the
following information:
1. e name, address, USDA license number, and signature of
the dealer;
2. e name, address, USDA license or registration number, if
such number exists, and signature of the recipient of the dog
or cat;
3. A description of each dog or cat being sold, provided, or made
available that shall include:
i. e species and breed or type (for mixed breeds, estimate
the two dominant breeds or types);
ii. e sex;
iii. e date of birth or, if unknown, then the approximate
age;
iv. e color and any distinctive markings; and
v. e Ocial USDA-approved identication number of
the animal. However, if the certication is attached to a
certicate provided by a prior dealer which contains the
required description, then only the ocial identication
numbers are required;
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4. e name and address of the person, pound, or shelter from
which the dog or cat was acquired by the dealer, and an
assurance that the person, pound, or shelter was notied
that the cat or dog might be used for research or educational
purposes;
5. e date the dealer acquired the dog or cat from the person,
pound, or shelter referred to in paragraph (b)(4) of this
section; and
6. If the dealer acquired the dog or cat from a pound or shelter,
a signed statement by the pound or shelter that it met the
requirements of paragraph (a) of this section. is statement
must at least describe the animals by their ocial USDA
identication numbers. It may be incorporated within the
certication if the dealer makes the certication at the time
that the animals are acquired from the pound or shelter or
it may be made separately and attached to the certication
later. If made separately, it must include the same
information describing each animal as is required in the
certication. A photocopy of the statement will be regarded
as a duplicate original.
c. e original certication required under paragraph (b) of this
section shall accompany the shipment of a live dog or cat to be
sold, provided, or otherwise made available by the dealer.
d. A dealer who acquires a live dog or cat from another dealer must
obtain from that dealer the certication required by paragraph (b)
of this section and must attach that certication (including any
previously attached certication) to the certication which he or she
provides pursuant to paragraph (b) of this section (a photocopy of the
original certication will be deemed a duplicate original if the dealer
does not dispose of all of the dogs or cats in a single transaction).
e. A dealer who completes, provides, or receives a certication
required under paragraph (b) of this section shall keep,
maintain, and make available for APHIS inspection a copy of the
certication for at least 1 year following disposition.
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f. A research facility which acquires any live random source dog
or cat from a dealer must obtain the certication required under
paragraph of this section and shall keep, maintain, and make
available for APHIS inspection the original for at least 3 years
following disposition.
g. In instances where a research facility transfers ownership of a
live random source dog or cat acquired from a dealer to another
research facility, a copy of the certication required by paragraph
(b) of this section must accompany the dog or cat transferred. e
research facility to which the dog or cat is transferred shall keep,
maintain, and make available for APHIS inspection the copy of
the certication for at least 3 years following disposition.
[58 FR 39129, July 22, 1993]
§ 2.134 - Contingency planning.
a. Dealers, exhibitors, intermediate handlers, and carriers
must develop, document, and follow an appropriate plan to
provide for the humane handling, treatment, transportation,
housing, and care of their animals in the event of an
emergency or disaster (one which could reasonably be
anticipated and expected to be detrimental to the good
health and well-being of the animals in their possession).
Such contingency plans must:
1. Identify situations the licensee or registrant might experience
that would trigger the need for the measures identied in
a contingency plan to be put into action including, but not
limited to, emergencies such as electrical outages, faulty HVAC
systems, res, mechanical breakdowns, and animal escapes, as
well as natural disasters most likely to be experienced;
2. Outline specic tasks required to be carried out in response
to the identied emergencies or disasters including, but not
limited to, detailed animal evacuation instructions or shelter-
in-place instructions and provisions for providing backup
sources of food and water as well as sanitation, ventilation,
bedding, veterinary care, etc.;
3. Identify a chain of command and who (by name or by
position title) will be responsible for fullling these tasks; and
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4. Address how response and recovery will be handled in terms
of materials, resources, and training needed.
b. For current licensees and registrants, the contingency plan
must be in place by July 5, 2022. For new dealers, exhibitors,
intermediate handlers, and carriers licensed or registered
after this date, the contingency plan must be in place prior to
conducting regulated activities. e plan must be reviewed by
the dealer, exhibitor, intermediate handler, or carrier on at least
an annual basis to ensure that it adequately addresses the criteria
listed in paragraph (a) of this section. Each licensee and registrant
must maintain documentation of their annual reviews, including
documenting any amendments or changes made to their plan
since the previous year’s review, such as changes made as a result
of recently predicted, but historically unforeseen, circumstances
(e.g., weather extremes). Contingency plans, as well as all annual
review documentation, must be made available to APHIS upon
request. Traveling entities must carry a copy of their contingency
plan with them at all times and make it available for APHIS
inspection while in travel status. e APHIS Contingency Plan
form may be used to keep and maintain the information required
by § 2.38(l)(1) and (2).
c. Dealers, exhibitors, intermediate handlers, and carriers must
provide training for their personnel regarding their roles and
responsibilities as outlined in the plan. For current licensees
and registrants, training of dealer, exhibitor, intermediate
handler, and carrier personnel must be completed within 60
days of the licensee and registrant putting their contingency
plan in place; for new dealers, exhibitors, intermediate
handlers, or carriers licensed or registered after July 5, 2022,
training of personnel must be completed within 60 days of the
dealer, exhibitor, intermediate handler, or carrier putting their
contingency plan in place. This deadline applies to employees
hired before and up to 30 days after the date the licensee or
registrant puts its contingency plan in place. For employees
hired more than 30 days after the date the licensee or
registrant puts its contingency plan in place, training must be
conducted within 30 days of their start date. Any substantive
changes to the plan as a result of the annual review must be
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communicated to employees through training which must be
conducted within 30 days of making the changes.
(Approved by the Oce of Management and Budget under control number 0579-0479)
[77 FR 76823, Dec. 31, 2012, as amended at 86 FR 68537, Dec. 3, 2021]
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Part 2, Subpart J, § 2.150
SUBPART J—IMPORTATION
OF LIVE DOGS
§ 2.150 Import Permit
a. No person shall import a live dog from any part of the world into
the States for purposes of resale unless the dog is accompanied
by an import permit issued by APHIS and is imported into the
States within 30 days after the proposed date of arrival stated in
the import permit.
b. An application for an import permit must be submitted to
the Animal and Plant Health Inspection Service, Animal Care,
4700 River Road Unit 84, Riverdale, MD 20737–1234 or though
Animal Care’s Web site (www.aphis.usda.gov/aphis/ourfocus/
animalwelfare/dog-import-into-us/import-live-dogs-into-us).
Application forms for import permits may be obtained from
Animal Care at the address listed above.
c. e completed application must include the following
information:
1. e name and address of the person intending to export the
dog(s) to the States;
2. e name and address of the person intending to import the
dog(s) into the States;
3. e number of dogs to be imported and the breed, sex, age,
color, markings, and other identifying information of each
dog;
4. e purpose of the importation;
5. e port of embarkation and the mode of transportation;
6. e port of entry in the United States;
7. e proposed date of arrival in the States; and
8. e name and address of the person to whom the dog(s) will
be delivered in the States and, if the dog(s) is or are imported
for resale for research purposes, the USDA registration
number of the research facility where the dog will be used for
research, tests, or experiments.
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Part 2, Subpart J, § 2.151
d. After receipt and review of the application by APHIS, an import
permit indicating the applicable conditions for importation
under this subpart may be issued for the importation of the
dog(s) described in the application if such dog(s) appears to be
eligible to be imported. Even though an import permit has been
issued for the importation of a dog, the dog may only be imported
if all applicable requirements of this subpart and any other
applicable regulations of this subchapter and any other statute or
regulation of any State or of the United States are met.
(Approved by the Oce of Management and Budget under control number 0579–0379)
§ 2.151 Certifications.
a. Required certicates. Except as provided in paragraph (b) of
this section, no person shall import a live dog from any part of the
world into the States for purposes of resale unless the following
conditions are met:
1. Health certicate. Each dog is accompanied by an original
health certicate issued in English by a licensed veterinarian
with a valid license to practice veterinary medicine in the
country of export that:
i. Species the name and address of the person intending
to import the dog into the States;
ii. Identies the dog on the basis of breed, sex, age, color,
markings, and other identifying information;
iii. States that the dog is at least 6 months of age;
iv. States that the dog was vaccinated, not more than 12
months before the date of arrival at the U.S. port, for
distemper, hepatitis, leptospirosis, parvovirus, and
parainuenza virus (DHLPP) at a frequency that provides
continuous protection of the dog from those diseases
and is in accordance with currently accepted practices as
cited in veterinary medicine reference guides;
v. States that the dog is in good health (i.e., free of any
infectious disease or physical abnormality which
would endanger the dog or other animals or endanger
public health, including, but not limited to, parasitic
infection, emaciation, lesions of the skin, nervous system
disturbances, jaundice, or diarrhea); and
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vi. Bears the signature and the license number of the
veterinarian issuing the certicate.
2. Rabies vaccination certicate. Each dog is accompanied
by a valid rabies vaccination certicate that was issued in
English by a licensed veterinarian with a valid license to
practice veterinary medicine in the country of export for the
dog not less than 3 months of age at the time of vaccination
that:
6
i. Species the name and address of the person intending
to import the dog into the States;
ii. Identies the dog on the basis of breed, sex, age, color
markings and other identifying information;
iii. Species a date of rabies vaccination at least 30 days
before the date of arrival of the dog at a U.S. port;
iv. Species a date of expiration of the vaccination which is
after the date of arrival of the dog at a U.S. port. If no date
of expiration is specied, then the date of vaccination
shall be no more than 12 months before the date of arrival
at a U.S. port; and
v. Bears the signature and the license number of the
veterinarian issuing the certicate.
b. Exceptions.
1. Research. e provisions of paragraphs (a)(1)(iii), (a)(1)(iv),
(a)(1) (v), and/or (a)(2) of this section do not apply to any
person who imports a live dog from any part of the world into
the States for resale for use in research, tests, or experiments
at a research facility, provided that: Such person submits
satisfactory evidence to Animal Care at the time of his or her
application for an import permit that the specic provision(s)
would interfere with the dog’s use in such research, tests, or
experiments in accordance with a research proposal and the
proposal has been approved by the research facility IACUC.
2. Veterinary care. e provisions of paragraphs (a)(1)(iii)
through (a) (1)(v) and (a)(2) of this section do not apply
to any person who imports a live dog from any part of the
6 Alternatively, this requirement can be met by providing an exact copy of the rabies
vaccination certicate if so required under the Public Health Service regulations in 42 CFR
71.51.
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PART 2
Subpart J
Part 2, Subpart J, § 2.152
world into the States for veterinary treatment by a licensed
veterinarian and subsequent resale, provided that:
i. e original health certicate required in paragraph
(a)(1) of this section states that the dog is in need of
veterinary treatment that cannot be obtained in the
country of export and states the name and address of the
licensed veterinarian in the United States who intends to
provide the dog such veterinary treatment; and
ii. e person who imports the dog completes a veterinary
treatment agreement with Animal Care at the time of
application for an import permit and connes the animal
until the conditions specied in the agreement are met.
Such conditions may include determinations by the
licensed veterinarian in the United States that the dog is
in good health, has been adequately vaccinated against
DHLPP and rabies, and is at least six months of age.
e person importing the dog shall bear the expense of
veterinary treatment and connement.
3. Dogs imported into Hawaii from the British Isles,
Australia, Guam, or New Zealand. e provisions of
paragraph (a)(1)(iii) of this section do not apply to any
person who lawfully imports a live dog into the State of
Hawaii from the British Isles, Australia, Guam, or New
Zealand in compliance with the applicable regulations of
the State of Hawaii, provided that the dog is not transported
out of the State of Hawaii for purposes of resale at less than 6
months of age.
(Approved by the Oce of Management and Budget under control number 0579–0379)
§ 2.152 Notification of arrival.
Upon the arrival of a dog at the port of rst arrival in the States, the
person intending to import the dog, or his or her agent, must present
the import permit and any applicable certications and veterinary
treatment agreement required by this subpart to the collector of customs
for use at that port.
(Approved by the Oce of Management and Budget under control number 0579–0379)
125
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PART 2
Subpart J
124
Part 2, Subpart J, § 2.153
§ 2.153 Dogs refused entry.
Any dog refused entry into the States for noncompliance with the
requirements of this subpart or the Act may be removed from the States
or may be seized and the person intending to import the dog shall
provide for the care (including appropriate veterinary care), forfeiture,
and adoption of the dog, at his or her expense.
126
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Table of
Contents
Part 3
9 CFR AWA (5-1-2023 Edition)
PART 3 – STANDARDS
SUBPART A
Specications for the Humane Handling, Care, Treatment, and
Transportation of Dogs and Cats
FACILITIES AND OPERATING STANDARDS
§ 3.1 Housing facilities, general.
§ 3.2 Indoor housing facilities.
§ 3.3 Sheltered housing facilities.
§ 3.4 Outdoor housing facilities.
§ 3.5 Mobile or traveling housing facilities.
§ 3.6 Primary enclosures.
ANIMAL HEALTH AND HUSBANDRY STANDARDS
§ 3.7 Compatible grouping.
§ 3.8 Exercise for dogs.
§ 3.9 Feeding.
§ 3.10 Watering.
§ 3.11 Cleaning, sanitization, housekeeping, and pest control.
§ 3.12 Employees.
§ 3.13 Veterinary care for dogs.
TRANSPORTATION STANDARDS
§ 3.14 Consignment to carriers and intermediate handlers.
§ 3.15 Primary enclosures used to transport live
dogs and cats.
§ 3.16 Primary conveyances (motor vehicle, rail, air, and marine).
§ 3.17 Food and water requirements.
§ 3.18 Care in transit.
§ 3.19 Terminal facilities.
§ 3.20 Handling.
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Part 3
SUBPART B
Specications for the Humane Handling, Care, Treatment, and
Transportation of Guinea Pigs and Hamsters
FACILITIES AND OPERATING STANDARDS
§ 3.25 Facilities, general.
§ 3.26 Facilities, indoor.
§ 3.27 Facilities, outdoor.
§ 3.28 Primary enclosures.
ANIMAL HEALTH AND HUSBANDRY STANDARDS
§ 3.29 Feeding.
§ 3.30 Watering.
§ 3.31 Sanitation.
§ 3.32 Employees.
§ 3.33 Classication and separation.
§ 3.34 [Reserved]
TRANSPORTATION STANDARDS
§ 3.35 Consignments to carriers and intermediate handlers.
§ 3.36 Primary enclosures used to transport live guinea pigs and
hamsters.
§ 3.37 Primary conveyances (motor vehicle, rail, air, and marine).
§ 3.38 Food and water requirements.
§ 3.39 Care in transit.
§ 3.40 Terminal facilities.
§ 3.41 Handling.
SUBPART C
Specications for the Humane Handling, Care,
Treatment and Transportation of Rabbits
FACILITIES AND OPERATING STANDARDS
§ 3.50 Facilities, general.
§ 3.51 Facilities, indoor.
§ 3.52 Facilities, outdoor.
§ 3.53 Primary enclosures.
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ANIMAL HEALTH AND HUSBANDRY STANDARDS
§ 3.54 Feeding.
§ 3.55 Watering.
§ 3.56 Sanitation.
§ 3.57 Employees.
§ 3.58 Classication and separation.
§ 3.59 [Reserved]
TRANSPORTATION STANDARDS
§ 3.60 Consignments to carriers and intermediate handlers.
§ 3.61 Primary enclosures used to transport live rabbits.
§ 3.62 Primary conveyances (motor vehicle, rail, air, and marine).
§ 3.63 Food and water requirements.
§ 3.64 Care in transit.
§ 3.65 Terminal facilities.
§ 3.66 Handling.
SUBPART D
Specications for the Humane Handling, Care, Treatment, and
Transportation of Nonhuman Primates
FACILITIES AND OPERATING STANDARDS
§ 3.75 Housing facilities, general.
§ 3.76 Indoor housing facilities.
§ 3.77 Sheltered housing facilities.
§ 3.78 Outdoor housing facilities.
§ 3.79 Mobile or traveling housing facilities.
§ 3.80 Primary enclosures.
§ 3.81 Environment enhancement to promote psychological well-being.
ANIMAL HEALTH AND HUSBANDRY STANDARDS
§ 3.105 Feeding.
§ 3.106 Water quality.
§ 3.107 Sanitation.
§ 3.108 Employees or attendants.
§ 3.109 Separation.
§ 3.110 Veterinary care.
§ 3.111 Swim-with-the-dolphin programs.
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Animal Welfare Act, USDA
Part 3
TRANSPORTATION STANDARDS
§ 3.86 Consignments to carriers and intermediate handlers.
§ 3.87 Primary enclosures used to transport
nonhuman primates.
§ 3.88 Primary conveyances (motor vehicle, rail, air, and marine).
§ 3.89 Food and water requirements.
§ 3.90 Care in transit.
§ 3.91 Terminal facilities.
§ 3.92 Handling.
SUBPART E
Specications for the Humane Handling, Care, Treatment, and
Transportation of Marine Mammals
FACILITIES AND OPERATING STANDARDS
§ 3.100 Special considerations regarding compliance and/or variance.
§ 3.101 Facilities, general.
§ 3.102 Facilities, indoor.
§ 3.103 Facilities, outdoor.
§ 3.104 Space requirements.
ANIMAL HEALTH AND HUSBANDRY STANDARDS
§ 3.105 Feeding.
§ 3.106 Water quality.
§ 3.107 Sanitation.
§ 3.108 Employees or attendants.
§ 3.109 Separation.
§ 3.110 Veterinary care.
§ 3.111 Swim-with-the-dolphin programs.
TRANSPORTATION STANDARDS
§ 3.112 Consignments to carriers and intermediate handlers.
§ 3.113 Primary enclosures used to transport marine mammals.
§ 3.114 Primary conveyances (motor vehicle, rail, air and marine).
§ 3.115 Food and drinking water requirements.
§ 3.116 Care in transit.
§ 3.117 Terminal facilities.
§ 3.118 Handling.
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9 CFR AWA (5-1-2023 Edition)
SUBPART F
Specications for the Humane Handling, Care, Treatment, and
Transportation of Warm-blooded Animals Other an Dogs, Cats, Rabbits,
Hamsters, Guinea Pigs, Nonhuman Primates, Marine Mammals, and Birds
FACILITIES AND OPERATING STANDARDS
§ 3.125 Facilities, general.
§ 3.126 Facilities, indoor.
§ 3.127 Facilities, outdoor.
§ 3.128 Space requirements.
ANIMAL HEALTH AND HUSBANDRY STANDARDS
§ 3.129 Feeding.
§ 3.130 Watering.
§ 3.131 Sanitation.
§ 3.132 Employees.
§ 3.133 Separation.
§§ 3.1343.135 [Reserved]
TRANSPORTATION STANDARDS
§ 3.136 Consignments to carriers and intermediate handlers.
§ 3.137 Primary enclosures used to transport live animals.
§ 3.138 Primary conveyances (motor vehicle, rail, air, and marine).
§ 3.139 Food and water requirements.
§ 3.140 Care in transit.
§ 3.141 Terminal facilities.
§ 3.142 Handling.
SUBPART G
Specications for the Humane Handling, Care, Treatment, and
Transportation of Birds
FACILITIES AND OPERATING STANDARDS
§ 3.150 Facilities, general.
§ 3.151 Facilities, indoor.
§ 3.152 Facilities, outdoor.
§ 3.153 Primary enclosures.
§ 3.154 Environment enhancement to promote psychological well-being.
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Animal Welfare Act, USDA
Part 3
ANIMAL HEALTH AND HUSBANDRY STANDARDS
§ 3.155 Feeding.
§ 3.156 Watering.
§ 3.157 Water quality.
§ 3.158 Cleaning, sanitization, housekeeping, and pest control.
§ 3.159 Employees.
§ 3.160 Compatibility and separation.
TRANSPORTATION STANDARDS
§ 3.161 Consignments to carriers and intermediate handlers.
§ 3.162 Primary enclosures used to transport live birds.
§ 3.163 Primary conveyances (motor vehicle, rail, air, and marine).
§ 3.164 Food and water requirements.
§ 3.165 Care in transit.
§ 3.166 Terminal facilities.
§ 3.167 Handling.
§ 3.168 Climatic and environmental conditions during transportation.
Authority: 7 U.S.C. 2131-2159; 7 CFR 2.22, 2.80, and 371.7.
Source: 32 FR 3273, Feb. 24, 1967, unless otherwise noted.
132
PART 3
Subpart A
Dogs &
Cats
Part 3, Subpart A, § 3.1
9 CFR AWA (5-1-2023 Edition)
SUBPART A
Specications for the Humane Handling,
Care, Treatment, and Transportation
of Dogs and Cats
1
Source: 56 FR 6486, Feb. 15, 1991, unless otherwise noted.
FACILITIES AND OPERATING STANDARDS
§ 3.1 - Housing facilities, general.
a. Structure; construction. Housing facilities for dogs and cats
must be designed and constructed so that they are structurally
sound. ey must be kept in good repair, and they must protect
the animals from injury, contain the animals securely, and restrict
other animals from entering.
b. Condition and site. Housing facilities and areas used for storing
animal food or bedding must be free of any accumulation of
trash, waste material, junk, weeds, and other discarded materials.
Animal areas inside of housing facilities must be kept neat
and free of clutter, including equipment, furniture, and stored
material, but may contain materials actually used and necessary
for cleaning the area, and xtures or equipment necessary
for proper husbandry practices and research needs. Housing
facilities other than those maintained by research facilities and
Federal research facilities must be physically separated from
any other business. If a housing facility is located on the same
premises as another business, it must be physically separated
from the other business so that animals the size of dogs, skunks,
and raccoons are prevented from entering it.
c. Surfaces.
1. General requirements. e surfaces of housing facilities –
including houses, dens, and other furniture-type xtures and
objects within the facility – must be constructed in a manner
1 ese minimum standards apply only to live dogs and cats, unless stated otherwise.
133
PART 3
Subpart A
Dogs &
Cats
132
Animal Welfare Act, USDA
Part 3, Subpart A, § 3.1
and made of materials that allow them to be readily cleaned
and sanitized, or removed or replaced when worn or soiled.
Interior surfaces and any surfaces that come in contact with
dogs or cats must:
i. Be free of excessive rust that prevents the required
cleaning and sanitization, or that aects the structural
strength of the surface; and
ii. Be free of jagged edges or sharp points that might injure
the animals.
2. Maintenance and replacement of surfaces. All surfaces
must be maintained on a regular basis. Surfaces of housing
facilities – including houses, dens, and other furniture-type
xtures and objects within the facility – that cannot be readily
cleaned and sanitized, must be replaced when worn or
soiled.
3. Cleaning. Hard surfaces with which the dogs or cats
come in contact must be spot-cleaned daily and sanitized
in accordance with § 3.11(b) of this subpart to prevent
accumulation of excreta and reduce disease hazards. Floors
made of dirt, absorbent bedding, sand, gravel, grass, or other
similar material must be raked or spot-cleaned with sucient
frequency to ensure all animals the freedom to avoid contact
with excreta. Contaminated material must be replaced
whenever this raking and spot-cleaning is not sucient
to prevent or eliminate odors, insects, pests, or vermin
infestation. All other surfaces of housing facilities must be
cleaned and sanitized when necessary to satisfy generally
accepted husbandry standards and practices. Sanitization
may be done using any of the methods provided in § 3.11(b)
(3) for primary enclosures.
d. Water and electric power. e housing facility must have reliable
electric power adequate for heating, cooling, ventilation, and
lighting, and for carrying out other husbandry requirements in
accordance with the regulations in this subpart. e housing
facility must provide adequate running potable water for the
dogs’ and cats’ drinking needs, for cleaning, and for carrying out
other husbandry requirements.
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Subpart A
Dogs &
Cats
Part 3, Subpart A, § 3.1
e. Storage. Supplies of food and bedding must be stored in a
manner that protects the supplies from spoilage, contamination,
and vermin infestation. e supplies must be stored o the
oor and away from the walls, to allow cleaning underneath
and around the supplies. Foods requiring refrigeration must be
stored accordingly, and all food must be stored in a manner that
prevents contamination and deterioration of its nutritive value.
All open supplies of food and bedding must be kept in leakproof
containers with tightly tting lids to prevent contamination and
spoilage. Only food and bedding that is currently being used may
be kept in the animal areas. Substances that are toxic to the dogs
or cats but are required for normal husbandry practices must not
be stored in food storage and preparation areas, but may be stored
in cabinets in the animal areas.
f. Drainage and waste disposal. Housing facility operators must
provide for regular and frequent collection, removal, and disposal
of animal and food wastes, bedding, debris, garbage, water,
other uids and wastes, and dead animals, in a manner that
minimizes contamination and disease risks. Housing facilities
must be equipped with disposal facilities and drainage systems
that are constructed and operated so that animal waste and
water are rapidly eliminated and animals stay dry. Disposal and
drainage systems must minimize vermin and pest infestation,
insects, odors, and disease hazards. All drains must be properly
constructed, installed, and maintained. If closed drainage
systems are used, they must be equipped with traps and prevent
the backow of gases and the backup of sewage onto the oor.
If the facility uses sump or settlement ponds, or other similar
systems for drainage and animal waste disposal, the system must
be located far enough away from the animal area of the housing
facility to prevent odors, diseases, pests, and vermin infestation.
Standing puddles of water in animal enclosures must be drained
or mopped up so that the animals stay dry. Trash containers in
housing facilities and in food storage and food preparation areas
must be leak-proof and must have tightly tted lids on them at all
times. Dead animals, animal parts, and animal waste must not be
kept in food storage or food preparation areas, food freezers, food
refrigerators, or animal areas.
135
Animal Welfare Act, USDA
PART 3
Subpart A
Dogs &
Cats
134
Part 3, Subpart A, § 3.2
g. Washrooms and sinks. Washing facilities such as washrooms,
basins, sinks, or showers must be provided for animal caretakers
and must be readily accessible.
§ 3.2 - Indoor housing facilities.
a. Heating, cooling, and temperature. Indoor housing facilities
for dogs and cats must be suciently heated and cooled when
necessary to protect the dogs and cats from temperature or
humidity extremes and to provide for their health and well-being.
When dogs or cats are present, the ambient temperature in the
facility must not fall below 50 °F (10 °C) for dogs and cats not
acclimated to lower temperatures, for those breeds that cannot
tolerate lower temperatures without stress or discomfort (such
as short-haired breeds), and for sick, aged, young, or inrm dogs
and cats, except as approved by the attending veterinarian. Dry
bedding, solid resting boards, or other methods of conserving
body heat must be provided when temperatures are below 50 °F
(10 °C). e ambient temperature must not fall below 45 °F (7.2 °C)
for more than 4 consecutive hours when dogs or cats are present,
and must not rise above 85 °F (29.5 °C) for more than 4 consecutive
hours when dogs or cats are present. e preceding requirements
are in addition to, not in place of, all other requirements pertaining
to climatic conditions in parts 2 and 3 of this chapter.
b. Ventilation. Indoor housing facilities for dogs and cats must be
suciently ventilated at all times when dogs or cats are present to
provide for their health and well-being, and to minimize odors,
drafts, ammonia levels, and moisture condensation. Ventilation
must be provided by windows, vents, fans, or air conditioning.
Auxiliary ventilation, such as fans, blowers, or air conditioning
must be provided when the ambient temperature is 85°F (29.5
°C) or higher. e relative humidity must be maintained at a level
that ensures the health and well-being of the dogs or cats housed
therein, in accordance with the directions of the attending
veterinarian and generally accepted professional and husbandry
practices.
c. Lighting. Indoor housing facilities for dogs and cats must be
lighted well enough to permit routine inspection and cleaning of
136
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PART 3
Subpart A
Dogs &
Cats
Part 3, Subpart A, § 3.3
the facility, and observation of the dogs and cats. Animal areas
must be provided a regular diurnal lighting cycle of either natural
or articial light. Lighting must be uniformly diused throughout
animal facilities and provide sucient illumination to aid in
maintaining good housekeeping practices, adequate cleaning,
adequate inspection of animals, and for the well-being of the
animals. Primary enclosures must be placed so as to protect the
dogs and cats from excessive light.
d. Interior surfaces. e oors and walls of indoor housing
facilities, and any other surfaces in contact with the animals,
must be impervious to moisture. e ceilings of indoor housing
facilities must be impervious to moisture or be replaceable (e.g., a
suspended ceiling with replaceable panels).
[56 FR 6486, Feb. 15, 1991, as amended at 63 FR 10498, Mar. 4, 1998]
§ 3.3 - Sheltered housing facilities.
a. Heating, cooling, and temperature. e sheltered part of
sheltered housing facilities for dogs and cats must be suciently
heated and cooled when necessary to protect the dogs and cats
from temperature or humidity extremes and to provide for their
health and well-being. e ambient temperature in the sheltered
part of the facility must not fall below 50 °F (10 °C) for dogs and
cats not acclimated to lower temperatures, for those breeds that
cannot tolerate lower temperatures without stress and discomfort
(such as short-haired breeds), and for sick, aged, young, or inrm
dogs or cats, except as approved by the attending veterinarian.
Dry bedding, solid resting boards, or other methods of conserving
body heat must be provided when temperatures are below 50 °F
(10 °C). e ambient temperature must not fall below 45 °F (7.2 °C)
for more than 4 consecutive hours when dogs or cats are present,
and must not rise above 85 °F (29.5 °C) for more than 4 consecutive
hours when dogs or cats are present. e preceding requirements
are in addition to, not in place of, all other requirements pertaining
to climatic conditions in parts 2 and 3 of this chapter.
b. Ventilation. e enclosed or sheltered part of sheltered housing
facilities for dogs and cats must be suciently ventilated when
137
Animal Welfare Act, USDA
PART 3
Subpart A
Dogs &
Cats
136
Part 3, Subpart A, § 3.3
dogs or cats are present to provide for their health and well-being,
and to minimize odors, drafts, ammonia levels, and moisture
condensation. Ventilation must be provided by windows, doors,
vents, fans, or air conditioning. Auxiliary ventilation, such as fans,
blowers, or air-conditioning, must be provided when the ambient
temperature is 85 °F (29.5 °C) or higher.
c. Lighting. Sheltered housing facilities for dogs and cats must be
lighted well enough to permit routine inspection and cleaning of
the facility, and observation of the dogs and cats. Animal areas
must be provided a regular diurnal lighting cycle of either natural
or articial light. Lighting must be uniformly diused throughout
animal facilities and provide sucient illumination to aid in
maintaining good housekeeping practices, adequate cleaning,
adequate inspection of animals, and for the well-being of the
animals. Primary enclosures must be placed so as to protect the
dogs and cats from excessive light.
d. Shelter from the elements. Dogs and cats must be provided
with adequate shelter from the elements at all times to protect
their health and well-being. e shelter structures must be large
enough to allow each animal to sit, stand, and lie in a normal
manner and to turn about freely.
e. Surfaces.
1. e following areas in sheltered housing facilities must be
impervious to moisture:
i. Indoor oor areas in contact with the animals;
ii. Outdoor oor areas in contact with the animals, when
the oor areas are not exposed to the direct sun, or are
made of a hard material such as wire, wood, metal, or
concrete; and
iii. All walls, boxes, houses, dens, and other surfaces in
contact with the animals.
2. Outside oor areas in contact with the animals and exposed
to the direct sun may consist of compacted earth, absorbent
bedding, sand, gravel, or grass.
[56 FR 6486, Feb. 15, 1991, as amended at 63 FR 10498, Mar. 4, 1998]
138
9 CFR AWA (5-1-2023 Edition)
PART 3
Subpart A
Dogs &
Cats
Part 3, Subpart A, § 3.4
§ 3.4 - Outdoor housing facilities.
a. Restrictions.
1. e following categories of dogs or cats must not be kept in
outdoor facilities, unless that practice is specically approved
by the attending veterinarian:
i. Dogs or cats that are not acclimated to the temperatures
prevalent in the area or region where they are
maintained;
ii. Breeds of dogs or cats that cannot tolerate the prevalent
temperatures of the area without stress or discomfort
(such as short-haired breeds in cold climates); and
iii. Sick, inrm, aged or young dogs or cats.
2. When their acclimation status is unknown, dogs and cats
must not be kept in outdoor facilities when the ambient
temperature is less than 50 °F (10 °C).
b. Shelter from the elements. Outdoor facilities for dogs or cats
must include one or more shelter structures that are accessible
to each animal in each outdoor facility, and that are large enough
to allow each animal in the shelter structure to sit, stand, and lie
in a normal manner, and to turn about freely. In addition to the
shelter structures, one or more separate outside areas of shade
must be provided, large enough to contain all the animals at one
time and protect them from the direct rays of the sun. Shelters in
outdoor facilities for dogs or cats must contain a roof, four sides,
and a oor, and must:
1. Provide the dogs and cats with adequate protection and
shelter from the cold and heat;
2. Provide the dogs and cats with protection from the direct rays
of the sun and the direct eect of wind, rain, or snow;
3. Be provided with a wind break and rain break at the entrance;
and
4. Contain clean, dry, bedding material if the ambient
temperature is below 50 °F (10 °C). Additional clean, dry
bedding is required when the temperature is 35 °F (1.7 °C) or
lower.
c. Construction. Building surfaces in contact with animals in
outdoor housing facilities must be impervious to moisture.
139
Animal Welfare Act, USDA
PART 3
Subpart A
Dogs &
Cats
138
Part 3, Subpart A, § 3.5
Metal barrels, cars, refrigerators or freezers, and the like must
not be used as shelter structures. e oors of outdoor housing
facilities may be of compacted earth, absorbent bedding, sand,
gravel, or grass, and must be replaced if there are any prevalent
odors, diseases, insects, pests, or vermin. All surfaces must be
maintained on a regular basis. Surfaces of outdoor housing
facilities – including houses, dens, etc. – that cannot be readily
cleaned and sanitized must be replaced when worn or soiled.
§ 3.5 - Mobile or traveling housing facilities.
a. Heating, cooling, and temperature. Mobile or traveling housing
facilities for dogs and cats must be suciently heated and cooled
when necessary to protect the dogs and cats from temperature or
humidity extremes and to provide for their health and well-being.
e ambient temperature in the mobile or traveling housing
facility must not fall below 50 °F (10 °C) for dogs and cats not
acclimated to lower temperatures, for those breeds that cannot
tolerate lower temperatures without stress or discomfort (such
as short-haired breeds), and for sick, aged, young, or inrm dogs
and cats. Dry bedding, solid resting boards, or other methods
of conserving body heat must be provided when temperatures
are below 50 °F (10 °C). e ambient temperature must not fall
below 45 °F (7.2 °C) for more than 4 consecutive hours when
dogs or cats are present, and must not exceed 85 °F (29.5 °C) for
more than 4 consecutive hours when dogs or cats are present.
e preceding requirements are in addition to, not in place of, all
other requirements pertaining to climatic conditions in parts 2
and 3 of this chapter.
b. Ventilation. Mobile or traveling housing facilities for dogs and
cats must be suciently ventilated at all times when dogs or
cats are present to provide for the health and well-being of the
animals, and to minimize odors, drafts, ammonia levels, moisture
condensation, and exhaust fumes. Ventilation must be provided
by means of windows, doors, vents, fans, or air conditioning.
Auxiliary ventilation, such as fans, blowers, or air conditioning,
must be provided when the ambient temperature within the
animal housing area is 85 °F (29.5 °C) or higher.
140
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PART 3
Subpart A
Dogs &
Cats
Part 3, Subpart A, § 3.6
c. Lighting. Mobile or traveling housing facilities for dogs and
cats must be lighted well enough to permit proper cleaning and
inspection of the facility, and observation of the dogs and cats.
Animal areas must be provided a regular diurnal lighting cycle
of either natural or articial light. Lighting must be uniformly
diused throughout animal facilities and provide sucient
illumination to aid in maintaining good housekeeping practices,
adequate cleaning, adequate inspection of animals, and for the
well-being of the animals.
[32 FR 3273, Feb. 24, 1967, as amended at 63 FR 10498, Mar. 4, 1998]
§ 3.6 - Primary enclosures.
Primary enclosures for dogs and cats must meet the following minimum
requirements:
a. General requirements.
1. Primary enclosures must be designed and constructed of
suitable materials so that they are structurally sound. e
primary enclosures must be kept in good repair.
2. Primary enclosures must be constructed and maintained so
that they:
i. Have no sharp points or edges that could injure the dogs
and cats;
ii. Protect the dogs and cats from injury;
iii. Contain the dogs and cats securely;
iv. Keep other animals from entering the enclosure;
v. Enable the dogs and cats to remain dry and clean;
vi. Provide shelter and protection from extreme
temperatures and weather conditions that may be
uncomfortable or hazardous to all the dogs and cats;
vii. Provide sucient shade to shelter all the dogs and cats
housed in the primary enclosure at one time;
viii. Provide all the dogs and cats with easy and convenient
access to clean food and water;
ix. Enable all surfaces in contact with the dogs and cats to be
readily cleaned and sanitized in accordance with § 3.11(b)
of this subpart, or be replaceable when worn or soiled;
x. Have oors that are constructed in a manner that protects
the dogs’ and cats’ feet and legs from injury, and that, if of
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mesh or slatted construction, do not allow the dogs’ and
cats’ feet to pass through any openings in the oor;
xi. Provide sucient space to allow each dog and cat to turn
about freely, to stand, sit, and lie in a comfortable, normal
position, and to walk in a normal manner; and
xii. If the suspended oor of a primary enclosure is
constructed of metal strands, the strands must either
be greater than 1⁄8 of an inch in diameter (9 gauge) or
coated with a material such as plastic or berglass. e
suspended oor of any primary enclosure must be strong
enough so that the oor does not sag or bend between
the structural supports.
b. Additional requirements for cats.
1. Space. Each cat, including weaned kittens, that is housed in
any primary enclosure must be provided minimum vertical
space and oor space as follows:
i. Each primary enclosure housing cats must be at least 24
in. high (60.96 cm);
ii. Cats up to and including 8.8 lbs (4 kg) must be provided
with at least 3.0 ft
2
(0.28 m
2
);
iii. Cats over 8.8 lbs (4 kg) must be provided with at least 4.0
ft
2
(0.37 m
2
);
iv. Each queen with nursing kittens must be provided
with an additional amount of oor space, based on her
breed and behavioral characteristics, and in accordance
with generally accepted husbandry practices. If the
additional amount of oor space for each nursing kitten
is equivalent to less than 5 percent of the minimum
requirement for the queen, such housing must be
approved by the attending veterinarian in the case
of a research facility, and, in the case of dealers and
exhibitors, such housing must be approved by the
Administrator; and
v. e minimum oor space required by this section is
exclusive of any food or water pans. e litter pan may be
considered part of the oor space if properly cleaned and
sanitized.
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Dogs &
Cats
Part 3, Subpart A, § 3.6
2. Compatibility. All cats housed in the same primary enclosure
must be compatible, as determined by observation. Not more
than 12 adult non- conditioned cats may be housed in the
same primary enclosure. Queens in heat may not be housed
in the same primary enclosure with sexually mature males,
except for breeding. Except when maintained in breeding
colonies, queens with litters may not be housed in the same
primary enclosure with other adult cats, and kittens under
4 months of age may not be housed in the same primary
enclosure with adult cats, other than the dam or foster dam.
Cats with a vicious or aggressive disposition must be housed
separately.
3. Litter. In all primary enclosures, a receptacle containing
sucient clean litter must be provided to contain excreta and
body wastes.
4. Resting surfaces. Each primary enclosure housing cats must
contain a resting surface or surfaces that, in the aggregate,
are large enough to hold all the occupants of the primary
enclosure at the same time comfortably. e resting surfaces
must be elevated, impervious to moisture, and be able to be
easily cleaned and sanitized, or easily replaced when soiled
or worn. Low resting surfaces that do not allow the space
under them to be comfortably occupied by the animal will be
counted as part of the oor space.
5. Cats in mobile or traveling shows or acts. Cats that are
part of a mobile or traveling show or act may be kept, while
the show or act is traveling from one temporary location
to another, in transport containers that comply with all
requirements of § 3.15 other than the marking requirements
in § 3.15(a)(6). When the show or act is not traveling, the
cats must be placed in primary enclosures that meet the
minimum requirements of this section.
c. Additional requirements for dogs.
1. Space.
i. Each dog housed in a primary enclosure (including
weaned puppies) must be provided a minimum
amount of oor space, calculated as follows: Find the
mathematical square of the sum of the length of the dog
in inches (measured from the tip of its nose to the base of
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its tail) plus 6 inches; then divide the product by 144. e
calculation is: (length of dog in inches + 6) × (length of
dog in inches + 6) = required oor space in square inches.
Required oor space in inches/144 = required oor space
in square feet.
ii. Each bitch with nursing puppies must be provided with
an additional amount of oor space, based on her breed
and behavioral characteristics, and in accordance with
generally accepted husbandry practices as determined by
the attending veterinarian. If the additional amount of oor
space for each nursing puppy is less than 5 percent of the
minimum requirement for the bitch, such housing must
be approved by the attending veterinarian in the case of a
research facility, and, in the case of dealers and exhibitors,
such housing must be approved by the Administrator.
iii. e interior height of a primary enclosure must be at
least 6 inches higher than the head of the tallest dog in
the enclosure when it is in a normal standing position:
Provided at, prior to February 15, 1994, each dog must
be able to stand in a comfortable normal position.
2. Compatibility. All dogs housed in the same primary
enclosure must be compatible, as determined by
observation. Not more than 12 adult non- conditioned dogs
may be housed in the same primary enclosure. Bitches in
heat may not be housed in the same primary enclosure with
sexually mature males, except for breeding. Except when
maintained in breeding colonies, bitches with litters may not
be housed in the same primary enclosure with other adult
dogs, and puppies under 4 months of age may not be housed
in the same primary enclosure with adult dogs, other than
the dam or foster dam. Dogs with a vicious or aggressive
disposition must be housed separately.
3. Dogs in mobile or traveling shows or acts. Dogs that are
part of a mobile or traveling show or act may be kept, while
the show or act is traveling from one temporary location
to another, in transport containers that comply with all
requirements of § 3.15 other than the marking requirements
in § 3.15(a)(6). When the show or act is not traveling, the
dogs must be placed in primary enclosures that meet the
minimum requirements of this section.
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Dogs &
Cats
Part 3, Subpart A, § 3.7
4. Prohibited means of primary enclosure. Permanent
tethering of dogs is prohibited for use as primary enclosure.
Temporary tethering of dogs is prohibited for use as primary
enclosure unless approval is obtained from APHIS.
d. Innovative primary enclosures not precisely meeting the oor
area and height requirements provided in paragraphs (b)(1)
and (c)(1) of this section, but that provide the dogs or cats with
a sucient volume of space and the opportunity to express
species-typical behavior, may be used at research facilities when
approved by the Committee, and by dealers and exhibitors when
approved by the Administrator.
(Approved by the Oce of Management and Budget under control number 0579-0093)
[56 FR 6486, Feb. 15, 1991, as amended at 62 FR 43275, Aug. 13, 1997; 63 FR 3023, Jan. 21,
1998; 63 FR 37482, July 13, 1998]
ANIMAL HEALTH AND HUSBANDRY STANDARDS
§ 3.7 - Compatible grouping.
Dogs and cats that are housed in the same primary enclosure must be
compatible, with the following restrictions:
a. Females in heat (estrus) may not be housed in the same primary
enclosure with males, except for breeding purposes;
b. Any dog or cat exhibiting a vicious or overly aggressive disposition
must be housed separately;
c. Puppies or kittens 4 months of age or less may not be housed in
the same primary enclosure with adult dogs or cats other than
their dams or foster dams, except when permanently maintained
in breeding colonies;
d. Dogs or cats may not be housed in the same primary enclosure
with any other species of animals, unless they are compatible;
and
e. Dogs and cats that have or are suspected of having a contagious
disease must be isolated from healthy animals in the colony, as
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directed by the attending veterinarian. When an entire group or
room of dogs and cats is known to have or believed to be exposed
to an infectious agent, the group may be kept intact during the
process of diagnosis, treatment, and control.
§ 3.8 - Exercise for dogs.
Dealers, exhibitors, and research facilities must develop, document,
and follow an appropriate plan to provide dogs with the opportunity
for exercise. In addition, the plan must be approved by the attending
veterinarian. e plan must include written standard procedures to
be followed in providing the opportunity for exercise. e plan must
be made available to APHIS upon request, and, in the case of research
facilities, to ocials of any pertinent funding Federal agency. e plan,
at a minimum, must comply with each of the following:
a. Dogs housed individually. Dogs over 12 weeks of age, except
bitches with litters, housed, held, or maintained by any dealer,
exhibitor, or research facility, including Federal research facilities,
must be provided the opportunity for exercise regularly if they are
kept individually in cages, pens, or runs that provide less than two
times the required oor space for that dog, as indicated by § 3.6(c)
(1) of this subpart.
b. Dogs housed in groups. Dogs over 12 weeks of age housed,
held, or maintained in groups by any dealer, exhibitor, or
research facility, including Federal research facilities, do not
require additional opportunity for exercise regularly if they are
maintained in cages, pens, or runs that provide in total at least
100 percent of the required space for each dog if maintained
separately. Such animals may be maintained in compatible
groups, unless:
1. Housing in compatible groups is not in accordance with a
research proposal and the proposal has been approved by the
research facility Committee;
2. In the opinion of the attending veterinarian, such housing
would adversely aect the health or well-being of the dog(s);
or
3. Any dog exhibits aggressive or vicious behavior.
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Dogs &
Cats
Part 3, Subpart A, § 3.8
c. Methods and period of providing exercise opportunity.
1. e frequency, method, and duration of the opportunity for
exercise shall be determined by the attending veterinarian
and, at research facilities, in consultation with and approval
by the Committee.
2. Dealers, exhibitors, and research facilities, in developing
their plan, should consider providing positive physical
contact with humans that encourages exercise through
play or other similar activities. If a dog is housed, held, or
maintained at a facility without sensory contact with another
dog, it must be provided with positive physical contact with
humans at least daily.
3. e opportunity for exercise may be provided in a number of
ways, such as:
i. Group housing in cages, pens or runs that provide at
least 100 percent of the required space for each dog if
maintained separately under the minimum oor space
requirements of § 3.6(c)(1) of this subpart;
ii. Maintaining individually housed dogs in cages, pens, or
runs that provide at least twice the minimum oor space
required by § 3.6(c)(1) of this subpart;
iii. Providing access to a run or open area at the frequency
and duration prescribed by the attending veterinarian; or
iv. Other similar activities.
4. Forced exercise methods or devices such as swimming,
treadmills, or carousel-type devices are unacceptable for
meeting the exercise requirements of this section.
d. Exemptions.
1. If, in the opinion of the attending veterinarian, it is
inappropriate for certain dogs to exercise because of their
health, condition, or well-being, the dealer, exhibitor,
or research facility may be exempted from meeting the
requirements of this section for those dogs. Such exemption
must be documented by the attending veterinarian and,
unless the basis for exemption is a permanent condition,
must be reviewed at least every 30 days by the attending
veterinarian.
2. A research facility may be exempted from the requirements
of this section if the principal investigator determines for
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Part 3, Subpart A, § 3.9
scientic reasons set forth in the research proposal that it is
inappropriate for certain dogs to exercise. Such exemption
must be documented in the Committee-approved proposal
and must be reviewed at appropriate intervals as determined
by the Committee, but not less than annually.
3. Records of any exemptions must be maintained and made
available to USDA ocials or any pertinent funding Federal
agency upon request.
(Approved by the Oce of Management and Budget under control number 0579-0093)
§ 3.9 - Feeding.
a. Dogs and cats must be fed at least once each day, except as
otherwise might be required to provide adequate veterinary care.
e food must be uncontaminated, wholesome, palatable, and
of sucient quantity and nutritive value to maintain the normal
condition and weight of the animal. e diet must be appropriate
for the individual animal’s age and condition.
b. Food receptacles must be used for dogs and cats, must be readily
accessible to all dogs and cats, and must be located so as to
minimize contamination by excreta and pests, and be protected
from rain and snow. Feeding pans must either be made of a
durable material that can be easily cleaned and sanitized or be
disposable. If the food receptacles are not disposable, they must be
kept clean and must be sanitized in accordance with § 3.11(b) of
this subpart. Sanitization is achieved by using one of the methods
described in § 3.11(b)(3) of this subpart. If the food receptacles are
disposable, they must be discarded after one use. Self-feeders may
be used for the feeding of dry food. If self-feeders are used, they
must be kept clean and must be sanitized in accordance with §
3.11(b) of this subpart. Measures must be taken to ensure that there
is no molding, deterioration, and caking of feed.
§ 3.10 - Watering.
a. Potable water must be continuously available to the dogs, unless
restricted by the attending veterinarian or excepted as provided
in § 3.17(a).
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Dogs &
Cats
Part 3, Subpart A, § 3.11
b. If potable water is not continuously available to the cats, it must
be oered to the cats as often as necessary to ensure their health
and well-being, but not less than twice daily for at least 1 hour
each time, unless restricted by the attending veterinarian.
c. Water receptacles must be kept clean and sanitized in accordance
with §3.11(b) and before being used to water a dierent dog or cat
or a dierent social grouping of dogs or cats.
§ 3.11 - Cleaning, sanitization, housekeeping, and pest
control.
a. Cleaning of primary enclosures. Excreta and food waste must
be removed from primary enclosures daily, and from under
primary enclosures as often as necessary to prevent an excessive
accumulation of feces and food waste, to prevent soiling of the
dogs or cats contained in the primary enclosures, and to reduce
disease hazards, insects, pests and odors. When steam or water is
used to clean the primary enclosure, whether by hosing, ushing,
or other methods, dogs and cats must be removed, unless the
enclosure is large enough to ensure the animals would not be
harmed, wetted, or distressed in the process. Standing water must
be removed from the primary enclosure and animals in other
primary enclosures must be protected from being contaminated
with water and other wastes during the cleaning. e pans under
primary enclosures with grill-type oors and the ground areas
under raised runs with mesh or slatted oors must be cleaned
as often as necessary to prevent accumulation of feces and food
waste and to reduce disease hazards pests, insects and odors.
b. Sanitization of primary enclosures and food and water
receptacles.
1. Used primary enclosures and food and water receptacles
must be cleaned and sanitized in accordance with this
section before they can be used to house, feed, or water
another dog or cat, or social grouping of dogs or cats.
2. Used primary enclosures and food and water receptacles for
dogs and cats must be sanitized at least once every 2 weeks
using one of the methods prescribed in paragraph (b)(3)
of this section, and more often if necessary to prevent an
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Part 3, Subpart A, § 3.11
accumulation of dirt, debris, food waste, excreta, and other
disease hazards.
3. Hard surfaces of primary enclosures and food and water
receptacles must be sanitized using one of the following
methods:
i. Live steam under pressure;
ii. Washing with hot water (at least 180 °F (82.2 °C)) and
soap or detergent, as with a mechanical cage washer; or
iii. Washing all soiled surfaces with appropriate detergent
solutions and disinfectants, or by using a combination
detergent/disinfectant product that accomplishes
the same purpose, with a thorough cleaning of the
surfaces to remove organic material, so as to remove all
organic material and mineral buildup, and to provide
sanitization followed by a clean water rinse.
4. Pens, runs, and outdoor housing areas using material
that cannot be sanitized using the methods provided in
paragraph (b)(3) of this section, such as gravel, sand, grass,
earth, or absorbent bedding, must be sanitized by removing
the contaminated material as necessary to prevent odors,
diseases, pests, insects, and vermin infestation.
c. Housekeeping for premises. Premises where housing facilities
are located, including buildings and surrounding grounds, must
be kept clean and in good repair to protect the animals from
injury, to facilitate the husbandry practices required in this
subpart, and to reduce or eliminate breeding and living areas for
rodents and other pests and vermin. Premises must be kept free
of accumulations of trash, junk, waste products, and discarded
matter. Weeds, grasses, and bushes must be controlled so as to
facilitate cleaning of the premises and pest control, and to protect
the health and well-being of the animals.
d. Pest control. An eective program for the control of insects,
external parasites aecting dogs and cats, and birds and
mammals that are pests, must be established and maintained
so as to promote the health and well-being of the animals and
reduce contamination by pests in animal areas.
[56 FR 6486, Feb. 15, 1991, as amended at 63 FR 3023, Jan. 21, 1998]
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Subpart A
Dogs &
Cats
Part 3, Subpart A, § 3.12
§ 3.12 - Employees.
Each person subject to the Animal Welfare regulations (9 CFR parts
1, 2, and 3) maintaining dogs and cats must have enough employees
to carry out the level of husbandry practices and care required in this
subpart. e employees who provide for husbandry and care, or handle
animals, must be supervised by an individual who has the knowledge,
background, and experience in proper husbandry and care of dogs
and cats to supervise others. e employer must be certain that the
supervisor and other employees can perform to these standards.
§ 3.13 - Veterinary care for dogs.
a. Each dealer, exhibitor, and research facility must follow an
appropriate program of veterinary care for dogs that is developed,
documented in writing, and signed by the attending veterinarian.
Dealers, exhibitors, and research facilities must keep and
maintain the written program and make it available for APHIS
inspection. e written program of veterinary care must address
the requirements for adequate veterinary care for every dealer
and exhibitor in § 2.40 of this subchapter and every research
facility in § 2.33 of this subchapter, and must also include:
1. Regularly scheduled visits, not less than once every 12
months, by the attending veterinarian to all premises where
animals are kept, to assess and ensure the adequacy of
veterinary care and other aspects of animal care and use;
2. A complete physical examination from head to tail of each
dog by the attending veterinarian not less than once every 12
months;
3. Vaccinations for contagious and/or deadly diseases of dogs
(including rabies, parvovirus and distemper) and sampling
and treatment of parasites and other pests (including eas,
worms, coccidia, giardia, and heartworm) in accordance with
a schedule approved by the attending veterinarian, unless
otherwise required by a research protocol approved by the
Committee at research facilities; and
4. Preventative care and treatment to ensure healthy and
unmatted hair coats, properly trimmed nails, and clean
and healthy eyes, ears, skin, and teeth, unless otherwise
required by a research protocol approved by the Committee
at research facilities.
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Part 3, Subpart A, § 3.13
b. Dealers, exhibitors, and research facilities must keep copies of
medical records for dogs and make the records available for
APHIS inspection. ese records must include:
1. e identity of the animal, including identifying marks,
tattoos, or tags on the animal and the animal’s breed, sex,
and age; Provided, however, that routine husbandry, such as
vaccinations, preventive medical procedures, or treatments,
performed on all animals in a group (or herd), may be kept on
a single record;
2. If a problem is identied (such as a disease, injury, or illness),
the date and a description of the problem, examination
ndings, test results, plan for treatment and care, and
treatment procedures performed, when appropriate;
3. e names of all vaccines and treatments administered and
the dates of administration; and
4. e dates and ndings/results of all screening, routine, or
other required or recommended test or examination.
c. Medical records for dogs shall be kept for the following periods:
1. e medical records for dogs shall be kept and maintained by
the research facility for the duration of the research activity
and for an additional 3 years after the dog is euthanized
or dispose of, and for any period in excess of 3 years as
necessary to comply with any applicable Federal, State, or
local law.
2. e medical records for dogs shall be kept and maintained
by the dealer or exhibitor for at least 1 year after the dog is
euthanized or disposed of and for any period in excess of
1 year as necessary to comply with any applicable Federal,
State, or local law.
3. Whenever the Administrator noties a research facility, dealer,
or exhibitor in writing that specied records shall be retained
pending completion of an investigation or proceeding under
the Act, the research facility, dealer, or exhibitor shall hold
those records until their disposition is authorized by the
Administrator.
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9 CFR AWA (5-1-2023 Edition)
PART 3
Subpart A
Dogs &
Cats
Part 3, Subpart A, § 3.14
TRANSPORTATION STANDARDS
§ 3.14 - Consignment to carriers and intermediate handlers.
a. Carriers and intermediate handlers must not accept a dog or
cat for transport in commerce more than 4 hours before the
scheduled departure time of the primary conveyance on which
the animal is to be transported. However, a carrier or intermediate
handler may agree with anyone consigning a dog or cat to extend
this time by up to 2 hours.
b. Carriers and intermediate handlers must not accept a dog or
cat for transport in commerce unless they are provided with the
name, address, and telephone number of the consignee.
c. Carriers and intermediate handlers must not accept a dog or
cat for transport in commerce unless the consignor certies in
writing to the carrier or intermediate handler that the dog or cat
was oered food and water during the 4 hours before delivery
to the carrier or intermediate handler. e certication must be
securely attached to the outside of the primary enclosure in a
manner that makes it easily noticed and read. Instructions for no
food or water are not acceptable unless directed by the attending
veterinarian. Instructions must be in compliance with § 3.17. e
certication must include the following information for each dog
and cat:
1. e consignor’s name and address;
2. e tag number or tattoo assigned to each dog or cat under
§§ 2.38 and 2.50 of this chapter;
3. e time and date the animal was last fed and watered
and the specic instructions for the next feeding(s) and
watering(s) for a 24-hour period; and
4. e consignor’s signature and the date and time the
certication was signed.
d. Carriers and intermediate handlers must not accept a dog or
cat for transport in commerce in a primary enclosure unless the
primary enclosure meets the requirements of § 3.15. A carrier or
intermediate handler must not accept a dog or cat for transport
if the primary enclosure is obviously defective or damaged and
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Cats
152
Part 3, Subpart A, § 3.14
cannot reasonably be expected to safely and comfortably contain
the dog or cat without causing suering or injury.
e. Carriers and intermediate handlers must not accept a dog or cat
for transport in commerce unless their animal holding area meets
the minimum temperature requirements provided in §§ 3.19
and 3.20 or unless the consignor provides them with a certicate
signed by a veterinarian and dated no more than 10 days before
delivery of the animal to the carrier or intermediate handler for
transport in commerce, certifying that the animal is acclimated to
temperatures lower than those required in §§ 3.19 and 3.20.
Even if the carrier or intermediate handler receives this
certication, the temperatures the dog or cat is exposed to while
in a terminal facility must not be lower than 45 °F (2.2 °C) for
more than 4 consecutive hours when dogs or cats are present,
as set forth in § 3.19, nor lower than 45 °F (2.2 °C) for more than
45 minutes, as set forth in § 3.20, when moving dogs or cats to
or from terminal facilities or primary conveyances. A copy of the
certication must accompany the dog or cat to its destination and
must include the following information:
1. e consignor’s name and address;
2. e tag number or tattoo assigned to each dog or cat under
§§ 2.38 and 2.50 of this chapter;
3. A statement by a veterinarian, dated no more than 10 days
before delivery, that to the best of his or her knowledge,
each of the dogs or cats contained in the primary enclosure
is acclimated to air temperatures lower than 50 °F (10 °C);
but not lower than a minimum temperature, specied on a
certicate, that the attending veterinarian has determined is
based on generally accepted temperature standards for the
age, condition, and breed of the dog or cat; and
4. e signature of the veterinarian and the date the
certication was signed.
f. When a primary enclosure containing a dog or cat has arrived
at the animal holding area at a terminal facility after transport,
the carrier or intermediate handler must attempt to notify
the consignee upon arrival and at least once in every 6-hour
period thereafter. e time, date, and method of all attempted
notications and the actual notication of the consignee, and the
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Subpart A
Dogs &
Cats
Part 3, Subpart A, § 3.15
name of the person who noties or attempts to notify the consignee
must be written either on the carrier’s or intermediate handler’s
copy of the shipping document or on the copy that accompanies
the primary enclosure. If the consignee cannot be notied within
24 hours after the dog or cat has arrived at the terminal facility,
the carrier or intermediate handler must return the animal to
the consignor or to whomever the consignor designates. If the
consignee is notied of the arrival and does not accept delivery
of the dog or cat within 48 hours after arrival of the dog or cat,
the carrier or intermediate handler must return the animal to the
consignor or to whomever the consignor designates. e carrier
or intermediate handler must continue to provide proper care,
feeding, and housing to the dog or cat, and maintain the dog or cat
in accordance with generally accepted professional and husbandry
practices until the consignee accepts delivery of the dog or cat or
until it is returned to the consignor or to whomever the consignor
designates. e carrier or intermediate handler must obligate the
consignor to reimburse the carrier or intermediate handler for the
cost of return transportation and care.
§ 3.15 - Primary enclosures used to transport live
dogs and cats.
Any person subject to the Animal Welfare regulations (9 CFR parts 1, 2,
and 3) must not transport or deliver for transport in commerce a dog or
cat unless the following requirements are met:
a. Construction of primary enclosures. e dog or cat must be
contained in a primary enclosure such as a compartment,
transport cage, carton, or crate. Primary enclosures used to
transport dogs and cats must be constructed so that:
1. e primary enclosure is strong enough to contain the dogs
and cats securely and comfortably and to withstand the
normal rigors of transportation;
2. e interior of the primary enclosure has no sharp points
or edges and no protrusions that could injure the animal
contained in it;
3. e dog or cat is at all times securely contained within the
enclosure and cannot put any part of its body outside the
enclosure in a way that could result in injury to itself, to
handlers, or to persons or animals nearby;
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4. e dog or cat can be easily and quickly removed from the
enclosure in an emergency;
5. Unless the enclosure is permanently axed to the
conveyance, adequate devices such as handles or handholds
are provided on its exterior, and enable the enclosure to be
lifted without tilting it, and ensure that anyone handling the
enclosure will not come into physical contact with the animal
contained inside;
6. Unless the enclosure is permanently axed to the
conveyance, it is clearly marked on top and on one or more
sides with the words “Live Animals,” in letters at least 1 inch
(2.5 cm.) high, and with arrows or other markings to indicate
the correct upright position of the primary enclosure;
7. Any material, treatment, paint, preservative, or other
chemical used in or on the enclosure is nontoxic to the
animal and not harmful to the health or well-being of the
animal;
8. Proper ventilation is provided to the animal in accordance
with paragraph (c) of this section; and
9. e primary enclosure has a solid, leak-proof bottom or a
removable, leak-proof collection tray under a slatted or mesh
oor that prevents seepage of waste products, such as excreta
and body uids, outside of the enclosure. If a slatted or
mesh oor is used in the enclosure, it must be designed and
constructed so that the animal cannot put any part of its body
between the slats or through the holes in the mesh. Unless
the dogs and cats are on raised slatted oors or raised oors
made of mesh, the primary enclosure must contain enough
previously unused litter to absorb and cover excreta. e
litter must be of a suitably absorbent material that is safe and
nontoxic to the dogs and cats.
b. Cleaning of primary enclosures. A primary enclosure used to
hold or transport dogs or cats in commerce must be cleaned
and sanitized before each use in accordance with the methods
provided in § 3.11(b)(3) of this subpart. If the dogs or cats are in
transit for more than 24 hours, the enclosures must be cleaned
and any litter replaced, or other methods, such as moving the
animals to another enclosure, must be utilized to prevent the
soiling of the dogs or cats by body wastes. If it becomes necessary
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Subpart A
Dogs &
Cats
Part 3, Subpart A, § 3.15
to remove the dog or cat from the enclosure in order to clean, or
to move the dog or cat to another enclosure, this procedure must
be completed in a way that safeguards the dog or cat from injury
and prevents escape.
c. Ventilation.
1. Unless the primary enclosure is permanently axed to the
conveyance, there must be:
i. Ventilation openings located on two opposing walls of
the primary enclosure and the openings must be at least
16 percent of the surface area of each such wall, and the
total combined surface area of the ventilation openings
must be at least 14 percent of the total combined surface
area of all the walls of the primary enclosure; or
ii. Ventilation openings on three walls of the primary
enclosure, and the openings on each of the two opposing
walls must be at least 8 percent of the total surface area
of the two walls, and the ventilation openings on the
third wall of the primary enclosure must be at least 50
percent of the total surface area of that wall, and the total
combined surface area of the ventilation openings must
be at least 14 percent of the total combined surface area
of all the walls of the primary enclosure; or
iii. Ventilation openings located on all four walls of the
primary enclosure and the ventilation openings on each
of the four walls must be at least 8 percent of the total
surface area of each such wall, and the total combined
surface area of the openings must be at least 14 percent
of total combined surface area of all the walls of the
primary enclosure; and
iv. At least one-third of the ventilation area must be located
on the upper half of the primary enclosure.
2. Unless the primary enclosure is permanently axed to
the conveyance, projecting rims or similar devices must
be located on the exterior of each enclosure wall having a
ventilation opening, in order to prevent obstruction of the
openings. e projecting rims or similar devices must be
large enough to provide a minimum air circulation space of
0.75 in. (1.9 cm) between the primary enclosure and anything
the enclosure is placed against.
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Subpart A
Dogs &
Cats
156
Part 3, Subpart A, § 3.15
3. If a primary enclosure is permanently axed to the primary
conveyance so that there is only a front ventilation opening
for the enclosure, the primary enclosure must be axed to
the primary conveyance in
4. such a way that the front ventilation opening cannot be
blocked, and the front ventilation opening must open
directly to an unobstructed aisle or passageway inside the
conveyance. e ventilation opening must be at least 90
percent of the total area of the front wall of the enclosure, and
must be covered with bars, wire mesh, or smooth expanded
metal having air spaces.
d. Compatibility.
1. Live dogs or cats transported in the same primary enclosure
must be of the same species and be maintained in
compatible groups, except that dogs and cats that are private
pets, are of comparable size, and are compatible, may be
transported in the same primary enclosure.
2. Puppies or kittens 4 months of age or less may not be
transported in the same primary enclosure with adult dogs or
cats other than their dams.
3. Dogs or cats that are overly aggressive or exhibit a vicious
disposition must be transported individually in a primary
enclosure.
4. Any female dog or cat in heat (estrus) may not be transported
in the same primary enclosure with any male dog or cat.
e. Space and placement.
1. Primary enclosures used to transport live dogs and cats must be
large enough to ensure that each animal contained in the primary
enclosure has enough space to turn about normally while
standing, to stand and sit erect, and to lie in a natural position.
2. Primary enclosures used to transport dogs and cats must
be positioned in the primary conveyance so as to provide
protection from the elements.
f. Transportation by air.
1. No more than one live dog or cat, 6 months of age or older,
may be transported in the same primary enclosure when
shipped via air carrier.
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PART 3
Subpart A
Dogs &
Cats
Part 3, Subpart A, § 3.15
2. No more than one live puppy, 8 weeks to 6 months of age,
and weighing over 20 lbs (9 kg), may be transported in a
primary enclosure when shipped via air carrier.
3. No more than two live puppies or kittens, 8 weeks to 6
months of age, that are of comparable size, and weighing
20 lbs (9 kg) or less each, may be transported in the same
primary enclosure when shipped via air carrier.
4. Weaned live puppies or kittens less than 8 weeks of age and
of comparable size, or puppies or kittens that are less than
8 weeks of age that are littermates and are accompanied by
their dam, may be transported in the same primary enclosure
when shipped to research facilities, including Federal
research facilities.
g. Transportation by surface vehicle or privately owned aircraft.
1. No more than four live dogs or cats, 8 weeks of age or older,
that are of comparable size, may be transported in the
same primary enclosure when shipped by surface vehicle
(including ground and water transportation) or privately
owned aircraft, and only if all other requirements of this
section are met.
2. Weaned live puppies or kittens less than 8 weeks of age and
of comparable size, or puppies or kittens that are less than
8 weeks of age that are littermates and are accompanied by
their dam, may be transported in the same primary enclosure
when shipped to research facilities, including Federal
research facilities, and only if all other requirements in this
section are met.
h. Accompanying documents and records.
Shipping documents that must accompany shipments of
dogs and cats may be held by the operator of the primary
conveyance, for surface transportation only, or must be securely
attached in a readily accessible manner to the outside of any
primary enclosure that is part of the shipment, in a manner
that allows them to be detached for examination and securely
reattached, such as in a pocket or sleeve. Instructions for
administration of drugs, medication, and other special care
must be attached to each primary enclosure in a manner that
makes them easy to notice, to detach for examination, and to
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PART 3
Subpart A
Dogs &
Cats
158
Part 3, Subpart A, § 3.16
reattach securely. Food and water instructions must be attached
in accordance with § 3.14(c).
(Approved by the Oce of Management and Budget under control number 0579-0093)
[56 FR 6486, Feb. 15, 1991, as amended at 63 FR 3023, Jan. 21, 1998]
§ 3.16 - Primary conveyances (motor vehicle, rail,
air, and marine).
a. e animal cargo space of primary conveyances used to transport
dogs and cats must be designed, constructed, and maintained in a
manner that at all times protects the health and well-being of the
animals transported in them, ensures their safety and comfort,
and prevents the entry of engine exhaust from the primary
conveyance during transportation.
b. e animal cargo space must have a supply of air that is sucient
for the normal breathing of all the animals being transported in it.
c. Each primary enclosure containing dogs or cats must be
positioned in the animal cargo space in a manner that provides
protection from the elements and that allows each dog or cat
enough air for normal breathing.
d. During air transportation, dogs and cats must be held in cargo
areas that are heated or cooled as necessary to maintain an
ambient temperature and humidity that ensures the health
and well-being of the dogs or cats. e cargo areas must
be pressurized when the primary conveyance used for air
transportation is not on the ground, unless ying under 8,000 ft.
Dogs and cats must have adequate air for breathing at all times
when being transported.
e. During surface transportation, auxiliary ventilation, such as fans,
blowers or air conditioning, must be used in any animal cargo
space containing live dogs or cats when the ambient temperature
within the animal cargo space reaches 85 °F (29.5 °C). Moreover,
the ambient temperature may not exceed 85 °F (29.5 °C) for a
period of more than 4 hours; nor fall below 45 °F (7.2 °C) for a
period of more than 4 hours. e preceding requirements are in
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PART 3
Subpart A
Dogs &
Cats
Part 3, Subpart A, § 3.17
addition to, not in place of, all other requirements pertaining to
climatic conditions in parts 2 and 3 of this chapter.
f. Primary enclosures must be positioned in the primary
conveyance in a manner that allows the dogs and cats to be
quickly and easily removed from the primary conveyance in an
emergency.
g. e interior of the animal cargo space must be kept clean.
h. Live dogs and cats may not be transported with any material,
substance (e.g., dry ice) or device in a manner that may
reasonably be expected to harm the dogs and cats or cause
inhumane conditions.
[56 FR 6486, Feb. 15, 1991, as amended at 63 FR 10498, 10499, Mar. 4, 1998]
§ 3.17 - Food and water requirements.
a. Each dog and cat that is 16 weeks of age or more must be oered
food at least once every 24 hours. Puppies and kittens less than
16 weeks of age must be oered food at least once every 12 hours.
Each dog and cat must be oered potable water at least once
every 12 hours. ese time periods apply to dealers, exhibitors,
research facilities. including Federal research facilities, who
transport dogs and cats in their own primary conveyance, starting
from the time the dog or cat was last oered food and potable
water before transportation was begun. ese time periods apply
to carriers and intermediate handlers starting from the date and
time stated on the certicate provided under § 3.14(c). Each dog
and cat must be oered food and potable water within 4 hours
before being transported in commerce. Consignors who are
subject to the Animal Welfare regulations (9 CFR parts 1, 2, and 3)
must certify that each dog and cat was oered food and potable
water within the 4 hours preceding delivery of the dog or cat to a
carrier or intermediate handler for transportation in commerce,
and must certify the date and time the food and potable water
was oered, in accordance with § 3.14(c).
161
Animal Welfare Act, USDA
PART 3
Subpart A
Dogs &
Cats
160
Part 3, Subpart A, § 3.18
b. Any dealer, research facility, including a Federal research facility,
or exhibitor offering any dog or cat to a carrier or intermediate
handler for transportation in commerce must securely attach to
the outside of the primary enclosure used for transporting the dog
or cat, written instructions for the in- transit food and water
requirements for a 24-hour period for the dogs and cats contained
in the enclosure. The instructions must be attached in a manner
that makes them easily noticed and read.
c. Food and water receptacles must be securely attached inside the
primary enclosure and placed so that the receptacles can be filled
from outside the enclosure without opening the door. Food and
water containers must be designed, constructed, and installed so
that a dog or cat cannot leave the primary enclosure through the
food or water opening.
(Approved by the Oce of Management and Budget under control number 0579-0093)
§ 3.18 - Care in transit.
a. Surface transportation (ground and water). Any person subject
to the Animal Welfare regulations transporting dogs or cats in
commerce must ensure that the operator of the conveyance, or
a person accompanying the operator, observes the dogs or cats
as often as circumstances allow, but not less than once every 4
hours, to make sure they have sucient air for normal breathing,
that the ambient temperature is within the limits provided in
§ 3.16(e), and that all applicable standards of this subpart are
being complied with. e regulated person must ensure that
the operator or person accompanying the operator determines
whether any of the dogs or cats are in obvious physical distress
and obtains any veterinary care needed for the dogs or cats at the
closest available veterinary facility.
b. Air transportation. During air transportation of dogs or cats, it
is the responsibility of the carrier to observe the dogs or cats as
frequently as circumstances allow, but not less than once every
4 hours if the animal cargo area is accessible during ight. If the
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9 CFR AWA (5-1-2023 Edition)
PART 3
Subpart A
Dogs &
Cats
Part 3, Subpart A, § 3.19
animal cargo area is not accessible during ight, the carrier must
observe the dogs or cats whenever they are loaded and unloaded
and whenever the animal cargo space is otherwise accessible to
make sure they have sucient air for normal breathing, that the
animal cargo area meets the heating and cooling requirements of
§ 3.16(d), and that all other applicable standards of this subpart
are being complied with. e carrier must determine whether any
of the dogs or cats are in obvious physical distress, and arrange for
any needed veterinary care as soon as possible.
c. If a dog or cat is obviously ill, injured, or in physical distress,
it must not be transported in commerce, except to receive
veterinary care for the condition.
d. Removal during transportation in commerce prohibited. Except
during the cleaning of primary enclosures, as required in §
3.15(b), during transportation in commerce a dog or cat must
not be removed from its primary enclosure, unless it is placed in
another primary enclosure or facility that meets the requirements
of § 3.6 or § 3.15.
e. e transportation regulations contained in this subpart must be
complied with until a consignee takes physical delivery of the dog
or cat if the animal is consigned for transportation, or until the
animal is returned to the consignor.
§ 3.19 - Terminal facilities.
a. Placement. Any person subject to the Animal Welfare regulations (9
CFR parts 1, 2, and 3) must not commingle shipments of dogs or cats
with inanimate cargo in animal holding areas of terminal facilities.
b. Cleaning, sanitization, and pest control. All animal holding
areas of terminal facilities must be cleaned and sanitized in a
manner prescribed in § 3.11(b)(3) of this subpart, as often as
necessary to prevent an accumulation of debris or excreta and
to minimize vermin infestation and disease hazards. Terminal
facilities must follow an eective program in all animal holding
areas for the control of insects, ectoparasites, and birds and
mammals that are pests to dogs and cats.
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Animal Welfare Act, USDA
PART 3
Subpart A
Dogs &
Cats
162
Part 3, Subpart A, § 3.19
c. Ventilation. Ventilation must be provided in any animal holding
area in a terminal facility containing dogs or cats, by means
of windows, doors, vents, or air conditioning. e air must be
circulated by fans, blowers, or air conditioning so as to minimize
drafts, odors, and moisture condensation. Auxiliary ventilation,
such as exhaust fans, vents, fans, blowers, or air conditioning
must be used in any animal holding area containing dogs and
cats, when the ambient temperature is 85 °F (29.5 °C) or higher
d. Temperature. e ambient temperature in an animal holding
area containing dogs or cats must not fall below 45 °F (7.2 °C) or
rise above 85 °F (29.5 °C) for more than four consecutive hours
at any time dogs or cats are present. e ambient temperature
must be measured in the animal holding area by the carrier,
intermediate handler, or a person transporting dogs or cats who is
subject to the Animal Welfare regulations (9 CFR parts 1, 2, and 3),
outside any primary enclosure containing a dog or cat at a point
not more than 3 feet (0.91 m) away from an outside wall of the
primary enclosure, and approximately midway up the side of the
enclosure. e preceding requirements are in addition to, not in
place of, all other requirements pertaining to climatic conditions
in parts 2 and 3 of this chapter.
e. Shelter. Any person subject to the Animal Welfare regulations
(9 CFR parts 1, 2, and 3) holding a live dog or cat in an animal
holding area of a terminal facility must provide the following:
1. Shelter from sunlight and extreme heat. Shade must be
provided that is sucient to protect the dog or cat from the
direct rays of the sun.
2. Shelter from rain or snow. Sucient protection must be
provided to allow the dogs and cats to remain dry during rain,
snow, and other precipitation.
f. Duration. e length of time any person subject to the Animal
Welfare regulations (9 CFR parts 1, 2, and 3) can hold dogs and
cats in animal holding areas of terminal facilities upon arrival is
the same as that provided in § 3.14(f).
[56 FR 6486, Feb. 15, 1991, as amended at 63 FR 10499, Mar. 4, 1998]
164
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PART 3
Subpart A
Dogs &
Cats
Part 3, Subpart A, § 3.20
§ 3.20 - Handling.
a. Any person subject to the Animal Welfare regulations (9 CFR
parts 1, 2, and 3) who moves (including loading and unloading)
dogs or cats within, to, or from the animal holding area of a
terminal facility or a primary conveyance must do so as quickly
and eciently as possible and must provide the following during
movement of the dog or cat:
1. Shelter from sunlight and extreme heat. Sucient shade
must be provided to protect the dog or cat from the direct
rays of the sun. e dog or cat must not be exposed to an
ambient air temperature above 85 °F (29.5 °C) for a period
of more than 45 minutes while being moved to or from a
primary conveyance or a terminal facility. e temperature
must be measured in the manner provided in § 3.19(d). e
preceding requirements are in addition to, not in place of, all
other requirements pertaining to climatic conditions in parts
2 and 3 of this chapter.
2. Shelter from rain and snow. Sucient protection must be
provided to allow the dogs and cats to remain dry during rain,
snow, and other precipitation.
3. Shelter from cold temperatures. Transporting devices on
which live dogs or cats are placed to move them must be
covered to protect the animals when the outdoor temperature
falls below 50 °F (10 °C). e dogs or cats must not be exposed
to an ambient temperature below 45 °F (7.2°C) for a period
of more than 45 minutes, unless they are accompanied by a
certicate of acclimation to lower temperatures as provided in
§ 3.14(e). e temperature must be measured in the manner
provided in § 3.19(d). e preceding requirements are in
addition to, not in place of, all other requirements pertaining
to climatic conditions in parts 2 and 3 of this chapter.
b. Any person handling a primary enclosure containing a dog or cat
must use care and must avoid causing physical harm or distress
to the dog or cat.
1. A primary enclosure containing a live dog or cat must not
be placed on unattended conveyor belts, or on elevated
conveyor belts, such as baggage claim conveyor belts and
inclined conveyor ramps that lead to baggage claim areas, at
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Animal Welfare Act, USDA
PART 3
Subpart A
Dogs &
Cats
164
Part 3, Subpart A, § 3.20
any time; except that a primary enclosure may be placed on
inclined conveyor ramps used to load and unload aircraft if
an attendant is present at each end of the conveyor belt.
2. A primary enclosure containing a dog or cat must not be
tossed, dropped, or needlessly tilted, and must not be stacked
in a manner that may reasonably be expected to result in its
falling. It must be handled and positioned in the manner that
written instructions and arrows on the outside of the primary
enclosure indicate.
c. is section applies to movement of a dog or cat from primary
conveyance to primary conveyance, within a primary conveyance
or terminal facility, and to or from a terminal facility or a primary
conveyance.
(Approved by the Oce of Management and Budget under control number 0579-0093)
[56 FR 6486, Feb. 15, 1991, as amended at 63 FR 10499, Mar. 4, 1998]
166
9 CFR AWA (5-1-2023 Edition)
PART 3
Subpart B
Guinea Pigs/
Hamsters
Part 3, Subpart B, § 3.25
SUBPART B
SPECIFICATIONS FOR THE HUMANE HANDLING,
CARE, TREATMENT, AND TRANSPORTATION OF
GUINEA PIGS AND HAMSTERS
FACILITIES AND OPERATING STANDARDS
§ 3.25 - Facilities, general.
a. Structural strength. Indoor and outdoor housing facilities for
guinea pigs or hamsters shall be structurally sound and shall be
maintained in good repair, to protect the animals from injury, to
contain the animals, and to restrict the entrance of other animals.
b. Water and electric power. Reliable and adequate electric power,
if required to comply with other provisions of this subpart, and
adequate potable water shall be available.
c. Storage. Supplies of food and bedding shall be stored in facilities
which adequately protect such supplies against spoilage or
deterioration and infestation or contamination by vermin.
Food supplies shall be stored in containers with tightly tting
lids or covers or in the original containers as received from the
commercial sources of supply. Refrigeration shall be provided for
supplies of perishable food.
d. Waste disposal. Provisions shall be made for the removal and
disposal of animal and food wastes, bedding, dead animals, and
debris. Disposal facilities shall be so provided and operated as to
minimize vermin infestation, odors, and disease hazards.
e. Washroom and sinks. Facilities, such as washrooms, basins, or
sinks, shall be provided to maintain cleanliness among animal
caretakers.
[32 FR 3273, Feb. 24, 1967, as amended at 44 FR 63492, Nov. 2, 1979]
167
Animal Welfare Act, USDA
PART 3
Subpart B
Guinea Pigs/
Hamsters
166
Part 3, Subpart B, § 3.26
§ 3.26 - Facilities, indoor.
a. Heating. Indoor housing facilities for guinea pigs or hamsters
shall be suciently heated when necessary to protect the animals
from the cold, and to provide for their health and comfort. e
ambient temperature shall not be allowed to fall below 60 °F. nor
to exceed 85 °F.
b. Ventilation. Indoor housing facilities for guinea pigs or hamsters
shall be adequately ventilated to provide for the health and
comfort of the animals at all times. Such facilities shall be
provided with fresh air either by means of windows, doors,
vents, or air conditioning, and shall be ventilated so as to
minimize drafts, odors, and moisture condensation. e ambient
temperature shall not be allowed to rise above 85 °F.
c. Lighting. Indoor housing facilities for guinea pigs or hamsters
shall have ample light, by natural or articial means, or both, of
good quality and well distributed. Such lighting shall provide
uniformly distributed illumination of sucient light intensity to
permit routine inspection and cleaning during the entire working
period. Primary enclosures shall be so placed as to protect the
guinea pigs or hamsters from excessive illumination.
d. Interior surfaces. e interior building surfaces of indoor
housing facilities shall be constructed and maintained so that
they are substantially impervious to moisture and may be readily
sanitized.
§ 3.27 - Facilities, outdoor.
a. Hamsters shall not be housed in outdoor facilities.
b. Guinea pigs shall not be housed in outdoor facilities unless
such facilities are located in an appropriate climate and prior
approval for such outdoor housing is obtained from the Deputy
Administrator.
168
9 CFR AWA (5-1-2023 Edition)
PART 3
Subpart B
Guinea Pigs/
Hamsters
Part 3, Subpart B, § 3.28
§ 3.28 - Primary enclosures.
All primary enclosures for guinea pigs and hamsters shall conform to the
following requirements:
a. General.
1. Primary enclosures shall be structurally sound and
maintained in good repair to protect the guinea pigs and
hamsters from injury. Such enclosures, including their
racks, shelving and other accessories, shall be constructed
of smooth material substantially impervious to liquids and
moisture.
2. Primary enclosures shall be constructed and maintained
so that the guinea pigs or hamsters contained therein have
convenient access to clean food and water as required in this
subpart.
3. Primary enclosures having a solid oor shall be provided with
cleanbedding material.
4. Primary enclosures equipped with mesh or wire oors shall
be so constructed as to allow feces to pass through the spaces
of the mesh or wire: Provided, however, at such oors shall
be constructed so as to protect the animals’ feet and legs from
injury.
b. Space requirements for primary enclosures acquired before
August 15, 1990
1. Guinea pigs and hamsters. Primary enclosures shall be
constructed and maintained so as to provide sucient space
for each animal contained therein to make normal postural
adjustments with adequate freedom of movement.
2. Guinea pigs. In addition to the provisions of paragraph (b)
(1) of this section, the following space requirements are
applicable to primary enclosures for guinea pigs:
i. e interior height of any primary enclosure used to
conne guinea pigs shall be at least 6½ inches.
ii. Each guinea pig housed in a primary enclosure shall
be provided a minimum amount of oor space in
accordance with the following table:
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Animal Welfare Act, USDA
PART 3
Subpart B
Guinea Pigs/
Hamsters
Part 3, Subpart B, § 3.28
Weight or stage of maturity
Minimum space per guinea pig
(square inches)
Weaning to 350 grams 60
350 grams or more 90
Breeders 180
3. Hamsters. In addition to the provisions of paragraph (b)(1) of
this section, the following space requirements are applicable
to primary enclosures for hamsters:
i. e interior height of any primary enclosure used to
conne hamsters shall be at least 5½ inches, except that
in the case of dwarf hamsters, such interior height shall
be at least 5 inches.
ii. A nursing female hamster, together with her litter, shall
be housed in a primary enclosure which contains no
other hamsters and which provides at least 121 square
inches of oor space: Provided, however, at in the case
of dwarf hamsters such oor space shall be at least 25
square inches.
iii. e minimum amount of oor space per individual
hamster and the maximum number of hamsters allowed
in a single primary enclosure, except as provided for
nursing females in paragraph (b)(3)(ii) of this section,
shall be in accordance with the following table:
Age
Minimum space per hamster
(square inches)
Maximum
population per
enclosure
Dwarf Other
Weaning to 5 wks 5.0 10.0 20
5 to 10 wks 7.5 12.5 16
10 wks or more 9 15.0 13
c. Space requirements for primary enclosures acquired on or
after August 15, 1990
169
9 CFR AWA (5-1-2023 Edition)
PART 3
Subpart B
Guinea Pigs/
Hamsters
Part 3, Subpart B, § 3.28
1. Guinea pigs.
i. Primary enclosures shall be constructed and maintained
so as to provide sucient space for each guinea pig
contained therein to make normal postural adjustments
with adequate freedom of movement.
ii. e interior height of any primary enclosure used to
conne guinea pigs shall be at least 7 inches (17.78 cm).
iii. Each guinea pig shall be provided a minimum amount of
oor space in any primary enclosure as follows:
Weight or stage of maturity
Minimum oor space
in
2
cm
2
Weaning to 350 grams 60 387.12
> 350 grams 101 651.65
Nursing females with their
litters
101 651.65
2. Hamsters.
i. Primary enclosures shall be constructed and maintained
so as to provide sucient space for each hamster
contained therein to make normal postural adjustments
with adequate freedom of movement.
ii. e interior height of any primary enclosure used to
conne hamsters shall be at least 6 inches (15.24 cm).
iii. Except as provided in paragraph (c)(2)(iv) of this section,
each hamster shall be provided a minimum amount of
oor space in any primary enclosure as follows:
Weight
Minimum oor space
per hamster
g ozs in
2
cm
2
< 60
< 2.1
10 64.52
60 to 80 2.1-2.8 13 83.88
80 to 100 2.8-3.5 16 103.23
> 100 > 3.5 19 122.59
170
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Animal Welfare Act, USDA
PART 3
Subpart B
Guinea Pigs/
Hamsters
170
Part 3, Subpart B, § 3.29
iv. A nursing female hamster, together with her litter, shall
be housed in a primary enclosure that contains no other
hamsters and that provides at least 121 square inches
of oor space: Provided, however, at in the case of
nursing female dwarf hamsters such oor space shall be
at least 25 square inches.
3. Innovative primary enclosures that do not precisely meet
the space requirements of paragraph (c)(1) or (c)(2) of this
section, but that do provide guinea pigs or hamsters with a
sucient volume of space and the opportunity to express
species-typical behavior, may be used at research facilities
when approved by the Institutional Animal Care and Use
Committee, and by dealers and exhibitors when approved by
the Administrator.
[32 FR 3273, Feb. 24, 1967, as amended at 55 FR 28882, July 16, 1990]
ANIMAL HEALTH AND HUSBANDRY STANDARDS
§ 3.29 - Feeding.
a. Guinea pigs and hamsters shall be fed each day except as
otherwise might be required to provide adequate veterinary care.
e food shall be free from contamination, wholesome, palatable
and of sucient quantity and nutritive value to meet the normal
daily requirements for the condition and size of the guinea pig or
hamster.
b. Food comprising the basic diet shall be at least equivalent in
quality and content to pelleted rations produced commercially
and commonly available from feed suppliers.
c. e basic diet of guinea pigs and hamsters may be supplemented
with good quality fruits or vegetables consistent with their
individual dietary requirements.
d. Food receptacles, if used, shall be accessible to all guinea pigs
or hamsters in a primary enclosure and shall be located so as to
minimize contamination by excreta. All food receptacles shall
be kept clean and shall be sanitized at least once every 2 weeks.
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Subpart B
Guinea Pigs/
Hamsters
Part 3, Subpart B, § 3.30
If self-feeders are used for the feeding of pelleted feed, measures
must be taken to prevent molding, deterioration or caking of the
feed. Hamsters may be fed pelleted feed on the oor of a primary
enclosure.
e. Fruit or vegetable food supplements may be placed upon the
bedding within the primary enclosure: Provided, however, at
the uneaten portion of such supplements and any bedding soiled
as a result of such feeding practices shall be removed from the
primary enclosure when such uneaten supplements accumulate
or such bedding becomes soiled to a degree that might be harmful
or uncomfortable to animals therein.
§ 3.30 - Watering.
Unless food supplements consumed by guinea pigs or hamsters
supply them with their normal water requirements, potable water
shall be provided daily except as might otherwise be required
to provide adequate veterinary care. Open containers used for
dispensing water to guinea pigs or hamsters shall be so placed in
or attached to the primary enclosure as to minimize contamination
from excreta. All watering receptacles shall be sanitized when dirty:
Provided, however, That such receptacles shall be sanitized at least
once every 2 weeks.
§ 3.31 - Sanitation.
a. Cleaning and sanitation of primary enclosures.
1. Primary enclosures shall be cleaned and sanitized often
enough to prevent an accumulation of excreta or debris:
Provided, however, at such enclosures shall be sanitized
at least once every 2 weeks in the manner provided in
paragraph (a)(4) of this section.
2. In the event a primary enclosure becomes soiled or wet
to a degree that might be harmful or uncomfortable
to the animals therein due to leakage of the watering
system, discharges from dead or dying animals, spoiled
perishable foods, or moisture condensation, the guinea
pigs or hamsters shall be transferred to clean primary
enclosures.
3. Prior to the introduction of guinea pigs or hamsters into
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Guinea Pigs/
Hamsters
172
Part 3, Subpart B, § 3.32
empty primary enclosures previously occupied, such
enclosures shall be sanitized in the manner provided in
paragraph (a)(4) of this section.
4. Primary enclosures for guinea pigs or hamsters shall be
sanitized by washing them with hot water (180 °F.) and soap
or detergent as in a mechanical cage washer, or by washing
all soiled surfaces with a detergent solution followed by
a safe and eective disinfectant, or by cleaning all soiled
surfaces with live steam.
b. Housekeeping. Premises (buildings and grounds) shall be kept
clean and in good repair in order to protect the animals from
injury and to facilitate the prescribed husbandry practices set
forth in this subpart. Premises shall remain free of accumulations
of trash.
c. Pest control. An eective program for the control of insects,
ectoparasites, and avian and mammalian pests shall be
established and maintained.
§ 3.32 - Employees.
A sufficient number of employees shall be utilized to maintain the
prescribed level of husbandry practices set forth in this subpart.
Such practices shall be under the supervision of an animal caretaker
who has a background in animal husbandry or care.
§ 3.33 - Classification and separation.
Animals housed in the same primary enclosure shall be maintained in
compatible groups, with the following additional restrictions:
a. Except where harem breeding is practiced, preweanling guinea
pigs shall not be housed in the same primary enclosure with
adults other than their parents.
b. Guinea pigs shall not be housed in the same primary enclosure
with hamsters, nor shall guinea pigs or hamsters be housed in the
same primary enclosure with any other species of animals.
c. Guinea pigs or hamsters under quarantine or treatment for a
communicable disease shall be separated from other guinea pigs
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PART 3
Subpart B
Guinea Pigs/
Hamsters
Part 3, Subpart B, § 3.34
or hamsters and other susceptible species of animals in such a
manner as to minimize dissemination of such disease.
§ 3.34 - [Reserved]
TRANSPORTATION STANDARDS
Authority: Sections 3.35 through 3.41 issued under secs. 3, 5, 6, 10, 11, 14, 16, 17, 21; 80 Stat.
353; 84 Stat. 1561, 1562, 1563, 1564; 90 Stat. 418, 419, 420, 423; (7 U.S.C. 2133, 2135, 2136,
2140, 2141, 2144, 2146, 2147, 2151); 37 FR 28464, 28477, 38 FR 19141.
§ 3.35 - Consignments to carriers and intermediate handlers.
a. Carriers and intermediate handlers shall not accept any live
guinea pig or hamster presented by any dealer, research facility,
exhibitor, operator of an auction sale, or other person, or any
department, agency, or instrumentality of the United States or
any State or local government for shipment, in commerce, more
than 4 hours prior to the scheduled departure of the primary
conveyance on which it is to be transported: Provided, however,
at the carrier or intermediate handler and any dealer, research
facility, exhibitor, operator of an auction sale, or other person, or
any department, agency, or instrumentality of the United States
or any State or local government may mutually agree to extend
the time of acceptance to not more than 6 hours if specic prior
scheduling of the animal shipment to destination has been made.
b. Any carrier or intermediate handler shall only accept for
transportation or transport, in commerce any live guinea pig
or hamster in a primary enclosure which conforms to the
requirements set forth in § 3.36 of the standards: Provided,
however, at any carrier or intermediate handler may accept
for transportation or transport, in commerce, any live guinea
pig or hamster consigned by any department, agency, or
instrumentality of the United States having laboratory animal
facilities or exhibiting animals, or any licensed or registered
dealer, research facility, exhibitor, or operator of an auction sale,
if such consignor furnishes to the carrier or intermediate handler
a certicate, signed by the consignor, stating that the primary
enclosure complies with § 3.36 of the standards, unless such
primary enclosure is obviously defective or damaged and it is
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Subpart B
Guinea Pigs/
Hamsters
174
Part 3, Subpart B, § 3.35
apparent that it cannot reasonably be expected to contain the
live guinea pig or hamster without causing suering or injury
to such live guinea pig or hamster. A copy of such certicate
shall accompany the shipment to destination. e certicate of
compliance shall include at least the following information:
1. Name and address of the consignor;
2. e number of guinea pigs or hamsters in the primary
enclosure(s);
3. A certifying statement (e.g., “I hereby certify that the
(number) primary enclosure(s) which are used to transport
the animal(s) in this shipment complies (comply) with USDA
standards for primary enclosures (9 CFR part 3).”); and
4. e signature of the consignor, and date.
c. Carriers or intermediate handlers whose facilities fail to meet
the minimum temperature allowed by the standards may accept
for transportation or transport, in commerce, any live hamster
consigned by any department, agency, or instrumentality of
the United States or of any State or local government, or by any
person (including any licensee or registrant under the Act, as well
as any private individual) if the consignor furnishes to the carrier
or intermediate handler a certicate executed by a veterinarian
accredited by this Department pursuant to part 160 of this title
on a specied date which shall not be more than 10 days prior
to delivery of such hamster for transportation in commerce,
stating that such live hamster is acclimated to air temperatures
lower than those prescribed in §§ 3.40 and 3.41. A copy of such
certicate shall accompany the shipment to destination. e
certicate shall include the following information:
1. Name and address of the consignor;
2. e number of hamsters in the shipment;
3. A certifying statement (e.g., “I hereby certify that the animal(s)
in this shipment is (are), to the best of my knowledge,
acclimated to air temperatures lower than 7.2 °C. (45 °F.).”);
and
4. e signature of the USDA accredited veterinarian, assigned
accreditation number, and date.
d. Carriers and intermediate handlers shall attempt to notify the
consignee at least once in every 6 hour period following the arrival
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PART 3
Subpart B
Guinea Pigs/
Hamsters
Part 3, Subpart B, § 3.36
of any live guinea pig or hamster at the animal holding area of
the terminal cargo facility. e time, date, and method of each
attempted notication and the nal notication to the consignee
and the name of the person notifying the consignee shall be
recorded on the copy of the shipping document retained by the
carrier or intermediate handler and on a copy of the shipping
document accompanying the animal shipment.
[42 FR 31563, June 21, 1977, as amended at 43 FR 22163, May 16, 1978; 44 FR 63492,
Nov. 2, 1979]
§ 3.36 - Primary enclosures used to transport live guinea
pigs and hamsters.
No person subject to the Animal Welfare regulations shall oer for
transportation, or transport, in commerce any live guinea pig or
hamster in a primary enclosure that does not conform to the following
requirements:
a. Primary enclosures, such as compartments, transport cages,
cartons, or crates, used to transport live guinea pigs or hamsters
shall be constructed in such a manner that (1) the structural
strength of the enclosure shall be sucient to contain the live
guinea pigs or hamsters and to withstand the normal rigors of
transportation; (2) the interior of the enclosure shall be free from
any protrusions that could be injurious to the live guinea pigs or
hamsters contained therein; (3) the inner surfaces of corrugated
berboard, cardboard, or plastic containers shall be covered or
laminated with wire mesh or screen where necessary to prevent
escape of the animals; (4) the openings of such enclosures are
easily accessible at all times for emergency removal of the live
guinea pigs or hamsters; (5) except as provided in paragraph (i) of
this section, there are ventilation openings located on two opposite
walls of the primary enclosure and the ventilation openings on
each such wall shall be at least 16 percent of the total surface
area of each such wall, or there are ventilation openings located
on all four walls of the primary enclosure and the ventilation
openings on each such wall shall be at least 8 percent of the total
surface area of each such wall: Provided, however, at at least
one-third of the total minimum area required for ventilation of
the primary enclosure shall be located on the lower one-half of
the primary enclosure and at least one-third of the total minimum
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PART 3
Subpart B
Guinea Pigs/
Hamsters
176
Part 3, Subpart B, § 3.36
area required for ventilation of the primary enclosure shall be
located on the upper one-half of the primary enclosure; (6) except
as provided in paragraph (i) of this section, projecting rims or
other devices shall be on the exterior of the outside walls with
any ventilation openings to prevent obstruction of the ventilation
openings and to provide a minimum air circulation space of 1.9
centimeters (0.75 inches) between the primary enclosure and any
adjacent cargo or conveyance wall; and (7) except as provided in
paragraph (i) of this section, adequate handholds or other devices
for lifting shall be provided on the exterior of the primary enclosure
to enable the primary enclosure to be lifted without tilting and to
ensure that the person handling the primary enclosure will not be
in contact with the guinea pigs or hamsters.
b. Live guinea pigs or hamsters transported in the same primary
enclosure shall be of the same species and maintained in
compatible groups.
c. Primary enclosures used to transport live guinea pigs or hamsters
shall be large enough to ensure that each animal contained
therein has sucient space to turn about freely and to make
normal postural adjustments.
d. Not more than 15 live guinea pigs shall be transported in the
same primary enclosure. No more than 50 live hamsters shall be
transported in the same primary enclosure.
e. In addition to the other provisions of this section, the following
requirements shall also apply to primary enclosures used to
transport live guinea pigs or hamsters:
1. Guinea pigs.
i. e interior height of primary enclosures used to
transport live guinea pigs weighing up to 500 grams shall
be at least 15.2 centimeters (6 inches) and the interior
height of primary enclosures used to transport live
guinea pigs weighing over 500 grams shall be at least 17.8
centimeters (7 inches).
ii. Each live guinea pig transported in a primary enclosure
shall be provided a minimum amount of oor space in
accordance with the following table:
9 CFR AWA (5-1-2023 Edition)
PART 3
Subpart B
Guinea Pigs/
Hamsters
Part 3, Subpart B, § 3.36
MINIMUM SPACE PER LIVE GUINEA PIG
Weight (grams) Square centimeters Square inches
Up to 350 193.6 30
350 to 600 290.3 45
Over 600 354.8 55
2. Hamsters.
i. e interior height of primary enclosures used to
transport live hamsters shall be at least 15.2 centimeters
(6 inches) except that in the case of dwarf hamsters
such interior height shall be at least 12.7 centimeters (5
inches).
ii. Each live hamster transported in a primary enclosure
shall be provided a minimum amount of oor space in
accordance with the following table:
MINIMUM SPACE PER LIVE HAMSTER
Dwarf Other
Age
Square
centimeters
Square
inches
Square
centimeters
Square
inches
Weaning to
5 wks
32.2 5.0 45.2 7
5 to 10 wks 48.3 7.5 71.0 11
Over 10 wks 58.1 9.0 96.8 15
f. Primary enclosures used to transport live guinea pigs or hamsters
as provided in this section shall have solid bottoms to prevent
leakage in shipment and shall be cleaned and sanitized in a
manner prescribed in § 3.31 of the standards, if previously used.
Such primary enclosures shall contain clean litter of a suitable
absorbent material, which is safe and nontoxic to the guinea pigs or
hamsters, in sucient quantity to absorb and cover excreta, unless
the guinea pigs or hamsters are on wire or other nonsolid oors.
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Subpart B
Guinea Pigs/
Hamsters
178
Part 3, Subpart B, § 3.37
g. Primary enclosures used to transport live guinea pigs or
hamsters, except where such primary enclosures are permanently
axed in the animal cargo space of the primary conveyance,
shall be clearly marked on top and on one or more sides with the
words “Live Animals” in letters not less than 2.5 centimeters (1
inch) in height, and with arrows or other markings, to indicate the
correct upright position of the container.
h. Documents accompanying the shipment shall be attached in an
easily accessible manner to the outside of a primary enclosure
which is part of such shipment.
i. When a primary enclosure is permanently axed within the
animal cargo space of the primary conveyance so that the
front opening is the only source of ventilation for such primary
enclosure, the front opening shall open directly to the outside
or to an unobstructed aisle or passageway within the primary
conveyance. Such front ventilation opening shall be at least 90
percent of the total surface area of the front wall of the primary
enclosure and covered with bars, wire mesh or smooth expanded
metal.
[42 FR 31563, June 21, 1977, as amended at 43 FR 21163, May 16, 1978;
55 FR 28882, July 16, 1990]
§ 3.37 - Primary conveyances (motor vehicle, rail, air, and
marine).
a. e animal cargo space of primary conveyances used in
transporting live guinea pigs and hamsters shall be designed
and constructed to protect the health, and ensure the safety and
comfort of the live guinea pigs and hamsters at all times.
b. e animal cargo space shall be constructed and maintained
in a manner to prevent the ingress of engine exhaust fumes and
gases from the primary conveyance during transportation in
commerce.
c. No live guinea pig or hamster shall be placed in an animal cargo
space that does not have a supply of air sucient for normal
breathing for each live animal contained therein, and the primary
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PART 3
Subpart B
Guinea Pigs/
Hamsters
Part 3, Subpart B, § 3.38
enclosures shall be positioned in the animal cargo space in such
a manner that each live guinea pig or hamster has access to
sucient air for normal breathing.
d. Primary enclosures shall be positioned in the primary conveyance
in such a manner that in an emergency the live guinea pigs or
hamsters can be removed from the primary conveyance as soon
as possible.
e. e interior of the animal cargo space shall be kept clean.
f. Live guinea pigs and hamsters shall not be transported with any
material, substance (e.g., dry ice) or device which may reasonably
be expected to be injurious to the health and well-being of the
guinea pigs and hamsters unless proper precaution is taken to
prevent such injury.
g. e animal cargo space of primary conveyances used to transport
guinea pigs or hamsters shall be mechanically sound and provide
fresh air by means of windows, doors, vents, or air conditioning
so as to minimize drafts, odors, and moisture condensation.
Auxiliary ventilation, such as fans, blowers, or air conditioners,
shall be used in any cargo space containing live guinea pigs or
hamsters when the ambient temperature in the animal cargo
space is 75 °F (23.9 °C) or higher. e ambient temperature within
the animal cargo space shall not exceed 85 °F (29.5 °C) or fall
below 45 °F (7.2 °C), except that the ambient temperature in
the cargo space may be below 45°F (7.2 °C) for hamsters if the
hamsters are accompanied by a certicate of acclimation to lower
temperatures, as provided in § 3.35(c) of this part. [42 FR 31563,
June 21, 1977, as amended at 55 FR 28882, July 16, 1990]
§ 3.38 - Food and water requirements.
a. If live guinea pigs or hamsters are to be transported for a period
of more than 6 hours, the animals shall have access to food and
water or a type of food, which provides the requirements for food
and water in quantity and quality sucient to satisfy their food
and water needs, during transit.
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PART 3
Subpart B
Guinea Pigs/
Hamsters
180
Part 3, Subpart B, § 3.39
b. Any dealer, research facility, exhibitor or operator of an auction
sale oering any live guinea pig or hamster to any carrier or
intermediate handler for transportation, in commerce, shall
provide an adequate supply of food or type of food, which
provides the requirements for food and water, within the primary
enclosure to meet the requirements of this section.
c. No carrier or intermediate handler shall accept for transportation,
in commerce, any live guinea pig or hamster without an adequate
supply of food or type of food, which provides the requirements
for food and water, within the primary enclosure to meet the
requirements of this section.
[42 FR 31563, June 21, 1977]
§ 3.39 - Care in transit.
a. During surface transportation, it shall be the responsibility of the
driver or other employee to visually observe the live guinea pigs
or hamsters as frequently as circumstances may dictate, but not
less than once every 4 hours, to assure that they are receiving
sucient air for normal breathing, their ambient temperatures
are within the prescribed limits, all other applicable standards
are being complied with and to determine whether any of the
live guinea pigs or hamsters are in obvious physical distress
and to provide any needed veterinary care as soon as possible.
When transported by air, live guinea pigs and hamsters shall be
visually observed by the carrier as frequently as circumstances
may dictate, but not less than once every 4 hours, if the animal
cargo space is accessible during ight. If the animal cargo space
is not accessible during ight, the carrier shall visually observe
the live guinea pigs or hamsters whenever loaded and unloaded
and whenever the animal cargo space is otherwise accessible to
assure that they are receiving sucient air for normal breathing,
their ambient temperatures are within the prescribed limits,
all other applicable standards are being complied with and to
determine whether any such live guinea pigs or hamsters are in
obvious physical distress. e carrier shall provide any needed
veterinary care as soon as possible. No guinea pig or hamster in
obvious physical distress shall be transported in commerce.
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PART 3
Subpart B
Guinea Pigs/
Hamsters
Part 3, Subpart B, § 3.40
b. During the course of transportation, in commerce, live guinea
pigs or hamsters shall not be removed from their primary
enclosures unless placed in other primary enclosures or facilities
conforming to the requirements provided in this subpart.
[42 FR 31563, June 21, 1977]
§ 3.40 - Terminal facilities.
No person subject to the Animal Welfare regulations shall commingle
shipments of live guinea pigs or hamsters with inanimate cargo. All
animal holding areas of a terminal facility where shipments of live
guinea pigs or hamsters are maintained shall be cleaned and sanitized
as prescribed in § 3.31 of the standards often enough to prevent an
accumulation of debris or excreta, to minimize vermin infestation,
and to prevent a disease hazard. An eective program for the control
of insects, ectoparasites, and avian and mammalian pests shall be
established and maintained for all animal holding areas. Any animal
holding area containing live guinea pigs or hamsters shall be provided
with fresh air by means of windows, doors, vents, or air conditioning
and may be ventilated or air circulated by means of fans, blowers, or an
air conditioning system so as to minimize drafts, odors, and moisture
condensation. Auxiliary ventilation, such as exhaust fans and vents or
fans or blowers or air conditioning shall be used for any animal holding
area containing live guinea pigs and hamsters when the air temperature
within such animal holding area is 23.9 °C. (75. °F.) or higher. e air
temperature around any live guinea pig or hamster in any animal
holding area shall not be allowed to fall below 7.2 °C. (45 °F.) nor be
allowed to exceed 29.5 °C. (85 °F.) at any time. To ascertain compliance
with the provisions of this paragraph, the air temperature around any
live guinea pig or hamster shall be measured and read outside the
primary enclosure which contains such guinea pig or hamster at a
distance not to exceed .91 meters (3 feet) from any one of the external
walls of the primary enclosure and measured on a level parallel to the
bottom of such primary enclosure at a point which approximates half
the distance between the top and bottom of such primary enclosure.
[43 FR 56215, Dec. 1, 1978, as amended at 55 FR 28883, July 16, 1990]
183
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PART 3
Subpart B
Guinea Pigs/
Hamsters
182
Part 3, Subpart B, § 3.41
§ 3.41 - Handling.
a. Any person who is subject to the Animal Welfare regulations and
who moves live guinea pigs or hamsters from an animal holding
area of a terminal facility to a primary conveyance or vice versa
shall do so as quickly and eciently as possible. Any person
subject to the Animal Welfare Act and holding any live guinea
pig or hamster in an animal holding area of a terminal facility or
transporting any live guinea pig or hamster to or from a terminal
facility shall provide the following:
1. Shelter from sunlight. When sunlight is likely to cause
overheating or discomfort, sucient shade shall be provided
to protect the live guinea pigs and hamsters from the direct
rays of the sun and such live guinea pigs or hamsters shall
not be subjected to surrounding air temperatures which
exceed 29.5 °C. (85 °F.), and which shall be measured and read
in the manner prescribed § 3.40 of this part, for a period of
more than 45 minutes.
2. Shelter from rain or snow. Live guinea pigs and hamsters
shall be provided protection to allow them to remain dry
during rain or snow.
3. Shelter from cold weather. Transporting devices shall
be covered to provide protection for live guinea pigs and
hamsters when the outdoor air temperature falls below 10
°C. (50 °F.), and such live guinea pigs and hamsters shall
not be subjected to surrounding air temperatures which fall
below 7.2 °C. (45 °F.), and which shall be measured and read
in the manner prescribed in § 3.40 of this part, for a period of
more than 45 minutes.
b. Care shall be exercised to avoid handling of the primary
enclosure in such a manner that may cause physical or emotional
trauma to the live guinea pig or hamster contained therein.
c. Primary enclosures used to transport any live guinea pig or
hamster shall not be tossed, dropped, or needlessly tilted and
shall not be stacked in a manner which may reasonably be
expected to result in their falling.
[43 FR 21163, May 16, 1978, as amended at 43 FR 56216, Dec. 1, 1978;
55 FR 28883, July 16, 1990]
184
PART 3
Subpart C
Rabbits
Part 3, Subpart C, § 3.50
9 CFR AWA (5-1-2023 Edition)
SUBPART C
SPECIFICATIONS FOR THE HUMANE HANDLING, CARE,
TREATMENT AND TRANSPORTATION OF RABBITS
FACILITIES AND OPERATING STANDARDS
§ 3.50 - Facilities, general.
a. Structural strength. Indoor and outdoor housing facilities for
rabbits shall be structurally sound and shall be maintained in
good repair, to protect the animals from injury, to contain the
animals, and to restrict the entrance of other animals.
b. Water and electric power. Reliable and adequate electric power,
if required to comply with other provisions of this subpart, and
adequate potable water shall be available.
c. Storage. Supplies of food and bedding shall be stored in facilities
which adequately protect such supplies against infestation or
contamination by vermin. Refrigeration shall be provided for
supplies of perishable food.
d. Waste disposal. Provision shall be made for the removal and
disposal of animal and food wastes, bedding, dead animals, and
debris. Disposal facilities shall be so provided and operated as to
minimize vermin infestation, odors, and disease hazards.
e. Washroom and sinks. Facilities, such as washrooms, basins, or
sinks, shall be provided to maintain cleanliness among animal
caretakers.
[32 FR 3273, Feb. 24, 1967, as amended at 44 FR 63492, Nov. 2, 1979]
§ 3.51 - Facilities, indoor.
a. Heating. Indoor housing facilities for rabbits need not be heated.
185
Animal Welfare Act, USDA
PART 3
Subpart C
Rabbits
184
Part 3, Subpart C, § 3.52
b. Ventilation. Indoor housing facilities for rabbits shall be
adequately ventilated to provide for the health and comfort of the
animals at all times. Such facilities shall be provided with fresh air
either by means of windows, doors, vents, or air conditioning and
shall be ventilated so as to minimize drafts, odors, and moisture
condensation. Auxiliary ventilation, such as exhaust fans and
vents or air conditioning, shall be provided when the ambient
temperature is 85 °F. or higher.
c. Lighting. Indoor housing facilities for rabbits shall have ample
light, by natural or articial means, or both, of good quality
and well distributed. Such lighting shall provide uniformly
distributed illumination of sucient light intensity to permit
routine inspection and cleaning during the entire working period.
Primary enclosures shall be so placed as to protect the rabbits
from excessive illumination.
d. Interior surfaces. e interior building surfaces of indoor
housing facilities shall be constructed and maintained so that
they are substantially impervious to moisture and may be readily
sanitized.
§ 3.52 - Facilities, outdoor.
a. Shelter from sunlight. When sunlight is likely to cause
overheating or discomfort, sucient shade shall be provided
to allow all rabbits kept outdoors to protect themselves from
the direct rays of the sun. When the atmospheric temperature
exceeds 90 ° F. articial cooling shall be provided by a sprinkler
system or other means.
b. Shelter from rain or snow. Rabbits kept outdoors shall be
provided with access to shelter to allow them to remain dry
during rain or snow.
c. Shelter from cold weather. Shelter shall be provided for all
rabbits kept outdoors when the atmospheric temperature falls
below 40 °F.
d. Protection from predators. Outdoor housing facilities for rabbits
186
9 CFR AWA (5-1-2023 Edition)
PART 3
Subpart C
Rabbits
Part 3, Subpart C, § 3.53
shall be fenced or otherwise enclosed to minimize the entrance of
predators.
e. Drainage. A suitable method shall be provided to rapidly
eliminate excess water.
§ 3.53 - Primary enclosures.
All primary enclosures for rabbits shall conform to the following
requirements:
a. General.
1. Primary enclosures shall be structurally sound and
maintained in good repair to protect the rabbits from injury,
to contain them, and to keep predators out.
2. Primary enclosures shall be constructed and maintained so
as to enable the rabbits to remain dry and clean.
3. Primary enclosures shall be constructed and maintained so
that the rabbits contained therein have convenient access to
clean food and water as required in this subpart.
4. e oors of the primary enclosures shall be constructed so as
to protect the rabbits’ feet and legs from injury. Litter shall be
provided in all primary enclosures having solid oors.
5. A suitable nest box containing clean nesting material shall be
provided in each primary enclosure housing a female with a
litter less than one month of age.
b. Space requirements for primary enclosures acquired before
August 15, 1990.
Primary enclosures shall be constructed and maintained so as to
provide sucient space for the animal to make normal postural
adjustments with adequate freedom of movement. Each rabbit
housed in a primary enclosure shall be provided a minimum
amount of oor space, exclusive of the space taken up by food and
water receptacles, in accordance with the following table:
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PART 3
Subpart C
Rabbits
Part 3, Subpart C, § 3.53
Category
Individual weights
(pounds)
Minimum space per rabbit
(square inches)
Groups 3 through 5 144
6 through 8 288
9 or more 432
Individual
adults
3 through 5 180
6 through 8 360
9 through 11 540
12 or more 720
Nursing
females
3 through 5 576
6 through 8 720
9 through 11 864
12 or more 1080
c. Space requirements for primary enclosures acquired on or after
August 15, 1990.
1. Primary enclosures shall be constructed and maintained so
as to provide sucient space for the animal to make normal
postural adjustments with adequate freedom of movement.
2. Each rabbit housed in a primary enclosure shall be provided
a minimum amount of oor space, exclusive of the space
taken up by food and water receptacles, in accordance with
the following table:
Individual weights
Minimum oor
space
Minimum interior
height
kg lbs m
2
ft
2
cm in
Individual
rabbits
(weaned)
< 2 < 4.4 0.14 1.5 35.56 14
2-4 4.4-8.8 0.28 3.0 35.56 14
4-5.4 8.8-11.9 0.37 4.0 35.56 14
> 5.4 > 11.9 0.46 5.0 35.56 14
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Subpart C
Rabbits
Part 3, Subpart C, § 3.54
Females
with
litters
Weight of nursing
female
Minimum oor
space / female &
litter
Minimum interior
height
kg lbs m
2
ft
2
cm in
< 2 < 4.4 0.37 4.0 35.56 14
2-4 4.4-8.8 0.46 5.0 35.56 14
4-5.4 8.8-11.9 0.56 6.0 35.56 14
> 5.4 > 11.9 0.70 7.5 35.56 14
3. Innovative primary enclosures that do not precisely meet the
space requirements of paragraph (c)(2) of this section, but
that do provide rabbits with a sucient volume of space and
the opportunity to express species- typical behavior, may be
used at research facilities when approved by the Institutional
Animal Care and Use Committee, and by dealers and
exhibitors when approved by the Administrator.
[32 FR 3273, Feb. 24, 1967, as amended at 55 FR 28883, July 16, 1990]
ANIMAL HEALTH AND HUSBANDRY STANDARDS
§ 3.54 - Feeding.
a. Rabbits shall be fed at least once each day except as otherwise
might be required to provide adequate veterinary care. e food
shall be free from contamination, wholesome, palatable and of
sucient quantity and nutritive value to meet the normal daily
requirements for the condition and size of the rabbit.
b. Food receptacles shall be accessible to all rabbits in a primary
enclosure and shall be located so as to minimize contamination
by excreta. All food receptacles shall be kept clean and sanitized
at least once every 2 weeks. If self-feeders are used for the
feeding of dry feed, measures must be taken to prevent molding,
deterioration or caking of the feed.
§ 3.55 - Watering.
Sucient potable water shall be provided daily except as might
otherwise be required to provide adequate veterinary care. All watering
188
189
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PART 3
Subpart C
Rabbits
188
Part 3, Subpart C, § 3.56
receptacles shall be sanitized when dirty: Provided, however, at such
receptacles shall be sanitized at least once every 2 weeks.
§ 3.56 - Sanitation.
a. Cleaning of primary enclosures.
1. Primary enclosures shall be kept reasonably free of excreta,
hair, cobwebs and other debris by periodic cleaning.
Measures shall be taken to prevent the wetting of rabbits in
such enclosures if a washing process is used.
2. In primary enclosures equipped with solid oors, soiled litter
shall be removed and replaced with clean litter at least once
each week.
3. If primary enclosures are equipped with wire or mesh oors,
the troughs or pans under such enclosures shall be cleaned
at least once each week. If worm bins are used under such
enclosures they shall be maintained in a sanitary condition.
b. Sanitization of primary enclosures.
1. Primary enclosures for rabbits shall be sanitized at least once
every 30 days in the manner provided in paragraph (b)(3) of
this section.
2. Prior to the introduction of rabbits into empty primary
enclosures previously occupied, such enclosures shall be
sanitized in the manner provided in paragraph (b)(3) of this
section.
3. Primary enclosures for rabbits shall be sanitized by washing
them with hot water (180 °F.) and soap or detergent as in a
mechanical cage washer, or by washing all soiled surfaces with a
detergent solution followed by a safe and eective disinfectant,
or by cleaning all soiled surfaces with live steam or ame.
c. Housekeeping. Premises (buildings and grounds) shall be kept
clean and in good repair in order to protect the animals from injury
and to facilitate the prescribed husbandry practices set forth in this
subpart. Premises shall remain free of accumulations of trash.
d. Pest control. An eective program for the control of insects,
ectoparasites, and avian and mammalian pests shall be
established and maintained.
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PART 3
Subpart C
Rabbits
Part 3, Subpart C, § 3.57
§ 3.57 - Employees.
A sucient number of employees shall be utilized to maintain the
prescribed level of husbandry practices set forth in this subpart. Such
practices shall be under the supervision of an animal caretaker who has a
background in animal husbandry or care.
§ 3.58 - Classification and separation.
Animals housed in the same primary enclosure shall be maintained in
compatible groups, with the following additional restrictions:
a. Rabbits shall not be housed in the same primary enclosure with
any other species of animals unless required for scientic reasons.
b. Rabbits under quarantine or treatment for a communicable
disease shall be separated from other rabbits and other
susceptible species of animals in such a manner as to minimize
dissemination of such disease.
§ 3.59 - [Reserved]
TRANSPORTATION STANDARDS
Authority: Sections 3.60 through 3.66 issued under secs. 3, 5, 6, 10, 11, 14, 16, 17, 21; 80 Stat.
353; 84 Stat. 1561, 1562, 1563, 1564; 90 Stat. 418, 420, 423 (7 U.S.C. 2133, 2135, 2136, 2140,
2141, 2144, 2146, 2147, 2151); 37 FR 28464, 28477, 38 FR 19141.
Source: Sections 3.60 through 3.66 appear at 42 FR 31565, June 21, 1977,
unless otherwise noted.
§ 3.60 - Consignments to carriers and intermediate handlers.
a. Carriers and intermediate handlers shall not accept any live rabbit
presented by any dealer, research facility, exhibitor, operator of
an auction sale, or other person, or any department, agency, or
instrumentality of the United States or any State or local government
for shipment, in commerce, more than 4 hours prior to the
scheduled departure of the primary conveyance on which it is to
be transported: Provided, however, at the carrier or intermediate
handler and any dealer, research facility, exhibitor, operator of
an auction sale, or other person, or any department, agency, or
instrumentality of the United States or any State or local government
may mutually agree to extend the time of acceptance to not more
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PART 3
Subpart C
Rabbits
190
Part 3, Subpart C, § 3.60
than 6 hours if specic prior scheduling of the animal shipment to
destination has been made.
b. Any carrier or intermediate handler shall only accept for
transportation or transport, in commerce, any live rabbit in a
primary enclosure which conforms to the requirements set forth
in § 3.61 of the standards: Provided, however, at any carrier or
intermediate handler may accept for transportation or transport,
in commerce, any live rabbit consigned by any department,
agency, or instrumentality of the United States having laboratory
animal facilities or exhibiting animals or any licensed or registered
dealer, research facility, exhibitor, or operator of any auction sale,
if such consignor furnishes to the carrier or intermediate handler
a certicate, signed by the consignor, stating that the primary
enclosure complies with § 3.61 of the standards, unless such
primary enclosure is obviously defective or damaged and it is
apparent that it cannot reasonably be expected to contain the live
rabbit without causing suering or injury to such live rabbit. A copy
of such certicate shall accompany the shipment to destination.
e certicate shall include at least the following information:
1. Name and address of the consignor;
2. e number of rabbits in the primary enclosure(s);
3. A certifying statement (e.g., “I hereby certify that the
(number) primary enclosure(s) which are used to transport
the animal(s) in this shipment complies (comply) with USDA
standards for primary enclosures (9 CFR part 3).”); and
4. e signature of the consignor, and date.
c. Carriers or intermediate handlers whose facilities fail to meet
the minimum temperature allowed by the standards may accept
for transportation or transport, in commerce, any live rabbit
consigned by any department, agency, or instrumentality of
the United States or of any State or local government, or by any
person (including any licensee or registrant under the Act, as well
as any private individual) if the consignor furnishes to the carrier
or intermediate handler a certicate executed by a veterinarian
accredited by this Department pursuant to part 160 of this title
on a specied date which shall not be more than 10 days prior to
delivery of such rabbit for transportation in commerce, stating
that such live rabbit is acclimated to air temperatures lower than
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PART 3
Subpart C
Rabbits
Part 3, Subpart C, § 3.61
those prescribed in §§ 3.65 and 3.66. A copy of such certicate
shall accompany the shipment to destination. e certicate shall
include at least the following information:
1. Name and address of the consignor;
2. e number of rabbits in the shipment;
3. A certifying statement (e.g., “I hereby certify that the animal(s)
in this shipment is (are), to the best of my knowledge,
acclimated to air temperatures lower than 7.2 °C. (45 °F.).)”;
and
4. e signature of the USDA accredited veterinarian, assigned
accreditation number, and date.
d. Carriers and intermediate handlers shall attempt to notify the
consignee at least once in every 6 hour period following the
arrival of any live rabbit at the animal holding area of the terminal
cargo facility. e time, date, and method of each attempted
notication and the nal notication to the consignee and the
name of the person notifying the consignee shall be recorded
on the copy of the shipping document retained by the carrier or
intermediate handler and on a copy of the shipping document
accompanying the animal shipment.
[42 FR 31565, June 21, 1977, as amended at 43 FR 21164, May 16, 1978; 44 FR 63493,
Nov. 2, 1979]
§ 3.61 - Primary enclosures used to transport live rabbits.
No person subject to the Animal Welfare regulations shall oer for
transportation or transport in commerce any live rabbit in a primary
enclosure that does not conform to the following requirements:
a. Primary enclosures, such as compartments, transport cages,
cartons, or crates, used to transport live rabbits shall be
constructed in such a manner that:
1. e structural strength of the enclosure shall be sucient to
contain the live rabbits and to withstand the normal rigors of
transportation;
2. e interior of the enclosure shall be free from any
protrusions that could be injurious to the live rabbits
contained therein;
3. e openings of such enclosures are easily accessible at all
times for emergency removal of the live rabbits;
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PART 3
Subpart C
Rabbits
192
Part 3, Subpart C, § 3.61
4. Except as provided in paragraph (h) of this section, there
are ventilation openings located on two opposite walls of
the primary enclosure and the ventilation openings on each
such wall shall be at least 16 percent of the total surface area
of each such wall, or there are ventilation openings located
on all four walls of the primary enclosure and the ventilation
openings on each such wall shall be at least 8 percent of the
total surface area of each such wall: Provided, however, at
at least one-third of the total minimum area required for
ventilation of the primary enclosure shall be located on the
lower one-half of the primary enclosure and at least one-
third of the total minimum area required for ventilation of the
primary enclosure shall be located on the upper one-half of
the primary enclosure;
5. Except as provided in paragraph (h) of this section, projecting
rims or other devices shall be on the exterior of the outside
walls with any ventilation openings to prevent obstruction
of the ventilation openings and to provide a minimum air
circulation space 1.9 centimeters (.75 inch) between the
primary enclosure and any adjacent cargo or conveyance
wall; and
6. Except as provided in paragraph (h) of this section, adequate
handholds or other devices for lifting shall be provided on
the exterior of the primary enclosure to enable the primary
enclosure to be lifted without tilting and to ensure that the
person handling the primary enclosure will not be in contact
with the rabbit.
b. Live rabbits transported in the same primary enclosure shall be
maintained in compatible groups and shall not be transported in
the same primary enclosure with other species of animals.
c. Primary enclosures used to transport live rabbits shall be
large enough to ensure that each rabbit contained therein has
sucient space to turn about freely and to make normal postural
adjustments.
d. Not more than 15 live rabbits shall be transported in the same
primary enclosure.
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PART 3
Subpart C
Rabbits
Part 3, Subpart C, § 3.62
e. Primary enclosures used to transport live rabbits as provided
in this section shall have solid bottoms to prevent leakage
in shipment and shall be cleaned and sanitized in a manner
prescribed in § 3.56 of the standards, if previously used. Such
primary enclosures shall contain clean litter of a suitable
absorbent material which is safe and nontoxic to the rabbits, in
sucient quantity to absorb and cover excreta, unless the rabbits
are on wire or other nonsolid oors.
f. Primary enclosures used to transport live rabbits, except where such
primary enclosures are permanently axed in the animal cargo
space of the primary conveyance, shall be clearly marked on top
and on one or more sides with the words “Live Animal” in letters not
less than 2.5 centimeters (1 inch) in height, and with arrows or other
markings, to indicate the correct upright position of the container.
g. Documents accompanying the shipment shall be attached in an
easily accessible manner to the outside of a primary enclosure
which is part of such shipment.
h. When a primary enclosure is permanently axed within the
animal cargo space of the primary conveyance so that the
front opening is the only source of ventilation for such primary
enclosure, the front opening shall open directly to the outside
or to an unobstructed aisle or passageway within the primary
conveyance. Such front ventilation opening shall be at least 90
percent of the total surface area of the front wall of the primary
enclosure and covered with bars, wire mesh or smooth expanded
metal.
[42 FR 31565, June 21, 1977, as amended at 43 FR 21164, May 16, 1978; 55 FR 28883,
July 16, 1990]
§ 3.62 - Primary conveyances (motor vehicle, rail, air,
and marine).
a. e animal cargo space of primary conveyances used in
transporting live rabbits shall be designed and constructed to
protect the health, and ensure the safety and comfort of the
rabbits contained therein at all times.
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PART 3
Subpart C
Rabbits
194
Part 3, Subpart C, § 3.62
b. e animal cargo space shall be constructed and maintained
in a manner to prevent the ingress of engine exhaust fumes and
gases from the primary conveyance during transportation in
commerce.
c. No live rabbit shall be placed in an animal cargo space that does
not have a supply of air sucient for normal breathing for each
live animal contained therein, and the primary enclosures shall
be positioned in the animal cargo space in such a manner that
each rabbit has access to sucient air for normal breathing.
d. Primary enclosures shall be positioned in the primary
conveyance in such a manner that in an emergency the live
rabbits can be removed from the primary conveyance as soon as
possible.
e. e interior of the animal cargo space shall be kept clean.
f. Live rabbits shall not be transported with any material, substance
(e.g., dry ice) or device which may reasonably be expected to be
injurious to the health and well-being of the rabbits unless proper
precaution is taken to prevent such injury.
g. e animal cargo space of primary conveyances used to transport
rabbits shall be mechanically sound and provide fresh air by
means of windows, doors, vents, or air conditioning so as to
minimize drafts, odors, and moisture condensation. Auxiliary
ventilation, such as fans, blowers, or air conditioners, shall be
used in any cargo space containing live rabbits when the ambient
temperature in the animal cargo space is 75 °F (23.9 °C) or higher.
e ambient temperature within the animal cargo space shall not
exceed 85 °F (29.5 °C) or fall below 45 °F (7.2 °C), except that the
ambient temperature in the cargo space may be below 45 °F (7.2
°C) if the rabbits are accompanied by a certicate of acclimation
to lower temperatures, as provided in § 3.60(c) of this part.
[42 FR 31565, June 21, 1977, as amended at 55 FR 28883, July 16, 1990]
196
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PART 3
Subpart C
Rabbits
Part 3, Subpart C, § 3.63
§ 3.63 - Food and water requirements.
a. If live rabbits are to be transported for a period of more than 6
hours, they shall have access to food and water or a type of food,
which provides the requirements for food and water in quantity
and quality sucient to satisfy their food and water needs, during
transit.
b. Any dealer, research facility, exhibitor or operator of an auction
sale oering any live rabbit to any carrier or intermediate handler
for transportation, in commerce, shall provide an adequate
supply of food or type of food, which provides the requirements
for food and water, within the primary enclosure to meet the
requirements of this section.
c. No carrier or intermediate handler shall accept for transportation,
in commerce, any live rabbit without an adequate supply of food
or type of food, which provides the requirements for food and
water, within the primary enclosure to meet the requirements of
this section.
§ 3.64 - Care in transit.
a. During surface transportation, it shall be the responsibility of
the driver or other employee to visually observe the live rabbits
as frequently as circumstances may dictate, but not less than
once every 4 hours, to assure that they are receiving sucient
air for normal breathing, their ambient temperatures are within
the prescribed limits, all other applicable standards are being
complied with and to determine whether any of the live rabbits
are in obvious physical distress and to provide any needed
veterinary care as soon as possible. When transported by air, live
rabbits shall be visually observed by the carrier as frequently as
circumstances may dictate, but not less than once every 4 hours,
if the cargo space is accessible during ight. If the animal cargo
space is not accessible during ight, the carrier shall visually
observe the live rabbits whenever loaded and unloaded and
whenever the animal cargo space is otherwise accessible to
assure that they are receiving sucient air for normal breathing,
their ambient temperatures are within the prescribed limits,
197
Animal Welfare Act, USDA
PART 3
Subpart C
Rabbits
196
Part 3, Subpart C, § 3.65
all other applicable standards are being complied with and to
determine whether any such live rabbits are in obvious physical
distress. e carrier shall provide any needed veterinary care as
soon as possible. No rabbit in obvious physical distress shall be
transported in commerce.
b. During the course of transportation, in commerce, live rabbits
shall not be removed from their primary enclosures unless
placed in other primary enclosures or facilities conforming to the
requirements provided in this subpart.
§ 3.65 - Terminal facilities.
No person subject to the Animal Welfare regulations shall commingle
shipments of live rabbits with inanimate cargo. All animal holding
areas of a terminal facility where shipments of rabbits are maintained
shall be cleaned and sanitized as prescribed in § 3.56 of the standards
often enough to prevent an accumulation of debris or excreta, to
minimize vermin infestation, and to prevent a disease hazard. An
eective program for the control of insects, ectoparasites, and avian and
mammalian pests shall be established and maintained for all animal
holding areas. Any animal holding area containing live rabbits shall
be provided with fresh air by means of windows, doors, vents, or air
conditioning and may be ventilated or air circulated by means of fans,
blowers, or an air conditioning system so as to minimize drafts, odors,
and moisture condensation. Auxiliary ventilation, such as exhaust fans
and vents or fans or blowers or air conditioning shall be used for any
animal holding area containing live rabbits when the air temperature
within such animal holding area is 23.9 °C. (75 °F.) or higher. e air
temperature around any live rabbit in any animal holding area shall not
be allowed to fall below 7.2 °C. (45 °F.) nor be allowed to exceed 29.5 °C.
(85 °F.) at any time. To ascertain compliance with the provisions of this
paragraph, the air temperature around any live rabbit shall be measured
and read outside the primary enclosure which contains such rabbit at
a distance not to exceed .91 meters (3 feet) from any one of the external
walls of the primary enclosure and on a level parallel to the bottom of
such primary enclosure at a point which approximates half the distance
between the top and bottom of such primary enclosure.
[43 FR 56216, Dec. 1, 1978, as amended at 55 FR 28883, July 16, 1990]]
198
9 CFR AWA (5-1-2023 Edition)
PART 3
Subpart C
Rabbits
Part 3, Subpart C, § 3.66
§ 3.66 - Handling.
a. Any person who is subject to the Animal Welfare regulations
and who moves live rabbits from an animal holding area of a
terminal facility to a primary conveyance or vice versa shall do
so as quickly and eciently as possible. Any person subject to
the Animal Welfare regulations and holding any live rabbit in an
animal holding area of a terminal facility or transporting any live
rabbit to or from a terminal facility shall provide the following:
1. Shelter from sunlight. When sunlight is likely to cause
overheating or discomfort, sucient shade shall be provided
to protect the live rabbits from the direct rays of the sun and
such live rabbits shall not be subjected to surrounding air
temperatures which exceed 29.5 °C. (85 °F.), and which shall
be measured and read in the manner prescribed in § 3.65 of
this part, for a period of more than 45 minutes.
2. Shelter from rain or snow. Live rabbits shall be provided
protection to allow them to remain dry during rain or snow.
3. Shelter from cold weather. Transporting devices shall be
covered to provide protection for live rabbits when the
outdoor air temperature falls below 10 °C. (50 °F.), and
such live rabbits shall not be subjected to surrounding air
temperatures which fall below 7.2 °C. (45 °F.), and which shall
be measured and read in the manner prescribed in § 3.65 of
this part, for a period of more than 45 minutes unless such
rabbits are accompanied by a certicate of acclimation to
lower temperatures as prescribed in § 3.60(c).
4. Care shall be exercised to avoid handling of the primary
enclosure in such a manner that may cause physical or
emotional trauma to the live rabbit contained therein.
5. Primary enclosures used to transport any live rabbit shall
not be tossed, dropped, or needlessly tilted and shall not be
stacked in a manner which may reasonably be expected to
result in their falling.
[43 FR 21164, May 16, 1978, as amended at 43 FR 56216, Dec. 1, 1978; 55 FR 28883,
July 16, 1990]
199
Animal Welfare Act, USDA
PART 3
Subpart D
Nonhuman
Primates
198
Part 3, Subpart D, § 3.75
SUBPART D
SPECIFICATIONS FOR THE HUMANE HANDLING,
CARE, TREATMENT, AND TRANSPORTATION OF
NONHUMAN PRIMATES
2
Source: 56 FR 6495, Feb. 15, 1991, unless otherwise noted.
FACILITIES AND OPERATING STANDARDS
§ 3.75 - Housing facilities, general.
a. Structure: construction. Housing facilities for nonhuman
primates must be designed and constructed so that they are
structurally sound for the species of nonhuman primates housed
in them. ey must be kept in good repair, and they must protect
the animals from injury, contain the animals securely, and restrict
other animals from entering.
b. Condition and site. Housing facilities and areas used
for storing animal food or bedding must be free of any
accumulation of trash, waste material, junk, weeds, and other
discarded materials. Animal areas inside of housing facilities
must be kept neat and free of clutter, including equipment,
furniture, or stored material, but may contain materials
actually used and necessary for cleaning the area, and fixtures
and equipment necessary for proper husbandry practices and
research needs. Housing facilities other than those maintained
by research facilities and Federal research facilities must
be physically separated from any other businesses. If a
2 Nonhuman primates include a great diversity of forms, ranging from the marmoset
weighing only a few ounces, to the adult gorilla weighing hundreds of pounds, and include
more than 240 species. ey come from Asia, Africa, and Central and South America, and
they live in dierent habitats in nature. Some have been transported to the United States
from their natural habitats and some have been raised in captivity in the Unit- ed States.
eir nutritional and activity requirements dier, as do their social and environmental
requirements. As a result, the conditions appropriate for one species do not necessarily apply
to another. Accordingly, these minimum specications must be applied in accordance with
the customary and generally accepted professional and husbandry practices considered
appropriate for each species, and necessary to promote their psychological well-being. ese
minimum standards apply only to live nonhuman primates, unless stated otherwise.
200
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PART 3
Subpart D
Nonhuman
Primates
Part 3, Subpart D, § 3.75
housing facility is located on the same premises as any other
businesses, it must be physically separated from the other
businesses so that animals the size of dogs, skunks, and
raccoons, are prevented from entering it.
c. Surfaces.
1. General requirements. e surfaces of housing facilities –
including perches, shelves, swings, boxes, houses, dens, and
other furniture- type xtures or objects within the facility –
must be constructed in a manner and made of materials that
allow them to be readily cleaned and sanitized, or removed or
replaced when worn or soiled. Furniture-type xtures or objects
must be sturdily constructed and must be strong enough to
provide for the safe activity and welfare of nonhuman primates.
Floors may be made of dirt, absorbent bedding, sand, gravel,
grass, or other similar material that can be readily cleaned,
or can be removed or replaced whenever cleaning does not
eliminate odors, diseases, pests, insects, or vermin. Any surfaces
that come in contact with nonhuman primates must:
i. Be free of excessive rust that prevents the required
cleaning and sanitization, or that aects the structural
strength of the surface; and
ii. Be free of jagged edges or sharp points that might injure
the animals.
2. Maintenance and replacement of surfaces. All surfaces
must be maintained on a regular basis. Surfaces of housing
facilities – including houses, dens, and other furniture-type
xtures and objects within the facility – that cannot be readily
cleaned and sanitized, must be replaced when worn or
soiled.
3. Cleaning. Hard surfaces with which nonhuman primates
come in contact must be spot-cleaned daily and sanitized
in accordance with § 3.84 of this subpart to prevent
accumulation of excreta or disease hazards. If the species
scent mark, the surfaces must be sanitized or replaced at
regular intervals as determined by the attending veterinarian
in accordance with generally accepted professional and
husbandry practices. Floors made of dirt, absorbent
bedding, sand, gravel, grass, or other similar material, and
planted enclosures must be raked or spot-cleaned with
201
Animal Welfare Act, USDA
PART 3
Subpart D
Nonhuman
Primates
200
Part 3, Subpart D, § 3.75
sucient frequency to ensure all animals the freedom to
avoid contact with excreta. Contaminated material must be
removed or replaced whenever raking and spot cleaning
does not eliminate odors, diseases, insects, pests, or vermin
infestation. All other surfaces of housing facilities must be
cleaned and sanitized when necessary to satisfy generally
accepted husbandry standards and practices. Sanitization
may be done by any of the methods provided in § 3.84(b)(3)
of this subpart for primary enclosures.
d. Water and electric power. e housing facility must have reliable
electric power adequate for heating, cooling, ventilation, and
lighting, and for carrying out other husbandry requirements in
accordance with the regulations in this subpart. e housing
facility must provide running potable water for the nonhuman
primates’ drinking needs. It must be adequate for cleaning and
for carrying out other husbandry requirements.
e. Storage. Supplies of food and bedding must be stored in a manner
that protects the supplies from spoilage, contamination, and vermin
infestation. e supplies must be stored o the oor and away from
the walls, to allow cleaning underneath and around the supplies.
Food requiring refrigeration must be stored accordingly, and all
food must be stored in a manner that prevents contamination
and deterioration of its nutritive value. Only the food and bedding
currently being used may be kept in animal areas, and when not
in actual use, open food and bedding supplies must be kept in
leakproof containers with tightly tting lids to prevent spoilage and
contamination. Substances that are toxic to the nonhuman primates
but that are required for normal husbandry practices must not be
stored in food storage and preparation areas, but may be stored in
cabinets in the animal areas.
f. Drainage and waste disposal. Housing facility operators
must provide for regular and frequent collection, removal, and
disposal of animal and food wastes, bedding, dead animals,
debris, garbage, water, and any other uids and wastes, in a
manner that minimizes contamination and disease risk. Housing
facilities must be equipped with disposal facilities and drainage
systems that are constructed and operated so that animal wastes
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and water are rapidly eliminated and the animals stay dry.
Disposal and drainage systems must minimize vermin and pest
infestation, insects, odors, and disease hazards. All drains must
be properly constructed, installed, and maintained. If closed
drainage systems are used, they must be equipped with traps
and prevent the backow of gases and the backup of sewage onto
the oor. If the facility uses sump ponds, settlement ponds, or
other similar systems for drainage and animal waste disposal, the
system must be located far enough away from the animal area
of the housing facility to prevent odors, diseases, insects, pests,
and vermin infestation. If drip or constant ow watering devices
are used to provide water to the animals, excess water must be
rapidly drained out of the animal areas by gutters or pipes so that
the animals stay dry. Standing puddles of water in animal areas
must be mopped up or drained so that the animals remain dry.
Trash containers in housing facilities and in food storage and
food preparation areas must be leakproof and must have tightly
tted lids on them at all times. Dead animals, animal parts, and
animal waste must not be kept in food storage or food preparation
areas, food freezers, food refrigerators, and animal areas.
g. Washrooms and sinks. Washing facilities, such as washrooms,
basins, sinks, or showers must be provided for animal caretakers
and must be readily accessible.
§ 3.76 - Indoor housing facilities.
a. Heating, cooling, and temperature. Indoor housing facilities
must be suciently heated and cooled when necessary to
protect nonhuman primates from temperature extremes and to
provide for their health and well-being. e ambient temperature
in the facility must not fall below 45 °F (7.2 °C) for more than 4
consecutive hours when nonhuman primates are present, and
must not rise above 85 °F (29.5 °C) for more than 4 consecutive
hours when nonhuman primates are present. e ambient
temperature must be maintained at a level that ensures the health
and well-being of the species housed, as directed by the attending
veterinarian, in accordance with generally accepted professional
and husbandry practices.
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b. Ventilation. Indoor housing facilities must be suciently
ventilated at all times when nonhuman primates are present to
provide for their health and well-being and to minimize odors,
drafts, ammonia levels, and moisture condensation. Ventilation
must be provided by windows, doors, vents, fans, or air
conditioning. Auxiliary ventilation, such as fans, blowers, or air
conditioning, must be provided when the ambient temperature is
85 °F (29.5 °C) or higher. e relative humidity maintained must
be at a level that ensures the health and well-being of the animals
housed, as directed by the attending veterinarian, in accordance
with generally accepted professional and husbandry practices.
c. Lighting. Indoor housing facilities must be lighted well enough
to permit routine inspection and cleaning of the facility, and
observation of the nonhuman primates. Animal areas must
be provided a regular diurnal lighting cycle of either natural or
articial light. Lighting must be uniformly diused throughout
animal facilities and provide sucient illumination to aid in
maintaining good housekeeping practices, adequate cleaning,
adequate inspection of animals, and for the well-being of the
animals. Primary enclosures must be placed in the housing facility
so as to protect the nonhuman primates from excessive light.
§ 3.77 - Sheltered housing facilities.
a. Heating, cooling, and temperature. e sheltered part of
sheltered housing facilities must be suciently heated and
cooled when necessary to protect the nonhuman primates
from temperature extremes, and to provide for their health
and well-being. e ambient temperature in the sheltered
part of the facility must not fall below 45 °F (7.2 °C) for more
than 4 consecutive hours when nonhuman primates are
present, and must not rise above 85°F (29.5 °C) for more than 4
consecutive hours when nonhuman primates are present, unless
temperatures above 85 °F (29.5 °C) are approved by the attending
veterinarian, in accordance with generally accepted husbandry
practices. e ambient temperature must be maintained at a level
that ensures the health and well-being of the species housed,
as directed by the attending veterinarian, in accordance with
generally accepted professional and husbandry practices.
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b. Ventilation. e sheltered part of sheltered animal facilities must
be suciently ventilated at all times to provide for the health and
well-being of nonhuman primates and to minimize odors, drafts,
ammonia levels, and moisture condensation. Ventilation must
be provided by windows, doors, vents, fans, or air conditioning.
Auxiliary ventilation, such as fans, blowers, or air conditioning,
must be provided when the ambient temperature is 85 °F (29.5
°C) or higher. e relative humidity maintained must be at a level
that ensures the health and well-being of the species housed,
as directed by the attending veterinarian, in accordance with
generally accepted professional and husbandry practices.
c. Lighting. e sheltered part of sheltered housing facilities must
be lighted well enough to permit routine inspection and cleaning
of the facility, and observation of the nonhuman primates.
Animal areas must be provided a regular diurnal lighting cycle
of either natural or articial light. Lighting must be uniformly
diused throughout animal facilities and provide sucient
illumination to aid in maintaining good housekeeping practices,
adequate cleaning, adequate inspection of animals, and for the
well-being of the animals. Primary enclosures must be placed in
the housing facility so as to protect the nonhuman primates from
excessive light.
d. Shelter from the elements. Sheltered housing facilities for
nonhuman primates must provide adequate shelter from the
elements at all times. ey must provide protection from the sun,
rain, snow, wind, and cold, and from any weather conditions that
may occur.
e. Capacity: multiple shelters. Both the sheltered part of sheltered
housing facilities and any other necessary shelter from the
elements must be suciently large to provide protection
comfortably to each nonhuman primate housed in the facility.
If aggressive or dominant animals are housed in the facility with
other animals, there must be multiple shelters or other means to
ensure that each nonhuman primate has access to shelter.
f. Perimeter fence. On and after February 15, 1994, the outdoor
area of a sheltered housing facility must be enclosed by a fence
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that is of sucient height to keep unwanted species out. Fences
less than 6 feet high must be approved by the Administrator.
e fence must be constructed so that it protects nonhuman
primates by restricting unauthorized humans, and animals the
size of dogs, skunks, and raccoons from going through it or under
it and having contact with the nonhuman primates. It must be of
sucient distance from the outside wall or fence of the primary
enclosure to prevent physical contact between animals inside the
enclosure and outside the perimeter fence. Such fences less than
3 feet in distance from the primary enclosure must be approved
by the Administrator. A perimeter fence is not required if:
1. e outside walls of the primary enclosure are made of a
sturdy, durable material such as concrete, wood, plastic,
metal, or glass, and are high enough and constructed in a
manner that restricts contact with or entry by humans and
animals that are outside the sheltered housing facility; or
2. e housing facility is surrounded by a natural barrier that
restricts the nonhuman primates to the housing facility and
protects them from contact with unauthorized humans and
animals that are outside the sheltered housing facility, and
the Administrator gives written permission
g. Public barriers. Fixed public exhibits housing nonhuman
primates, such as zoos, must have a barrier between the primary
enclosure and the public at any time the public is present, that
restricts physical contact between the public and the nonhuman
primates. Nonhuman primates used in trained animal acts or
in uncaged public exhibits must be under the direct control and
supervision of an experienced handler or trainer at all times
when the public is present. Trained nonhuman primates may be
permitted physical contact with the public, as allowed under §
2.131, but only if they are under the direct control and supervision
of an experienced handler or trainer at all times during the
contact.
(Approved by the Oce of Management and Budget under control number 0579-0093)
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§ 3.78 - Outdoor housing facilities.
a. Acclimation. Only nonhuman primates that are acclimated,
as determined by the attending veterinarian, to the prevailing
temperature and humidity at the outdoor housing facility during
the time of year they are at the facility, and that can tolerate the
range of temperatures and climatic conditions known to occur at
the facility at that time of year without stress or discomfort, may
be kept in outdoor facilities.
b. Shelter from the elements. Outdoor housing facilities for
nonhuman primates must provide adequate shelter from the
elements at all times. It must provide protection from the sun,
rain, snow, wind, and cold, and from any weather conditions that
may occur. e shelter must safely provide heat to the nonhuman
primates to prevent the ambient temperature from falling below
45 °F (7.2 °C), except as directed by the attending veterinarian
and in accordance with generally accepted professional and
husbandry practices.
c. Capacity: multiple shelters. e shelter must be suciently large
to comfortably provide protection for each nonhuman primate
housed in the facility. If aggressive or dominant animals are
housed in the facility with other animals there must be multiple
shelters, or other means to ensure protection for each nonhuman
primate housed in the facility.
d. Perimeter fence. On and after February 15, 1994, an outdoor
housing facility must be enclosed by a fence that is of sucient
height to keep unwanted species out. Fences less than 6 feet
high must be approved by the Administrator. e fence must be
constructed so that it protects nonhuman primates by restricting
unauthorized humans, and animals the size of dogs, skunks, and
raccoons from going through it or under it and having contact
with the nonhuman primates. It must be of sucient distance
from the outside wall or fence of the primary enclosure to
prevent physical contact between animals inside the enclosure
and outside the perimeter fence. Such fences less than 3 feet in
distance from the primary enclosure must be approved by the
Administrator. A perimeter fence is not required if:
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1. e outside walls of the primary enclosure are made of a
sturdy, durable material such as concrete, wood, plastic,
metal, or glass, and are high enough and constructed in a
manner that restricts contact with or entry by humans and
animals that are outside the housing facility; or
2. e housing facility is surrounded by a natural barrier that
restricts the nonhuman primates to the housing facility and
protects them from contact with unauthorized humans
and animals that are outside the housing facility, and the
Administrator gives written permission.
e. Public barriers. Fixed public exhibits housing nonhuman
primates, such as zoos, must have a barrier between the primary
enclosure and the public at any time the public is present, in
order to restrict physical contact between the public and the
nonhuman primates. Nonhuman primates used in trained
animal acts or in uncaged public exhibits must be under the
direct control and supervision of an experienced handler or
trainer at all times when the public is present. Trained nonhuman
primates may be allowed physical contact with the public, but
only if they are under the direct control and supervision of an
experienced handler or trainer at all times during the contact.
(Approved by the Oce of Management and Budget under control number 0579-0093)
§ 3.79 - Mobile or traveling housing facilities.
a. Heating, cooling, and temperature. Mobile or traveling housing
facilities must be suciently heated and cooled when necessary
to protect nonhuman primates from temperature extremes and to
provide for their health and well-being. e ambient temperature
in the traveling housing facility must not fall below 45 °F (7.2 °C)
for more than 4 consecutive hours when nonhuman primates are
present, and must not rise above 85 °F (29.5 °C) for more than 4
consecutive hours when nonhuman primates are present. e
ambient temperature must be maintained at a level that ensures
the health and well-being of the species housed, as directed by
the attending veterinarian, and in accordance with generally
accepted professional and husbandry practices.
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b. Ventilation. Traveling housing facilities must be suciently
ventilated at all times when nonhuman primates are present to
provide for the health and well-being of nonhuman primates
and to minimize odors, drafts, ammonia levels, moisture
condensation, and exhaust fumes. Ventilation must be provided
by means of windows, doors, vents, fans, or air conditioning.
Auxiliary ventilation, such as fans, blowers, or air conditioning,
must be provided when the ambient temperature in the traveling
housing facility is 85°F (29.5 °C) or higher.
c. Lighting. Mobile or traveling housing facilities must be lighted well
enough to permit routine inspection and cleaning of the facility,
and observation of the nonhuman primates. Animal areas must be
provided a regular diurnal lighting cycle of either natural or articial
light. Lighting must be uniformly diused throughout animal
facilities and provide sucient illumination to aid in maintaining
good housekeeping practices, adequate cleaning, adequate
inspection of animals, and for the well-being of the animals. Primary
enclosures must be placed in the housing facility so as to protect the
nonhuman primates from excessive light.
d. Public barriers. ere must be a barrier between a mobile or
traveling housing facility and the public at any time the public
is present, in order to restrict physical contact between the
nonhuman primates and the public. Nonhuman primates used
in traveling exhibits, trained animal acts, or in uncaged public
exhibits must be under the direct control and supervisionof an
experienced handler or trainer at all times when the public is
present. Trained nonhuman primates may be allowed physical
contact with the public, but only if they are under the direct
control and supervision of an experienced handler or trainer at all
times during the contact.
§ 3.80 - Primary enclosures.
Primary enclosures for nonhuman primates must meet the following
minimum requirements:
a. General requirements.
1. Primary enclosures must be designed and constructed of
suitable materials so that they are structurally sound for the
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species of nonhuman primates contained in them. ey must
be kept in good repair.
2. Primary enclosures must be constructed and maintained so
that they:
i. Have no sharp points or edges that could injure the
nonhumanprimates;
ii. Protect the nonhuman primates from injury;
iii. Contain the nonhuman primates securely and prevent
accidental opening of the enclosure, including opening
by the animal;
iv. Keep other unwanted animals from entering the
enclosure or having physical contact with the nonhuman
primates;
v. Enable the nonhuman primates to remain dry and clean;
vi. Provide shelter and protection from extreme
temperatures and weather conditions that may be
uncomfortable or hazardous to the species of nonhuman
primate contained;
vii. Provide sucient shade to shelter all the nonhuman
primates housed in the primary enclosure at one time;
viii. Provide the nonhuman primates with easy and
convenient access to clean food and water;
ix. Enable all surfaces in contact with nonhuman primates
to be readily cleaned and sanitized in accordance with
§ 3.84(b)(3) of this subpart, or replaced when worn or
soiled;
x. Have oors that are constructed in a manner that protects
the nonhuman primates from injuring themselves; and
xi. Provide sucient space for the nonhuman primates
to make normal postural adjustments with freedom of
movement.
b. Minimum space requirements. Primary enclosures must meet
the minimum space requirements provided in this subpart. ese
minimum space requirements must be met even if perches,
ledges, swings, or other suspended xtures are placed in the
enclosure. Low perches and ledges that do not allow the space
underneath them to be comfortably occupied by the animal will
be counted as part of the oor space.
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1. e minimum space that must be provided to each
nonhuman primate, whether housed individually or with
other nonhuman primates, will be determined by the typical
weight of animals of its species, except for brachiating species
and great apes
3
and will be calculated by using the following
table:
4
2. Dealers. exhibitors, and research facilities, including Federal
research facilities, must provide great apes weighing over 110
lbs. (50 kg) an additional volume of space in excess of that
required for Group 6 animals as set forth in paragraph (b)(1)
of this section, to allow for normal postural adjustments.
3 e dierent species of nonhuman primates are divided into six weight groups for
determining minimum space requirements, except that all brachiating species of any
weight are grouped together since they require additional space to engage in species-
typical behavior. e grouping provided is based upon the typical weight for various
species and not on changes associated with obesity, aging, or pregnancy. ese conditions
will not be considered in determining a nonhuman primate’s weight group unless the
animal is obviously unable to make normal postural adjustments and movements within
the primary enclosure. Dierent species of prosimians vary in weight and should be
grouped with their appropriate weight group. ey have not been included in the weight
table since dierent species typically fall into dierent weight groups. Infants and juveniles
of certain species are substantially lower in weight than adults of those species and require
the minimum space requirements of lighter weight species, unless the animal is obviously
unable to make normal postural adjustments and movements within the primary
enclosure.
4 Examples of the kinds of nonhuman primates typically included in each age group are:
G
roup 1—marmosets, tamarins, and infants (less than 6 months of age) of various species.
Group 2—capuchins, squirrel monkeys and similar size species, and juveniles (6 months to
3 years of age) of various species.
Group 3—macaques and African species.
Group 4—male macaques and large African species.
Group 5—baboons and nonbrachiating species larger than 33.0 lbs. (15 kg.).
Group 6—great apes over 55.0 lbs. (25 kg.), except as provided in paragraph (b)(2) of this
section, and brachiating species.
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Weight Floor area/animal Height
Group lbs. (kg.) ft.
2
(m
2
) in. (cm.)
1 Under 2.2 (under 1) 1.6 (0.15) 20 (50.8)
2 2.2-6.6 (1-3) 3.0 (0.28) 30 (76.2)
3 6.6-22.0 (3-10) 4.3 (0.40) 30 (76.2)
4 22.0-33.0 (10-15) 6.0 (0.56) 32 (81.28)
5 33.0-55.0 (15-25) 8.0 (0.74) 36 (91.44)
6 Over 55.0 (over 25) 25.1 (2.33) 84 (213.36)
3. In the case of research facilities, any exemption from these
standards must be required by a research proposal or in
the judgment of the attending veterinarian and must be
approved by the Committee. In the case of dealers and
exhibitors, any exemption from these standards must be
required in the judgment of the attending veterinarian and
approved by the Administrator.
4. When more than one nonhuman primate is housed in a
primary enclosure, the minimum space requirement for
the enclosure is the sum of the minimum oor area space
required for each individual nonhuman primate in the table
in paragraph (b)(1) of this section, and the minimum height
requirement for the largest nonhuman primate housed in
the enclosure. Provided however, that mothers with infants
less than 6 months of age may be maintained together in
primary enclosures that meet the oor area space and height
requirements of the mother.
c. Innovative primary enclosures not precisely meeting the oor
area and height requirements provided in paragraph (b) of this
section, but that do provide nonhuman primates with a sucient
volume of space and the opportunity to express species-typical
behavior, may be used at research facilities when approved by the
Committee, and by dealers and exhibitors when approved by the
Administrator.
(Approved by the Oce of Management and Budget under control number 0579-0093)
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§ 3.81 - Environment enhancement to promote
psychological well-being.
Dealers, exhibitors, and research facilities must develop, document,
and follow an appropriate plan for environment enhancement adequate
to promote the psychological well-being of nonhuman primates. e
plan must be in accordance with the currently accepted professional
standards as cited in appropriate professional journals or reference
guides, and as directed by the attending veterinarian. is plan must
be made available to APHIS upon request, and, in the case of research
facilities, to ocials of any pertinent funding agency. e plan, at a
minimum, must address each of the following:
a. Social grouping. e environment enhancement plan must
include specic provisions to address the social needs of
nonhuman primates of species known to exist in social groups
in nature. Such specic provisions must be in accordance with
currently accepted professional standards, as cited in appropriate
professional journals or reference guides, and as directed by the
attending veterinarian. e plan may provide for the following
exceptions:
1. If a nonhuman primate exhibits vicious or overly aggressive
behavior, or is debilitated as a result of age or other conditions
(e.g., arthritis), it should be housed separately;
2. Nonhuman primates that have or are suspected of having a
contagious disease must be isolated from healthy animals in
the colony as directed by the attending veterinarian. When
an entire group or room of nonhuman primates is known
to have or believed to be exposed to a infectious agent, the
group may be kept intact during the process of diagnosis,
treatment, and control.
3. Nonhuman primates may not be housed with other species
of primates or animals unless they are compatible, do
not prevent access to food, water, or shelter by individual
animals. and are not known to be hazardous to the health
and well-being of each other. Compatibility of nonhuman
primates must be determined in accordance with generally
accepted professional practices and actual observations,
as directed by the attending veterinarian, to ensure that the
nonhuman primates are in fact compatible. Individually
housed nonhuman primates must be able to see and hear
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nonhuman primates of their own or compatible species unless
the attending veterinarian determines that it would endanger
their health, safety, or well-being.
b. Environmental enrichment. e physical environment in
the primary enclosures must be enriched by providing means
of expressing noninjurious species-typical activities. Species
dierences should be considered when determining the type or
methods of enrichment. Examples of environmental enrichments
include providing perches, swings, mirrors, and other increased
cage complexities; providing objects to manipulate; varied
food items; using foraging or task-oriented feeding methods;
and providing interaction with the care giver or other familiar
and knowledgeable person consistent with personnel safety
precautions.
c. Special considerations. Certain nonhuman primates must
be provided special attention regarding enhancement of their
environment, based on the needs of the individual species and
in accordance with the instructions of the attending veterinarian.
Nonhuman primates requiring special attention are the following:
1. Infants and young juveniles;
2. ose that show signs of being in psychological distress
through behavior or appearance;
3. ose used in research for which the Committee-approved
protocol requires restricted activity;
4. Individually housed nonhuman primates that are unable to
see and hear nonhuman primates of their own or compatible
species; and
5. Great apes weighing over 110 lbs. (50 kg). Dealers, exhibitors,
and research facilities must include in the environment
enhancement plan special provisions for great apes weighing
over 110 lbs. (50 kg), including additional opportunities to
express species-typical behavior.
d. Restraint devices. Nonhuman primates must not be maintained
in restraint devices unless required for health reasons as
determined by the attending veterinarian or by a research
proposal approved by the Committee at research facilities.
Maintenance under such restraint must be for the shortest period
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possible. In instances where long-term (more than 12 hours)
restraint is required, the nonhuman primate must be provided
the opportunity daily for unrestrained activity for at least one
continuous hour during the period of restraint, unless continuous
restraint is required by the research proposal approved by the
Committee at research facilities.
e. Exemptions.
1. e attending veterinarian may exempt an individual
nonhuman primate from participation in the environment
enhancement plan because of its health or condition, or in
consideration of its well-being. e basis of the exemption
must be recorded by the attending veterinarian for each
exempted nonhuman primate. Unless the basis for the
exemption is a permanent condition, the exemption must be
reviewed at least every 30 days by the attending veterinarian.
2. For a research facility, the Committee may exempt an
individual nonhuman primate from participation in some or
all of the otherwise required environment enhancement plans
for scientic reasons set forth in the research proposal. e
basis of the exemption shall be documented in the approved
proposal and must be reviewed at appropriate intervals as
determined by the Committee, but not less than annually.
3. Records of any exemptions must be maintained by the dealer,
exhibitor, or research facility and must be made available to
USDA ocials or ocials of any pertinent funding Federal
agency upon request.
(Approved by the Oce of Management and Budget under control number 0579-0093)
ANIMAL HEALTH AND HUSBANDRY STANDARDS
§ 3.82 - Feeding.
a. e diet for nonhuman primates must be appropriate for the
species, size, age, and condition of the animal, and for the
conditions in which the nonhuman primate is maintained,
according to generally accepted professional and husbandry
practices and nutritional standards. e food must be clean,
wholesome, and palatable to the animals. It must be of sucient
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quantity and have sucient nutritive value to maintain a healthful
condition and weight range of the animal and to meet its normal
daily nutritional requirements.
b. Nonhuman primates must be fed at least once each day except as
otherwise might be required to provide adequate veterinary care.
Infant and juvenile nonhuman primates must be fed as often as
necessary in accordance with generally accepted professional
and husbandry practices and nutritional standards, based upon
the animals’ age and condition.
c. Food and food receptacles, if used, must be readily accessible to
all the nonhuman primates being fed. If members of dominant
nonhuman primate or other species are fed together with other
nonhuman primates, multiple feeding sites must be provided.
e animals must be observed to determine that all receive a
sucient quantity of food.
d. Food and food receptacles, if used, must be located so as to
minimize any risk of contamination by excreta and pests. Food
receptacles must be kept clean and must be sanitized in accordance
with the procedures listed in § 3.84(b)(3) of this subpart at least once
every 2 weeks. Used food receptacles must be sanitized before they
can be used to provide food to a dierent nonhuman primate or
social grouping of nonhuman primates. Measures must be taken to
ensure there is no molding, deterioration, contamination, or caking
or wetting of food placed in self-feeders.
§ 3.83 - Watering.
Potable water must be provided in sucient quantity to every nonhuman
primate housed at the facility. If potable water is not continually available
to the nonhuman primates, it must be oered to them as often as
necessary to ensure their health and well-being, but no less than twice
daily for at least l hour each time, unless otherwise required by the
attending veterinarian, or as required by the research proposal approved
by the Committee at research facilities. Water receptacles must be kept
clean and sanitized in accordance with methods provided in § 3.84(b)
(3) of this subpart at least once every 2 weeks or as often as necessary to
keep them clean and free from contamination. Used water receptacles
must be sanitized before they can be used to provide water to a dierent
nonhuman primate or social grouping of nonhuman primates.
(Approved by the Oce of Management and Budget under control number 0579-0093)
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Part 3, Subpart D, § 3.84
§ 3.84 - Cleaning, sanitization, housekeeping,
and pest control.
a. Cleaning of primary enclosures. Excreta and food waste must
be removed from inside each indoor primary enclosure daily
and from underneath them as often as necessary to prevent
an excessive accumulation of feces and food waste, to prevent
the nonhuman primates from becoming soiled, and to reduce
disease hazards, insects, pests, and odors. Dirt oors, oors with
absorbent bedding, and planted areas in primary enclosures
must be spot-cleaned with sucient frequency to ensure all
animals the freedom to avoid contact with excreta, or as often as
necessary to reduce disease hazards, insects, pests, and odors.
When steam or water is used to clean the primary enclosure,
whether by hosing, ushing, or other methods, nonhuman
primates must be removed, unless the enclosure is large enough
to ensure the animals will not be harmed, wetted, or distressed
in the process. Perches, bars, and shelves must be kept clean and
replaced when worn. If the species of the nonhuman primates
housed in the primary enclosure engages in scent marking, hard
surfaces in the primary enclosure must be spot-cleaned daily.
b. Sanitization of primary enclosures and food and water
receptacles.
1. A used primary enclosure must be sanitized in accordance
with this section before it can be used to house another
nonhuman primate or group of nonhuman primates.
2. Indoor primary enclosures must be sanitized at least once
every 2 weeks and as often as necessary to prevent an
excessive accumulation of dirt, debris, waste, food waste,
excreta, or disease hazard, using one of the methods
prescribed in paragraph (b)(3) of this section. However, if
the species of nonhuman primates housed in the primary
enclosure engages in scent marking, the primary enclosure
must be sanitized at regular intervals determined in
accordance with generally accepted professional and
husbandry practices.
3. Hard surfaces of primary enclosures and food and water
receptacles must be sanitized using one of the following
methods:
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i. Live steam under pressure;
ii. Washing with hot water (at least 180 °F (82.2 °C)) and
soap or detergent, such as in a mechanical cage washer;
iii. Washing all soiled surfaces with appropriate detergent
solutions or disinfectants, or by using a combination
detergent/disinfectant product that accomplishes the
same purpose, with a thorough cleaning of the surfaces
to remove organic material, so as to remove all organic
material and mineral buildup, and to provide sanitization
followed by a clean water rinse.
4. Primary enclosures containing material that cannot be
sanitized using the methods provided in paragraph (b)(3) of
this section, such as sand, gravel, dirt, absorbent bedding,
grass, or planted areas, must be sanitized by removing
the contaminated material as necessary to prevent odors,
diseases, pests, insects, and vermin infestation.
c. Housekeeping for premises. Premises where housing facilities
are located, including buildings and surrounding grounds,
must be kept clean and in good repair in order to protect the
nonhuman primates from injury, to facilitate the husbandry
practices required in this subpart, and to reduce or eliminate
breeding and living areas for rodents, pests, and vermin. Premises
must be kept free of accumulations of trash, junk, waste, and
discarded matter. Weeds, grass, and bushes must be controlled so
as to facilitate cleaning of the premises and pest control.
d. Pest control. An eective program for control of insects, external
parasites aecting nonhuman primates, and birds and mammals
that are pests, must be established and maintained so as to
promote the health and well- being of the animals and reduce
contamination by pests in animal areas.
§ 3.85 - Employees.
Every person subject to the Animal Welfare regulations (9 CFR parts 1, 2,
and 3) maintaining nonhuman primates must have enough employees
to carry out the level of husbandry practices and care required in this
subpart. e employees who provide husbandry practices and care,
or handle nonhuman primates, must be trained and supervised by
an individual who has the knowledge, background, and experience in
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proper husbandry and care of nonhuman primates to supervise others.
e employer must be certain that the supervisor can perform to these
standards.
TRANSPORTATION STANDARDS
§ 3.86 - Consignments to carriers and intermediate handlers.
a. Carriers and intermediate handlers must not accept a nonhuman
primate for transport in commerce more than 4 hours before
the scheduled departure time of the primary conveyance on
which the animal is to be transported. However, a carrier or
intermediate handler may agree with anyone consigning a
nonhuman primate to extend this time by up to 2 hours.
b. Carriers and intermediate handlers must not accept a nonhuman
primate for transport in commerce unless they are provided
with the name, address, telephone number, and telex number, if
applicable, of the consignee.
c. Carriers and intermediate handlers must not accept a nonhuman
primate for transport in commerce unless the consignor
certies in writing to the carrier or intermediate handler that
the nonhuman primate was oered food and water during the
4 hours before delivery to the carrier or intermediate handler.
e certication must be securely attached to the outside of the
primary enclosure in a manner that makes it easily noticed and
read. Instructions for no food or water are not acceptable unless
directed by the attending veterinarian. Instructions must be in
compliance with § 3.89 of this subpart. e certication must
include the following information for each nonhuman primate:
1. e consignor’s name and address;
2. e species of nonhuman primate;
3. e time and date the animal was last fed and watered
and the specic instructions for the next feeding(s) and
watering(s) for a 24-hour period; and
4. e consignor’s signature and the date and time the
certication was signed.
d. Carriers and intermediate handlers must not accept a
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nonhuman primate for transport in commerce unless the
primary enclosure meets the requirements of § 3.87 of this
subpart. A carrier or intermediate handler must not accept
a nonhuman primate for transport if the primary enclosure
is obviously defective or damaged and cannot reasonably be
expected to safely and comfortably contain the nonhuman
primate without suering or injury.
e. Carriers and intermediate handlers must not accept a nonhuman
primate for transport in commerce unless their animal holding
area facilities meet the minimum temperature requirements
provided in §§ 3.91 and 3.92 of this subpart, or unless the consignor
provides them with a certicate signed by a veterinarian and dated
no more than 10 days before delivery of the animal to the carrier
or intermediate handler for transport in commerce, certifying that
the animal is acclimated to temperatures lower than those that are
required in §§ 3.91 and 3.92 of this subpart. Even if the carrier or
intermediate handler receives this certication, the temperatures
the nonhuman primate is exposed to while in the carrier’s or
intermediate handler’s custody must not be lower than the
minimum temperature specied by the veterinarian in accordance
with paragraph (e)(4) of this section, and must be reasonably within
the generally and professionally accepted temperature range for the
nonhuman primate, as determined by the veterinarian, considering
its age, condition, and species. A copy of the certication must
accompany the nonhuman primate to its destination and must
include the following information for each primary enclosure:
1. e consignor’s name and address;
2. e number of nonhuman primates contained in the primary
enclosure;
3. e species of nonhuman primate contained in the primary
enclosure;
4. A statement by a veterinarian that to the best of his or her
knowledge, each of the nonhuman primates contained in
the primary enclosure is acclimated to air temperatures
lower than 50 °F (10 °C), but not lower than a minimum
temperature specied on the certicate based on the
generally and professionally accepted temperature range for
the nonhuman primate, considering its age, condition, and
species; and
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5. e veterinarian’s signature and the date the certication
was signed.
f. When a primary enclosure containing a nonhuman primate
has arrived at the animal holding area of a terminal facility after
transport, the carrier or intermediate handler must attempt
to notify the consignee upon arrival and at least once in every
6-hour period after arrival. e time, date, and method of
all attempted notications and the actual notication of the
consignee, and the name of the person who noties or attempts
to notify the consignee must be written either on the carrier’s or
intermediate handler’s copy of the shipping document or on the
copy that accompanies the primary enclosure. If the consignee
cannot be notied within 24 hours after the nonhuman primate
has arrived at the terminal facility, the carrier or intermediate
handler must return the animal to the consignor or to whomever
the consignor designates. If the consignee is notied of the
arrival and does not take physical delivery of the nonhuman
primate within 48 hours after arrival of the nonhuman primate,
the carrier or intermediate handler must return the animal to the
consignor or to whomever the consignor designates. e carrier
or intermediate handler must continue to provide proper care,
feeding, and housing to the nonhuman primate, and maintain
the nonhuman primate in accordance with generally accepted
professional and husbandry practices until the consignee accepts
delivery of the nonhuman primate or until it is returned to the
consignor or to whomever the consignor designates. e carrier
or intermediate handler must obligate the consignor to reimburse
the carrier or intermediate handler for the cost of return
transportation and care.
(Approved by the Oce of Management and Budget under control number 0579-0093)
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§ 3.87 - Primary enclosures used to transport
nonhuman primates.
Any person subject to the Animal Welfare regulations (9 CFR parts 1,
2, and 3) must not transport or deliver for transport in commerce a
nonhuman primate unless it is contained in a primary enclosure, such
as a compartment, transport cage, carton, or crate, and the following
requirements are met:
a. Construction of primary enclosures. Primary enclosures used to
transport nonhuman primates may be connected or attached to
each other and must be constructed so that:
1. e primary enclosure is strong enough to contain the
nonhuman primate securely and comfortably and to
withstand the normal rigors of transportation;
2. e interior of the enclosure has no sharp points or edges and
no protrusions that could injure the animal contained in it;
3. e nonhuman primate is at all times securely contained
within the enclosure and cannot put any part of its body
outside the enclosure in a way that could result in injury to
the animal, or to persons or animals nearby;
4. e nonhuman primate can be easily and quickly removed
from the enclosure in an emergency;
5. e doors or other closures that provide access into the
enclosure are secured with animal-proof devices that prevent
accidental opening of the enclosure, including opening by
the nonhuman primate;
6. Unless the enclosure is permanently axed to the
conveyance, adequate devices such as handles or handholds
are provided on its exterior, and enable the enclosure to be
lifted without tilting it, and ensure that anyone handling the
enclosure will not come into physical contact with the animal
contained inside;
7. Any material, treatment, paint, preservative, or other
chemical used in or on the enclosure is nontoxic to the
animal and not harmful to the health or well-being of the
animal;
8. Proper ventilation is provided to the nonhuman primate in
accordance with paragraph (c) of this section;
9. Ventilation openings are covered with bars, wire mesh, or
smooth expanded metal having air spaces; and
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10. e primary enclosure has a solid, leak-proof bottom, or
a removable, leak-proof collection tray under a slatted or
wire mesh oor that prevents seepage of waste products,
such as excreta and body uids, outside of the enclosure. If
a slatted or wire mesh oor is used in the enclosure, it must
be designed and constructed so that the animal cannot put
any part of its body between the slats or through the holes in
the mesh. It must contain enough previously unused litter
to absorb and cover excreta. e litter must be of a suitably
absorbent material that is safe and nontoxic to the nonhuman
primate and is appropriate for the species transported in the
primary enclosure.
b. Cleaning of primary enclosures. A primary enclosure used to
hold or transport nonhuman primates in commerce must be
cleaned and sanitized before each use in accordance with the
methods provided in § 3.84(b)(3) of this subpart.
c. Ventilation.
1. If the primary enclosure is movable, ventilation openings
must be constructed in one of the following ways:
i. If ventilation openings are located on two opposite walls
of the primary enclosure, the openings on each wall
must be at least 16 percent of the total surface area of
each such wall and be located above the midline of the
enclosure; or
ii. If ventilation openings are located on all four walls of the
primary enclosure, the openings on every wall must be at
least 8 percent of the total surface area of each such wall
and be located above the midline of the enclosure.
2. Unless the primary enclosure is permanently axed to
the conveyance, projecting rims or similar devices must
be located on the exterior of each enclosure wall having a
ventilation opening, in order to prevent obstruction of the
openings. e projecting rims or similar devices must be large
enough to provide a minimum air circulation space of 0.75
inches (1.9 centimeters) between the primary enclosure and
anything the enclosure is placed against.
3. If a primary enclosure is permanently affixed to the
primary conveyance so that there is only a front ventilation
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opening for the enclosure, the primary enclosure must be
affixed to the primary conveyance in such a way that the
front ventilation opening cannot be blocked, and the front
ventilation opening must open directly to an unobstructed
aisle or passageway inside of the conveyance. The
ventilation opening must be at least 90 percent of the
total area of the front wall of the enclosure, and must be
covered with bars, wire mesh, or smooth expanded metal
having air spaces.
d. Compatibility.
1. Only one live nonhuman primate may be transported in a
primary enclosure, except as follows:
i. A mother and her nursing infant may be transported
together;
ii. An established male-female pair or family group may be
transported together, except that a female in estrus must
not be transported with a male nonhuman primate;
iii. A compatible pair of juveniles of the same species that
have not reached puberty may be transported together.
2. Nonhuman primates of dierent species must not be
transported in adjacent or connecting primary enclosures.
e. Space requirements. Primary enclosures used to transport
nonhuman primates must be large enough so that each animal
contained in the primary enclosure has enough space to turn
around freely in a normal manner and to sit in an upright,
hands down position without its head touching the top of the
enclosure. However, certain larger species may be restricted in
their movements, in accordance with professionally accepted
standards of care, when greater freedom of movement would
be dangerous to the animal, its handler, or to other persons.
f. Marking and labeling. Primary enclosures, other than those
that are permanently affixed to a conveyance, must be clearly
marked in English on the top and on one or more sides with
the words “Wild Animals,” or “Live Animals,” in letters at least
1 inch (2.5 cm.) high, and with arrows or other markings to
indicate the correct upright position of the primary enclosure.
Permanently affixed primary enclosures must be clearly
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Part 3, Subpart D, § 3.88
marked in English with the words “Wild Animals” or “Live
Animals,” in the same manner.
g. Accompanying documents and records. Shipping documents
that must accompany shipments of nonhuman primates may
be held by the operator of the primary conveyance, for surface
transportation only, or must be securely attached in a readily
accessible manner to the outside of any primary enclosure that is
part of the shipment, in a manner that allows them to be detached
for examination and securely reattached, such as in a pocket or
sleeve. Instructions for administration of drugs, medication, and
other special care must be attached to each primary enclosure in a
manner that makes them easy to notice, to detach for examination,
and to reattach securely. Food and water instructions must be
attached in accordance with § 3.86(c) of this subpart.
(Approved by the Oce of Management and Budget under control number 0579-0093)
§ 3.88 - Primary conveyances (motor vehicle, rail, air,
and marine).
a. e animal cargo space of primary conveyances used to transport
nonhuman primates must be designed, constructed, and
maintained in a manner that at all times protects the health and
well-being of the animals transported in it, ensures their safety
and comfort, and prevents the entry of engine exhaust from the
primary conveyance during transportation.
b. e animal cargo space must have a supply of air that is sucient
for the normal breathing of all the animals being transported in it.
c. Each primary enclosure containing nonhuman primates must be
positioned in the animal cargo space in a manner that provides
protection from the elements and that allows each nonhuman
primate enough air for normal breathing.
d. During air transportation, the ambient temperature inside a
primary conveyance used to transport nonhuman primates must
be maintained at a level that ensures the health and well-being
of the species housed, in accordance with generally accepted
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professional and husbandry practices, at all times a nonhuman
primate is present.
e. During surface transportation, the ambient temperature inside a
primary conveyance used to transport nonhuman primates must
be maintained between 45 °F (7.2 °C) and 85 °F (30 °C) at all times
a nonhuman primate is present.
f. A primary enclosure containing a nonhuman primate must
be placed far enough away from animals that are predators
or natural enemies of nonhuman primates, whether the other
animals are in primary enclosures or not, so that the nonhuman
primate cannot touch or see the other animals.
g. Primary enclosures must be positioned in the primary
conveyance in a manner that allows the nonhuman primates to
be quickly and easily removed from the primary conveyance in an
emergency.
h. e interior of the animal cargo space must be kept clean
i. Nonhuman primates must not be transported with any material,
substance (e.g., dry ice), or device in a manner that may
reasonably be expected to harm the nonhuman primates or cause
inhumane conditions.
§ 3.89 - Food and water requirements.
a. Each nonhuman primate that is 1 year of age or more must be
oered food
5
at least once every 24 hours. Each nonhuman
primate that is less than 1 year of age must be oered food at
least once every 12 hours. Each nonhuman primate must be
oered potable water at least once every 12 hours. ese time
periods apply to dealers, exhibitors, and research facilities,
including Federal research facilities, who transport nonhuman
primates in their own primary conveyances, starting from the
time the nonhuman primate was last oered food and potable
5 Proper food for purposes of this section is described in § 3.82 of this subpart, with the
necessities and circumstances of the mode of travel taken into account.
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water before transportation was begun. ese time periods apply
to carriers and intermediate handlers starting from the date
and time stated on the certication provided under § 3.86(c)
of this subpart. Each nonhuman primate must be oered food
and potable water within 4 hours before being transported in
commerce. Consignors who are subject to the Animal Welfare
regulations (9 CFR parts 1, 2, and 3) must certify that each
nonhuman primate was oered food and potable water within
the 4 hours preceding delivery of the nonhuman primate to a
carrier or intermediate handler for transportation in commerce,
and must certify the date and time the food and potable water
was oered, in accordance with § 3.86(c) of this subpart.
b. Any dealer, exhibitor, or research facility, including a Federal
research facility, oering a nonhuman primate to a carrier or
intermediate handler for transportation in commerce must
securely attach to the outside of the primary enclosure used for
transporting the nonhuman primate, written instructions for a
24-hour period for the in-transit food and water requirements
of the nonhuman primate(s) contained in the enclosure. e
instructions must be attached in a manner that makes them easily
noticed and read.
c. Food and water receptacles must be securely attached inside the
primary enclosure and placed so that the receptacles can be lled
from outside of the enclosure without opening the door. Food and
water receptacles must be designed, constructed, and installed
so that a nonhuman primate cannot leave the primary enclosure
through the food or water opening.
(Approved by the Oce of Management and Budget under control number 0579-0093)
§ 3.90 - Care in transit.
a. Surface transportation (ground and water). Any person
subject to the Animal Welfare regulations (9 CFR parts 1, 2, and
3) transporting nonhuman primates in commerce must ensure
that the operator of the conveyance or a person accompanying
the operator of the conveyance observes the nonhuman primates
as often as circumstances allow, but not less than once every
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4 hours, to make sure that they have sucient air for normal
breathing, that the ambient temperature is within the limits
provided in § 3.88(d) of this subpart, and that all other applicable
standards of this subpart are being complied with. e regulated
person transporting the nonhuman primates must ensure
that the operator or the person accompanying the operator
determines whether any of the nonhuman primates are in
obvious physical distress, and obtains any veterinary care needed
for the nonhuman primates at the closest available veterinary
facility.
b. Air transportation. During air transportation of nonhuman
primates, it is the responsibility of the carrier to observe
the nonhuman primates as frequently as circumstances allow,
but not less than once every 4 hours if the animal cargo area is
accessible during ight. If the animal cargo area is not accessible
during ight, the carrier must observe the nonhuman primates
whenever they are loaded and unloaded and whenever the
animal cargo space is otherwise accessible to make sure that
the nonhuman primates have sucient air for normal breathing,
that the ambient temperature is within the limits provided in §
3.88(d) of this subpart, and that all other applicable standards of
this subpart are being complied with. e carrier must determine
whether any of the nonhuman primates is in obvious physical
distress, and arrange for any needed veterinary care for the
nonhuman primates as soon as possible.
c. If a nonhuman primate is obviously ill, injured, or in physical
distress, it must not be transported in commerce, except to
receive veterinary care for the condition.
d. During transportation in commerce, a nonhuman primate
must not be removed from its primary enclosure unless it is
placed in another primary enclosure or a facility that meets the
requirements of § 3.80 or § 3.87 of this subpart. Only persons who
are experienced and authorized by the shipper, or authorized
by the consignor or the consignee upon delivery, if the animal is
consigned for transportation, may remove nonhuman primates
from their primary enclosure during transportation in commerce,
unless required for the health or well-being of the animal.
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Part 3, Subpart D, § 3.91
e. e transportation regulations contained in this subpart must
be complied with until a consignee takes physical delivery of the
animal if the animal is consigned for transportation, or until the
animal is returned to the consignor.
§ 3.91 - Terminal facilities.
a. Placement. Any persons subject to the Animal Welfare regulations
(9 CFR parts l, 2, and 3) must not commingle shipments of
nonhuman primates with inanimate cargo or with other animals
in animal holding areas of terminal facilities. Nonhuman primates
must not be placed near any other animals, including other
species of nonhuman primates, and must not be able to touch
or see any other animals, including other species of nonhuman
primates.
b. Cleaning, sanitization, and pest control. All animal holding
areas of terminal facilities must be cleaned and sanitized in a
manner prescribed in § 3.84(b)(3) of this subpart, as often as
necessary to prevent an accumulation of debris or excreta and
to minimize vermin infestation and disease hazards. Terminal
facilities must follow an eective program in all animal holding
areas for the control of insects, ectoparasites, and birds and
mammals that are pests of nonhuman primates.
c. Ventilation. Ventilation must be provided in any animal holding
area in a terminal facility containing nonhuman primates
by means of windows, doors, vents, or air conditioning. e
air must be circulated by fans, blowers, or air conditioning
so as to minimize drafts, odors, and moisture condensation.
Auxiliary ventilation, such as exhaust fans, vents, fans, blowers,
or air conditioning, must be used in any animal holding area
containing nonhuman primates when the ambient temperature is
85 °F (29.5°C) or higher.
d. Temperature. e ambient temperature in an animal holding
area containing nonhuman primates must not fall below 45 °F (7.2
°C) or rise above 85 °F (29.5 °C) for more than four consecutive
hours at any time nonhuman primates are present. e ambient
temperature must be measured in the animal holding area by the
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carrier, intermediate handler, or a person transporting nonhuman
primates who is subject to the Animal Welfare regulations (9 CFR
parts 1, 2, and 3), outside any primary enclosure containing a
nonhuman primate at a point not more than 3 feet (0.91 m.) away
from an outside wall of the primary enclosure, on a level that is
even with the enclosure and approximately midway up the side of
the enclosure.
e. Shelter. Any person subject to the Animal Welfare regulations (9
CFR parts l, 2, and 3) holding a nonhuman primate in an animal
holding area of a terminal facility must provide the following:
1. Shelter from sunlight and extreme heat. Shade must be
provided that is sucient to protect the nonhuman primate
from the direct rays of the sun.
2. Shelter from rain or snow. Sucient protection must be
provided to allow nonhuman primates to remain dry during
rain, snow, and other precipitation.
f. Duration. e length of time any person subject to the Animal
Welfare regulations (9 CFR parts 1, 2, and 3) can hold a
nonhuman primate in an animal holding area of a terminal
facility upon arrival is the same as that provided in § 3.86(f ) of
this subpart.
§ 3.92 - Handling.
a. Any person subject to the Animal Welfare regulations (9 CFR
parts 1, 2, and 3) who moves (including loading and unloading)
nonhuman primates within, to, or from the animal holding area of
a terminal facility or a primary conveyance must do so as quickly
and eciently as possible, and must provide the following during
movement of the nonhuman primate:
1. Shelter from sunlight and extreme heat. Sucient shade
must be provided to protect the nonhuman primate from
the direct rays of the sun. A nonhuman primate must not be
exposed to an ambient temperature above 85°F (29.5 °C) for
a period of more than 45 minutes while being moved to or
from a primary conveyance or a terminal facility, e ambient
temperature must be measured in the manner provided in §
3.91(d) of this subpart.
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2. Shelter from rain or snow. Sucient protection must be
provided to allow nonhuman primates to remain dry during
rain, snow, and other precipitation.
3. Shelter from cold temperatures. Transporting devices
on which nonhuman primates are placed to move them
must be covered to protect the animals when the outdoor
temperature falls below 45 °F (7.2 °C). A nonhuman primate
must not be exposed to an ambient air temperature below
45 °F (7.2 °C) for a period of more than 45 minutes, unless
it is accompanied by a certicate of acclimation to lower
temperatures as provided in § 3.86(e) of this subpart. e
ambient temperature must be measured in the manner
provided in § 3.91(d) of this subpart.
b. Any person handling a primary enclosure containing a
nonhuman primate must use care and must avoid causing
physical harm or distress to the nonhuman primate.
1. A primary enclosure containing a nonhuman primate must
not be placed on unattended conveyor belts or on elevated
conveyor belts, such as baggage claim conveyor belts and
inclined conveyor ramps that lead to baggage claim areas, at
any time; except that a primary enclosure may be placed on
inclined conveyor ramps used to load and unload aircraft if
an attendant is present at each end of the conveyor belt.
2. A primary enclosure containing a nonhuman primate must
not be tossed, dropped, or needlessly tilted, and must not
be stacked in a manner that may reasonably be expected to
result in its falling. It must be handled and positioned in the
manner that written instructions and arrows on the outside
of the primary enclosure indicate.
3. is section applies to movement of a nonhuman primate
from primary conveyance to primary conveyance, within
a primary conveyance or terminal facility, and to or from a
terminal facility or a primary conveyance.
(Approved by the Oce of Management and Budget under control number 0579-0093)
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Subpart E
Marine
Mammals
230
Part 3, Subpart E, § 3.100
SUBPART E
SPECIFICATIONS FOR THE HUMANE HANDLING,
CARE, TREATMENT, AND TRANSPORTATION OF
MARINE MAMMALS
Source: 44 FR 36874, June 22, 1979, unless otherwise noted.
FACILITIES AND OPERATING STANDARDS
§ 3.100 - Special considerations regarding compliance and/
or variance.
a. All persons subject to the Animal Welfare Act who maintain or
otherwise handle marine mammals in captivity must comply
with the provisions of this subpart, except that they may apply for
and be granted a variance,
6
by the Deputy Administrator, from
one or more specied provisions of § 3.104. e provisions of this
subpart shall not apply, however, in emergency circumstances
where compliance with one or more requirements would not
serve the best interest of the marine mammals concerned.
b. An application for a variance must be made to the Deputy
Administrator in writing. e request must include:
1. e species and number of animals involved,
2. A statement from the attending veterinarian concerning the
age and health status of the animals involved, and concerning
whether the granting of a variance would be detrimental to
the marine mammals involved,
3. Each provision of the regulations that is not met,
4. e time period requested for a variance,
5. e specic reasons why a variance is requested, and
6. e estimated cost of coming into compliance, if construction
is involved.
c. After receipt of an application for a variance, the Deputy
6 Written permission from the Deputy Administrator to operate as a licensee or registrant
under the Act without being in full compliance with one or more specied provisions of
§ 3.104.
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Marine
Mammals
Part 3, Subpart E, § 3.100
Administrator may require the submission in writing of a report
by two experts recommended by the American Association of
Zoological Parks and Aquariums and approved by the Deputy
Administrator concerning potential adverse impacts on the
animals involved or on other matters relating to the eects of the
requested variance on the health and well-being of such marine
mammals. Such a report will be required only in those cases
when the Deputy Administrator determines that such expertise is
necessary to determine whether the granting of a variance would
cause a situation detrimental to the health and well-being of the
marine mammals involved. e cost of such report is to be paid by
the applicant.
d. Variances granted for facilities because of ill or inrm marine
mammals that cannot be moved without placing their well-
being in jeopardy, or for facilities within 0.3048 meters (1 foot) of
compliance with any space requirement may be granted for up
to the life of the marine mammals involved. Otherwise, variances
shall be granted for a period not exceeding July 30, 1986, Provided,
however, at under circumstances deemed justied by the Deputy
Administrator, a maximum extension of 1 year may be granted
to attain full compliance. A written request for the extension
must be received by the Deputy Administrator by May 30, 1986.
Consideration for extension by the Deputy Administrator will
be limited to unforeseen or unusual situations such as when
necessary public funds cannot be allocated in an appropriate time
frame for a facility to attain full compliance by July 30, 1986.
e. e Deputy Administrator shall deny any application for a
variance if he determines that it is not justied under the
circumstances or that allowing it will be detrimental to the health
and well-being of the marine mammals involved.
f. Any facility housing marine mammals that does not meet all of
the space requirements as of July 30, 1984, must meet all of the
requirements by September 28, 1984, or may operate without
meeting such requirements until action is taken on an application
for a variance if the application is submitted to the Deputy
Administrator on or before September 28, 1984.
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Marine
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232
Part 3, Subpart E, § 3.101
g. A research facility may be granted a variance from specied
requirements of this subpart when such variance is necessary
for research purposes and is fully explained in the experimental
design. Any time limitation stated in this section shall not be
applicable in such case.
[49 FR 26681, June 28, 1984; 63 FR 2, Jan. 2, 1998]
§ 3.101 - Facilities, general.
a. Construction requirements.
1. Indoor and outdoor housing facilities for marine mammals
must be structurally sound and must be maintained in
good repair to protect the animals from injury, to contain
the animals within the facility, and to restrict the entrance
of unwanted animals. Lagoon and similar natural seawater
facilities must maintain eective barrier fences extending
above the high tide water level, or other appropriate
measures, on all sides of the enclosure not contained by dry
land to fulll the requirements of this section.
2. All marine mammals must be provided with protection from
abuse and harassment by the viewing public by the use of
a sucient number of uniformed or readily identiable
employees or attendants to supervise the viewing public, or
by physical barriers, such as fences, walls, glass partitions, or
distance, or any combination of these.
3. All surfaces in a primary enclosure must be constructed
of durable, nontoxic materials that facilitate cleaning, and
disinfection as appropriate, sucient to maintain water
quality parameters as designated in § 3.106. All surfaces must
be maintained in good repair as part of a regular, ongoing
maintenance program. All facilities must implement a written
protocol on cleaning so that surfaces do not constitute a
health hazard to animals.
4. Facilities that utilize natural water areas, such as tidal basins,
bays, or estuaries (subject to natural tidewater action), for
housing marine mammals are exempt from the drainage
requirements of paragraph (c)(1) of this section.
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Subpart E
Marine
Mammals
Part 3, Subpart E, § 3.101
b. Water and power supply. Reliable and adequate sources of
water and electric power must be provided by the facility housing
marine mammals. Written contingency plans must be submitted
to and approved by the Deputy Administrator regarding
emergency sources of water and electric power in the event of
failure of the primary sources, when such failure could reasonably
be expected to be detrimental to the good health and well-being
of the marine mammals housed in the facility. Contingency plans
must include, but not be limited to, specic animal evacuation
plans in the event of a disaster and should describe back-up
systems and/or arrangements for relocating marine mammals
requiring articially cooled or heated water. If the emergency
contingency plan includes release of marine mammals, the plan
must include provision for recall training and retrieval of such
animals. Facilities handling marine mammals must also comply
with the requirements of § 2.134 of this subchapter.
c. Drainage.
1. Adequate drainage must be provided for all primary
enclosure pools and must be located so that all of the water
contained in such pools may be eectively eliminated
when necessary for cleaning the pool or for other purposes.
Drainage euent from primary enclosure pools must be
disposed of in a manner that complies with all applicable
Federal, State, and local pollution control laws.
2. Drainage must be provided for primary enclosures and
areas immediately surrounding pools. All drain covers and
strainers must be securely fastened in order to minimize
the potential risk of animal entrapment. Drains must be
located so as to rapidly eliminate excess water (except in
pools). Drainage euent must be disposed of in a manner
that complies with all applicable Federal, State, and local
pollution control laws.
d. Storage. Supplies of food must be stored in facilities that adequately
protect such supplies from deterioration, spoilage (harmful
microbial growth), and vermin or other contamination. Refrigerators
and freezers (or chilled and/or iced coolers for under 12 hours)
must be used for perishable food. No substances that are known to
be or may be toxic or harmful to marine mammals may be stored
235
Animal Welfare Act, USDA
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Marine
Mammals
234
Part 3, Subpart E, § 3.102
or maintained in the marine mammal food storage or preparation
areas, except that cleaning agents may be kept in secured cabinets
designed and located to prevent food contamination. Food,
supplements, and medications may not be used beyond commonly
accepted shelf life or date listed on the label.
e. Waste disposal. Provision must be made for the removal and
disposal of animal and food wastes, dead animals, trash, and
debris. Disposal facilities must be provided and operated in
a manner that will minimize odors and the risk of vermin
infestation and disease hazards. All waste disposal procedures
must comply with all applicable Federal, State, and local laws
pertaining to pollution control, protection of the environment,
and public health.
f. Employee washroom facilities. Washroom facilities containing
basins, sinks, and, as appropriate, showers, must be provided and
conveniently located to maintain cleanliness among employees,
attendants, and volunteers. ese facilities must be cleaned and
sanitized daily.
g. Enclosure or pool environmental enhancements. Any nonfood
objects provided for the entertainment or stimulation of marine
mammals must be of sucient size and strength to not be
ingestible, readily breakable, or likely to cause injury to marine
mammals, and be able to be cleaned, sanitized, and/or replaced
eectively.
[66 FR 251, Jan. 3, 2001, as amended at 77 FR 76824, Dec. 31, 2012]
§ 3.102 - Facilities, indoor.
a. Ambient temperature. e air and water temperatures in indoor
facilities shall be suciently regulated by heating or cooling to
protect the marine mammals from extremes of temperature,
to provide for their good health and well-being and to prevent
discomfort, in accordance with the currently accepted practices
as cited in appropriate professional journals or reference guides,
depending upon the species housed therein. Rapid changes in air
and water temperatures shall be avoided.
236
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Subpart E
Marine
Mammals
Part 3, Subpart E, § 3.103
b. Ventilation. Indoor housing facilities shall be ventilated by
natural or articial means to provide a ow of fresh air for the
marine mammals and to minimize the accumulation of chlorine
fumes, other gases, and objectionable odors. A vertical air space
averaging at least 1.83 meters (6 feet) shall be maintained in all
primary enclosures housing marine mammals, including pools
of water.
c. Lighting. Indoor housing facilities for marine mammals shall
have ample lighting, by natural or artificial means, or both, of
a quality, distribution, and duration which is appropriate for
the species involved. Sufficient lighting must be available to
provide uniformly distributed illumination which is adequate
to permit routine inspections, observations, and cleaning of
all parts of the primary enclosure including any den areas. The
lighting shall be designed so as to prevent overexposure of the
marine mammals contained therein to excessive illumination.
7
[44 FR 36874, June 22, 1979; 63 FR 2, Jan. 2, 1998]
§ 3.103 - Facilities, outdoor.
a. Environmental temperatures. Marine mammals shall not be
housed in outdoor facilities unless the air and water temperature
ranges which they may encounter during the period they are so
housed do not adversely aect their health and comfort. A marine
mammal shall not be introduced to an outdoor housing facility until
it is acclimated to the air and water temperature ranges which it will
encounter therein. e following requirements shall be applicable to
all outdoor pools.
1. e water surface of pools in outdoor primary enclosures
housing polar bears and ice or cold water dwelling species of
pinnipeds shall be kept suciently free of solid ice to allow
for entry and exit of the animals.
2. e water surface of pools in outdoor primary enclosures
housing cetaceans and sea otters shall be kept free of ice.
7 Lighting intensity and duration must be consistent with the general well-being and comfort
of the animal involved. When possible, it should approximate the lighting conditions
encountered by the animal in its natural environment. At no time shall the lighting be such
that it will cause the animal discomfort or trauma.
237
Animal Welfare Act, USDA
PART 3
Subpart E
Marine
Mammals
236
Part 3, Subpart E, § 3.103
3. No sirenian or warm water dwelling species of pinnipeds
or cetaceans shall be housed in outdoor pools where water
temperature cannot be maintained within the temperature
range to meet their needs.
b. Shelter. Natural or articial shelter which is appropriate for the
species concerned, when the local climatic conditions are taken
into consideration, shall be provided for all marine mammals
kept outdoors to aord them protection from the weather or from
direct sunlight.
c. Perimeter fence. On and after May 17, 2000, all outdoor
housing facilities ( i.e., facilities not entirely indoors) must
be enclosed by a perimeter fence that is of sucient height
to keep animals and unauthorized persons out. Fences less
than 8 feet high for polar bears or less than 6 feet high for
other marine mammals must be approved in writing by the
Administrator. e fence must be constructed so that it protects
marine mammals by restricting animals and unauthorized
persons from going through it or under it and having contact
with the marine mammals, and so that it can function as a
secondary containment system for the animals in the facility
when appropriate. e fence must be of sucient distance
from the outside of the primary enclosure to prevent physical
contact between animals inside the enclosure and animals or
persons outside the perimeter fence. Such fences less than 3
feet in distance from the primary enclosure must be approved
in writing by the Administrator. For natural seawater facilities,
such as lagoons, the perimeter fence must prevent access by
animals and unauthorized persons to the natural seawater
facility from the abutting land, and must encompass the land
portion of the facility from one end of the natural seawater
facility shoreline as dened by low tide to the other end of
the natural seawater facility shoreline dened by low tide. A
perimeter fence is not required:
1. Where the outside walls of the primary enclosure are made of
sturdy, durable material, which may include certain types of
concrete, wood, plastic, metal, or glass, and are high enough
and constructed in a manner that restricts entry by animals
and unauthorized persons and the Administrator gives
238
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Subpart E
Marine
Mammals
Part 3, Subpart E, § 3.104
written approval; or
2. Where the outdoor housing facility is protected by an
eective natural barrier that restricts the marine mammals to
the facility and restricts entry by animals and unauthorized
persons and the Administrator gives written approval; or
3. Where appropriate alternative security measures are
employed and the Administrator gives written approval; or
4. For traveling facilities where appropriate alternative security
measures are employed.
[44 FR 36874, June 22, 1979, as amended at 64 FR 56147, Oct. 18, 1999]
§ 3.104 - Space requirements.
a. General. Marine mammals must be housed in primary enclosures
that comply with the minimum space requirements prescribed by
this part. ese enclosures must be constructed and maintained
so that the animals contained within are provided sucient space,
both horizontally and vertically, to be able to make normal postural
and social adjustments with adequate freedom of movement, in or
out of the water. (An exception to these requirements is provided in
§ 3.110(b) for isolation or separation for medical treatment and/or
medical training.) Enclosures smaller than required by the standards
may be temporarily used for nonmedical training, breeding,
holding, and transfer purposes. If maintenance in such enclosures
for nonmedical training, breeding, or holding is to last longer than 2
weeks, such extension must be justied in writing by the attending
veterinarian on a weekly basis. If maintenance in such enclosures
for transfer is to last longer than 1 week, such extension must be
justied in writing by the attending veterinarian on a weekly basis.
Any enclosure that does not meet the minimum space requirement
for primary enclosures (including, but not limited to, medical pools
or enclosures, holding pools or enclosures, and gated side pools
smaller than the minimum space requirements) may not be used for
permanent housing purposes. Rotating animals between enclosures
that meet the minimum space requirements and enclosures that
do not is not an acceptable means of complying with the minimum
space requirements for primary enclosures.
b. Cetaceans. Primary enclosures housing cetaceans shall
239
Animal Welfare Act, USDA
PART 3
Subpart E
Marine
Mammals
238
Part 3, Subpart E, § 3.104
contain a pool of water and may consist entirely of a pool of
water. In determining the minimum space required in a pool
holding cetaceans, four factors must be satisfied. These are
MHD, depth, volume, and surface area. For the purposes of
this subpart, cetaceans are divided into Group I cetaceans and
Group II cetaceans as shown in Table III in this section.
1. i. e required minimum horizontal dimension (MHD) of a
pool for Group I cetaceans shall be 7.32 meters (24.0 feet) or
two times the average adult length of the longest species of
Group I cetacean housed therein (as measured in a parallel
or horizontal line, from the tip of its upper jaw, or from
the most anterior portion of the head in bulbous headed
animals, to the notch in the tail uke
8
), whichever is greater;
except that such MHD measurement may be reduced from
the greater number by up to 20 percent if the amount of the
reduction is added to the MHD at the 90-degree angle and
if the minimum volume and surface area requirements are
met based on an MHD of 7.32 meters (24.0 feet) or two times
the average adult length of the longest species of Group I
cetacean housed therein, whichever is greater.
ii. The MHD of a pool for Group II cetaceans shall be 7.32
meters (24.0 feet) or four times the average adult length
of the longest species of cetacean to be housed therein
(as measured in a parallel or horizontal line from the
tip of its upper jaw, or from the most anterior portion of
the head in bulbous headed animals, to the notch in the
tail fluke), whichever is greater; except that such MHD
measurement may be reduced from the greater number
by up to 20 percent if the amount of the reduction is
added to the MHD at the 90-degree angle and if the
minimum volume and surface area requirements are
met based on an MHD of 7.32 meters (24.0 feet) or four
times the average adult length of the longest species of
Group II cetacean housed therein, whichever is greater.
iii. In a pool housing a mixture of Group I and Group II
8 e body length of a Monodon monoceros (narwhal) is measured from the tip of the upper
incisor tooth to the notch in the tail uke. If the upper incisor is absent or does not extend
beyond the front of the head, then it is measured like other cetaceans, from the tip of the
upper jaw to the notch in the tail uke. Immature males should be anticipated to develop
the “tusk” (usually left incisor tooth) beginning at sexual maturity.
240
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Subpart E
Marine
Mammals
Part 3, Subpart E, § 3.104
cetaceans, the MHD shall be the largest required for any
cetacean housed therein.
iii. Once the required MHD has been satised, the pool size
may be required to be adjusted to increase the surface area
and volume when cetaceans are added. Examples of MHD
and volume requirements for Group I cetaceans are shown
in Table I, and for Group II cetaceans in Table II.
240
Animal Welfare Act, USDA
PART 3
Subpart E
Marine
Mammals
Part 3, Subpart E, § 3.104
TABLE I – GROUP I CETACEANS
Representative
average adult
lengths
Minimum horizontal
dimension (MHD)
Minimum
r
equired depth
Volume of water
required for each
additional cetacean in
excess of four
Meters Feet Meters Feet Meters Feet
Cubic
meters
1
Cubic feet
1.68 5.5 7.32 24 1.83 6 8.11 284.95
2.29 7.5 7.32 24 1.83 6 15.07 529.87
2.74 9.0 7.32 24 1.83 6 21.57 763.02
3.05 10.0 7.32 24 1.83 6 26.73 942.00
3.51 11.5 7.32 24 1.83 6 35.40 1,245.79
3.66 12.0 7.32 24 1.83 6 38.49 1,356.48
4.27 14.0 8.53 28 2.13 7 60.97 2,154.04
5.49 18.0 10.97 36 2.74 9 129.65 4,578.12
5.64 18.5 11.28 37 2.82 9.25 140.83 4,970.33
5.79 19.0 11.58 38 2.90 9.50 152.64 5,384.32
6.71 22.0 13.41 44 3.36 11 237.50 8,358.68
6.86 22.5 13.72 45 3.43 11.25 253.42 8,941.64
7.32 24.0 14.63 48 3.66 12 307.89 10,851.84
8.53 28.0 17.07 56 4.27 14 487.78 17,232.32
241
1
All calculations are rounded o to the nearest hundredth. In converting the length of cetaceans
from feet to meters, 1 foot equals .3048 meter. Due to rounding of meter gures as to the length of
the cetacean, the correlation of meters to feet in subsequent calculations of MHD and additional
volume of water required per cetacean, over two, may vary slightly from a strict feet to meters
ratio. Cubic meters is based on: 1 cubic foot=0.0283 cubic meter.
9 CFR AWA (5-1-2023 Edition)
PART 3
Subpart E
Marine
Mammals
Part 3, Subpart E, § 3.104
TABLE II – GROUP II CETACEANS
Representative
average adult
lengths
Minimum horizontal
dimension (MHD)
Minimum
required
depth
Volume of water
required for each
additional cetacean in
excess of four
Meters Feet Meters Feet Meters Feet
Cubic
meters
1
Cubic feet
1.52 5.0 7.32 24 1.83 6 13.28 471.00
1.68 5.5 7.32 24 1.83 6 16.22 569.91
1.83 6.0 7.32 24 1.83 6 19.24 678.24
2.13 7.0 8.53 28 1.83 6 26.07 923.16
2.29 7.5 9.14 30 1.83 6 30.13 1,059.75
2.44 8.0 9.75 32 1.83 6 34.21 1,205.76
2.59 8.5 10.36 34 1.83 6 38.55 1,361.19
2.74 9.0 10.97 36 1.83 6 43.14 1,526.04
242
1 Converting cubic feet to cubic meters is based on: 1 cubic foot=0.0283 of a cubic meter.
242
Animal Welfare Act, USDA
PART 3
Subpart E
Marine
Mammals
Part 3, Subpart E, § 3.104
TABLE III – AVERAGE ADULT LENGTHS OF MARINE
MAMMALS MAINTAINED IN CAPTIVITY
1
Species Common name Average adult length
Group 1 Cetaceans: In meters In feet
Balaenoptera
acutor
ostrata
Minke whale 8.50 27.9
Cephalorhynchus
commersonii
Commerson’s
dolphin
1.52 5.0
Delphinapterus leucas Beluga whale 4.27 14.0
Monodon monoceros Narwhal 3.96 13.0
Globicephala melaena
Long-nned pilot
whale
5.79 19.0
Globicephala
macrorhynchus
Short-nned pilot
whale
5.49 18.0
Grampus griseus Risso’s dolphin 3.66 12.0
Orcinus orca Killer whale 7.32 24.0
Pseudorca carassidens False killer whale 4.35 14.3
Tursiops truncatus
(Atlantic)
Bottlenose dolphin 2.74 9.0
Tursiops truncatus
(Pacic)
Bottlenose dolphin 3.05 10.0
Inia geoffrensis Amazon porpoise 2.44 8.0
Phocoena phocoena Harbor porpoise 1.68 5.5
Pontoporia blainvillei Franciscana 1.52 5.0
Sotalia uviatilis Tucuxi 1.68 5.5
Platanista, all species River dolphin 2.44 8.0
243
1
is table contains the species of marine mammals known by the Department to be
presently in captivity or that are likely to become captive in the future. Anyone who is
subject to the Animal Welfare Act having species of marine mammals in captivity which
are not included in this table should consult the Deputy Administrator with regard to the
average adult length of such animals.
9 CFR AWA (5-1-2023 Edition)
PART 3
Subpart E
Marine
Mammals
Part 3, Subpart E, § 3.104
TABLE III – continued
Species Common name
Average adult
length
Group II Cetaceans:
In
meters
In feet
Delphinus delphis Common dolphin 2.59 8.5
Feresa attenuate Pygmy killer whale 2.44 8.0
Kogia breviceps Pygmy sperm whale 3.96 13.0
Kogia simus Dwarf sperm whale 2.90 9.5
Lagenorhynchus acutus
Atlantic white-sided
dolphin
2.90 9.5
Lagenorhynchus cruciger Hourglass dolphin 1.70 5.6
Lagenorhynchus obliquidens
Pacic white-sided
dolphin
2.29 7.5
Lagenorhynchus albirostris White-beaked dolphin 2.74 9.0
Lagenorhynchus obscurus Duskey dolphin 2.13 7.0
Lissodelphis borealis
Northern right whale
dolphin
2.74 9.0
Neophocaena phocaenoides Finless porpoise 1.83 6.0
Peponocephala electra Melon-headed whale 2.74 9.0
Phocoenoides dalli Dall’s porpoise 2.00 6.5
Stenella longirostris Spinner dolphin 2.13 7.0
Stenella coeruleoalba Striped dolphin 2.29 7.5
Stenella attenuate Spotted dolphin 2.29 7.5
Stenella plagiodon Spotted dolphin 2.29 7.5
Steno bredanensis Rough-toothed dolphin 2.44 8.0
244
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Animal Welfare Act, USDA
PART 3
Subpart E
Marine
Mammals
Part 3, Subpart E, § 3.104
TABLE III – continued
Species Common name Average adult length
Group 1 Pinnipeds:
In meters In feet
Male Female Male Female
Arctocephalus gazella** Antarctic Fur Seal 1.80 1.20 5.9 3.9
Arctocephalus
tropicalis**
Amsterdam Island
Fur Seal
1.80 1.45 5.9 4.75
Arctocephalus australis**
South American
Fur Seal
1.88 1.42 6.2 4.7
Arctocephalus pusillis** Cape Fur Seal 2.73 1.83 8.96 6.0
Callorhinus ursinus** Northern Fur Seal 2.20 1.45 7.2 4.75
Eumetopias jubatus** Steller’s Sea Lion 2.86 2.40 9.4 7.9
Hydrurga leptonyx Leopard Seal 2.90 3.30 9.5 10.8
Mirounga angustirostris**
Northern Elephant
Seal
3.96 2.49 13.0 8.2
Mirounga leonina**
Southern Elephant
Seal
4.67 2.50 15.3 8.2
Odobenus rosmarus** Walrus 3.15 2.60 10.3 8.5
Otaria avescens**
South American Sea
Lion
2.40 2.00 7.9 6.6
Phoca caspica Caspian Seal 1.45 1.40 4.75 4.6
Phoca fasciata Ribbon Seal 1.75 1.68 5.7 5.5
Phoca larga Harbor Seal 1.70 1.50 5.6 4.9
Phoca vitulina Harbor Seal 1.70 1.50 5.6 4.9
Zalophus californianus California Sea Lion 2.24 1.75 7.3 5.7
Halichoerus grypus** Gray Seal 2.30 1.95 7.5 6.4
Phoca sibirica Baikal Seal 1.70
1.85 5.6 6.1
Phoca groenlandica Harp Seal 1.85 1.85 6.1 6.1
Leptonychotes
weddelli**
Weddell Seal 2.90 3.15 9.5 10.3
Lobodon
carcinophagus**
Crabeater Seal 2.21 2.21 7.3 7.3
Ommatophoca rossi** Ross Seal 1.99 2.13 6.5 7.0
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Subpart E
Marine
Mammals
Part 3, Subpart E, § 3.104
TABLE III – continued
Species Common name
Group II Pinnipeds:
Average adult length
In meters I
n feet
Male Female Male Female
Erignathus barbatus Bearded Seal 2.33 2.33 7.6 7.6
Phoca hispida Ringed Seal 1.35 1.30 4.4 4.3
Cystophora cristata Hooded Seal 2.60 2.00 8.5 6.6
Note. **Any Group I animals maintained together will be considered as Group II when the
animals maintained together include two or more sexually mature males from species marked
with a double asterisk (**) regardless of whether the sexually mature males from the same species.
Species Common name
Average
adult length
In meters In feet
Sirenia:
Dugong dugong Dugong 3.35 11.0
Trichechus manatus
West Indian
Manatee
3.51 11.5
Trichechus inunguis Amazon Manatee 2.44 8.0
Mustelidae:
Enhydra lutris Sea Otter 1.25 4.1
2. e minimum depth requirement for primary enclosure pools
for all cetaceans shall be one-half the average adult length of
the longest species to be housed therein, regardless of Group I
or Group II classication, or 1.83 meters (6.0 feet), whichever
is greater, and can be expressed as d=L/2 or 6 feet, whichever
is greater. ose parts of the primary enclosure pool which do
not meet the minimum depth requirement cannot be included
when calculating space requirements for cetaceans.
3. Pool volume. A pool of water housing cetaceans which
satises the MHD and which meets the minimum depth
requirement, will have sucient volume and surface area
246
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Animal Welfare Act, USDA
PART 3
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Marine
Mammals
246
Part 3, Subpart E, § 3.104
to hold up to two Group I cetaceans or up to four Group II
cetaceans. If additional cetaceans are to be added to the
pool, the volume as well as the surface area may have to be
adjusted to allow for additional space necessary for such
cetaceans. See Tables I, II, and IV for volumes and surface
area requirements. e additional volume needed shall be
based on the number and kind of cetaceans housed therein
and shall be determined in the following manner.
i. e minimum volume of water required for up to two
Group I cetaceans is based upon the following formula:
Volume =
(
MHD
)
2
× 3.14 × depth
When there are more than two Group I cetaceans housed
in a primary enclosure pool, the additional volume of
water required for each additional Group I cetacean in
excess of two is based on the following formula:
Volume =
(
Average Adult Length
)
2
× 3.14 × depth
See Table I for required volumes.
ii. e minimum volume of water required for up to four
Group II cetaceans is based upon the following formula:
Volume
=
(
MHD
)
2
× 3.14 × depth
When there are more than four Group II cetaceans housed
in a primary enclosure pool, the additional volume of
water required for each additional Group II cetacean in
excess of four is based on the following formula:
Volume = (Avg. Adult Length)
2
× 3.14 × depth
See Table II for required volumes.
iii. When a mixture of both Group I and Group II cetaceans
are housed together, the MHD must be satised as
stated in § 3.104(b)(1), and the minimum depth must be
satised as stated in § 3.104(b)(2). Based on these
gures, the resulting volume must then be calculated
Volume
=
(
MHD
)
2
× 3.14 × depth
248
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Subpart E
Marine
Mammals
Part 3, Subpart E, § 3.104
en the volume necessary for the cetaceans to be housed
in the pool must be calculated (by obtaining the sum of
the volumes required for each animal). If this volume is
greater than that obtained by using the MHD and depth
gures, then the additional volume required may be
added by enlarging the pool in its lateral dimensions or by
increasing its depth, or both. e minimum surface area
requirements discussed next must also be satised.
4. i. e minimum surface area requirements for each
cetacean housed in a pool, regardless of Group I or Group
II classication, are calculated as follows:
Surface Area =
(
Average Adult Body Length
)
2
× 3.14 × 1.5
or: SA=(L/2)2 x 3.14 x 1.5
In a pool containing more than two Group I cetaceans
or more than four Group II cetaceans,
9
the additional
surface area which may be required when animals are
added must be calculated for each such animal.
ii. When a mixture of Group I and Group II cetaceans are
to be housed in a pool, the required MHD, depth, and
volume must be met. en the required surface area
must be determined for each animal in the pool. e
sum of these surface areas must then be compared to
the surface area which is obtained by a computation
based on the required MHD of the pool.
10
e larger
of the two gures represents the surface area which is
required for a pool housing a mixture of Group I and
Group II cetaceans. Pool surfaces where the depth does
not meet the minimum requirements cannot be used in
determining the required surface area.
iii. Surface area requirements are given in Table IV.
9 A pool containing up to two Group I cetaceans or up to four Group II cetaceans which
meets the required MHD and depth will have the necessary surface area and volume
required for the animals contained therein.
10 Since the MHD represents the diameter of a circle, the surface area based on the MHD is
calculated by use of the following formula: SA = π × (MHD / 2).
248
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PART 3
Subpart E
Marine
Mammals
Part 3, Subpart E, § 3.104
TABLE IV – MINIMUM SURFACE AREA REQUIRED
FOR EACH CETACEAN
Average adult length of each
cetacean
Surface area required for each
cetacean
Meters Feet Sq. meters* Sq. feet
1.68 5.5 3.31 33.62
2.13 7.0 5.36 57.70
2.29 7.5 6.15 66.23
2.59 8.5 7.90 85.07
2.74 9.0 8.86 95.38
3.05 10.0 10.94 117.75
3.51 11.5 14.47 155.72
3.66 12.0 15.75 169.56
4.27 14.0 21.44 230.79
5.49 18.0 35.44 381.51
5.64 18.5 37.43 403.00
5.79 19.0 39.49 425.08
6.71 22.0 52.94 569.91
6.86 22.5 55.38 596.11
7.32 24.0 63.01 678.24
8.53 28.0 85.76 923.16
* Square meter=square feet/9×0.8361.
c. Sirenians. Primary enclosures housing sirenians shall contain a
pool of water and may consist entirely of a pool of water.
1. The required MHD of a primary enclosure pool for
sirenians shall be two times the average adult length
of the longest species of sirenian to be housed therein.
Calculations shall be based on the average adult length of
such sirenians as measured in a horizontal line from the
tip of the muzzle to the notch in the tail fluke of dugongs
and from the tip of the muzzle to the most distal point in
the rounded tail of the manatee.
249
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Marine
Mammals
Part 3, Subpart E, § 3.104
2. e minimum depth requirements for primary enclosure
pools for all sirenians shall be one-half the average adult
length of the longest species to be housed therein, or 1.52
meters (5.0 feet), whichever is greater. ose parts of the
primary enclosure pool which do not meet the minimum
depth requirements cannot be included when calculating
space requirements for sirenians.
3. A pool which satisfies the required MHD and depth
shall be adequate for one or two sirenians. Volume and
surface area requirements for additional animals shall
be calculated using the same formula as for Group I
cetaceans, except that the figure for depth requirement for
sirenians shall be one-half the average adult length or 1.52
meters (5.0 feet), whichever is greater.
d. Pinnipeds.
1. Primary enclosures housing pinnipeds shall contain a pool
of water and a dry resting or social activity area that must be
close enough to the surface of the water to allow easy access
for entering or leaving the pool. For the purposes of this
subpart, pinnipeds have been divided into Group I pinnipeds
and Group II pinnipeds as shown in Table III in this section.
In certain instances some Group I pinnipeds shall be
considered as Group II pinnipeds. (See Table III).
2. e minimum size of the dry resting or social activity area of
the primary enclosure for pinnipeds (exclusive of the pool
of water) shall be based on the average adult length of each
pinniped contained therein, as measured in a horizontal or
extended position in a straight line from the tip of its nose to
the tip of its tail. e minimum size of the dry resting or social
activity area shall be computed using the following methods:
i. Group I pinnipeds. Square the average adult length of
each pinniped to be contained in the primary enclosure.
Add the gures obtained for each of the pinnipeds in
the primary enclosure to determine the dry resting or
social activity area required for such pinnipeds. If only
a single Group I pinniped is maintained in the primary
enclosure, the minimum dry resting or social activity
area shall be twice the square of the average adult length
of that single Group I pinniped.
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Subpart E
Marine
Mammals
250
Part 3, Subpart E, § 3.104
Examples: (average adult length)
2
of 1st Group I
pinniped+(average adult length)
2
of 2nd Group I
pinniped=Total DRA for two pinnipeds
DRA for one pinniped=2×(average adult length of Group
I pinniped)
2
ii. Group II pinnipeds. List all pinnipeds contained in a
primary enclosure by average adult length in descending
order from the longest species of pinniped to the shortest
species of pinniped. Square the average adult length of
each pinniped. Multiply the average adult length squared
of the longest pinniped by 1.5, the second longest by 1.4,
the third longest by 1.3, the fourth longest by 1.2, and the
fth longest by 1.1, as indicated in the following example.
Square the average adult length of the sixth pinniped and
each additional pinniped. Add the gures obtained for
all the pinnipeds in the primary enclosure to determine
the required minimum dry resting or social activity area
required for such pinnipeds. If only a single Group II
pinniped is maintained in the primary enclosure, the
minimum dry resting or social activity area must be
computed for a minimum of two pinnipeds.
Examples: DRA for 1 Group II Pinniped = [(Average adult
length)
2
× 1.5] + [(Average adult length)
2
× 1.4]
1st pinniped (avg. adult length)2×1.5=social and DRA required
2nd pinniped (avg. adult length)2×1.4=social and DRA required
3rd pinniped (avg. adult length)1×1.3=social and DRA required
4th pinniped (avg. adult length)2×1.2=social and DRA required
5th pinniped (avg. adult length)2×1.1=social and DRA required
Each pinniped over 5 (avg. adult length)2=social and DRA required
Total minimum social activity and dry resting area required for all
pinnipeds housed in a primary enclosure.
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Subpart E
Marine
Mammals
Part 3, Subpart E, § 3.104
If all the pinnipeds in the primary enclosure are of the
same species, the same descending order of calculation
shall apply. Example: Hooded seal— average adult
length of male=8.5 feet and female=6.6 feet. In a primary
enclosure containing 2 males and 2 females, the social or
DRA required would be the sum of [(8.5)
2
×1.5] + [(8.5)
2
×1.4] +[(6.6)
2
×1.3] + [(6.6)
2
×1.2].
If two or more sexually mature males are maintained
together in a primary enclosure, the dry resting or social
activity area shall be divided into two or more separate
areas with sucient visual barriers (such as fences, rocks,
or foliage) to provide relief from aggressive animals.
iii. Mixture of Group I and Group II pinnipeds. In a primary
enclosure where a mixture of Group I and Group II pinnipeds
is to be housed, the dry resting or social activity area shall
be calculated as for Group II pinnipeds. e dry resting or
social activity area shall be divided into two or more separate
areas with sucient visual barriers (such as fences, rocks, or
foliage) to provide relief from aggressive animals.
3. i. e minimum surface area of a pool of water for
pinnipeds shall be at least equal to the dry resting or
social activity area required.
ii. e MHD of the pool shall be at least one and one-half
(1.5) times the average adult length of the largest species of
pinniped to be housed in the enclosure; except that such
MHD measurement may be reduced by up to 20 percent
if the amount of the reduction is added to the MHD at the
90-degree angle.
iii. e pool of water shall be at least 0.91 meters (3.0 feet) deep
or one-half the average adult length of the longest species of
pinniped contained therein, whichever is greater. Parts of the
pool that do not meet the minimum depth requirement cannot
be used in the calculation of the dry resting and social activity
area, or as part of the MHD or required surface area of the pool.
e. Polar bears. Primary enclosures housing polar bears shall consist
of a pool of water, a dry resting and social activity area, and a den. A
minimum of 37.16 square meters (400 square feet) of dry resting and
social activity area shall be provided for up to two polar bears, with an
additional 3.72 square meters (40 square feet) of dry resting and social
253
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Subpart E
Marine
Mammals
252
Part 3, Subpart E, § 3.104
activity area for each additional polar bear. e dry resting and social
activity area shall be provided with enough shade to accommodate all
of the polar bears housed in such primary enclosure at the same time.
e pool of water shall have an MHD of not less than 2.44 meters (8.0
feet) and a surface area of at least 8.93 square meters (96.0 square feet)
with a minimum depth of 1.52 meters (5.0 feet) with the exception of
any entry and exit area. is size pool shall be adequate for two polar
bears. For each additional bear, the surface area of the pool must be
increased by 3.72 square meters (40 square feet). In measuring this
additional surface area, parts of the pool which do not meet minimum
depth cannot be considered. e den shall be at least 1.83 meters
(6 feet) in width and depth and not less than 1.52 meters (5 feet) in
height. It will be so positioned that the viewing public shall not be
visible from the interior of the den. A separate den shall be provided
for each adult female of breeding age which is permanently housed
in the same primary enclosure with an adult male of breeding age.
Female polar bears in traveling acts or shows must be provided a den
when pregnancy has been determined.
f. Sea otters.
1. Primary enclosures for sea otters shall consist of a pool of
water and a dry resting area. e MHD of the pool of water for
sea otters shall be at least three times the average adult length
of the sea otter contained therein (measured in a horizontal
line from the tip of its nose to the tip of its tail) and the pool
shall be not less than .91 meters (3.0 feet) deep. When more
than two sea otters are housed in the same primary enclosure,
additional dry resting area as well as pool volume is required to
accommodate the additional sea otters. (See Table V).
2. e minimum volume of water required for a primary
enclosure pool for sea otters shall be based on the sea otter’s
average adult length. e minimum volume of water required
in the pool shall be computed using the following method:
Multiply the square of the sea otter’s average adult length b
y
3.14 and then multiply the total by 0.91 meters (3.0 feet). is
volume is satisfactory for one or two otters. To calculate the
additional volume of water for each additional sea otter above
two in a primary enclosure, multiply one-half of the square of
the sea otter’s average adult length by 3.14, then multiply by
0.91 meters (3.0 feet). (See Table V).
9 CFR AWA (5-1-2023 Edition)
PART 3
Subpart E
Marine
Mammals
Part 3, Subpart E, § 3.105
3. e minimum dry resting area required for one or two sea
otters shall be based on the sea otter’s average adult length.
e minimum dry resting area for one or two sea otters
shall be computed using the following method: Square the
average adult length of the sea otter and multiply the total
by 3.14. When the enclosure is to contain more than two sea
otters, the dry resting area for each additional animal shall be
computed by multiplying one- half of the sea otter’s average
adult length by 3.14. Using 1.25 meters or 4.1 feet (the average
adult length of a sea otter), the calculations for additional
space will result in the following gures:
TABLE V – ADDITIONAL SPACE REQUIRED FOR EACH SEA
OTTER WHEN MORE THAN TWO IN A PRIMARY ENCLOSURE
Average adult length
of sea otter
Resting area Pool Volume
Meters Feet Square
meters
Square
Feet
Cubic
meters
Cubic
feet
1.25 4.1 1.96 6.44 2.23 79.17
[44 FR 36874, June 22, 1979, as amended at 45 FR 63261, Sept. 24, 1980; 49 FR 26682, 26685,
June 28, 1984; 49 FR 27922, July 9, 1984; 63 FR 2, Jan. 2, 1998; 63 FR 47148, Sept. 4, 1998;
66 FR 252, Jan. 3, 2001]
ANIMAL HEALTH AND HUSBANDRY STANDARDS
§ 3.105 - Feeding.
a. e food for marine mammals must be wholesome, palatable,
and free from contamination and must be of sucient quantity
and nutritive value to maintain marine mammals in a state of
good health. e diet must be prepared with consideration for
factors such as age, species, condition, and size of the marine
mammal being fed. Marine mammals must be oered food at
least once a day, except as directed by the attending veterinarian.
b. Food receptacles, if used, must be located so as to be accessible to
all marine mammals in the same primary enclosure and must be
placed so as to minimize contamination of the food they contain.
Such food receptacles must be cleaned and sanitized after each use.
254
255
Animal Welfare Act, USDA
PART 3
Subpart E
Marine
Mammals
254
Part 3, Subpart E, § 3.105
c. Food, when given to each marine mammal individually, must be
given by an employee or attendant responsible to management
who has the necessary knowledge to assure that each marine
mammal receives an adequate quantity of food to maintain it in
good health. Such employee or attendant is required to have the
ability to recognize deviations from a normal state of good health
in each marine mammal so that the food intake can be adjusted
accordingly. Inappetence exceeding 24 hours must be reported
immediately to the attending veterinarian. Public feeding may
be permitted only in the presence and under the supervision of
a sucient number of knowledgeable, uniformed employees or
attendants. Such employees or attendants must assure that the
marine mammals are receiving the proper amount and type of
food. Only food supplied by the facility where the marine mammals
are kept may be fed to the marine mammals by the public. Marine
mammal feeding records noting the estimated individual daily
consumption must be maintained at the facility for a period of
1 year and must be made available for APHIS inspection. For
marine mammals that are individually fed and not subject to
public feeding, the feeding records should reect an accurate
account of food intake; for animals fed, in part, by the public, and
for large, group-fed colonies of marine mammals where individual
rations are not practical or feasible to maintain, the daily food
consumption should be estimated as precisely as possible.
d. Food preparation and handling must be conducted so as to
assure the wholesomeness and nutritive value of the food.
Frozen sh or other frozen food must be stored in freezers that
are maintained at a maximum temperature of −18 °C (0 °F).
e length of time food is stored and the method of storage, the
thawing of frozen food, and the maintenance of thawed food
must be conducted in a manner that will minimize contamination
and that will assure that the food retains nutritive value and
wholesome quality until the time of feeding. When food is thawed
in standing or running water, cold water must be used. All foods
must be fed to the marine mammals within 24 hours following the
removal of such foods from the freezers for thawing, or if the food
has been thawed under refrigeration, it must be fed to the marine
mammals within 24 hours of thawing.
[66 FR 252, Jan. 3, 2001]
256
9 CFR AWA (5-1-2023 Edition)
PART 3
Subpart E
Marine
Mammals
Part 3, Subpart E, § 3.106
§ 3.106 - Water quality.
a. General. e primary enclosure shall not contain water which
would be detrimental to the health of the marine mammal
contained therein.
b. Bacterial standards.
1. e coliform bacteria count of the primary enclosure pool
shall not exceed 1,000 MPN (most probable number) per
100 ml. of water. Should a coliform bacterial count exceed
1,000 MPN, two subsequent samples may be taken at 48-hour
intervals and averaged with the rst sample. If such average
count does not fall below 1,000 MPN, then the water in the
pool shall be deemed unsatisfactory, and the condition must
be corrected immediately.
2. When the water is chemically treated, the chemicals shall be
added so as not to cause harm or discomfort to the marine
mammals.
3. Water samples shall be taken and tested at least weekly for
coliform count and at least daily for pH and any chemical
additives (e.g. chlorine and copper) that are added to the
water to maintain water quality standards. Facilities using
natural seawater shall be exempt from pH and chemical
testing unless chemicals are added to maintain water quality.
However, they are required to test for coliforms. Records must
be kept documenting the time when all such samples were
taken and the results of the sampling. Records of all such
test results shall be maintained by management for a 1-year
period and must be made available for inspection purposes
on request.
c. Salinity. Primary enclosure pools of water shall be salinized for
marine cetaceans as well as for those other marine mammals
which require salinized water for their good health and well-
being. e salinity of the water in such pools shall be maintained
within a range of 15-36 parts per thousand.
d. Filtration and water ow. Water quality must be maintained
by ltration, chemical treatment, or other means so as to comply
with the water quality standards specied in this section.
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Animal Welfare Act, USDA
PART 3
Subpart E
Marine
Mammals
256
Part 3, Subpart E, § 3.107
§ 3.107 - Sanitation.
a. Primary enclosures.
1. Animal and food waste in areas other than the pool of water
must be removed from the primary enclosures at least daily,
and more often when necessary, in order to provide a clean
environment and minimize health and disease hazards.
2. Particulate animal and food waste, trash, or debris that enters
the primary enclosure pools of water must be removed at
least daily, or as often as necessary, to maintain the required
water quality and to minimize health and disease hazards to
the marine mammals.
3. e wall and bottom surfaces of the primary enclosure
pools of water must be cleaned as often as necessary to
maintain proper water quality. Natural organisms (such as
algae, coelenterates, or molluscs, for example) that do not
degrade water quality as dened in § 3.106, prevent proper
maintenance, or pose a health or disease hazard to the
animals are not considered contaminants.
b. Food preparation. Equipment and utensils used in food
preparation must be cleaned and sanitized after each use. Kitchens
and other food handling areas where animal food is prepared must
be cleaned at least once daily and sanitized at least once every
week. Sanitizing must be accomplished by washing with hot water
(8 °C, 180 °F, or higher) and soap or detergent in a mechanical
dishwasher, or by washing all soiled surfaces with a detergent
solution followed by a safe and eective disinfectant, or by cleaning
all soiled surfaces with live steam. Substances such as cleansing
and sanitizing agents, pesticides, and other potentially toxic agents
must be stored in properly labeled containers in secured cabinets
designed and located to prevent contamination of food storage
preparation surfaces.
c. Housekeeping. Buildings and grounds, as well as exhibit areas,
must be kept clean and in good repair. Fences must be maintained
in good repair. Primary enclosures housing marine mammals
must not have any loose objects or sharp projections and/or
edges which may cause injury or trauma to the marine mammals
contained therein.
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Subpart E
Marine
Mammals
Part 3, Subpart E, § 3.108
d. Pest control. A safe and eective program for the control of
insects, ectoparasites, and avian and mammalian pests must be
established and maintained. Insecticides or other such chemical
agents must not be applied in primary enclosures housing
marine mammals except when deemed essential by an attending
veterinarian.
[66 FR 253, Jan. 3, 2001]
§ 3.108 - Employees or attendants.
a. A sucient number of adequately trained employees or
attendants, responsible to management and working in concert
with the attending veterinarian, must be utilized to maintain the
prescribed level of husbandry practices set forth in this subpart.
Such practices must be conducted under the supervision of a
marine mammal caretaker who has demonstrable experience in
marine mammal husbandry and care.
b. e facility will provide and document participation in and
successful completion of a facility training course for such
employees. is training course will include, but is not limited
to, species appropriate husbandry techniques, animal handling
techniques, and information on proper reporting protocols, such
as recordkeeping and notication of veterinary sta for medical
concerns.
c. Any training of marine mammals must be done by or under the
direct supervision of experienced trainers.
d. Trainers and handlers must meet professionally recognized
standards for experience and training.
[66 FR 253, Jan. 3, 2001]
§ 3.109 - Separation.
Marine mammals, whenever known to be primarily social in the
wild, must be housed in their primary enclosure with at least one
compatible animal of the same or biologically related species,
except when the attending veterinarian, in consultation with the
259
Animal Welfare Act, USDA
PART 3
Subpart E
Marine
Mammals
258
Part 3, Subpart E, § 3.110
husbandry/training sta, determines that such housing is not in the
best interest of the marine mammal’s health or well-being. However,
marine mammals that are not compatible must not be housed in
the same enclosure. Marine mammals must not be housed near
other animals that cause them unreasonable stress or discomfort or
interfere with their good health. Animals housed separately must have
a written plan, approved by the attending veterinarian, developed
in consultation with the husbandry/training sta, that includes the
justication for the length of time the animal will be kept separated
or isolated, information on the type and frequency of enrichment
and interaction, if appropriate, and provisions for periodic review
of the plan by the attending veterinarian. Marine mammals that are
separated for nonmedical purposes must be held in facilities that meet
minimum space requirements as outlined in § 3.104.
[66 FR 253, Jan. 3, 2001]
§ 3.110 - Veterinary care.
a. Newly acquired marine mammals must be isolated from resident
marine mammals. Animals with a known medical history must
be isolated unless or until the newly acquired animals can be
reasonably determined to be in good health by the attending
veterinarian. Animals without a known medical history must be
isolated until the newly acquired animals are determined to be
in good health by the attending veterinarian. Any communicable
disease condition in a newly acquired marine mammal must
be remedied before it is placed with resident marine mammals,
unless, in the judgment of the attending veterinarian, the
potential benets of a resident animal as a companion to the
newly acquired animal outweigh the risks to the resident animal.
b. Holding facilities must be in place and available to meet the
needs for isolation, separation, medical treatment, and medical
training of marine mammals. Marine mammals that are isolated
or separated for nonmedical purposes must be held in facilities
that meet minimum space requirements as outlined in § 3.104.
Holding facilities used only for medical treatment and medical
training need not meet the minimum space requirements as
outlined in § 3.104. Holding of a marine mammal in a medical
260
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Subpart E
Marine
Mammals
Part 3, Subpart E, § 3.110
treatment or medical training enclosure that does not meet
minimum space requirements for periods longer than 2 weeks
must be noted in the animal’s medical record and the attending
veterinarian must provide a justication in the animal’s medical
record. If holding in such enclosures for medical treatment and/
or medical training is to last longer than 2 weeks, such extension
must be justied in writing by the attending veterinarian on
a weekly basis. In natural lagoon or coastal enclosures where
isolation cannot be accomplished, since water circulation
cannot be controlled or isolated, separation of newly acquired
marine mammals must be accomplished using separate
enclosures situated within the facility to prevent direct contact
and to minimize the risk of potential airborne and water cross-
contamination between newly acquired and resident animals.
c. Any holding facility used for medical purposes that has contained
a marine mammal with an infectious or contagious disease
must be cleaned and/or sanitized in a manner prescribed by the
attending veterinarian. No healthy animals may be introduced
into this holding facility prior to such cleaning and/or sanitizing
procedures. Any marine mammal exposed to a contagious animal
must be evaluated by the attending veterinarian and monitored
and/or isolated for an appropriate period of time as determined
by the attending veterinarian.
d. Individual animal medical records must be kept and made
available for APHIS inspection. ese medical records must
include at least the following information:
1. Animal identication/name, a physical description, including
any identifying markings, scars, etc., age, and sex; and
2. Physical examination information, including but not limited
to length, weight, physical examination results by body
system, identication of all medical and physical problems
with proposed plan of action, all diagnostic test results, and
documentation of treatment.
e. A copy of the individual animal medical record must accompany
any marine mammal upon its transfer to another facility,
including contract or satellite facilities.
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Marine
Mammals
260
Part 3, Subpart E, § 3.111
f. All marine mammals must be visually examined by the attending
veterinarian at least semiannually and must be physically
examined under the supervision of and when determined
to be necessary by the attending veterinarian. All cetaceans
and sirenians must be physically examined by the attending
veterinarian at least annually, unless APHIS grants an exception
from this requirement based on considerations related to the
health and safety of the cetacean or sirenian. ese examinations
must include, but are not limited to, a hands-on physical
examination, hematology and blood chemistry, and other
diagnostic tests as determined by the attending veterinarian.
g. 1. A complete necropsy, including histopathology samples,
microbiological cultures, and other testing as appropriate,
must be conducted by or under the supervision of the
attending veterinarian on all marine mammals that die in
captivity. A preliminary necropsy report must be prepared
by the veterinarian listing all pathologic lesions observed.
e nal necropsy report must include all gross and
histopathological ndings, the results of all laboratory tests
performed, and a pathological diagnosis.
2. Necropsy records will be maintained at the marine mammal’s
home facility and at the facility at which it died, if dierent, for
a period of 3 years and must be presented to APHIS inspectors
when requested.
[66 FR 253, Jan. 3, 2001]
§ 3.111 - Swim-with-the-dolphin programs.
Swim-with-the-dolphin (SWTD) programs shall comply with the
requirements in this section, as well as with all other applicable
requirements of the regulations pertaining to marine mammals.
a. Space requirements. e primary enclosure for SWTD cetaceans
shall contain an interactive area, a buer area, and a sanctuary
area. None of these areas shall be made uninviting to the animals.
Movement of cetaceans into the buer or sanctuary area shall not
be restricted in any way. Notwithstanding the space requirements
set forth in § 3.104, each of the three areas required for SWTD
programs shall meet the following space requirements:
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1. e horizontal dimension for each area must be at least three
times the average adult body length of the species of cetacean
used in the program;
2. e minimum surface area required for each area is
calculated as follows:
iv. Up to two cetaceans:
Surface Area (SA) =
(3 × average adult body length (L))
× 3.14
2
v. ree cetaceans:
SA =
(3 × L)
× 3.14 × 2
2
vi. Additional SA for each animal in excess of three
SA =
(2 × L)
× 3.14
2
3. e average depth for sea pens, lagoons, and similar natural
enclosures at low tide shall be at least 9 feet. e average depth
for any manmade enclosure or other structure not subject
to tidal action shall be at least 9 feet. A portion of each area
may be excluded when calculating the average depth, but the
excluded portion may not be used in calculating whether the
interactive, buer, and sanctuary area meet the requirements
of paragraphs (a)(1), (a)(2), and (a)(4) of this section.
4. e minimum volume required for each animal is calculated
as follows:
Volume = SA × 9
b. Water clarity. Sucient water clarity shall be maintained so that
attendants are able to observe cetaceans and humans at all times
while within the interactive area. If water clarity does not allow
these observations, the interactive sessions shall be canceled
until the required clarity is provided.
c. Employees and attendants. Each SWTD program shall have,
at the minimum, the following personnel, with the following
minimum backgrounds (each position shall be held by a separate
individual, with a sucient number of attendants to comply with
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§ 3.111(e)(4)):
1. Licensee or manager – at least one full-time sta member
with at least 6 years experience in a professional or
managerial position dealing with captive cetaceans;
2. Head trainer/behaviorist – at least one full-time sta member
with at least 6 years experience in training cetaceans for
SWTD behaviors in the past 10 years, or an equivalent
amount of experience involving in-water training of
cetaceans, who serves as the head trainer for the SWTD
program;
3. Trainer/supervising attendant – at least one full-time sta
member with at least 3 years training and/or handling
experience involving human/ cetacean interaction programs;
4. Attendant – an adequate number of sta members who are
adequately trained in the care, behavior, and training of the
program animals. Attendants shall be designated by the
trainer, in consultation with the head trainer/behaviorist
and licensee/manager, to conduct and monitor interactive
sessions in accordance with § 3.111(e); and
5. Attending veterinarian – at least one sta or consultant
veterinarian who has at least the equivalent of 2 years
full-time experience (4,160 or more hours) with cetacean
medicine within the past 10 years, and who is licensed to
practice veterinary medicine.
d. Program animals. Only cetaceans that meet the requirements of
§ 3.111(e)(2) and (3) may be used in SWTD programs.
e. Handling.
1. Interaction time (i.e., designated interactive swim sessions)
for each cetacean shall not exceed 2 hours per day. Each
program cetacean shall have at least one period in each
24 hours of at least 10 continuous hours without public
interaction.
2. All cetaceans used in an interactive session shall be
adequately trained and conditioned in human interaction
so that they respond in the session to the attendants with
appropriate behavior for safe interaction. e head trainer/
behaviorist, trainer/supervising attendant, or attendant shall,
at all times, control the nature and extent of the cetacean
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interaction with the public during a session, using the trained
responses of the program animal.
3. All cetaceans used in interactive sessions shall be in good
health, including, but not limited to, not being infectious.
Cetaceans undergoing veterinary treatment may be used in
interactive sessions only with the approval of the attending
veterinarian.
4. e ratio of human participants to cetaceans shall not exceed
3:1. e ratio of human participants to attendants or other
authorized SWTD personnel (i.e., head trainer/behaviorist or
trainer/supervising attendant) shall not exceed 3:1.
5. Prior to participating in an SWTD interactive session,
members of the public shall be provided with oral and
written rules and instructions for the session, to include the
telephone and FAX numbers for APHIS, Animal Care, for
reporting injuries or complaints. Members of the public shall
agree, in writing, to abide by the rules and instructions before
being allowed to participate in the session. Any participant
who fails to follow the rules or instructions shall be removed
from the session by the facility.
6. All interactive sessions shall have at least two attendants
or other authorized SWTD personnel (i.e., head trainer/
behaviorist or trainer/supervising attendant). At least
one attendant shall be positioned out of the water. One
or more attendants or other authorized SWTD personnel
may be positioned in the water. If a facility has more than
two incidents during interactive sessions within a year’s
time span that have been dangerous or harmful to either a
cetacean or a human, APHIS, in consultation with the head
trainer/behaviorist, will determine if changes in attendant
positions are needed.
7. All SWTD programs shall limit interaction between cetaceans
and humans so that the interaction does not harm the
cetaceans, does not remove the element of choice from the
cetaceans by actions such as, but not limited to, recalling
the animal from the sanctuary area, and does not elicit
unsatisfactory, undesirable, or unsafe behaviors from the
cetaceans. All SWTD programs shall prohibit grasping or
holding of the cetacean’s body, unless under the direct
and explicit instruction of an attendant eliciting a specic
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cetacean behavior, and shall prevent the chasing or other
harassment of the cetaceans.
8. In cases where cetaceans used in an interactive session exhibit
unsatisfactory, undesirable, or unsafe behaviors, including, but
not limited to, charging, biting, mouthing, or sexual contact
with humans, such cetaceans shall either be removed from
the interactive area or the session shall be terminated. Written
criteria shall be developed by each SWTD program, and shall be
submitted to and approved by APHIS
11
regarding conditions and
procedures for maintaining compliance with paragraph (e)(4)
of this section; for the termination of a session when removal of
a cetacean is not possible; and regarding criteria and protocols
for handling program animal(s) exhibiting unsatisfactory,
undesirable, or unsafe behaviors, including retraining time and
techniques, and removal from the program and/or facility, if
appropriate. e head trainer/behaviorist shall determine when
operations will be terminated, and when they may resume. In
the absence of the head trainer/behaviorist, the determination
to terminate a session shall be made by the trainer/supervising
attendant. Only the head trainer/behaviorist may determine
when a session may be resumed.
f. Recordkeeping.
1. Each facility shall provide APHIS
12
with a description of its
program at least 30 days prior to initiation of the program, or
in the case of any program in place before September 4, 1998,
not later than October 5, 1998. e description shall include
at least the following:
i. Identication of each cetacean in the program, by
means of name and/or number, sex, age, and any other
means the Administrator determines to be necessary to
adequately identify the cetacean;
ii. A description of the educational content and agenda of
planned interactive sessions, and the anticipated average
and maximum frequency and duration of encounters per
cetacean per day;
11 Send to Administrator, c/o Animal and Plant Health Inspection Service, Animal Care,
4700 River Road Unit 84, Riverdale, Maryland 20737-1234.
12 See footnote 1 in § 3.111(e)(8).
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iii. e content and method of pre-encounter orientation,
rules, and instructions, including restrictions on types of
physical contact with the cetaceans;
iv. A description of the SWTD facility, including the primary
enclosure and other SWTD animal housing or holding
enclosures at the facility;
v. A description of the training, including actual or expected
number of hours each cetacean has undergone or will
undergo prior to participation in the program;
vi. e resume of the licensee and/or manager, the head
trainer/ behaviorist, the trainer/supervising attendant,
any other attendants, and the attending veterinarian;
vii. e current behavior patterns and health of each
cetacean, to be assessed and submitted by the attending
veterinarian;
viii. For facilities that employ a part-time attending
veterinarian or consultant arrangements, a written
program of veterinary care (APHIS form 7002), including
protocols and schedules of professional visits; and
ix. A detailed description of the monitoring program to be
used to detect and identify changes in the behavior and
health of the cetaceans.
2. All SWTD programs shall comply in all respects with the
regulations and standards set forth in parts 2 and 3 of this
subchapter.
3. Individual animal veterinary records, including all
examinations, laboratory reports, treatments, and necropsy
reports shall be kept at the SWTD site for at least 3 years and
shall be made available to an APHIS ocial upon request
during inspection.
4. e following records shall be kept at the SWTD site for at
least 3 years and shall be made available to an APHIS ocial
upon request during inspection:
i. Individual cetacean feeding records; and
ii. Individual cetacean behavioral records.
5. e following reports shall be kept at the SWTD site for at
least 3 years and shall be made available to an APHIS ocial
upon request during inspection:
iii. Statistical summaries of the number of minutes per day
that each animal participated in an interactive session;
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iv. A statistical summary of the number of human
participants per month in the SWTD program; and
6. A description of any changes made in the SWTD program,
which shall be submitted to APHIS
13
on a semi-annual basis.
7. All incidents resulting in injury to either cetaceans or humans
participating in an interactive session, which shall be
reported to APHIS within 24 hours of the incident.
14
Within 7
days of any such incident, a written report shall be submitted
to the Administrator.
15
e report shall provide a detailed
description of the incident and shall establish a plan of action
for the prevention of further occurrences.
g. Veterinary care.
1. e attending veterinarian shall conduct on-site evaluations
of each cetacean at least once a month. e evaluation shall
include a visual inspection of the animal; examination of the
behavioral, feeding, and medical records of the animal; and a
discussion of each animal with an animal care sta member
familiar with the animal.
2. e attending veterinarian shall observe an interactive swim
session at the SWTD site at least once each month.
3. e attending veterinarian shall conduct a complete
physical examination of each cetacean at least once every
6 months. e examination shall include a prole of the
cetacean, including the cetacean’s identication (name and/
or number, sex, and age), weight,
16
length, axillary girth,
appetite, and behavior. e attending veterinarian shall also
conduct a general examination to evaluate body condition,
skin, eyes, mouth, blow hole and cardio-respiratory system,
genitalia, and feces (gastrointestinal status). e examination
shall also include a complete blood count and serum
chemistry analysis. Fecal and blow hole smears shall be
obtained for cytology and parasite evaluation.
13 See footnote 1 in § 3.111(e)(8).
14 Eastern Oce: (919) 855-7100. Western Oce: (970) 494-7478.
15 See footnote 1 in § 3.111(e)(8).
16 Weight may be measured either by scale or calculated using the following formulae:
Females: Natural log of body mass = -8.44 + 1.34(natural log of girth) + 1.28(natural log
of standard length). Males: Natural log of body mass = -10.3 + 1.62(natural log of girth) +
1.38(natural log of standard length).
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4. e attending veterinarian, during the monthly site visit,
shall record the nutritional and reproductive status of each
cetacean (i.e., whether in an active breeding program,
pregnant, or nursing).
5. e attending veterinarian shall examine water quality
records and provide a written assessment, to remain at
the SWTD site for at least 3 years, of the overall water
quality during the preceding month. Such records shall be
made available to an APHIS ocial upon request during
inspection.
6. In the event that a cetacean dies, complete necropsy results,
including all appropriate histopathology, shall be recorded
in the cetacean’s individual le and shall be made available to
APHIS ocials during facility inspections, or as requested by
APHIS. e necropsy shall be performed within 48 hours of
the cetacean’s death, by a veterinarian experienced in marine
mammal necropsies. If the necropsy is not to be performed
within 3 hours of the discovery of the cetacean’s death, the
cetacean shall be refrigerated until necropsy. Written results
of the necropsy shall be available in the cetacean’s individual
le within 7 days after death for gross pathology and within 45
days after death for histopathology.
(Approved by the Oce of Management and Budget under control numbers
0579-0036 and 0579-0115)
[63 FR 47148, Sept. 4, 1998]
Eective Date Note: At 64 FR 15920, Apr. 2, 1999, § 3.111 was suspended, eective Apr. 2, 1999.
TRANSPORTATION STANDARDS
§ 3.112 - Consignments to carriers and intermediate
handlers.
a. Carriers and intermediate handlers shall not accept any marine
mammal that is presented by any dealer, research facility,
exhibitor, operator of an auction sale, or other person, or any
department, agency, or instrumentality of the United States or
any State or local government for shipment, in commerce, more
than 4 hours prior to the scheduled departure of the primary
conveyance on which it is to be transported, and that is not
accompanied by a health certicate signed by the attending
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veterinarian stating that the animal was examined within the
prior 10 days and found to be in acceptable health for transport:
Provided, however, at the carrier or intermediate handler and
any dealer, research facility, exhibitor, operator of an auction sale,
or other person, or any department, agency, or instrumentality of
the United States or any State or local government may mutually
agree to extend the time of acceptance to not more than 6 hours
if specic prior scheduling of the animal shipment to destination
has been made.
b. Any carrier or intermediate handler shall only accept for
transportation or transport, in commerce, any marine mammal in
a primary transport enclosure that conforms to the requirements
in § 3.113 of this subpart: Provided, however, at any carrier or
intermediate handler may accept for transportation or transport,
in commerce, any marine mammal consigned by any department,
agency, or instrumentality of the United States having laboratory
animal facilities or exhibiting animals or any licensed or registered
dealer, research facility, exhibitor, or operator of an auction sale
if the consignor furnishes to the carrier or intermediate handler
a certicate, signed by the consignor, stating that the primary
transport enclosure complies with § 3.113 of this subpart, unless
such primary transport enclosure is obviously defective or
damaged and it is apparent that it cannot reasonably be expected
to contain the marine mammal without causing suering or
injury to the marine mammal. A copy of any such certicate must
accompany the shipment to destination. e certicate must
include at least the following information:
1. Name and address of the consignor;
2. e number, age, and sex of animals in the primary transport
enclosure(s);
3. A certifying statement (e.g., “I hereby certify that the—
(number) primary transport enclosure(s) that are used to
transport the animal(s) in this shipment complies (comply)
with USDA standards for primary transport enclosures (9
CFR part 3).”); and
4. e signature of the consignor, and date.
c. Carriers or intermediate handlers whose facilities fail to maintain
a temperature within the range of 7.2 °C (45 °F) to 23.9 °C (75 °F)
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allowed by § 3.117 of this subpart may accept for transportation
or transport, in commerce, any marine mammal consigned
by any department, agency, or instrumentality of the United
States or of any State or local government, or by any person
(including any licensee or registrant under the Act, as well as
any private individual) if the consignor furnishes to the carrier
or intermediate handler a certicate executed by the attending
veterinarian on a specied date that is not more than 10 days
prior to delivery of the animal for transportation in commerce,
stating that the marine mammal is acclimated to a specic air
temperature range lower or higher than those prescribed in §§
3.117 and 3.118. A copy of the certicate must accompany the
shipment to destination. e certicate must include at least the
following information:
1. Name and address of the consignor;
2. e number, age, and sex of animals in the shipment;
3. A certifying statement (e.g., “I hereby certify that the
animal(s) in this shipment is (are), to the best of my
knowledge, acclimated to an air temperature range of ”);
and
4. e signature of the attending veterinarian and the date.
d. Carriers and intermediate handlers must attempt to notify the
consignee (receiving party) at least once in every 6-hour period
following the arrival of any marine mammals at the animal
holding area of the terminal cargo facility. e time, date, and
method of each attempted notication and the nal notication
to the consignee and the name of the person notifying the
consignee must be recorded on the copy of the shipping
document retained by the carrier or intermediate handler and
on a copy of the shipping document accompanying the animal
shipment.
[66 FR 254, Jan. 3, 2001]
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§ 3.113 - Primary enclosures used to transport
marine mammals.
No dealer, research facility, exhibitor, or operator of an auction sale
shall oer for transportation or transport, in commerce, any marine
mammal in a primary enclosure that does not conform to the following
requirements:
a. Primary enclosures that are used to transport marine mammals
other than cetaceans and sirenians must:
1. Be constructed from materials of sucient structural strength
to contain the marine mammals;
2. Be constructed from material that is durable, nontoxic, and
cannot be chewed and/or swallowed;
3. Be able to withstand the normal rigors of transportation;
4. Have interiors that are free from any protrusions or
hazardous openings that could be injurious to the marine
mammals contained within;
5. Be constructed so that no parts of the contained marine
mammals are exposed to the outside of the enclosures in any
way that may cause injury to the animals or to persons who
are nearby or who handle the enclosures;
6. Have openings that provide access into the enclosures and
are secured with locking devices of a type that cannot be
accidentally opened;
7. Have such openings located in a manner that makes them easily
accessible at all times for emergency removal and potential
treatment of any live marine mammal contained within;
8. Have air inlets at heights that will provide cross ventilation
at all levels (particularly when the marine mammals are
in a prone position), are located on all four sides of the
enclosures, and cover not less than 20 percent of the total
surface area of each side of the enclosures;
9. Have projecting rims or other devices placed on any ends and
sides of the enclosures that have ventilation openings so that
there is a minimum air circulation space of 7.6 centimeters
(3.0 inches) between the enclosures and any adjacent cargo
or conveyance wall;
10. Be constructed so as to provide sucient air circulation
space to maintain the temperature limits set forth in this
subpart; and
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11. Be equipped with adequate handholds or other devices on
the exterior of the enclosures to enable them to be lifted
without unnecessary tilting and to ensure that the persons
handling the enclosures will not come in contact with any
marine mammal contained inside.
b. Straps, slings, harnesses, or other devices used for body support
or restraint, when transporting marine mammals such as
cetaceans and sirenians must:
1. Be designed so as not to prevent access to the marine
mammals by attendants for the purpose of administering in-
transit care;
2. Be equipped with special padding to prevent trauma or injury
at critical weight pressure points on the body of the marine
mammals; and
3. Be capable of keeping the animals from thrashing about and
causing injury to themselves or their attendants, and yet be
adequately designed so as not to cause injury to the animals.
c. Primary enclosures used to transport marine mammals must be
large enough to assure that:
1. In the case of pinnipeds, polar bears, and sea otters, each
animal has sucient space to turn about freely in a stance
whereby all four feet or ippers are on the oor and the
animal can sit in an upright position and lie in a natural
position;
2. In the case of cetaceans and sirenians, each animal has
sucient space for support of its body in slings, harnesses, or
other supporting devices, if used (as prescribed in paragraph
(b) of this section), without causing injury to such cetaceans
or sirenians due to contact with the primary transport
enclosure: Provided, however, at animals may be restricted
in their movements according to professionally accepted
standards when such freedom of movement would constitute
a danger to the animals, their handlers, or other persons.
d. Marine mammals transported in the same primary enclosure
must be of the same species and maintained in compatible
groups. Marine mammals that have not reached puberty may not
be transported in the same primary enclosure with adult marine
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mammals other than their dams. Socially dependent animals
(e.g., sibling, dam, and other members of a family group) must
be allowed visual and olfactory contact whenever reasonable.
Female marine mammals may not be transported in the same
primary enclosure with any mature male marine mammals.
e. Primary enclosures used to transport marine mammals as
provided in this section must have solid bottoms to prevent
leakage in shipment and must be cleaned and sanitized in
a manner prescribed in § 3.107 of this subpart, if previously
used. Within the primary enclosures used to transport marine
mammals, the animals will be maintained on sturdy, rigid, solid
oors with adequate drainage.
f. Primary enclosures used to transport marine mammals, except
where such primary enclosures are permanently axed in the
animal cargo space of the primary conveyance, must be clearly
marked on top (when present) and on at least one side, or on all
sides whenever possible, with the words “Live Animal” or “Wild
Animal” in letters not less than 2.5 centimeters (1 inch) in height,
and with arrows or other markings to indicate the correct upright
position of the container.
g. Documents accompanying the shipment must be attached in an
easily accessible manner to the outside of a primary enclosure
that is part of such shipment or be in the possession of the
shipping attendant.
h. When a primary transport enclosure is permanently axed
within the animal cargo space of the primary conveyance so
that the front opening is the only source of ventilation for such
primary enclosure, the front opening must open directly to the
outside or to an unobstructed aisle or passageway within the
primary conveyance. Such front ventilation opening must be at
least 90 percent of the total surface area of the front wall of the
primary enclosure and covered with bars, wire mesh, or smooth
expanded metal.
[66 FR 255, Jan. 3, 2001]
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Marine
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Part 3, Subpart E, § 3.114
§ 3.114 - Primary conveyances (motor vehicle, rail, air
and marine).
a. e animal cargo space of primary conveyances used in
transporting live marine mammals must be constructed in a
manner that will protect the health and assure the safety and
comfort of the marine mammals contained within at all times.
All primary conveyances used must be suciently temperature-
controlled to provide an appropriate environmental temperature
for the species involved and to provide for the safety and comfort
of the marine mammal, or other appropriate safeguards (such as,
but not limited to, cooling the animal with cold water, adding ice
to water-lled enclosures, and use of fans) must be employed to
maintain the animal at an appropriate temperature.
b. e animal cargo space must be constructed and maintained in
a manner that will prevent the ingress of engine exhaust fumes
and gases in excess of that ordinarily contained in the passenger
compartments.
c. Marine mammals must only be placed in animal cargo spaces
that have a supply of air sucient for each live animal contained
within. Primary transport enclosures must be positioned in the
animal cargo spaces of primary conveyances in such a manner
that each marine mammal contained within will have access to
sucient air.
d. Primary transport enclosures must be positioned in primary
conveyances in such a manner that, in an emergency, the live
marine mammals can be removed from the conveyances as soon
as possible.
e. e interiors of animal cargo spaces in primary conveyances must
be kept clean.
f. Live marine mammals must not knowingly be transported with
any material, substance, or device that may be injurious to the
health and well- being of the marine mammals unless proper
precaution is taken to prevent such injury.
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g. Adequate lighting must be available for marine mammal
attendants to properly inspect the animals at any time. If such
lighting is not provided by the carrier, provisions must be made
by the shipper to supply such lighting.
[66 FR 255, Jan. 3, 2001]
§ 3.115 - Food and drinking water requirements.
a. ose marine mammals that require drinking water must be
oered potable water within 4 hours of being placed in the
primary transport enclosure for transport in commerce. Marine
mammals must be provided water as often as necessary and
appropriate for the species involved to prevent dehydration,
which would jeopardize the good health and well-being of the
animals.
b. Marine mammals being transported in commerce must be
oered food as often as necessary and appropriate for the species
involved or as determined by the attending veterinarian.
[66 FR 256, Jan. 3, 2001]
§ 3.116 - Care in transit.
a. A licensed veterinarian, employee, and/or attendant of the shipper
or receiver of any marine mammal being transported, in commerce,
knowledgeable and experienced in the area of marine mammal
care and transport, must accompany all marine mammals during
periods of transportation to provide for their good health and well-
being, to observe such marine mammals to determine whether
they need veterinary care, and to obtain any needed veterinary care
as soon as possible. Any transport of greater than 2 hours duration
requires a transport plan approved by the attending veterinarian that
will include the specication of the necessity of the presence of a
veterinarian during the transport. If the attending veterinarian does
not accompany the animal, communication with the veterinarian
must be maintained in accordance with § § 2.33(b)(3) and 2.40(b)(3)
of this chapter.
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b. e following marine mammals may be transported in commerce
only when the transport of such marine mammals has been
determined to be appropriate by the attending veterinarian:
1. A pregnant animal in the last half of pregnancy;
2. A dependent unweaned young animal;
3. A nursing mother with young; or
4. An animal with a medical condition requiring veterinary
care, that would be compromised by transport. e attending
veterinarian must note on the accompanying health
certicate the existence of any of the above conditions.
e attending veterinarian must also determine whether
a veterinarian should accompany such marine mammals
during transport.
c. Carriers must inform the crew as to the presence of the marine
mammals on board the craft, inform the individual accompanying
the marine mammals of any unexpected delays as soon as they
become known, and accommodate, except as precluded by safety
considerations, requests by the shipper or his agent to provide
access to the animals or take other necessary actions for the
welfare of the animals if a delay occurs.
d. A sucient number of employees or attendants of the shipper
or receiver of cetaceans or sirenians being transported, in
commerce, must provide for such cetaceans and sirenians during
periods of transport by:
1. Keeping the skin moist or preventing the drying of the skin by
such methods as intermittent spraying of water or application
of a nontoxic emollient;
2. Assuring that the pectoral ippers are allowed freedom of
movement at all times;
3. Making adjustments in the position of the marine mammals
when necessary to prevent necrosis of the skin at weight
pressure points;
4. Keeping the animal cooled and/or warmed suciently to
prevent overheating, hypothermia, or temperature related
stress; and
5. Calming the marine mammals to avoid struggling, thrashing,
and other unnecessary activity that may cause overheating or
physical trauma.
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e. A sucient number of employees or attendants of the shipper
or receiver of pinnipeds or polar bears being transported, in
commerce, must provide for such pinnipeds and polar bears
during periods of transport by:
1. Keeping the animal cooled and/or warmed suciently to
prevent overheating, hypothermia, or temperature related
stress; and
2. Calming the marine mammals to avoid struggling, thrashing,
and other unnecessary activity that may cause overheating or
physical trauma.
f. Sea otters must be transported in primary enclosures that contain
false oors through which water and waste freely pass to keep the
interior of the transport unit free from waste materials. Moisture
must be provided by water sprayers or ice during transport.
g. Marine mammals may be removed from their primary transport
enclosures only by the attendants or other persons capable of
handling such mammals safely.
[66 FR 256, Jan. 3, 2001]
§ 3.117 - Terminal facilities.
Carriers and intermediate handlers must not commingle marine
mammal shipments with inanimate cargo. All animal holding areas of
a terminal facility of any carrier or intermediate handler where marine
mammal shipments are maintained must be cleaned and sanitized in
a manner prescribed in § 3.107 of this subpart to minimize health and
disease hazards.
An eective program for the control of insects, ectoparasites, and
avian and mammalian pests must be established and maintained for
all animal holding areas. Any animal holding area containing marine
mammals must be ventilated with fresh air or air circulated by means
of fans, blowers, or an air conditioning system so as to minimize drafts,
odors, and moisture condensation. Auxiliary ventilation, such as
exhaust fans and vents or fans or blowers or air conditioning must be
used for any animal holding area containing marine mammals when
the air temperature within such animal holding area is 23.9 °C (75 °F) or
higher. e air temperature around any marine mammal in any animal
holding area must not be allowed to fall below 7.2 °C (45 °F). e air
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temperature around any polar bear must not be allowed to exceed 29.5
°C (85 °F) at any time and no polar bear may be subjected to surrounding
air temperatures that exceed 23.9 °C (75 °F) for more than 4 hours at
any time. e ambient temperature must be measured in the animal
holding area upon arrival of the shipment by the attendant, carrier, or
intermediate handler. e ambient temperature must be measured
halfway up the outside of the primary transport enclosure at a distance
from the external wall of the primary transport enclosure not to exceed
0.91 meters (3 feet).
[66 FR 256, Jan. 3, 2001]
§ 3.118 - Handling.
a. Carriers and intermediate handlers moving marine mammals
from the animal holding area of the terminal facility to the
primary conveyance or from the primary conveyance to the
animal holding area of the terminal facility must provide the
following:
1. Movement of animals as expeditiously as possible.
2. Shelter from overheating and direct sunlight. When
sunlight is likely to cause overheating, sunburn, or
discomfort, sucient shade must be provided to protect the
marine mammals. Marine mammals must not be subjected
to surrounding air temperatures that exceed 23.9 °C (75
°F) unless accompanied by an acclimation certicate in
accordance with § 3.112 of this subpart. e temperature
must be measured and read within or immediately adjacent
to the primary transport enclosure.
3. Shelter from cold weather. Marine mammals must be
provided with species appropriate protection against cold
weather, and such marine mammals must not be subjected
to surrounding air temperatures that fall below 7.2 °C (45
°F) unless accompanied by an acclimation certicate in
accordance with § 3.112 of this subpart. e temperature
must be measured and read within or immediately adjacent
to the primary transport enclosure.
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b. Care must be exercised to avoid handling of the primary transport
enclosure in a manner that may cause physical harm or distress to
the marine mammal contained within.
c. Enclosures used to transport any marine mammal must not be
tossed, dropped, or needlessly tilted and must not be stacked
unless properly secured.
[66 FR 257, Jan. 3, 2001]
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Subpart F
Other
Species
Part 3, Subpart F, § 3.125
SUBPART F
SPECIFICATIONS FOR THE HUMANE HANDLING,
CARE, TREATMENT, AND TRANSPORTATION OF
WARMBLOODED ANIMALS OTHER THAN DOGS, CATS,
RABBITS, HAMSTERS, GUINEA PIGS, NONHUMAN
PRIMATES, MARINE MAMMALS, AND BIRDS
Source: 36 FR 24925, Dec. 24, 1971, unless otherwise noted.
Redesignated at 44 FR 36874, July 22, 1979.
FACILITIES AND OPERATING STANDARDS
§ 3.125 - Facilities, general.
a. Structural strength. e facility must be constructed of such
material and of such strength as appropriate for the animals
involved. e indoor and outdoor housing facilities shall be
structurally sound and shall be maintained in good repair to
protect the animals from injury and to contain the animals.
b. Water and power. Reliable and adequate electric power, if
required to comply with other provisions of this subpart, and
adequate potable water shall be available on the premises.
c. Storage. Supplies of food and bedding shall be stored in facilities
which adequately protect such supplies against deterioration,
molding, or contamination by vermin. Refrigeration shall be
provided for supplies of perishable food.
d. Waste disposal. Provision shall be made for the removal and
disposal of animal and food wastes, bedding, dead animals, trash
and debris. Disposal facilities shall be so provided and operated
as to minimize vermin infestation, odors, and disease hazards.
e disposal facilities and any disposal of animal and food
wastes, bedding, dead animals, trash, and debris shall comply
with applicable Federal, State, and local laws and regulations
relating to pollution control or the protection of the environment.
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e. Washroom and sinks. Facilities, such as washrooms, basins,
showers, or sinks, shall be provided to maintain cleanliness
among animal caretakers.
[36 FR 24925, Dec. 24, 1971. Redesignated at 44 FR 36874, June 22, 1979,
and amended at 44 FR 63492, Nov. 2, 1979]
§ 3.126 - Facilities, indoor.
a. Ambient temperatures. Temperature in indoor housing facilities
shall be suciently regulated by heating or cooling to protect the
animals from the extremes of temperature, to provide for their
health and to prevent their discomfort. e ambient temperature
shall not be allowed to fall below nor rise above temperatures
compatible with the health and comfort of the animal.
b. Ventilation. Indoor housing facilities shall be adequately
ventilated by natural or mechanical means to provide for the
health and to prevent discomfort of the animals at all times.
Such facilities shall be provided with fresh air either by means
of windows, doors, vents, fans, or air-conditioning and shall
be ventilated so as to minimize drafts, odors, and moisture
condensation.
c. Lighting. Indoor housing facilities shall have ample lighting, by
natural or articial means, or both, of good quality, distribution,
and duration as appropriate for the species involved. Such
lighting shall be uniformly distributed and of sucient intensity
to permit routine inspection and cleaning. Lighting of primary
enclosures shall be designed to protect the animals from
excessive illumination.
d. Drainage. A suitable sanitary method shall be provided to
eliminate rapidly, excess water from indoor housing facilities.
If drains are used, they shall be properly constructed and kept
in good repair to avoid foul odors and installed so as to prevent
any backup of sewage. e method of drainage shall comply with
applicable Federal, State, and local laws and regulations relating
to pollution control or the protection of the environment.
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Other
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Part 3, Subpart F, § 3.127
§ 3.127 - Facilities, outdoor.
a. Shelter from sunlight. When sunlight is likely to cause
overheating or discomfort of the animals, sucient shade by
natural or articial means shall be provided to allow all animals
kept outdoors to protect themselves from direct sunlight.
b. Shelter from inclement weather. Natural or articial shelter
appropriate to the local climatic conditions for the species
concerned shall be provided for all animals kept outdoors to
aord them protection and to prevent discomfort to such animals.
Individual animals shall be acclimated before they are exposed to
the extremes of the individual climate.
c. Drainage. A suitable method shall be provided to rapidly
eliminate excess water. e method of drainage shall comply with
applicable Federal, State, and local laws and regulations relating
to pollution control or the protection of the environment.
d. Perimeter fence. On or after May 17, 2000, all outdoor housing
facilities (i.e., facilities not entirely indoors) must be enclosed
by a perimeter fence that is of sucient height to keep animals
and unauthorized persons out. Fences less than 8 feet high for
potentially dangerous animals, such as, but not limited to, large
felines (e.g., lions, tigers, leopards, cougars, etc.), bears, wolves,
rhinoceros, and elephants, or less than 6 feet high for other animals
must be approved in writing by the Administrator. e fence must
be constructed so that it protects the animals in the facility by
restricting animals and unauthorized persons from going through
it or under it and having contact with the animals in the facility,
and so that it can function as a secondary containment system for
the animals in the facility. It must be of sucient distance from
the outside of the primary enclosure to prevent physical contact
between animals inside the enclosure and animals or persons
outside the perimeter fence. Such fences less than 3 feet in distance
from the primary enclosure must be approved in writing by the
Administrator. A perimeter fence is not required:
1. Where the outside walls of the primary enclosure are made of
sturdy, durable material, which may include certain types of
concrete, wood, plastic, metal, or glass, and are high enough
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and constructed in a manner that restricts entry by animals
and unauthorized persons and the Administrator gives
written approval; or
2. Where the outdoor housing facility is protected by an
eective natural barrier that restricts the animals to the
facility and restricts entry by animals and unauthorized
persons and the Administrator gives written approval; or
3. Where appropriate alternative security measures are
employed and the Administrator gives written approval; or
4. For traveling facilities where appropriate alternative security
measures are employed; or
5. Where the outdoor housing facility houses only domesticated
farm- type animals, such as, but not limited to, cows, sheep,
goats, pigs, horses (for regulated purposes), or donkeys, and
the facility has in place eective and customary containment
and security measures.”
[36 FR 24925, Dec. 24, 1971. Redesignated at 44 FR 36874, July 22, 1979,
as amended at 64 FR 56147, Oct. 18, 1999; 65 FR 70770, Nov. 28, 2000]
§ 3.128 - Space requirements.
Enclosures shall be constructed and maintained so as to provide
sucient space to allow each animal to make normal postural and
social adjustments with adequate freedom of movement. Inadequate
space may be indicated by evidence of malnutrition, poor condition,
debility, stress, or abnormal behavior patterns.
ANIMAL HEALTH AND HUSBANDRY STANDARDS
§ 3.129 - Feeding.
a. e food shall be wholesome, palatable, and free from
contamination and of sucient quantity and nutritive value to
maintain all animals in good health. e diet shall be prepared
with consideration for the age, species, condition, size, and type
of the animal. Animals shall be fed at least once a day except as
dictated by hibernation, veterinary treatment, normal fasts, or
other professionally accepted practices.
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Other
Species
Part 3, Subpart F, § 3.130
b. Food, and food receptacles, if used, shall be sucient in quantity
and located so as to be accessible to all animals in the enclosure
and shall be placed so as to minimize contamination. Food
receptacles shall be kept clean and sanitary at all times. If self-
feeders are used, adequate measures shall be taken to prevent
molding, contamination, and deterioration or caking of food.
§ 3.130 - Watering.
If potable water is not accessible to the animals at all times, it must be
provided as often as necessary for the health and comfort of the animal.
Frequency of watering shall consider age, species, condition, size, and
type of the animal. All water receptacles shall be kept clean and sanitary.
§ 3.131 - Sanitation.
a. Cleaning of enclosures. Excreta shall be removed from primary
enclosures as often as necessary to prevent contamination of
the animals contained therein and to minimize disease hazards
and to reduce odors. When enclosures are cleaned by hosing or
ushing, adequate measures shall be taken to protect the animals
conned in such enclosures from being directly sprayed with the
stream of water or wetted involuntarily.
b. Sanitation of enclosures. Subsequent to the presence of an
animal with an infectious or transmissible disease, cages,
rooms, and hard-surfaced pens or runs shall be sanitized either
by washing them with hot water (180 F. at source) and soap or
detergent, as in a mechanical washer, or by washing all soiled
surfaces with a detergent solution followed by a safe and eective
disinfectant, or by cleaning all soiled surfaces with saturated live
steam under pressure. Pens or runs using gravel, sand, or dirt,
shall be sanitized when necessary as directed by the attending
veterinarian.
c. Housekeeping. Premises (buildings and grounds) shall be kept
clean and in good repair in order to protect the animals from
injury and to facilitate the prescribed husbandry practices set
forth in this subpart. Accumulations of trash shall be placed in
designated areas and cleared as necessary to protect the health of
the animals.
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Other
Species
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Part 3, Subpart F, § 3.132
d. Pest control. A safe and eective program for the control of
insects, ectoparasites, and avian and mammalian pests shall be
established and maintained.
§ 3.132 - Employees.
A sucient number of adequately trained employees shall be utilized to
maintain the professionally acceptable level of husbandry practices set
forth in this subpart. Such practices shall be under a supervisor who has
a background in animal care.
§ 3.133 - Separation.
Animals housed in the same primary enclosure must be compatible.
Animals shall not be housed near animals that interfere with their health
or cause them discomfort.
§§ 3.134-3.135 - [Reserved]
TRANSPORTATION STANDARDS
Source: Sections 3.136 through 3.142 appear at 42 FR 31569, June 21, 1977,
unless otherwise noted. Redesignated at 44 FR 36874, July 22, 1979.
§ 3.136 - Consignments to carriers and intermediate
handlers.
a. Carriers and intermediate handlers shall not accept any live
animals presented by any dealer, research facility, exhibitor,
operator of an auction sale, or other person, or any department,
agency, or instrumentality of the United States or any State
or local government for shipment, in commerce, more than
4 hours prior to the scheduled departure of the primary
conveyance on which it is to be transported: Provided, however,
at the carrier or intermediate handler and any dealer,
research facility, exhibitor, operator of an auction sale, or other
person, or any department, agency, or instrumentality of the
United States or any State or local government may mutually
agree to extend the time of acceptance to not more than 6
hours if specic prior scheduling of the animal shipment to
destination has been made.
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Other
Species
Part 3, Subpart F, § 3.136
b. Any carrier or intermediate handler shall only accept for
transportation or transport, in commerce, any live animal in
a primary enclosure which conforms to the requirements set
forth in § 3.137 of the standards: Provided, however, at any
carrier or intermediate handler may accept for transportation
or transport, in commerce, any live animal consigned by any
department, agency, or instrumentality of the United States
having laboratory animal facilities or exhibiting animals or
any licensed or registered dealer, research facility, exhibitor,
or operator of an auction sale if the consignor furnishes to
the carrier or intermediate handler a certicate, signed by the
consignor, stating that the primary enclosure complies with
§ 3.137 of the standards, unless such primary enclosure is
obviously defective or damaged and it is apparent that it cannot
reasonably be expected to contain the live animal without
causing suering or injury to such live animal. A copy of such
certicate shall accompany the shipment to destination. e
certicate shall include at least the following information:
1. Name and address of the consignor;
2. e number of animals in the primary enclosure(s);
3. A certifying statement (e.g., “I hereby certify that the
(number) primary enclosure(s) which are used to transport
the animal(s) in this shipment complies (comply) with USDA
standards for primary enclosures (9 CFR part 3).”); and
4. e signature of the consignor, and date.
c. Carriers or intermediate handlers whose facilities fail to meet the
minimum temperature allowed by the standards may accept for
transportation or transport, in commerce, any live animal consigned
by any department, agency, or instrumentality of the United States
or of any State or local government, or by any person (including any
licensee or registrant under the Act, as well as any private individual)
if the consignor furnishes to the carrier or intermediate handler a
certicate executed by a veterinarian accredited by this Department
pursuant to part 160 of this title on a specied date which shall not be
more than 10 days prior to delivery of such animal for transportation
in commerce, stating that such live animal is acclimated to air
temperatures lower than those prescribed in §§ 3.141 and 3.142. A
copy of such certicate shall accompany the shipment to destination.
e certicate shall include at least the following information:
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1. Name and address of the consignor;
2. e number of animals in the shipment;
3. A certifying statement (e.g., “I hereby certify that the animal(s)
in this shipment is (are), to the best of my knowledge,
acclimated to air temperatures lower than 7.2 °C. (45 °F.)”);
and
4. e signature of the USDA accredited veterinarian, assigned
accreditation number, and date.
d. Carriers and intermediate handlers shall attempt to notify the
consignee at least once in every 6 hour period following the
arrival of any live animals at the animal holding area of the
terminal cargo facility. e time, date, and method of each
attempted notication and the nal notication to the consignee
and the name of the person notifying the consignee shall be
recorded on the copy of the shipping document retained by the
carrier or intermediate handler and on a copy of the shipping
document accompanying the animal shipment.
[42 FR 31569, June 21, 1977, as amended at 43 FR 21166, May 16, 1978. Redesignated at 44 FR
36874, July 22, 1979, and amended at 44 FR 63493, Nov. 2, 1979]
§ 3.137 - Primary enclosures used to transport live animals.
No dealer, research facility, exhibitor, or operator of an auction sale
shall oer for transportation or transport, in commerce, any live animal
in a primary enclosure which does not conform to the following
requirements:
a. Primary enclosures, such as compartments, transport cages,
cartons, or crates, used to transport live animals shall be
constructed in such a manner that (1) the structural strength
of the enclosure shall be sucient to contain the live animals
and to withstand the normal rigors of transportation; (2) the
interior of the enclosure shall be free from any protrusions that
could be injurious to the live animals contained therein; (3) the
openings of such enclosures are easily accessible at all times for
emergency removal of the live animals; (4) except as provided
in paragraph (g) of this section, there are ventilation openings
located on two opposite walls of the primary enclosure and
the ventilation openings on each such wall shall be at least 16
percent of the total surface area of each such wall, or there are
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Subpart F
Other
Species
Part 3, Subpart F, § 3.137
ventilation openings located on all four walls of the primary
enclosure and the ventilation openings on each such wall shall
be at least 8 percent of the total surface area of each such wall:
Provided, however, at at least one-third of the total minimum
area required for ventilation of the primary enclosure shall
be located on the lower one-half of the primary enclosure
and at least one-third of the total minimum area required for
ventilation of the primary enclosure shall be located on the
upper one-half of the primary enclosure; (5) except as provided
in paragraph (g) of this section, projecting rims or other
devices shall be on the exterior of the outside walls with any
ventilation openings to prevent obstruction of the ventilation
openings and to provide a minimum air circulation space
of 1.9 centimeters (.75 inch) between the primary enclosure
and any adjacent cargo or conveyance wall; and (6) except as
provided in paragraph (g) of this section, adequate handholds
or other devices for lifting shall be provided on the exterior of
the primary enclosure to enable the primary enclosure to be
lifted without tilting and to ensure that the person handling the
primary enclosure will not be in contact with the animal.
b. Live animals transported in the same primary enclosure
shall be of the same species and maintained in compatible
groups. Live animals that have not reached puberty shall
not be transported in the same primary enclosure with adult
animals other than their dams. Socially dependent animals
(e.g., sibling, dam, and other members of a family group) must
be allowed visual and olfactory contact. Any female animal in
season (estrus) shall not be transported in the same primary
enclosure with any male animal.
c. Primary enclosures used to transport live animals shall be
large enough to ensure that each animal contained therein
has sucient space to turn about freely and to make normal
postural adjustments: Provided, however, at certain
species may be restricted in their movements according to
professionally acceptable standards when such freedom of
movement would constitute a danger to the animals, their
handlers, or other persons.
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d. Primary enclosures used to transport live animals as provided
in this section shall have solid bottoms to prevent leakage
in shipment and still be cleaned and sanitized in a manner
prescribed in § 3.131 of the standards, if previously used. Such
primary enclosures shall contain clean litter of a suitable
absorbent material, which is safe and nontoxic to the live animals
contained therein, in sucient quantity to absorb and cover
excreta, unless the animals are on wire or other nonsolid oors.
e. Primary enclosures used to transport live animals, except where
such primary enclosures are permanently axed in the animal
cargo space of the primary conveyance, shall be clearly marked
on top and on one or more sides with the words “Live Animal”
or “Wild Animal”, whichever is appropriate, in letters not less
than 2.5 centimeters (1 inch) in height, and with arrows or other
markings to indicate the correct upright position of the container.
f. Documents accompanying the shipment shall be attached in an
easily accessible manner to the outside of a primary enclosure
which is part of such shipment.
g. When a primary enclosure is permanently axed within the
animal cargo space of the primary conveyance so that the
front opening is the only source of ventilation for such primary
enclosure, the front opening shall open directly to the outside
or to an unobstructed aisle or passageway within the primary
conveyance. Such front ventilation opening shall be at least
90 percent of the total surface area of the front wall of the
primary enclosure and covered with bars, wire mesh or smooth
expanded metal.
[42 FR 31569, June 21, 1977, as amended at 43 FR 21166, May 16, 1978.
Redesignated at 44 FR 36874, July 22, 1979]
§ 3.138 - Primary conveyances (motor vehicle, rail, air,
and marine).
a. e animal cargo space of primary conveyances used in
transporting live animals shall be designed and constructed to
protect the health, and ensure the safety and comfort of the live
animals contained therein at all times.
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Other
Species
Part 3, Subpart F, § 3.139
b. e animal cargo space shall be constructed and maintained
in a manner to prevent the ingress of engine exhaust fumes and
gases from the primary conveyance during transportation in
commerce.
c. No live animal shall be placed in an animal cargo space that does
not have a supply of air sucient for normal breathing for each
live animal contained therein, and the primary enclosures shall
be positioned in the animal cargo space in such a manner that
each live animal has access to sucient air for normal breathing.
d. Primary enclosures shall be positioned in the primary
conveyance in such a manner that in an emergency the live
animals can be removed from the primary conveyance as soon as
possible.
e. e interior of the animal cargo space shall be kept clean.
f. Live animals shall not be transported with any material,
substance (e.g., dry ice) or device which may reasonably be
expected to be injurious to the health and well-being of the
animals unless proper precaution is taken to prevent such injury.
§ 3.139 - Food and water requirements.
a. All live animals shall be oered potable water within 4 hours
prior to being transported in commerce. Dealers, exhibitors,
research facilities and operators of auction sales shall provide
potable water to all live animals transported in their own primary
conveyance at least every 12 hours after such transportation is
initiated, and carriers and intermediate handlers shall provide
potable water to all live animals at least every 12 hours after
acceptance for transportation in commerce: Provided, however,
at except as directed by hibernation, veterinary treatment or
other professionally accepted practices, those live animals which,
by common accepted practices, require watering more frequently
shall be so watered.
b. Each live animal shall be fed at least once in each 24 hour period,
except as directed by hibernation, veterinary treatment, normal
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Other
Species
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Part 3, Subpart F, § 3.140
fasts, or other professionally accepted practices. ose live
animals which, by common accepted practice, require feeding
more frequently shall be so fed.
c. A sucient quantity of food and water shall accompany the live
animal to provide food and water for such animals for a period
of at least 24 hours, except as directed by hibernation, veterinary
treatment, normal fasts, and other professionally accepted
practices.
d. Any dealer, research facility, exhibitor or operator of an auction
sale oering any live animal to any carrier or intermediate
handler for
e. transportation in commerce shall ax to the outside of the
primary enclosure used for transporting such live animal, written
instructions concerning the food and water requirements of such
animal while being so transported.
f. No carrier or intermediate handler shall accept any live animals
for transportation in commerce unless written instructions
concerning the food and water requirements of such animal
while being so transported is axed to the outside of its primary
enclosure.
§ 3.140 - Care in transit.
a. During surface transportation, it shall be the responsibility of
the driver or other employee to visually observe the live animals
as frequently as circumstances may dictate, but not less than
once every 4 hours, to assure that they are receiving sucient
air for normal breathing, their ambient temperatures are within
the prescribed limits, all other applicable standards are being
complied with and to determine whether any of the live animals
are in obvious physical distress and to provide any needed
veterinary care as soon as possible. When transported by air, live
animals shall be visually observed by the carrier as frequently
as circumstances may dictate, but not less than once every 4
hours, if the animal cargo space is accessible during ight. If the
animal cargo space is not accessible during ight, the carrier shall
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Subpart F
Other
Species
Part 3, Subpart F, § 3.141
visually observe the live animals whenever loaded and unloaded
and whenever the animal cargo space is otherwise accessible to
assure that they are receiving sucient air for normal breathing,
their ambient temperatures are within the prescribed limits,
all other applicable standards are being complied with and to
determine whether any such live animals are in obvious physical
distress. e carrier shall provide any needed veterinary care as
soon as possible. No animal in obvious physical distress shall be
transported in commerce.
b. Wild or otherwise dangerous animals shall not be taken from
their primary enclosure except under extreme emergency
conditions: Provided, however, at a temporary primary
enclosure may be used, if available, and such temporary primary
enclosure is structurally strong enough to prevent the escape of
the animal. During the course of transportation, in commerce,
live animals shall not be removed from their primary enclosures
unless placed in other primary enclosures or facilities conforming
to the requirements provided in this subpart.
§ 3.141 - Terminal facilities.
Carriers and intermediate handlers shall not commingle live animal
shipments with inanimate cargo. All animal holding areas of a
terminal facility of any carrier or intermediate handler wherein live
animal shipments are maintained shall be cleaned and sanitized
in a manner prescribed in § 3.141 of the standards often enough to
prevent an accumulation of debris or excreta, to minimize vermin
infestation and to prevent a disease hazard. An eective program for
the control of insects, ectoparasites, and avian and mammalian pests
shall be established and maintained for all animal holding areas.
Any animal holding area containing live animals shall be provided
with fresh air by means of windows, doors vents, or air conditioning
and may be ventilated or air circulated by means of fans, blowers,
or an air conditioning system so as to minimize drafts, odors, and
moisture condensation. Auxiliary ventilation, such as exhaust fans
and vents or fans or blowers or air conditioning shall be used for any
animal holding area containing live animals when the air temperature
within such animal holding area is 23.9 °C. (75.°F.) or higher. e air
temperature around any live animal in any animal holding area shall
not be allowed to fall below 7.2 °C. (45 °F.) nor be allowed to exceed
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29.5 °C. (85 °F.) at any time: Provided, however, at no live animal
shall be subjected to surrounding air temperatures which exceed 23.9
°C. (75 °F.) for more than 4 hours at any time. To ascertain compliance
with the provisions of this paragraph, the air temperature around any
live animal shall be measured and read outside the primary enclosure
which contains such animal at a distance not to exceed .91 meters (3
feet) from any one of the external walls of the primary enclosure and
on a level parallel to the bottom of such primary enclosure at a point
which approximates half the distance between the top and bottom of
such primary enclosure.
[43 FR 56217, Dec. 1, 1978. Redesignated at 44 FR 36874, July 22, 1979]
§ 3.142 - Handling.
a. Carriers and intermediate handlers shall move live animals from
the animal holding area of the terminal facility to the primary
conveyance and from the primary conveyance to the animal
holding area of the terminal facility as expeditiously as possible.
Carriers and intermediate handlers holding any live animal in an
animal holding area of a terminal facility or in transporting any
live animal from the animal holding area of the terminal facility to
the primary conveyance and from the primary conveyance to the
animal holding area of the terminal facility, including loading and
unloading procedures, shall provide the following:
1. Shelter from sunlight. When sunlight is likely to cause
overheating or discomfort, sucient shade shall be provided
to protect the live animals from the direct rays of the sun and
such live animals shall not be subjected to surrounding air
temperatures which exceed 29.5 °C. (85 °F), and which shall
be measured and read in the manner prescribed in § 3.141 of
this part, for a period of more than 45 minutes.
2. Shelter from rain or snow. Live animals shall be provided
protection to allow them to remain dry during rain or snow.
3. Shelter from cold weather. Transporting devices shall
be covered to provide protection for live animals when
the outdoor air temperature falls below 10 °C. (50 °F) and
such live animals shall not be subjected to surrounding air
temperatures which fall below 7.2 °C. (45 °F.), and which shall
be measured and read in the manner prescribed in § 3.141 of
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this part, for a period of more than 45 minutes unless such
animals are accompanied by a certicate of acclimation to
lower temperatures as prescribed in § 3.136(c).
b. Care shall be exercised to avoid handling of the primary
enclosure in such a manner that may cause physical or emotional
trauma to the live animal contained therein.
c. Primary enclosures used to transport any live animal shall not
be tossed, dropped, or needlessly tilted and shall not be stacked
in a manner which may reasonably be expected to result in their
falling.
[43 FR 21167, May 16, 1978, as amended at 43 FR 56217, Dec. 1, 1978.
Redesignated at 44 FR 36874, July 22, 1979]
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SUBPART G
SPECIFICATIONS FOR THE HUMANE HANDLING, CARE,
TREATMENT, AND TRANSPORTATION OF BIRDS
Source: 88 FR 10714, Feb. 21, 2023, unless otherwise noted.
FACILITIES AND OPERATING STANDARDS
§ 3.150 Facilities, general.
a. Structure; construction. Housing facilities for birds must be
designed and constructed so that they are structurally sound
for the species of bird housed in them. They must be kept in
good repair, protect the birds from injury, and restrict other
animals from entering that may negatively affect the welfare
of the birds within. Housing facilities must employ security
measures that contain all birds securely. Such measures may
include safety doors, entry/exit doors to the primary enclosure
that are double-door, or other equivalent systems designed
to prevent escape of the birds. Birds that are flight-restricted
or cannot fly and are allowed to roam free within the housing
facility or a portion thereof must have access to safety pens,
enclosures, or other areas that offer the birds protection during
overnight periods and at times when their activities are not
monitored.
b. Condition and site. Housing facilities and areas used for storing
animal food or bedding must be free of any accumulation of
trash, waste material, other discarded materials, junk, weeds, and
brush. Housing facilities must be kept neat and free of clutter,
including equipment, furniture, and stored material, but may
contain materials actually used and necessary for cleaning the
area, and xtures or equipment necessary for proper husbandry
practices or research needs.
c. Surfaces. e surfaces of housing facilities must be constructed
in a manner and made of materials that allow them to be readily
cleaned and/or sanitized, or removed and replaced when worn
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or soiled. Interior surfaces and surfaces that come in contact with
birds must be:
1. Nontoxic to the bird;
2. Free of rust or damage that aects the structural integrity of
the surface or prevents cleaning; and
3. Free of jagged edges or sharp points that could injure the
birds.
d. Water and electric power. e facility must have reliable
electrical power adequate for heating, cooling, ventilation,
and lighting, if necessary, or for carrying out other husbandry
requirements in accordance with the regulations in this subpart.
e facility must provide adequate potable water for the birds’
drinking needs and water for cleaning and for carrying out other
husbandry requirements in accordance with the regulations in
this subpart.
e. Storage. Supplies of food, including food supplements, bedding,
and substrate must be stored in a manner that protects the
supplies from deterioration, spoilage (harmful microbial growth),
contamination, and vermin infestation. e supplies must be
stored o the oor and away from the walls, to allow cleaning
underneath and around the supplies. All food must be stored in
a manner that prevents deterioration of its nutritive value. Live
food must be maintained in a manner to ensure wholesomeness.
Substances such as cleaning supplies and disinfectants that are
harmful to the birds but that are required for normal husbandry
practices must not be stored in food storage and preparation
areas but may be stored in cabinets in the animal areas, provided
that they are stored in properly labeled containers that are
adequately secured to prevent potential harm to the birds.
Animal waste and dead animals and animal parts not intended
for food must not be kept in food storage or food preparation
areas, food freezers, food refrigerators, and animal areas.
f. Waste disposal. Housing facility operators must provide for
regular and frequent collection, removal, and disposal of animal
and food wastes, substrate, dead animals, debris, garbage, water,
and any other uids and wastes, in a manner that minimizes
contamination and disease risk. Trash containers in housing
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facilities and in food storage and preparation areas must be able
to contain trash securely to minimize odors and be inaccessible
to animals and pests.
g. Drainage. Housing facilities must be equipped with disposal
and drainage systems that are constructed and operated so that
animal wastes and water, except for water located in pools or
other aquatic areas (e.g., ponds, waterfalls, fountains, and other
water features), are rapidly eliminated so the animals have the
option of remaining dry. Pools and other aquatic areas must
be maintained in accordance with the regulations in § 3.157.
Disposal and drainage systems must minimize vermin and pest
infestation, insects, odors, and disease hazards. All drains must
be properly constructed, installed, and maintained so that they
eectively drain water. If closed drainage systems are used,
they must be equipped with traps and prevent the backow of
gases and the backup of sewage. If the facility uses sump ponds,
settlement ponds, or other similar systems for drainage and
animal waste disposal, the system must be located a sucient
distance from the bird area of the housing facility to prevent
odors, diseases, insects, pests, and vermin infestation in the bird
area. If drip or constant ow watering devices are used to provide
water to the animals, excess water must be rapidly drained out of
the animal areas by gutters, pipes, or other methods so that the
animals have the option of remaining dry.
h. Toilets, washrooms, and sinks. Toilets and washing facilities
such as washrooms, basins, sinks, or showers must be provided
for animal caretakers and must be readily accessible.
§ 3.151 Facilities, indoor.
a. Temperature and humidity. e air temperature and, if present,
pool or other aquatic area (e.g., ponds, waterfalls, fountains, and
other water features), and air humidity levels in indoor facilities
must be suciently regulated and appropriate to bird species
to protect the birds from detrimental temperature and humidity
levels, to provide for their health and well-being, and to prevent
discomfort or distress, in accordance with current professionally
accepted standards.
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b. Ventilation. Indoor housing facilities must be suciently
ventilated at all times when birds are present to provide for their
health, to prevent their discomfort or distress, and to minimize
accumulations of moisture condensation, odors, and levels of
ammonia, chlorine, and other noxious gases. e ventilation
system must minimize drafts.
c. Lighting. Indoor housing facilities must have lighting, by natural
or articial means, or both, of appropriate quality, distribution,
and duration for the species of birds involved. Such lighting must
be sucient to permit routine inspection and cleaning. Lighting
of primary enclosures must be designed to protect the birds from
excessive illumination that may cause discomfort or distress.
d. Indoor pool or other aquatic areas. Indoor pools or other
aquatic areas (e.g., ponds, waterfalls, fountains, and other water
features) must have sucient vertical air space above the pool or
other aquatic area to allow for behaviors typical to the species of
bird under consideration. Such behaviors may include, but are
not limited to, diving and swimming.
§ 3.152 Facilities, outdoor.
a. Acclimation. Birds may not be housed in outdoor facilities unless
the air humidity and temperature ranges and, if applicable,
pool or other aquatic area (e.g., ponds, waterfalls, fountains,
and other water features) temperature ranges do not adversely
aect bird health and comfort. Birds may not be introduced to an
outdoor housing facility until they are acclimated to the ambient
temperature and humidity and, if applicable, pool or other aquatic
area temperature range which they will encounter therein.
b. Shelter from inclement weather. Outdoor housing facilities
must provide adequate shelter, appropriate to the species and
physical condition of the birds, for the local climatic conditions to
protect the birds from any adverse weather conditions. Shelters
must be adequately ventilated in hot weather and have one or
more separate areas of shade or other eective protection that is
large enough to comfortably contain all the birds at one time and
prevent their discomfort from direct sunlight, precipitation, or
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wind. Shelter must also be constructed to provide sucient space
to comfortably hold all of the birds at the same time without
adverse intraspecic aggression or grouping of incompatible
birds. For birds that form dominance hierarchies and that are
maintained in social groupings, shelter(s) must be constructed so
as to provide sucient space to comfortably hold all the birds at
the same time, including birds that are low in the hierarchy.
§ 3.153 Primary enclosures.
a. General requirements. Primary enclosures must be designed
and constructed of suitable materials so that they are structurally
sound. e primary enclosures must be kept in good repair.
1. Primary enclosures must be constructed and maintained so
that they:
i. Have no sharp points or edges that could injure the birds;
ii. Protect the birds from injury;
iii. Contain the birds securely;
iv. Restrict other animals from entering the enclosure;
v. Ensure that birds have the option to remain dry and
clean;
vi. Provide shelter and protection for each bird from
climatic and environmental conditions that may be
detrimental to its health and well-being;
vii. Provide sucient shade to comfortably shelter all birds
housed in the primary enclosure at one time, including
low ranking birds that are maintained in social groupings
that form dominance hierarchies;
viii. Provide all the birds with easy and convenient access to
clean food and potable water;
ix. Ensure that all surfaces in contact with the birds may be
readily cleaned and/or sanitized in accordance with §
3.158 or be replaced when worn or soiled; and
x. Have oors that are constructed in a manner that
protects the birds’ feet and legs from injury. If ooring
material is suspended, it must be suciently taut to
prevent excessive sagging under the bird’s weight. If
substrate is used in the primary enclosure, the substrate
must be clean and made of a suitably absorbent
material that is safe and nontoxic to the birds.
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Birds
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2. Furniture-type objects, such as perches and other objects
that enrich a bird’s environment, must be species-
appropriate and be designed, constructed, and maintained
so as to prevent harm to the bird. If the enclosure houses
birds that rest by perching, there must be perches available
that are appropriate to the age and species of birds housed
therein and a sucient number of perches of appropriate
size, shape, strength, texture, and placement to comfortably
hold all the birds in the primary enclosure at the same
time, including birds that are ranked low in a dominance
hierarchy.
3. Primary enclosures that are adjacent to one another or
that share a common side with another enclosure must be
suitably screened from each other or kept at a sucient
distance apart in order to prevent injury of the occupants due
to predation, territorial disputes, or aggression.
b. Space requirements. Primary enclosures must be constructed
and maintained so as to allow each bird to make normal postural
and social adjustments, such as dust-bathing and foraging, with
adequate freedom of movement and freedom to escape from
aggression demonstrated by other animals. Both part-time and
full-time attending veterinarians at a facility must consult with
the facility to ensure that the space in all enclosures housing
birds is adequate and allows for normal postural and social
adjustments. Inadequate space may be indicated by evidence
of malnutrition, poor condition, debility, stress, or abnormal
behavior patterns. e normal postural and social adjustments of
a bird may be restricted:
1. When the attending veterinarian determines that making
species-typical postural or social adjustments, such as dust-
bathing, foraging, or running, would be detrimental to the
bird’s good health and well-being. e attending veterinarian
must document the reason and recommended duration for
the restriction and make such records available for review by
an APHIS inspector.
2. When the birds are tethered in accordance with current
professionally accepted standards. Birds must not be
tethered unless:
i. It is appropriate for the species of bird;
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ii. It will not cause harm to the birds;
iii. e birds are maintained on perches appropriate for the
species and age of the bird while tethered;
iv. e birds have sucient space to fully extend their wings
without obstruction; and
v. e tether does not entangle the birds.
3. When dealers, exhibitors, and research facilities breed or
intend to breed their birds, such birds must be provided
with structures and/or materials that meet the reproductive
needs of the species during the appropriate season or time
periods. A sucient number of structures and materials must
be provided to meet the needs of all breeding birds in an
enclosure and to minimize aggression.
4. (4) Birds intended for breeding, sale, in need of medical care,
exhibited in traveling exhibits, or traveling for other reasons
must be kept in enclosures that, at minimum, meet the
individual specic space, safety, bedding, perch, and physical
environment (including, but not limited to, temperature,
humidity, sun and wind exposure) requirements for
transport enclosures as specied in § 3.162. At all other times,
birds must be housed in enclosures that meet the space
requirements of this section.
c. Special space requirements for wading and aquatic birds.
Primary enclosures housing wading and aquatic birds must
contain a pool or other aquatic area (e.g., ponds, waterfalls,
fountains, and other water features) and a dry area that allows
easy ingress or egress of the pool or other aquatic area. Pools
and other aquatic areas must be of sucient surface area and
depth to allow each bird to make normal postural and social
adjustments, such as immersion, bathing, swimming, and
foraging, with adequate freedom of movement and freedom
to escape from aggression demonstrated by other birds in the
enclosure. Dry areas must be of sucient size to allow each bird
to make normal postural and social adjustments with adequate
freedom of movement and freedom to escape from aggression
demonstrated by other birds in the enclosure. Inadequate space
may be indicated by evidence of malnutrition, poor condition,
debility, stress, or abnormal behavior patterns.
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Birds
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§ 3.154 Environment enhancement to promote
psychological well-being.
Dealers, exhibitors, and research facilities must develop, document,
and follow a species-appropriate plan for environment enhancement
adequate to promote the psychological well-being of birds. e plan
must be approved by the attending veterinarian and must be in
accordance with the regulations in this subpart and with currently
accepted professional standards as cited in appropriate professional
journals or reference guides. is plan must be made available to APHIS
upon request, and, in the case of research facilities, to ocials of any
pertinent funding agency. e plan, at a minimum, must address each
of the following:
a. Social grouping. e environment enhancement plan must
include specic provisions to address the social needs of species
of birds known to exist in social groups in nature. Such specic
provisions must be in accordance with currently accepted
professional standards as cited in appropriate professional
journals or reference guides. e plan may provide for the
following exceptions:
1. If a bird exhibits vicious or overly aggressive behavior, or
is debilitated as a result of age or other conditions (e.g.,
arthritis), it can be housed separately;
2. Additionally, birds that have or are suspected of having a
contagious disease must be isolated from healthy animals in
the colony as directed by the attending veterinarian. When
an entire group or room of birds is known to have been or
believed to be exposed to an infectious agent, the group may
be kept intact during the process of diagnosis, treatment, and
control.
3. Birds may not be housed with other species of birds or
animals unless they are compatible, do not prevent access
to food, water, or shelter by individual animals, and are
not known to be hazardous to the health and well-being of
each other. Compatibility of birds must be determined in
accordance with generally accepted professional practices
and actual observations as directed by the attending
veterinarian, to ensure that the birds are in fact compatible.
Individually housed social species of birds must be able to
see and hear birds of their own or compatible species unless
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Birds
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the attending veterinarian determines that it would endanger
their health, safety, or well-being. If individually housed
social species of birds are unable to see and hear birds of
their own or compatible species then special attention
regarding enhancement to their environment must be
provided as specied in paragraph (c)(4) of this section.
b. Environmental enrichment. e physical environment in
the primary enclosures must be enriched by materials or
activities that would provide the birds with the means to express
noninjurious species-typical activities. Species dierences
should be considered when determining the type or methods of
enrichment. Examples of environmental enrichments include
providing perches, swings, mirrors, and other increased cage
complexities; providing objects to manipulate; varied food
items; using foraging or task-oriented feeding methods; and
providing interaction with the care giver or other familiar
and knowledgeable person consistent with personnel safety
precautions.
c. Special considerations. Certain birds must be provided special
attention regarding enhancement of their environment, based on
the needs of the individual species and/or individual bird and in
accordance with the instructions of the attending veterinarian.
Birds requiring special attention are the following:
1. Nestlings, chicks, or edglings;
2. ose that show signs of being in psychological distress
through behavior or appearance;
3. ose used in research for which the Institutional Animal
Care and Use Committee (IACUC)-approved protocol
requires restricted activity; and
4. Individually housed social species of birds that are unable to
see and hear birds of their own or compatible species.
d. Restraint devices. Birds must not be permitted to be maintained
in restraint devices unless required for health reasons as
determined by the attending veterinarian or by a research
proposal approved by the IACUC at research facilities. Any
restraining actions must be for the shortest period possible. If
the bird is to be restrained for more than 12 hours, it must be
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Birds
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provided the opportunity daily for unrestrained activity for at
least 1 continuous hour during the period of restraint, unless
continuous restraint is required by the research proposal
approved by the IACUC at research facilities.
e. Exemptions.
1. e attending veterinarian may exempt an individual bird
from participation in the environment enhancement plan
because of its health or condition, or in consideration of its
well-being. e basis of the exemption must be recorded by
the attending veterinarian for each exempted bird. Unless
the basis for the exemption is a permanent condition, the
exemption must be reviewed at least every 30 days by the
attending veterinarian.
2. For a research facility, the IACUC may exempt an individual
bird from participation in some or all of the otherwise
required environment enhancement plans for scientic
reasons set forth in the research proposal. e basis of the
exemption shall be documented in the approved proposal
and must be reviewed at appropriate intervals as determined
by the IACUC, but not less than annually.
3. Records of any exemptions must be maintained by the dealer,
exhibitor, or research facility for at least 1 year in accordance
with § 3.81(e)(3) and must be made available to APHIS upon
request, and, in the case of research facilities, to ocials of
any pertinent funding agency.
(Approved by the Oce of Management and Budget under control number 0579-0486)
ANIMAL HEALTH AND HUSBANDRY STANDARDS
§ 3.155 Feeding.
a. e diet for birds must be appropriate for the species, size, age,
and condition of the bird. e food must be wholesome, palatable
to the birds, and free of contamination. It must be of sucient
quantity and nutritive value to maintain a healthy condition and
weight range of the bird and to meet its normal daily nutritional
requirements. Birds must be fed at least once a day except as
directed by the attending veterinarian, normal fasts, or other
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professionally accepted practices. If birds are maintained in group
housing, measures appropriate for the species must be taken to
ensure that all the birds receive a sucient quantity of food.
b. Food and, if used, food receptacles must be readily accessible to
all the birds being fed. Food and any food receptacles must be
located so as to minimize any risk of contamination by excreta,
precipitation, and pests. Food receptacles and feeding areas
must be kept clean and sanitized in accordance with § 3.158.
Used food receptacles must be cleaned and sanitized before they
can be used to provide food to birds maintained in a separate
enclosure. Measures must be taken to ensure there is no molding,
deterioration, contamination, or caking or undesirable wetting or
freezing of food within or on food receptacles. Food receptacles
must be made of a durable material that can be easily cleaned
and sanitized or be replaceable when worn or soiled. Group-
housed birds must have multiple food receptacles where needed
to ensure that all birds have access to sucient feed.
§ 3.156 Watering.
Potable water must be provided in sucient quantity to every bird
housed at the facility, unless restricted by the attending veterinarian.
If potable water is not continually available to the birds, it must be
oered to them as often as necessary to ensure their health and
well-being. Water receptacles must be kept clean and sanitized in
accordance with § 3.158 as often as necessary to keep them clean and
free of contamination. Used water receptacles must be cleaned and
sanitized before they may be used to provide water to birds maintained
in a separate enclosure. Group-housed birds must have multiple
water receptacles where needed to ensure that all birds have access to
sucient water.
§ 3.157 Water quality.
a. e primary enclosure or any other area in which birds may
enter must not contain pools or other aquatic areas (e.g.,
ponds, waterfalls, fountains, and other water features) that are
detrimental to the health of the birds contained therein.
1. Particulate animal and food waste, trash, or debris that enters
the pool or other aquatic area must be removed as often
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Birds
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as necessary to maintain the required water quality and
minimize health hazards to the birds.
2. Pools or other aquatic areas with drainage systems must
provide adequate drainage and must be located so that all
of the water contained in such pools or other aquatic areas
may be eectively eliminated when necessary for cleaning
the pool or other aquatic area or for other purposes. Pools
or other aquatic areas without drainage systems must be
aerated and have an incoming ow of fresh water or be
managed in a manner that maintains appropriate water
quality in accordance with current professionally accepted
standards appropriate for the species.
b. When the water is chemically treated, the chemicals must be
added in a manner that does not cause harm, discomfort, or
distress to the animals. Should birds appear to be harmed by
water quality, appropriate action must be taken immediately.
c. Pools and other aquatic areas must be salinized for birds that
require such water for their good health and well-being in
accordance with current professionally accepted standards.
§ 3.158 Cleaning, sanitization, housekeeping, and pest
control.
a. Cleaning.
1. Excreta and food waste must be removed from primary
enclosures and from under and around primary enclosures
as often as necessary to prevent excessive accumulation of
feces and food waste, to prevent soiling of the birds contained
in the primary enclosures, and to reduce disease hazards,
insects, pests, and odors. When steam or water is used to
clean primary enclosures, measures must be taken to protect
birds from being harmed, wetted involuntarily, or distressed
in the process. Standing water, except for such water in pools
or other aquatic areas (e.g., ponds, waterfalls, fountains, and
other water features), must be removed from the primary
enclosure.
2. Scheduled cleaning may be modied or delayed during
breeding, egg-sitting, or feeding of chicks for birds that are
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easily disrupted during such behaviors. Scheduled cleaning
must resume when such cleaning no longer disrupts
breeding, egg-sitting, or feeding of chicks. A schedule of
cleaning must be documented and must include when
breeding season began, when the primary enclosure was
last cleaned, and when cleaning is expected to resume. Such
records must be available for review by an APHIS inspector.
b. Sanitization.
1. Primary enclosures and food and water receptacles for
birds must be sanitized as often as necessary to prevent
accumulation of dirt, debris, food waste, excreta, and other
disease hazards. Provided, however, that sanitization may
be modied or delayed during breeding, egg-sitting, or
feeding of chicks for those birds that are easily disrupted
during such behaviors. Sanitization must resume when such
activity no longer disrupts breeding, egg-sitting, or feeding
of chicks. A schedule of sanitization must be documented
that includes when breeding season began, when the
primary enclosure was last sanitized, and when sanitization
is expected to resume. Such records must be available for
review by an APHIS inspector.
2. The hard surfaces of primary enclosures and food and
water areas and equipment must be sanitized before a new
bird is brought into a housing facility or if there is evidence
of infectious disease among the birds in the housing
facility.
3. Primary enclosures using materials that cannot be sanitized
using conventional methods, such as gravel, sand, grass,
earth, planted areas, or absorbent bedding, must be sanitized
by removing all contaminated material as necessary or by
establishing a natural composting and decomposition system
that is sucient to prevent wasted food accumulation, odors,
disease, pests, insects, and vermin infestation.
c. Housekeeping for premises. Premises where housing facilities are
located, including buildings, surrounding grounds, and exhibit
areas, must be kept clean and in good repair in order to protect the
birds from injury and disease, to facilitate the husbandry practices
required in this subpart, and to reduce or eliminate breeding and
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Birds
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living areas for rodents, pests, and vermin. Premises must be kept
free of accumulations of trash, junk, waste products, and discarded
matter. Weeds, grasses, and bushes must be controlled so as to
facilitate cleaning of the premises and pest control, and to protect
the health and well-being of the birds.
d. Pest control. A safe and eective program for the control of
insects, ectoparasites, and avian and mammalian pests must
be established and maintained so as to promote the health and
well-being of the birds and reduce contamination by pests in
animal areas. Insecticides, chemical agents, or other pest control
products that may be harmful to the birds must not be applied
to primary enclosures and other bird contact surfaces unless the
application is consistent with manufacturer recommendations or
otherwise approved for use and does not harm birds.
(Approved by the Oce of Management and Budget under control number 0579-0486)
§ 3.159 Employees.
A sucient number of adequately trained employees or attendants
must be utilized to maintain the professionally acceptable level of
husbandry and handling practices set forth in this subpart. Such
practices must be conducted under the supervision of a bird caretaker
who has appropriate experience in the husbandry and care of birds that
are being managed in a given setting.
§ 3.160 Compatibility and separation.
a. Socially dependent birds, such as clutch-mates, must be housed
in social groups, except where the attending veterinarian
exempts an individual bird because of its health or condition, or
in consideration of its well-being, or for specic management
needs, or where such social grouping is not in accordance with
a research proposal and the proposal has been approved by the
research facility IACUC.
b. Birds may not be housed with other animals, including members
of their own species, unless they are compatible, do not prevent
access to food, water, or shelter by individual animals, and are
not known to be hazardous to the health and well-being of
each other. Compatibility must be determined in accordance
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Part 3, Subpart G, § 3.161
with generally accepted professional practices and by actual
observations to ensure that the birds are, in fact, compatible.
c. Birds that have or are suspected of having a contagious disease
or communicable condition must be separated from healthy
animals that are susceptible to the disease as directed by the
attending veterinarian.
TRANSPORTATION STANDARDS
§ 3.161 Consignments to carriers and intermediate handlers.
a. Carriers and intermediate handlers must not accept a live bird for
transport in commerce more than 4 hours before the scheduled
departure time of the primary conveyance on which the animal
is to be transported. However, a carrier or intermediate handler
may agree with anyone consigning a bird to extend this time by
up to 2 hours if specic prior scheduling of the animal shipment
to a destination has been made, provided that the extension
is not detrimental to the health and well-being of the bird as
determined by the consignor.
b. Carriers and intermediate handlers must not accept a live bird for
transport in commerce unless they are provided with the name,
address, and telephone number of the consignee.
c. Carriers and intermediate handlers must not accept a live weaned
bird for transport in commerce unless the consignor certies in
writing to the carrier or intermediate handler that the bird was
oered food and water during the 4 hours prior to delivery to the
carrier or intermediate handler; provision for unweaned birds
is made in paragraph (g) of this section. e certication must
be securely attached to the outside of the primary enclosure in
a manner that makes it easy to notice and read. e certication
must include the following information for each live bird:
1. e consignor’s name, address, telephone number, and email
address;
2. e number of birds;
3. e species or common names of the birds;
4. e time and date the bird was last fed and watered and the
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Birds
Part 3, Subpart G, § 3.161
specic instructions for the next feeding(s) and watering(s)
for a 24-hour period; and
5. e consignor’s signature and the date and time the
certication was signed.
d. Carriers and intermediate handlers must not accept a live bird for
transport in commerce unless the primary enclosure in which the
birds are contained meets the requirements of § 3.162. A carrier
or intermediate handler must not accept a live bird for transport
if the primary enclosure is defective or damaged and cannot be
expected to contain the bird safely and comfortably.
e. Carriers and intermediate handlers shall not accept a live bird
for transport in commerce unless their animal holding area
maintains climatic and environmental conditions in accordance
with the requirements of § 3.168.
f. Carriers and intermediate handlers must attempt to notify the
consignee at least once in every 6-hour period following the
arrival of any live birds at the bird holding area of the terminal
cargo facility. e time, date, and method of each attempted
notication and the nal notication to the consignee and the
name of the person notifying the consignee must be recorded
on the copy of the shipping document retained by the carrier or
intermediate handler and on a copy of the shipping document
accompanying the bird shipment. If delays will cause the
shipment to arrive more than 12 hours later than its originally
scheduled arrival, the carrier or intermediate handler must
contact the consignor or the consignee to notify them of the delay
of the live shipment and to determine the necessity or methods to
supply fresh food, water, or moisture-providing foods.
g. Carriers and intermediate handlers must not accept unweaned
birds for transport unless transport instructions to ensure the
health and well-being of the birds are specied and written by the
attending veterinarian, and signed within 10 days of shipment.
(Approved by the Oce of Management and Budget under control number 0579-0486)
[88 FR 10714, Feb. 21, 2023; 88 FR 16173, Mar. 16, 2023]
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Birds
310
Part 3, Subpart G, § 3.162
§ 3.162 Primary enclosures used to transport live birds.
Any person subject to the Animal Welfare regulations (this part and parts
1 and 2 of this subchapter) must not transport or deliver for transport in
commerce a bird unless the following requirements are met:
a. Construction of primary enclosures. e bird must be contained
in a primary enclosure such as a compartment, transport cage,
carton, or crate. Primary enclosures used to transport birds must
be constructed so that:
1. e primary enclosure is strong enough to contain the bird
securely and comfortably and to withstand the normal rigors
of transportation;
2. e interior of the enclosure has no sharp points or edges
and no protrusions that could injure the bird contained
therein;
3. e bird is at all times securely contained within the
enclosure and cannot put any part of its body outside the
enclosure in a way that could result in injury to itself, to
handlers, or to other persons or to animals nearby;
4. e bird can be easily and quickly removed from the
enclosure in an emergency;
5. Unless the enclosure is permanently axed to the conveyance,
adequate handholds or other devices such as handles are
provided on its exterior, and enable the enclosure to be
lifted without tilting it, and ensure that anyone handling the
enclosure will not be in contact with the bird contained inside;
6. Unless the enclosure is permanently axed to the
conveyance, it is clearly marked on top and on one or more
sides with the words “Live Animals,” in letters at least 1 inch
(2.5 centimeters) high, and with arrows or other markings
to indicate the correct upright position of the primary
enclosure;
7. Any material, treatment, paint, preservative, or other
chemical used in or on the enclosure is nontoxic to the bird
and not harmful to its health or well-being;
8. A bird that has a fractious or stress-prone disposition must be
contained in an enclosure that is padded on the top and sides
and has protective substrate on the bottom to prevent injury
to the bird during transport;
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Birds
Part 3, Subpart G, § 3.162
9. Proper ventilation is provided to the animal in accordance
with paragraph (b) of this section; and
10. e primary enclosure has a solid, leak-proof bottom or
a removable, leak-proof collection tray. If a mesh or other
nonsolid oor is used in the enclosure, it must be designed
and constructed so that the bird cannot put any part of its
body through the holes in the mesh or the openings in the
nonsolid oor. If substrate (newspaper, towels, litter, straw,
etc.) is used in the primary enclosure, the substrate must be
clean and made of a suitably absorbent material that is safe
and nontoxic to the birds.
b. Ventilation.
1. Unless the primary enclosure is permanently axed to the
conveyance, there must be ventilation openings located on
two vertical walls of the primary enclosure that are at least 16
percent of the surface area of each such wall or ventilation
openings located on all four walls of the primary enclosure
that are at least 8 percent of the total surface area of each
such wall.
2. Unless the primary enclosure is permanently axed to the
conveyance, projecting rims or other devices must be on the
exterior of the outside walls with any ventilation openings
to prevent obstruction of the ventilation openings. e
projecting rims or similar devices must be large enough to
provide a minimum air circulation space of 0.75 inches (1.9
centimeters) between the primary enclosure and anything
the enclosure is adjacent to, unless 90 percent or greater
of the surface area of the enclosure wall is open (e.g., cage
mesh).
3. Any visually obscuring mesh used to provide security for
the bird in the enclosure must not interfere with proper
ventilation.
4. If a primary enclosure is permanently axed within the
animal cargo space of the primary conveyance so that the
front opening is the only source of ventilation for such
primary enclosure, the front opening must open directly
to the outside or to an unobstructed aisle or passageway
within the primary conveyance. Such front ventilation
opening must be at least 90 percent of the total surface area
313
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Birds
312
Part 3, Subpart G, § 3.162
of the front wall of the primary enclosure and covered with
bars, wire mesh, or smooth expanded metal.
c. Cleaning of primary enclosures. A primary enclosure used
to hold or transport birds in commerce must be cleaned and
sanitized before each use in accordance with § 3.158 by the
dealer, research facility, exhibitor, or operator of an auction sale.
d. Compatibility. Live birds transported in the same primary
enclosure must be of the same species or compatible species and
maintained in compatible groups. If more than one bird is being
transported, socially dependent birds must be able to see and
hear each other.
e. Space and placement. Primary enclosures used to transport live
birds must be large enough to ensure that each bird contained
therein has sucient space to turn about freely and to make
normal postural adjustments; Provided, however, that certain
species may be restricted in their movements according to
professionally accepted standards when such freedom of
movement would constitute a danger to the birds, their handlers,
or other persons.
f. Accompanying documents and records. Documents
accompanying the shipment must be attached in an easily
accessible manner to the outside of a primary enclosure which
is part of such shipment and must not obstruct ventilation
openings.
314
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PART 3
Subpart G
Birds
Part 3, Subpart G, § 3.163
§ 3.163 Primary conveyances (motor vehicle, rail, air, and
marine).
a. e animal cargo space of primary conveyances used in
transporting live birds must be designed, constructed, and
maintained in a manner that at all times protects the health and
well-being of the animals transported in them, ensures their
safety and comfort, and prevents the entry of exhaust from the
primary conveyance during transportation.
b. e animal cargo space must have a supply of air that is sucient
for the normal breathing of all the animals being transported in it.
c. Each primary enclosure containing birds must be positioned in
the animal cargo space in a manner that provides protection from
the elements and that allows each bird enough air for normal
breathing.
d. During transportation, the climatic conditions in the animal
cargo area shall be maintained in accordance with the
requirements of § 3.168.
e. Primary enclosures must be positioned in the primary
conveyance in a manner that allows the birds to be quickly and
easily removed from the primary conveyance in an emergency.
f. e interior of the bird cargo space must be kept clean.
g. Live birds may not be transported with any material, substance
(e.g., dry ice), or device which may reasonably be expected to be
injurious to the health and well-being of the birds unless proper
precaution is taken to prevent such injury.
§ 3.164 Food and water requirements.
a. All weaned birds must be oered food and potable water
within 4 hours before being transported in commerce, unless
the attending veterinarian approves a delay or a delay is in
accordance with professionally accepted standards.
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Birds
314
Part 3, Subpart G, § 3.164
b. Dealers, exhibitors, research facilities, and operators of auction
sales must provide potable water to all weaned birds transported
in their own primary conveyance at least every 12 hours after
such transportation is initiated, except for birds which, according
to professionally accepted standards or under the direction of
the attending veterinarian, require watering or feeding more or
less frequently. Carriers and intermediate handlers must provide
potable water to all live, weaned birds at least every 12 hours after
accepting them for transportation in commerce, except for birds
which, according to professionally accepted standards or under
the direction of the attending veterinarian, require watering or
feeding more or less frequently.
c. All weaned birds must be fed at least once in each 24-hour
period, except as directed by veterinary treatment, normal fasts,
or other professionally accepted standards. Birds that require
feeding more or less frequently must be fed accordingly.
d. A sucient quantity of food and water or other source of
hydration must accompany the bird to provide food and water
for such bird during period of transport, except as directed
by veterinary treatment and other professionally accepted
standards.
e. Any dealer, research facility, exhibitor, or operator of an auction
sale oering any live bird to any carrier or intermediate handler
for transportation in commerce must securely ax to the outside
of the primary enclosure used for transporting the bird written
instructions for the in-transit food and water requirements of
the bird contained in the enclosure. e instructions must be
attached in accordance with § 3.162(f ) and in a manner that
makes them easily noticed and read.
f. No carrier or intermediate handler may accept any live bird for
transportation in commerce unless written instructions concerning
the food and water requirements of such bird while being so
transported is axed to the outside of its primary enclosure. e
instructions must be attached in accordance with § 3.162(f ) and in
a manner that makes them easily noticed and read.
(Approved by the Oce of Management and Budget under control number 0579-0486)
316
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PART 3
Subpart G
Birds
Part 3, Subpart G, § 3.165
§ 3.165 Care in transit.
a. Surface transportation (ground and water). During surface
transportation, any person subject to the Animal Welfare
regulations in this part and parts 1 and 2 of this subchapter
transporting birds in commerce must ensure that the operator of
the conveyance, or a person accompanying the operator, visually
observes the birds as frequently as circumstances may allow,
but not less than once every 4 hours, to ensure that the birds are
receiving sucient air for normal breathing, that climatic and
environmental conditions are being maintained in accordance
with the requirements in § 3.168, and that all other applicable
standards are met. e regulated person must ensure that the
operator or person accompanying the operator determines
whether any of the birds are in physical distress and obtains any
veterinary care needed for the birds as soon as possible.
b. Air transportation. When transported by air, live birds must be
visually observed by the carrier as frequently as circumstances
may allow, but not less than once every 4 hours, if the animal
cargo space is accessible during ight. If the animal cargo space is
not accessible during ight, the carrier must visually observe the
live birds whenever they are loaded and unloaded and whenever
the bird cargo space is otherwise accessible to ensure that they
are receiving sucient air for normal breathing, that climatic and
environmental conditions are being maintained in accordance
with the requirements in § 3.168, and that all other applicable
standards are met. e carrier must determine whether any such
live birds are in physical distress and arrange for any needed
veterinary care as soon as possible.
c. Prohibition on the transport of ill, injured, or distressed birds.
Any person subject to the Animal Welfare regulations in this
part and parts 1 and 2 of this subchapter may not transport in
commerce birds that are ill, injured, or in physical distress, except
to receive veterinary care for the condition.
317
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PART 3
Subpart G
Birds
316
Part 3, Subpart G, § 3.166
§ 3.166 Terminal facilities.
a. Placement. Carriers and intermediate handlers must not
commingle shipments of live birds with other animals or
inanimate cargo in animal holding areas of terminal facilities.
b. Cleaning, sanitization, and pest control. All animal holding
areas of terminal facilities must be cleaned and sanitized in a
manner prescribed in § 3.158 as often as necessary to prevent
an accumulation of debris or excreta and to minimize vermin
infestation and disease hazards. Terminal facilities must follow
an eective program in all animal holding areas for the control of
insects, ectoparasites, and other pests of birds.
c. Ventilation. Ventilation must be provided in any animal holding
area in a terminal facility containing birds, by means of windows,
doors, vents, or air conditioning. e air must be circulated by
fans, blowers, or air conditioning so as to minimize drafts, odors,
and moisture condensation.
d. Climatic and environmental conditions. e climatic
and environmental conditions in an animal holding area
containing live birds shall be maintained in accordance with the
requirements of § 3.168.
§ 3.167 Handling.
a. Any person subject to the Animal Welfare regulations (this part
and parts 1 and 2 of this subchapter) who moves (including
loading and unloading) live birds within, to, or from the animal
holding area of a terminal facility or a primary conveyance must
do so as quickly and eciently as possible and must provide the
following during movement of the live birds:
1. Shelter from sunlight and extreme heat. Sucient shade shall
be provided to protect the live birds from the direct rays of
the sun.
2. Shelter from rain and snow. Sucient protection shall be
provided to allow the live birds the option to remain dry
during rain, snow, and other precipitation.
3. Climatic and environmental conditions. Climatic and
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PART 3
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Birds
Part 3, Subpart G, § 3.168
9 CFR AWA (5-1-2023 Edition)
environmental conditions during movement shall be
maintained in accordance with the requirements of § 3.168.
b. Any person handling a primary enclosure containing a live bird
must use care and must avoid causing physical harm or distress
to the bird.
c. A primary enclosure containing a live bird must not be tossed,
dropped, or tilted, and must not be stacked in a manner which
may reasonably be expected to result in its falling.
§ 3.168 Climatic and environmental conditions during
transportation.
a. 1. Transportation of all live birds shall be done in a manner that
does not cause overheating, excessive cooling, or adverse
environmental conditions that could cause discomfort or
stress. When climatic or environmental conditions, including
temperature, humidity, exposure, ventilation, pressurization,
time, or other environmental conditions, or any combination
thereof, present a threat to the health or well-being of a live
bird, appropriate measures must be taken immediately to
alleviate the impact of those conditions. e dierent climatic
and environmental factors prevailing during a journey must be
considered when arranging for the transportation of and when
transporting live birds. Corrections may include, but would
not be limited to:
i. e temperature and humidity level of any enclosure
used during transportation of live birds must be
controlled by adequate ventilation or any other means
necessary;
ii. Appropriate care must be taken to ensure that live birds
are not subjected to prolonged drafts detrimental to their
health or well-being;
iii. Appropriate care must be taken to ensure that live birds
are not exposed to direct heat or cold if detrimental to
their health or well-being; and
iv. During prolonged air transit stops in local climatic
conditions that could produce excessive heat for live
birds held in aircraft compartments, the aircraft doors
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Birds
318
Animal Welfare Act, USDA
Part 3, Subpart G, § 3.168
must be opened and, if necessary, equipment must
be used to control the condition of the air within
compartments containing live birds.
2. In order to determine what climatic and environmental
conditions are appropriate for a live bird, factors such as, but not
limited to, the bird’s age, species, physiological state, last feeding
and watering, and acclimation shall be considered when such
information is available.
b. Birds that are not able to maintain a constant body temperature
at ambient temperatures must be transported in a brooder or
other temperature-regulating unit that eectively assists the bird
in maintaining a constant body temperature during transport.
1. e temperature of the brooder or other temperature-
regulating unit must be monitored during transportation and
appropriate for the live bird.
2. Written instructions for the temperature requirements
of birds transported in brooders or other temperature-
regulating units must be securely axed to the outside of
the primary enclosure used for transporting the bird. e
instructions must be attached in accordance with § 3.162(f )
in a manner that makes them easily noticed and read.
320
321
PART 4
Rules of
Practice
320
Animal Welfare Act, USDA
Part 4, § 4.1
PART 4 – RULES OF PRACTICE
GOVERNING PROCEEDINGS UNDER
THE ANIMAL WELFARE ACT
Subpart A – General
§ 4.1 Scope and applicability of rules of practice.
Subpart B – Supplemental Rules of Practice
§ 4.10 Summary action.
§ 4.11 Stipulations.
Authority: 7 U.S.C. 2149 and 2151; 7 CFR 2.22, 2.80, and 371.7.
[42 FR 10959, Feb. 25, 1977, as amended at 86 FR 66926, Nov. 24, 2021]
Subpart A – General
§ 4.1 - Scope and applicability of rules of practice.
e Uniform Rules of Practice for the Department of Agriculture
promulgated in subpart H of part 1, subtitle A, title 7, Code of Federal
Regulations, are the Rules of Practice applicable to adjudicatory,
administrative proceedings under section 19 of the Animal Welfare Act (7
U.S.C. 2149). In addition, the Supplemental Rules of Practice set forth in
subpart B of this part shall be applicable to such proceedings.
Subpart B – Supplemental Rules of Practice
§ 4.10 - Summary action.
a. In any situation where the Administrator has reason to believe
that any person licensed under the Act has violated or is
violating any provision of the Act, or the regulations or standards
issued thereunder, and he or she deems it warranted under the
circumstances, the Administrator may suspend such person’s
license temporarily, for a period not to exceed 21 days, eective,
except as provided in § 4.10(b), upon written notication given to
such person of the suspension of his or her license pursuant to §
1.147(b) of the Uniform Rules of Practice (7 CFR 1.147(b)).
322
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Rules of
Practice
Part 4, § 4.11
b. In any case of actual or threatened physical harm to animals
in violation of the Act, or the regulations or standards issued
thereunder, by a person licensed under the Act, the Administrator
may suspend such person’s license temporarily, for a period not
to exceed 21 days, eective upon oral or written notication,
whichever is earlier. In the event of oral notication, a written
conrmation thereof shall be given to such person pursuant to
§ 1.147(b) of the Uniform Rules of Practice (7 CFR 1.147(b)) as
promptly as circumstances permit.
c. e temporary suspension of a license shall be in addition to
any sanction which may be imposed against said person by the
Secretary pursuant to the Act after notice and opportunity for
hearing.
§ 4.11 - Stipulations.
a. At any time prior to the issuance of a complaint seeking a civil
penalty under the Act, the Administrator, in his or her discretion,
may enter into a stipulation with any person in which:
1. e Administrator gives notice of an apparent violation of
the Act, or the regulations or standards issued thereunder,
by such person and aords such person an opportunity for
a hearing regarding the matter as provided by the Act;
2. Such person expressly waives hearing and agrees to pay a
specied penalty within a designated time; and
3. e Administrator agrees to accept the specied penalty in
settlement of the particular matter involved if it is paid within
the designated time.
b. If the specied penalty is not paid within the time designated in
such a stipulation, the amount of the stipulated penalty shall not
be relevant in any respect to the penalty which may be assessed
after issuance of a complaint.
323
INDEX
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Animal Welfare Act, USDA
Index
INDEX
A
access,
14, 19, 140, 146, 168, 180, 185, 186,
195, 196, 204, 209, 212, 221, 237, 250, 271,
272, 274, 276, 290, 295, 299, 302, 305, 309
acclimation, 114, 138, 164, 180, 195, 198,
230, 278, 294, 319
cats and dogs, 138
marine mammals, 294
nonhuman primates, 230
rabbits, 195
AC Regional Directors, 38
activity, denition of, 35
administration, 10, 19, 20, 63, 151, 158, 224
administrative units, 10, 19
age of animals, 17
age requirements, 48, 113
cats and dogs, 144, 145, 146
guinea pigs, 166, 167, 168, 170, 171
hamsters, 166, 167, 168, 170
, 171
nonhuman primates, 199, 200, 201, 202,
203
rabbits, 184, 185, 186, 187, 188, 189, 190,
191, 192, 193, 194, 195, 196, 197, 198
polar bears, 236, 237
ambient temperature, 135, 136, 137, 138,
139, 159, 161, 163, 164, 167, 180, 185, 195,
202, 203, 204, 206, 207, 208, 224, 225, 227,
228, 229, 230, 278, 281, 298
ammonia, 135, 137, 139, 203, 204, 208, 298
animal acts, 38, 110, 205, 207, 208.
cats and dogs, 144, 145, 146
denition of,
7, 37, 38, 40, 41, 69
handling, 44, 62, 64, 68, 71, 73, 84, 87,
105, 114, 118, 155, 164, 177, 183, 193,
198, 221
nonhuman primates, 207, 208, 209, 210,
211, 212
traveling shows, 142, 143.
See alsoexhibitions
animal ghting, 25, 26, 27, 28
animals, 1, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 16,
17, 18, 19, 21, 26, 27, 28, 30, 31, 32, 35, 36,
37, 38, 39, 40, 41,
42, 43, 44, 45, 48, 50, 51,
52, 53, 55, 56, 59, 62, 63, 64, 65, 66, 67, 68,
69, 70, 71, 72, 73, 74, 75, 76, 77, 78, 79, 80,
81, 82, 83, 84, 87, 91, 92, 94, 95, 96, 98, 99,
100, 102, 105, 106, 107, 109, 110, 111, 112,
113, 114, 115, 116, 117, 118, 122, 130, 132,
133, 134, 136, 137, 138, 139, 140, 144, 145,
148, 149, 150, 151, 155, 159, 164, 166, 167,
168, 172, 173, 174, 176, 180, 184, 185, 189,
190, 191, 193, 199, 200, 201, 202, 203, 204,
205, 206, 207, 208, 209, 210, 212, 215, 216,
217, 221, 224, 225, 228, 230, 231, 232, 233,
234, 235, 236, 237, 238, 239, 242, 245, 248,
249, 251, 252, 255, 257, 259, 260, 261, 263,
269, 270, 271, 272, 273, 275, 276, 278, 280,
281, 282, 283, 284, 285, 286, 287, 288, 289,
290, 291, 292, 293, 294, 295, 296, 297, 299,
300, 302, 306, 308, 309, 311, 314, 317, 322
cats, 6, 8, 9, 10, 11, 17, 18, 42, 43, 48, 51,
52, 75, 81, 84, 89, 90, 91, 92, 93, 98, 99,
101, 105, 114, 115, 116, 117, 126, 132,
133, 134,
135, 136, 137, 138, 139, 140,
141, 142, 144, 145, 147, 148, 149, 150,
153, 154, 155, 156, 157, 158, 159, 160,
161, 162, 163, 164
denition of, 6, 35
dogs, 6, 7, 8, 9, 10, 11, 17, 18, 21, 36, 38, 40,
42, 43, 48, 51, 52, 75, 81, 84, 89, 90, 91,
92, 93, 98, 99, 101, 105,
,
114, 115, 116,
117, 121, 126, 132, 133 134, 135,
136,
137, 138, 139, 140, 141, 142, 143, 144,
145, 146, 147, 148, 149, 150, 151, 153,
154, 155, 156, 157, 158, 159, 160, 161,
162, 163, 164, 200, 205, 206
endangered species, 38
exotic animals, 42, 51, 113
guinea pigs, 42, 43, 127, 166, 167, 168, 170,
171, 172, 173, 175, 176, 177, 178, 179,
180, 181, 182, 183
hamsters, 38, 42, 43, 127, 166, 167, 168,
169, 170, 171, 172, 173, 174,
175, 176,
177, 178, 179, 180, 181, 182, 183
marine mammals, 41, 129, 231, 232, 233,
234, 235, 236, 237, 238, 242, 254, 255,
256, 257, 258, 259, 260, 261, 270, 271,
272, 273, 274, 275, 276, 277, 278
nonhuman primates, 43, 53, 101, 128, 199,
200, 201, 202, 203, 204, 205, 206, 207,
208, 209, 210, 211, 212, 213, 214, 215,
216, 217, 218, 219, 221, 222, 223, 224,
225,
226, 227, 228, 229, 230
other animals, iv, 17, 48, 83, 102, 114, 115,
122, 132, 140, 166, 184, 199, 204, 206,
225, 228, 259, 282, 295, 299, 300, 308,
317
324
INDEX
Index
rabbits, 39, 42, 43, 128, 184, 185, 186, 187,
188, 189, 190, 191, 192, 193, 194, 195,
196, 197, 198
warm-blooded animals, 6
wild animals, 39, 40, 42, 65
animal shelters. See alsoshelters and
pounds
denitions in, 42
Rules of Practice governing proceedings,
321, 322
Animal Welfare Information Center, 67
annual reports, 76, 77, 78
licensing, 11, 36, 37, 50, 51
research facilities, 76, 78, 79
APHIS ocials, ii, 47, 56, 64, 79, 109, 110,
268
appeals, ii, 23, 60
appropriations, ii, 24
attending veterinarians, 300
cats and dogs, 23, 300
marine mammals, 300
nonhuman primates, 199, 200, 201, 202,
203, 204
auction sales, i, iii, 8,
9, 10, 11, 21, 25, 42, 44,
48, 96, 98, 99, 100, 109, 290, 315
authority, 11, 12, 19, 20, 36, 38, 63, 69, 72, 79,
87, 111
APHIS ocials, ii, 47, 56, 64, 79, 109, 110,
268
attending veterinarian, 11, 37, 68, 69, 72,
73, 87
governmental bodies, i, 18
law enforcement, i, 21, 27, 42, 79, 111
research facilities, 11, 13, 15, 16, 17, 18,
21, 25, 85
Secretary (Secretary of Agriculture), 5, 6,
7, 8, 9, 10, 11, 12,
13, 14, 15, 16, 17, 18,
19, 20, 21, 22, 23, 24, 25, 27, 30, 31, 32,
36, 38, 44, 54, 61, 63, 65, 83, 102, 322
authorization, ii, 24, 36, 40
avian, 173, 182, 189, 197, 258, 277, 285, 292,
308
B
barriers, 113, 205, 207, 208, 233, 251, 252
bedding, 85, 119, 132, 133
166
, 134, 135, 136,
137, 138, 139, 149, , 172, 184, 199,
200, 201, 216, 217, 280
, 295, 296, 301,
307
physical, 11, 17, 37, 41, 42, 80, 83, 92, 101,
113, 122, 146, 150, 155, 161, 162, 164,
9 CFR AWA (5-1-2023 Edition)
181, 183, 196, 197, 198, 205, 206, 207,
208, 209, 213, 220, 221, 227, 228, 230,
233, 237, 260, 261, 266, 267, 276, 277,
278, 282, 291, 292, 294, 298, 301, 303,
316, 318, 322
visual, 251, 252, 267, 273, 288
birds, ix, 6, 26, 35, 36, 42
, 43, 51, 53, 68, 91,
130, 149, 162, 217, 228, 295, 296, 297, 298,
299, 300, 301, 302, 303, 304, 305, 306, 307,
308, 309, 310, 311, 312, 313, 314, 315, 316,
317, 318, 319
breeders. SeeClass “A” licensees (breeders)
brokers. SeeClass “B” licensees (brokers)
buer areas, 36
business hours, 36, 55, 78, 79, 83, 106, 107,
109, 111
business years, 36
C
caging. Seehousing
care. Seehandling; housing; humane
standards; transportation; veterinary care
caretakers. Seeemployees
cargo space, 103, 159, 160, 161, 162, 176, 177,
179, 180, 181, 182, 192,
193,
,
194, 195, 196,
197, 224, 225, 227, 228, 270 271, 273, 274,
277, 287, 288, 289, 290, 291, 292, 310, 312,
314, 316, 317
carriers, 5, 9, 10, 12, 17, 25, 36, 44, 48, 109,
118, 119, 126, 127, 128, 129, 130, 152, 160,
174, 190, 218, 226, 268, 285, 290, 309. See
alsotransportation
denition of, 36
recordkeeping, i, 10, 97, 258
registration, 30, 36, 57, 58, 61, 62, 63, 64,
74, 83, 96, 98, 99, 110, 116, 121
transportation standards, i, iii, ix, 5, 6, 7,
8, 10, 11, 12, 17, 18, 19, 36, 37, 40, 42,
44, 48, 50, 52, 58, 59, 75, 81, 83, 84, 91,
92, 95, 96, 100, 101, 102, 103, 104, 105,
113, 118, 121, 131, 154, 158, 159, 160,
161, 162, 174, 175, 176, 179, 181, 182,
191, 192, 195, 196, 197, 220,
221, 224,
225, 226, 227, 228, 269, 270, 271, 275,
285, 286, 287, 290, 291, 292, 311, 314,
315
, 316, 318, 319
c
ar
r
ier
s and in
t
er
me
di
ate handlers
carriers and intermediate handlers,
10
cats, 5
,
6
,
8, 9, 10, 11, 17, 18, 36, 42, 43, 48, 51,
52, 75, 81, 84, 89, 90, 91, 92, 93, 98, 99, 101,
105, 114, 115, 116, 117, 126, 132, 133, 134,
325
INDEX
324
Animal Welfare Act, USDA
Index
135, 136, 137, 138, 139, 140, 141, 142, 144,
145, 147, 148, 149, 150, 153, 154, 155, 156,
157, 158, 159, 160, 161, 162, 163, 164
denition of, 36
facilities and operating standards, 114,
116
health and husbandry standards, 116, 144
identication, 10, 74
procurement of animals, 9, 96, 114
transportation standards, 6, 7, 8, 9, 29, 30,
31, 35, 36, 38, 52, 74, 75, 81, 82, 83, 90,
91, 92, 94, 96, 97, 98, 99, 101, 102, 105,
106, 113, 115, 116,
117, 118, 141, 144,
148, 152, 153, 154, 155, 156, 157, 159,
160, 161, 162, 163, 164, 165
certications, 124
health certications, 82, 124
humane standards, 10
inspections, 1, 14, 15, 19, 36, 55, 236, 268
protection of pets, 29
transportation standards, 124, 219
veterinary certicate, 14
cetaceans. Seemarine mammals
Class “A” licensees (breeders), 36
Class “B” licensees (brokers), 37
Class “C” licensees (exhibitors), 37.
See alsoexhibitors
cleaning and sanitization, iv, vi, viii, 126,
128, 130, 133, 148, 149, 162, 200, 216, 217,
228, 306, 308, 317
housekeeping, iv, vi, viii, 126, 128, 130,
136, 137, 140, 148
, 203, 204, 208, 216,
306
litter, 81, 91, 141, 142, 155, 169, 171, 178,
186, 188, 189, 194, 222, 289, 312
pest control, iv, vi, viii, 126, 128, 130, 148,
149, 162, 216, 217, 228, 306, 308, 317
primary enclosures, 133, 140, 142, 143,
144, 148, 149, 154, 155, 162, 168, 169,
171, 172, 173, 175, 177, 178, 179, 182,
186, 187, 188, 189, 191, 194, 195, 197,
201, 211, 213, 216
, 217, 221, 222, 223,
225, 234, 236, 237, 238, 257, 258, 273,
277, 281, 284, 286, 289, 290, 292, 298,
299, 303, 306, 307, 308, 311, 313
sanitization, iv, vi, viii, 126, 128, 130, 133,
148, 149, 162, 200, 216, 217, 228, 306,
307, 317
surfaces, 40, 132, 133, 136, 137, 138, 139,
140, 142, 149, 167, 173, 176, 185, 189,
200, 201, 209, 216, 217, 233, 248, 257
,
284, 295, 296, 299, 307, 308
terminal facilities, 153, 162, 163, 228, 317
collars, 89. See alsoidentication
commerce
denition in Animal Welfare Act, 5
denition in Regulations, 37
See alsotransportation
Committees, 8, 12, 13, 14, 15, 29, 37, 42, 47,
64, 65, 66, 69, 70, 72, 74, 78, 144, 145, 146,
147, 150, 171, 188, 211, 213, 214, 215, 303.
Committee (IACUC)
denition of, 8
Federal research facilities, 15
research facilities, 14
See alsoInstitutional Animal Care and
Use
compatible groups, 145, 157, 173, 177, 190,
193, 272, 288, 313
condential information, 28, 29
conscation, 42, 53, 114, 187,
199
Congressional statement of policy, i, 5
construction, 132, 141, 199, 231, 295
consultation, 19, 68, 70, 89, 146, 258, 259,
263, 264
contingency planning, 84, 118
cooling, 80, 113, 133, 135, 136, 139, 162, 185,
201, 202, 203, 207, 235, 274, 281, 296, 318
cooperation and consultation, i, 16, 18
D
daily observation, 73, 87
dead animals, 134, 166, 184, 201, 235, 280,
296
dealers, 8, 9, 10, 11, 21, 25, 32, 44, 47, 48, 84,
87, 89, 97, 98, 99, 105, 106, 109
, 114, 119,
141, 143, 144, 160, 171, 188, 211, 225, 301
Class “A” licensees, 32, 96
Class “B” licensees, 32, 96
denition of, 8, 37
licensing, 11, 36, 37, 50, 51
procurement of animals, 96
recordkeeping, i, 10, 97, 258
retail pet stores, 7, 38
denitions
in Animal Welfare Act, 5
in Regulations, 35
departments
denition of, 38
deprivation of food or water, 80, 103, 113.
See alsofood and water requirements
326
INDEX
See alsoeuthanasia
diet and nutrition. See alsofeeding; food and
water requirements
disaster plans. See alsocontingency
planning; emergencies
Index
Deputy Administrators, 38
destruction of animals, iv, 48, 79, 112.
disposal facilities, 134, 201, 280
disposal of animals, 134, 201, 280
disposal of waste, 134, 201, 202, 235, 297
diurnal lighting cycle, 136, 137, 140, 203,
204, 208
dogs, 6, 7, 8, 9, 10, 11, 17, 18, 21, 36, 38, 40,
42, 43, 48, 51, 52, 75, 81, 84, 89, 90, 91, 92,
93, 98, 99, 101, 105, 114, 115, 116, 117,
121, 126, 132, 133, 134,
135, 136, 137, 138,
139, 140, 141, 142, 143, 144, 145, 146, 147,
148, 149, 150, 151, 153, 154, 155, 156, 157,
158, 159, 160, 161, 162, 163, 164, 200, 205,
206
denition of, 38
exercise for, 145
facilities and operating standards, 130,
131, 132, 133, 134, 135, 136, 137, 138
health and husbandry standards, 122
identication, i, iii, 10, 31, 48, 74, 82, 84,
89, 90, 93, 94, 96, 98, 99, 101, 110, 116,
117, 260, 267
importation of live dogs, 121
procurement of animals, 96,
114
transportation standards, 152
dolphins. See marine mammals; swim-with-
the- dolphin (SWTD) programs
Domesticated farm-type animals, 6
drainage, 134, 201, 202, 233, 234, 273, 281,
282, 297, 306
drinking needs, 133, 201, 296. Seewater
dwarf hamsters, 169, 171, 178
E
eective dates, ii, 25
electric power, 133, 166, 184, 201, 234, 280,
296
emergencies, 85, 118
employees, 2, ii, 47, 57, 66, 86, 119, 120, 150,
173, 190, 218, 233, 235, 255, 258, 276, 277,
285, 308
endangered species, 38
9 CFR AWA (5-1-2023 Edition)
enforcement, i, 19, 20, 21, 24, 27, 31, 42, 76,
78, 79, 109,
111
by Secretary, i, 18, 19, 27
Importation of live dogs, 21
protection of pets, 31
environmental enhancements, 235
marine mammals, 235, 236, 237, 238
nonhuman primates, 212
environmental enrichment, 213
exemptions, 214
plans for, 214
restraint devices, 213
social grouping, 215
special considerations, 214
euthanasia, 11, 12, 69, 71, 73, 75, 80, 87, 96,
97, 106, 112, 113
exemptions, 147, 214, 304
exercise for dogs, iv, 11, 126, 145
exemptions, 146
housed individually, 145
housed in groups, 145
method and duration, 145
exhibitions, 7, 38
animal acts, 110, 208
animal ghting, 25, 26, 27, 28
attending veterinarian and care, 87
public barriers, 113
public contact, 114
public feeding, 114, 255
public handling, 114
traveling shows, 142
exhibitors, i, iii, 8, 9, 10, 11, 21, 25, 44,
47, 48,
84, 87, 93, 96, 97, 99, 105, 106, 109, 110,
113, 118, 119, 141, 143, 144, 145, 146, 150,
151, 160, 171, 188, 210, 211, 212, 213, 225,
258, 290, 301, 302, 315
Class “C” licensees, 6, 7, 8, 9, 10, 12, 17,
19, 20, 22, 23, 24, 28, 32, 37, 40, 43, 50,
57, 61, 62, 81, 87, 89, 90, 91, 92, 93, 94,
96, 97, 98,
99, 101, 102, 104, 105, 106,
109, 110, 111, 112, 113, 115, 119, 145,
146, 150, 151, 161, 174, 181, 190, 191,
196, 214, 226, 268, 269, 271, 285, 286,
287, 291, 304, 313, 315
denition of, 7, 38
licensing, 11, 36, 37, 50, 51
procurement of animals, 114
recordkeeping, 10
registration, 30, 57, 58, 61, 62, 63, 64, 74,
83, 96, 98, 99, 110, 116, 121
exotic animals, 38, 42, 51, 113
327
INDEX
326
Animal Welfare Act, USDA
F
facilities. Seehousing; research facilities
farm animals, 13, 14, 16, 37, 38, 39
Federal agencies, 27, 66
authority of, 19
denition of, 7, 39
investigation of violations, 27
suspension of support, 17
Federal awards, 7, 39
Federal research facilities, 15, 47, 78, 132,
145, 158, 160, 199, 210, 225.
Committees, 12, 13, 14, 15, 29, 37, 42, 47,
64, 65, 66, 69, 70, 72, 74, 78, 144, 145,
146
denition of, 8, 39
exercise for dogs, 145
food and water requirements (dogs/cats),
147
health certication, 82
housing facilities, general (dogs/cats), 132
minimum space requirements
(nonhuman
primates), 209
nonhuman primates, 199
transportation by air (dogs/cats), 157
transportation by surface vehicle or
privately owned aircraft (dogs/cats),
158, 159
See alsoresearch facilities
feeding, 11, 18, 39, 44, 45, 68, 101
, 103, 114,
147, 152, 154, 172, 188, 213, 215, 218, 220,
255, 266, 267, 291, 303, 305, 307, 310, 315,
319
cats and dogs, 147
C.O.D. shipments, iii, 48, 102
consignments to carriers and
intermediate
handlers, 174, 190, 218
deprivation of food or water, 80, 113
guinea pigs, 166, 167, 168, 170, 171, 172,
173, 175, 176, 177, 178, 179, 180, 181,
182, 183
hamsters, 167, 168, 169, 170, 171, 172,
173, 174, 175, 176, 177, 178, 179, 180,
181, 182, 183
handling, 105, 114, 118
, 155, 164, 177, 183,
193, 198, 221, 230, 234, 255, 257, 258,
263, 265, 272, 277, 278, 288, 294, 308,
311, 318
IACUC review of activities involving
animals, 67
marine mammals, 231, 232, 233, 234, 235,
236, 237, 238, 242, 254, 255, 256, 257, 258
Index
nonhuman primates, 200, 201, 202, 203,
204, 205, 206, 207, 208, 209, 210, 211,
212, 213, 214, 215, 216, 217, 218, 219,
221, 222, 223, 224, 225, 226, 227, 228,
229,
230
(discussed as method of enrichment), 213
other animals, 282, 283
prohibition of C.O.D. arrangements, 18
promulgation of standards, 11
public feeding, 114, 255
rabbits, 184, 185, 186, 187, 188, 189, 190
records: carriers and intermediate
handlers, 100
swim-with-the-dolphin (SWTD)
program, 44
fees, 24, 47, 54, 58, 64
fences, 205, 206, 233, 237, 251, 252, 282
eld study(ies), 55, 56, 59
ghting, animal, 25, 26, 27, 28
oor(s), 40, 134, 137, 138, 141, 142, 143, 144,
145, 146, 155, 168, 169, 170, 171, 172, 177,
178, 186, 187, 188, 201, 202, 209, 211, 222,
272, 296, 312
oor space, 141,
142, 143, 145, 146, 168, 169,
170, 171, 177, 178, 186, 187, 188, 209
food and water requirements, 161, 226, 291,
315
cats and dogs, 147, 160
guinea pigs, 166, 167, 168, 170, 171, 172, 173
hamsters, 166, 167, 168, 169, 170, 171,
172, 173, 174, 175, 176, 177, 178, 179,
180, 181, 182, 183
marine mammals, 231, 232, 233, 234, 235,
236, 237, 238
nonhuman primates, 200, 201, 202, 203,
204, 205, 206, 207, 208, 209, 210, 211,
212, 213,
214, 215, 216
other animals, 290
rabbits, 196
food preparation, 134, 202, 257, 296
food storage, 134, 201, 202, 235, 257, 296, 297
G
governing proceedings, 321
governmental bodies, i, 18
guinea pigs, 42, 43, 127, 166, 167, 168, 170,
171, 172, 173, 175, 176, 177, 178, 179, 180,
181, 182, 183
facilities and operating standards, 166
health and husbandry standards, 171
transportation standards, 174
328
INDEX
Index
H
hamsters, 38, 42, 43, 127, 166, 167, 168, 169,
170, 171, 172, 173, 174, 175, 176, 177, 178,
179, 180, 181, 182, 183
dwarf hamsters, 169, 171, 178
facilities and operating standards, 166
health and husbandry standards, 171
transportation standards, 174
handling, 5, 10, 11, 12, 19, 44, 62, 64, 68, 71,
73, 84, 87, 105, 114, 118, 155, 164, 177, 183,
193, 198, 221, 230, 234, 255, 257, 258, 263,
265, 272, 277, 278, 288, 294, 308, 311, 318
birds,
217, 228, 295, 296, 297, 298, 299,
300, 301, 302, 303, 304, 305, 306, 307,
308, 309, 310, 311, 312, 313, 314, 315,
316, 317, 318, 319
cats and dogs, 126, 128, 135, 167, 184, 185
contingency planning, 84, 118
denition of, 39
deprivation of food or water, 80
exhibition, 5, 6, 8, 9, 19, 35, 36, 38, 41, 43,
44, 45, 51, 52, 84, 109, 110, 113, 114
performing animals, 113
public barriers, 113
public contact, 114
public feeding, 114
public handling, 113
exotic animals, 42, 51, 113
guinea pigs, 166, 167, 168,
170, 171, 172,
173
hamsters, 166, 167, 168, 169, 170, 171,
172, 173
humane standards, 10
marine mammals, 263
nonhuman primates, 229
other animals, 293
physical abuse, 80
rabbits, 198
shelter, 11, 30, 31, 42, 44, 75, 85, 105, 114,
115, 116, 117, 118, 137, 138, 139, 140,
185, 204, 206, 209, 212, 237, 282, 298,
299, 302, 309
swim-with-the-dolphin (SWTD)
programs, 261
training, 80
wild animals, 65
health certicate, 83, 101, 102, 122, 124, 269,
276
health certications, 65
for random source dogs and cats, 116
heating, 133, 162, 201, 235, 281, 296
holding period, 105, 106, 116
compliance with standards, ii, 17, 47, 55
9 CFR AWA (5-1-2023 Edition)
holding facility, 106
protection of pets, 29
research facilities, 78
housekeeping, iv, vi, viii, 126, 128, 130, 136,
137, 140, 148, 203, 204, 208, 216, 306
housing, 5, 11, 37, 39, 40, 41, 44, 68, 84, 103,
105, 115, 118, 126, 128, 132, 133, 134, 135,
136, 137, 138, 139, 140, 141, 142, 143, 145,
146, 149, 154, 166, 167, 184, 185, 186, 199,
200, 201, 202, 203, 204, 205, 206, 207, 208,
217, 220, 232, 233, 234, 236, 237, 238, 239,
240, 246, 248, 249, 250, 252, 257, 258, 259,
266, 280, 281, 282, 283, 295, 296, 297, 298,
300, 301, 305, 307
general requirements, 37, 39, 40, 41, 44,
68, 84, 103, 105, 115, 118, 126, 128, 132
humidity, 40, 114, 135, 136, 139, 159, 203,
204, 206, 297, 298, 301, 318
runs and pens, 44, 145, 146, 262, 284, 295
sheltered facilities, 136, 137
, 203, 204
capacity: multiple shelters, 126, 128, 136,
137, 203, 204
lighting, 135, 136, 137, 140, 167, 185, 203,
204, 208, 236, 281, 298
perimeter fences, 205, 206, 237, 282
public barriers, 205, 207, 208
shelter from elements, 126, 128, 136, 137,
203, 204
temperature, 35, 136, 137, 138, 139, 153,
159, 161, 163, 164, 167, 175, 180,
182, 183, 185, 191, 195, 197, 198,
202, 203, 204, 206, 207, 208, 219, 220
ventilation, 35, 136, 137, 139, 156, 163,
167, 185
, 203, 204, 208, 221, 222,
228, 236, 281, 298, 312, 317
ambient temperature, 135, 136, 137, 138,
139, 159, 161, 163, 164, 167, 180, 185,
195, 202, 203, 204, 206, 207, 208, 224,
225, 227, 228, 229, 230, 278, 281, 298
cats and dogs, 132
cleaning, 39, 132, 133, 134, 135, 136, 137,
140, 148, 149, 162, 167, 173, 185, 189,
199, 200, 201, 203, 204, 208, 217, 233,
234, 235, 236, 257
, 260, 281, 284, 295,
296, 298, 306, 307, 308
construction, 132, 141, 199, 231, 295
denition of, 39
drainage, 134, 201, 202, 233, 234, 273, 281,
282, 297, 306
electric power, 133, 166, 184, 201, 234,
280, 296
environmental enhancements, 235
guinea pigs, v, 42, 43, 127, 166, 167, 168,
170, 171, 172, 173, 175, 176, 177, 178,
179, 180, 181, 182, 183
329
INDEX
328
Animal Welfare Act, USDA
hamsters, v, 38, 42, 43, 127, 166, 167, 168,
169, 170, 171, 172, 173, 174, 175, 176,
177, 178, 179, 180, 181, 182, 183
heating and cooling, 162
indoor facilities, 126, 128, 135, 167, 184,
185, 202, 203, 236, 281, 298
ambient temperature, 135, 136, 137, 138,
139, 159, 161, 163, 164, 167, 180,
185, 195, 202, 203, 204, 206, 207,
208, 224, 225, 227, 228, 229, 230,
278, 281, 298
drainage, 134, 186, 201, 234
, 281, 282,
297
interior surfaces, 132, 133, 137, 139, 200,
295
lighting, 135, 136, 137, 140, 167, 185, 203,
204, 208, 236, 281, 298
temperature, 135, 136, 137, 138, 139, 153,
159, 161, 163, 164, 167, 175, 180,
182, 183, 185, 191, 195, 197, 198,
202, 203, 204, 206, 207, 208, 219,
220, 224, 225, 227, 228, 229, 230,
235, 236, 237, 255, 270, 271, 274,
276, 277, 278, 281, 286
, 292, 293,
297, 298, 301, 318, 319
marine mammals, 234, 235, 236, 237, 259
mobile or traveling facilities, 126, 128,
139, 140, 207, 208, 238, 283
heating, cooling, and temperature, 135,
136, 139, 202, 203, 207
lighting, 135, 136, 137, 140, 167, 185, 203,
204, 208, 236, 281, 298
public barriers, 205, 207, 208
ventilation, 135, 136, 137, 139, 156, 163,
167, 185, 203, 204, 208, 221, 222,
228, 236, 281, 298, 312, 317
nonhuman primates, 200, 201, 202, 203,
204, 205,
206, 207
outdoor facilities, iv, vi, 126, 128, 138, 185,
206, 298
acclimation, 206, 298
capacity: multiple shelters, 204, 206
drainage, 134, 186, 201, 234, 281, 282,
297
environmental temperature, 136, 137,
138, 139, 153, 159, 161, 163, 164,
167, 175, 180, 182, 183, 185, 191,
195, 197, 198, 202, 203, 204, 206,
207, 208, 219, 220
perimeter fences, 205, 206, 237, 282
public barriers, 205, 207, 208
restrictions, 144, 173, 190, 266
shelter from the elements, 137, 138, 204,
206
pens and runs, 44, 145, 146, 262,
284, 295
Index
pest control, iv, vi, viii, 126, 128, 130, 148,
149, 162, 216, 217, 228, 306, 308, 317
primary enclosures, 133, 140, 142, 143,
144, 148, 149, 154, 155, 162, 168, 169,
171, 172, 173, 175, 177, 178, 179, 182,
186, 187, 188, 189, 191, 194, 195, 197,
201, 211, 213, 216, 217, 221, 222, 223,
225, 234, 236, 237, 238, 257, 258, 273,
277, 281, 284, 286, 289, 290,
292, 298,
299, 303, 306, 307, 308, 311, 313
rabbits, vi, 39, 42, 43, 128, 184, 185, 186,
187, 188, 189, 190, 191, 192, 193, 194,
195, 196, 197, 198
sanitization, iv, vi, viii, 126, 128, 130, 133,
148, 149, 162, 200, 216, 217, 228, 306,
307, 317
storage, 133, 166, 184, 201, 234, 280, 296
structures, 132, 199, 295
surfaces, 132, 133, 137, 139, 200, 295
temperature, 135, 136, 137, 138, 139,
153, 159, 161, 163, 164, 167, 175, 180,
182, 183, 185, 191, 195, 197, 198, 202,
203, 204, 206, 207, 208, 219, 220, 224,
225, 227, 228, 229, 230, 235, 236, 237,
255, 270, 271, 274, 276, 277, 278, 281,
286, 292, 293, 297, 298
ventilation, 135, 137, 139, 155, 156, 157,
159, 163, 176, 177, 179, 180, 182, 185,
193, 194, 195, 197, 201, 203, 204, 208,
221, 222, 223, 228, 271, 273, 277, 287,
288, 289, 292, 296, 298
vermin, 133, 134, 139, 149, 162, 166, 182,
184, 197, 200, 201, 202, 217, 228, 234,
235, 280, 292, 296, 297, 307, 308, 317
washrooms, 134, 166, 184, 202, 281, 297
waste disposal, 134, 201, 202, 235, 297
water, 134, 140, 141, 147, 148, 149, 152,
158, 159, 160, 161, 166, 168, 172, 173,
180, 181, 184, 186, 187,
188, 189, 196,
201, 202, 209, 212, 215, 216, 217, 218,
224, 225, 226, 233, 234, 235, 236, 237,
238, 239, 241, 242, 246
humane societies, 30, 116
humane standards, 10.
handling and care, 71
shelter, 11, 30, 31, 42, 44, 75, 85, 105, 114,
115, 116, 117, 118, 137, 138, 139, 140,
185, 204, 206, 209, 212, 237, 282, 298,
299, 302, 309
transportation, 11
See alsospecic topics
humidity, 40, 114, 135, 136, 139, 159, 203,
204, 206
, 297, 298, 301, 318
hybrid crosses, 39
330
INDEX
Index
I
IACUC. SeeInstitutional Animal Care and
Use Committee
identication, 10, 31, 48, 74, 82, 84, 89, 90,
93, 94, 96, 98, 99, 101, 110, 116, 117, 260,
267
cats and dogs, 89
marine mammals, 260, 261
markings, 30, 89, 90, 142, 143, 216
microchips, 31, 91, 92
tags, iii, 48, 74, 81, 82, 89, 90, 91, 92, 93, 94,
96, 100, 152, 153
disposal of, 8, 48, 94, 98, 134, 166, 184,
201, 235, 280, 296
lost tags, 48, 94
obtaining, 48, 93
ocial tags, 48, 81, 82,
89, 90, 93, 94
use of, iii, 26, 48, 93
tattoos, 90, 92, 151
time and method of identication, iii,
48, 89
impervious surfaces, 40, 136, 137, 138, 142,
167, 168, 185
importation of live dogs, 21, 121
certications, iv, 49, 122, 124
dogs refused entry, iv, 49, 124
import permit, iv, 49, 121
notication of arrival, iv, 49, 124
importers, 21
indoor housing facilities, iv, vi, 126, 128, 135,
136, 167, 184, 185, 202, 203, 236, 281, 298
ambient temperature, 135, 136, 137, 138,
139, 159, 161, 163, 164, 167, 180, 185,
195, 202, 203,
204, 206, 207, 208, 224,
225, 227, 228, 229, 230, 278, 281, 298
cats and dogs, 126, 128, 135, 167, 184, 185
denition of, 40
drainage, 134, 201, 202, 233, 234, 273, 281,
282, 297, 306
guinea pigs, 166, 167, 168, 170, 171, 172,
173, 175, 176, 177, 178, 179, 180, 181,
182, 183
hamsters, 166, 167, 168, 169, 170, 171,
172, 173, 174, 175, 176, 177, 178, 179,
180, 181, 182, 183
interior surfaces, 133, 136, 167
, 185, 296
lighting, 133, 136, 137, 140, 167, 185, 201,
203, 204, 208, 236, 274, 275, 281, 296,
298
marine mammals, 231, 232, 233, 234, 235,
236, 237, 238, 242, 254, 255, 256, 257,
258, 259, 260, 261, 270, 271, 272, 273,
274, 275, 276, 277, 278
9 CFR AWA (5-1-2023 Edition)
nonhuman primates, 199, 200, 201, 202,
203, 204, 205, 206, 207, 208, 209, 210,
211, 212, 213, 214, 215, 216, 217, 218,
219, 221, 222
, 223, 224, 225, 226, 227,
228, 229, 230
other animals, 282, 295, 299, 300, 308, 317
rabbits, 184, 185, 186, 187, 188, 189, 190,
191, 192, 193, 194, 195, 196, 197, 198
temperature, 12, 35, 40, 44, 114, 135, 136,
137, 138, 139, 153, 159, 161, 163, 164,
167, 175, 180, 182, 183, 185, 191, 195,
197, 198, 202, 203, 204, 206, 207, 208,
219, 220, 224, 225, 227, 228, 229
, 230,
235, 236, 237, 255, 270, 271, 274, 276,
277, 278, 281, 286, 292, 293, 297, 298,
301, 318, 319
ventilation, 11, 12, 85, 118, 133, 135, 137,
139, 155, 156, 157, 159, 163, 176, 177,
179, 180, 182, 185, 193, 194, 195, 197,
201, 203, 204, 208, 221, 222, 223, 228,
271, 273, 277, 287, 288, 289, 292, 296,
298, 312, 313, 318
infectious disease, 17, 83, 101, 122
, 307
information services, 72
initial license, 47, 56, 59
injunctions, ii, 32
inspections for missing animals, iv, 48, 79,
111
access, 14, 19, 140, 146, 168, 180, 185, 186,
195, 196, 204, 209, 212, 221, 237, 250,
271, 272, 274, 276, 290, 295, 299, 302,
305, 309
law enforcement, i, 21, 27, 42, 79, 111
missing animals, iv, 48, 79, 111, 331, 332,
334
procedures for, 265
records and property, iv, 48, 78, 109
inspectors, 1, 15, 20, 76, 261
Institutional Animal Care and Use
Committee (IACUC), 37, 47, 64, 303
denition of, ii, 37,
47, 64, 303, 331, 334
IACUC functions, 65
deciencies, 15, 16, 19, 55, 66
, 72, 78,
331, 334
minority views, 15, 66, 74, 331, 334
release of trade secrets, 13, 28, 29, 76
reviews, 65, 66, 67
membership, 65
training, 16, 26, 36, 39, 65, 67, 71, 85, 86,
119, 120, 234, 238, 258, 259, 260, 263,
266
Institutional Ocials, 66, 67, 70, 74, 83
331
INDEX
330
Animal Welfare Act, USDA
Index
interactive areas, 36, 40, 45, 261, 262, 265
interactive sessions, 40, 262, 263, 264, 265
interior surfaces, 133, 136, 167, 185, 296.
See alsosurfaces
intermediate handlers, 7, 9, 10, 12, 17, 18,
19, 20, 22, 23, 25, 32, 41, 42, 44, 48, 57, 61,
62, 75, 83, 97, 100, 101, 102, 103, 104, 105,
107, 109, 111, 112, 113, 115, 118, 119, 126,
127, 128, 129, 130, 152, 153, 154, 160, 161,
163, 174, 175
, 176, 181, 190, 191, 192, 196,
218, 219, 220, 226, 229, 268, 269, 270, 277,
278, 285, 286, 287, 290, 291, 292, 293, 309,
310, 315, 317
C.O.D. shipments, iii, 48, 102, 327, 333
denition of, 7, 40
recordkeeping, i, 10, 97, 258
records, 10, 15, 19, 21, 48, 50, 55, 56, 59,
74, 75, 76, 78, 79, 81, 82, 90, 91, 92, 94,
96, 98, 99, 100, 104, 109, 111, 115, 151
,
158, 224, 255, 260, 261, 266, 267, 268,
300, 307, 313
registration, 30, 57, 58, 61, 62, 63, 64, 74,
83, 96, 98, 99, 110, 116, 121
transportation standards, v, vi, vii, viii, ix,
126, 127, 128, 129, 130, 152, 174, 190,
218, 268, 285, 309
isolation, 238, 259, 260
itineraries, iv, 48, 53, 109
K
kittens, 81, 89, 90, 91, 141, 142, 144, 157, 158,
160
L
law enforcement, 21, 27, 42, 79, 111
licensed veterinarians, 41
violations by, 27
licensees, 41, 263
denition of, 41
violations by, 22
non-interference, 41
licensing, 11, 36, 37, 50, 51
age requirements, iv, 48, 113
annual report, 76, 77, 78
compliance, 14, 17, 22, 25, 30, 37, 47, 55,
56, 58, 62, 72, 87, 124, 129, 152, 175,
182, 197, 218, 231, 232, 265, 293
dealers, 8, 9, 10, 11, 21, 25, 32, 44, 47, 48,
84, 87, 89, 97, 98, 99, 105, 106, 109, 114,
119, 141, 143, 144, 160, 171
, 188, 211,
225, 301
denial of initial license, ii, 58
duration, 47, 56, 64, 163, 229
exhibitors, 8, 9, 10, 11, 21, 25, 44, 47, 48,
84, 87, 93, 96, 97, 99, 105, 106, 109, 110,
113, 118, 119, 141, 143, 144, 145, 146,
150, 151, 160, 171, 188, 210, 211, 212,
213, 225, 290, 301, 302, 315
fees, 24, 47, 54, 58, 64
initial license, 47, 56, 59
non-interference, 41
ownership, 10, 21, 47, 50, 51,
52, 53, 59,
62, 64, 118
regulations and standards, 1, 20, 32, 47,
54, 55, 56, 61, 63, 266
renewal, 50
requirements, 8, 10, 11, 12, 18, 22, 28, 30,
31, 37, 40, 41, 44, 47, 48, 50, 54, 55, 56,
58, 67, 70, 72, 74, 84, 105, 113, 117, 122,
124, 126, 127, 128, 129, 130, 131, 132,
133, 135, 136, 139, 140, 141, 142, 143,
144, 146, 150, 152, 153,
154, 158, 160,
161, 162, 163, 164, 168, 169, 171, 172,
174, 176, 177, 180, 181, 182, 186, 187,
188, 191, 192, 196, 197, 199, 200, 201,
208, 209, 210, 211, 215, 219, 221, 223,
225, 226, 227, 231, 232, 233, 234, 236,
238, 239, 240, 246, 247, 248, 249, 259,
260, 261, 262, 263, 269, 271, 275, 283,
286, 287, 290, 291, 292, 296, 299, 300,
301, 305, 310, 311, 314, 315, 316, 317,
318, 319
suspended or revoked licenses, 47, 57
termination, 47, 60
lighting, 133, 136, 137, 140, 167, 185, 201,
203, 204, 208, 236, 274, 275, 281, 296, 298
diurnal lighting cycle, 136, 137, 140, 203,
204, 208
indoor housing facilities, 136, 167, 185,
281
mobile or traveling housing facilities, 140
sheltered housing facilities, 135, 136, 137,
140, 167, 185, 203, 204, 208, 236, 281,
298
litter
(as in animals), 81,
91, 141, 142, 155, 169,
171, 178, 186, 188, 189, 194, 222, 289
,
312, 325, 331
(as in litter pan), 141, 142, 186
live animals, viii, 6, 8, 39, 43, 63, 72, 76, 100,
130, 285, 287, 288, 289, 290, 291, 292, 293
living conditions, 68. See alsohousing
local government, 7, 12, 17, 40, 101, 102, 174,
175, 190, 191, 268, 269, 270, 285, 286
332
INDEX
Index
9 CFR AWA (5-1-2023 Edition)
M
maintenance, 16, 71, 133, 200, 213, 233, 238,
255, 257.
See alsocleaning and sanitization;
housing
major operative procedures, 68
marine mammals, 41, 129, 231, 232, 233,
234, 235, 236, 237, 238, 242, 254, 255, 256,
257, 258, 259, 260, 261, 270, 271, 272, 273,
274, 275, 276, 277, 278
facilities and operating standards, 233
health and husbandry standards, 254
space requirements, vii, viii, 129, 168, 169,
186, 187, 210, 223, 238, 261, 283, 300
special considerations, 231
transportation standards, 268
marking and labeling, 223
medical care. Seeveterinary care
medical records. Seeveterinary care
minimum age requirements, iv, 48, 113
minimum horizontal dimension (MHD),
239, 332, 335
minimum space. Seespace requirements
missing animals, iv, 48, 79, 111
mobile or traveling animal acts, 38, 110, 205,
207, 208, 323, 326, 332, 333
mobile or traveling housing facilities, 126,
128, 139, 140, 207, 208
cats and dogs, 139
denition of, 41
lighting, 140, 208
nonhuman primates, 207
public barriers, 205, 207, 208
temperature, 139, 207
ventilation, 11, 12, 85, 118, 133, 135, 136,
137, 139, 155, 156, 157, 159, 163, 167,
176, 177, 179, 180, 182, 185, 193, 194,
195, 197, 201, 203, 204, 208, 221, 222,
223, 228, 236, 271, 273,
277, 281, 287,
288, 289, 292, 296, 298, 312, 313, 317,
318
N
National Agricultural Library, 16, 72
non-conditioned animals, 41
nonhuman primates, vii, 43, 53, 101, 128,
199, 200, 201, 202, 203, 204, 205, 206, 207,
208, 209, 210, 211, 212, 213, 214, 215, 216,
217, 218, 219, 221, 222, 223, 224, 225, 226,
227, 228, 229, 230
denition of, 41
environmental enhancements, 212, 235
facilities and operating standards, 199
health and husbandry standards, 214
transportation standards, 218
O
operators of auction sales, 8, 9, 11, 21, 25, 44,
48, 96, 98, 109, 290, 315
other animals, 17, 48, 83, 102, 114, 115, 122,
132, 140, 166, 184, 199, 204, 206, 225, 228,
259, 282, 295, 299, 300, 308, 317
facilities and operating standards, 280
health and husbandry standards, 126,
127, 128, 129, 130, 144, 171, 188, 214,
254, 283, 304
transportation standards, 285
outdoor housing facilities
acclimation, 114, 138, 164, 180, 195, 198,
230, 278, 294, 319
cats and dogs, 138
drainage, 134, 201, 202, 233, 234, 273, 281,
282, 297, 306
environmental temperature, 236, 274
guinea pigs, 167
hamsters, 167
marine mammals, 236
nonhuman primates, 211
other animals, 282
perimeter fences, 205, 206, 237, 282
public barriers, 208
rabbits, 185
restrictions, 144, 173, 190, 266
shelter from elements, 11, 30, 31, 42, 44,
75, 85, 105, 114, 115, 116, 117, 118, 137,
138, 139, 140, 185, 204, 206, 209, 212,
237, 282, 298, 299, 302, 309, 328, 329,
330, 335
P
painful procedures, 77
paralytic drugs, 22, 47, 72, 73, 85, 87, 119, 125
penalties, 20, 22, 24, 28, 31
pens, 44, 145, 146, 262, 284, 295
performing animals. Seeanimal acts
perimeter fences,
205, 206
, 237, 282
person, denition of, 42
pest control, iv, vi, viii, 126, 128, 130, 148,
149, 162, 216, 217, 228, 306, 308, 317
pet animals, 43, 51, 52
333
INDEX
332
Animal Welfare Act, USDA
Index
denition of, 42
protection of pets, 29
retail pet stores, 7, 38
physical abuse, 29
Physical examination. SeeVeterinary care
pinnipeds. Seemarine mammals
polar bears. Seemarine mammals
positive physical contact, 146, 332
pounds. Seeshelters and pounds
power supplies, 133, 166, 184, 201, 234, 280,
296, 326, 329
preventive care and treatment.
Seeveterinary care
primary conveyances, v, vi, vii, viii, ix, 126,
127, 128, 129, 130, 131, 159, 179, 194, 224,
274, 289, 314
primary enclosures, 133, 140, 142, 143, 144,
148, 149, 154, 155, 162, 168, 169, 171, 172,
173, 175, 177, 178, 179, 182, 186, 187, 188,
189, 191,
194, 195, 197, 201, 211, 213, 216,
217, 221, 222, 223, 225, 234, 236, 237, 238,
257, 258, 273, 277, 281, 284, 286, 289, 290,
292, 298, 299, 303, 306, 307, 308, 311, 313
cats and dogs, 140
cleaning and sanitization, 133, 200
compatible groups, 145, 157, 173, 177,
190, 193, 272, 288, 313
construction, 132, 141, 199, 231, 295
denition of, 42
for transport, 152, 153, 154, 218, 219, 221,
269, 275, 301, 309, 310, 311
guinea pigs, 168
hamsters, 168
marine mammals, 271
nonhuman primates,
208
rabbits, 186
space requirements, 146, 168, 169, 171,
188, 209, 210, 232, 238, 246, 249, 259,
260, 261, 301
traveling shows, 142, 143
ventilation, 11, 12, 85, 118, 133, 135, 137,
139, 155, 156, 157, 159, 163, 176, 177,
179, 180, 182, 185, 193, 194, 195, 197,
201, 203, 204, 208, 221, 222, 223, 228,
271, 273, 277, 287, 288, 289, 292, 296,
298, 312, 313, 318, 329, 331, 332, 333,
334,
336
primates. See nonhuman primates
principal agents, 9
principal investigators, 11, 13, 67, 68, 69, 70,
73, 77, 146
procurement of animals, 48, 114
protection of pets, 29.
Seepet animals
psychological well-being, viii, 11, 128, 130,
199, 212, 302.
See alsoenvironmental enhancements
publication of names, iv, 111
public barriers, 205, 207, 208
public exhibitions. Seeanimal acts;
exhibitions
public feeding, 114, 255, 326, 327, 328, 333
puppies, 21, 81, 89, 90, 91, 142, 143, 158
purchase of animals, 9.
See alsoauction sales; dealers; retail pet
stores
Q
quorums, 8, 14, 69, 70
R
rabbits, 39, 42, 43, 128, 184, 185, 186, 187,
188, 189, 190, 191, 192, 193, 194, 195, 196,
197, 198
facilities and operating standards, 184
feeding and watering, 196, 319
health and husbandry standards, 188
transportation standards, 190
rabies vaccination certicate, 123
random source cats or dogs, 30, 48, 114, 116,
118
recordkeeping, 10, 97, 258
auction sales, 10
carriers and intermediate handlers, 10
dealers, 10
exhibitors, 10
intermediate handlers, 10
primary enclosures for transport, 224
procurement of animals, 114
protection of pets, 29
research facilities, 74
swim-with-the-dolphin (SWTD)
programs, 265
records, 10, 15, 19, 21, 48, 50, 55, 56, 59, 74,
75, 76, 78, 79, 81, 82, 90, 91, 92, 94, 96, 98,
99, 100, 104, 109, 111, 115, 151, 158, 224,
255, 260, 261, 266,
267, 268, 300, 307, 313
auction sales and brokers, iii, 48, 96, 98,
99
carriers and intermediate handlers, 126,
127, 128, 129, 130, 152, 160, 174, 190,
334
INDEX
Index
9 CFR AWA (5-1-2023 Edition)
218, 226, 268, 285, 290, 309
C.O.D. shipments, 48, 102
dealers and exhibitors, 8, 47, 87, 97, 99,
141, 143, 144, 171, 188, 211
disposition of, 75, 97
health certication and identication, 83,
101, 102, 122, 124, 269, 276
medical records for dogs, 151
registrants, 1, 80, 85, 112, 119
registration, 30, 57, 58, 61, 62, 63, 64, 74, 83,
96, 98, 99, 110, 116, 121
acknowledgment, 61
change of operation, ii, 47, 62, 64
procedures, 11, 12, 13, 16, 35, 42, 47, 61,
63, 65, 67, 68, 71,
72, 73, 77, 78, 81, 88,
145, 151, 215, 235, 260, 265, 293
requirements, 61
research facilities, 63
relative humidity, 135, 203, 204
resale, 21, 22, 37, 121, 122, 123, 124
research facilities, 5, 9, 10, 11, 13, 15, 16, 17,
18, 21, 25, 44, 47, 63, 75, 76, 78, 79, 85, 132,
144, 145, 146, 150, 151, 158, 160, 171, 188,
199, 210, 211, 212, 213, 214, 215, 225, 290,
301, 302, 303, 304, 315
age of animals, 17
annual report, 76, 77, 78
attending veterinarians, 300
Committees, 8, 12, 13, 14, 15, 29, 37, 42,
47, 64, 65, 66, 69, 70, 72, 74, 78, 144,
145, 146, 147, 150, 171, 188, 211, 213,
214, 215, 303, 325, 330, 331, 334
compliance with standards, 17, 47, 55
conscation or destruction of animals,
48, 79, 112
contingency planning, 48, 84, 118
denition of, 6, 43
Federal research facilities, 15, 47, 78, 132,
145, 158, 160, 199, 210, 225
health certication, 83, 101, 102
holding of animals, 106
Institutional Animal Care and Use
Committee (IACUC), 37, 47, 64
, 303
IACUC functions, 65
deciencies, 15, 16, 19, 55, 66, 72, 78,
331, 334
minority views, 15, 66, 74, 331, 334
reviews, 65, 66, 67
missing animals, iv, 48, 79, 111
personnel qualications, 71
publication of names, 79
recordkeeping, 10, 97, 258
records, 74
registration, 61
resting surfaces, 142
retail pet stores, 7, 38
reviews, 70, 85, 119
rules and regulations, 9, 12, 20, 21
Rules of Practice, ix, 321, 322
runs, 44, 145, 146, 148, 149, 284
rust, 133, 200, 296
S
sanctuary areas, 45, 261, 262, 264
sanitization, 126, 128, 130, 133, 148, 149, 162,
200, 216, 217,
228, 306, 307, 317.
denition of, 44
See alsocleaning and sanitization;
housing
sea otters. Seemarine mammals
Secretary (Secretary of Agriculture)
administration by, 44
carrier, handler, 10, 55, 236, 268
cooperation with agencies, 14, 15, 19, 36
dealers, exhibitors, handlers, 10, 97, 258
denition of, 44
humane standards, 10
importation, 22, 121, 122
information service, 16
inspections, 1, 14, 15, 19, 36, 55, 236, 268
licensing, 11, 36, 37, 50, 51
recordkeeping, i, 10, 97, 258
research, 1, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14,
15, 16, 17, 18, 19, 20, 21, 22, 23, 25, 29,
30
, 31, 35, 36, 37, 38, 39, 40, 41, 42, 43,
44, 47, 51, 52, 57, 63, 64, 65, 66, 67, 70,
71, 72, 73, 74, 75, 76, 77, 78, 79, 80, 81,
82, 83, 84, 85, 89, 93, 95, 101, 102, 107,
113, 115, 116, 117, 118, 121, 123, 132,
141, 143, 144, 145, 146, 150, 151, 158,
160, 161, 171, 174, 181, 188, 190, 191,
196
, 199, 210, 211, 212, 213, 214, 215,
225, 226, 233, 268, 269, 271, 285, 286,
287, 290, 291, 295, 301, 302, 303, 304,
308, 313, 315
separability, 24
separation, 11, 41, 127, 130, 173, 190, 238,
259, 260, 308
shade, 138, 140, 164, 183, 185, 198, 209, 229,
252, 278, 282, 293, 298, 299, 317
sharp points or edges, 140, 154, 209, 221,
299, 311
335
INDEX
334
Animal Welfare Act, USDA
sheltered housing facilities, 136, 137, 203,
204
capacity: multiple shelters, 126, 128, 136,
137, 203, 204
cats and dogs, 132
denition of, 44
lighting, 133, 135, 136, 137, 140, 167, 185,
201, 203, 204, 208, 236, 274, 275, 281,
296, 298
nonhuman primates, 43, 53, 101, 128, 199,
200, 201, 202, 203, 204, 205, 206, 207,
208, 209, 210, 211, 212, 213, 214, 215,
216, 217, 218, 219, 221, 222, 223, 224,
225, 226, 227, 228, 229, 230
perimeter fences, 205, 206, 237
, 282
public barriers, 205, 207, 208
shelter from elements, 126, 128, 136, 137,
203, 204
temperature, 12, 35, 40, 44, 114, 135, 136,
137, 138, 139, 153, 159, 161, 163, 164,
167, 175, 180, 182, 183, 185, 191, 195,
197, 198, 202, 203, 204, 206, 207, 208,
219, 220, 224, 225, 227, 228, 229, 230,
235, 236, 237, 255, 270, 271, 274, 276,
277, 278, 281, 286, 292, 293, 297, 298,
301, 318
, 319, 323, 328, 329, 330, 332,
334, 335
ventilation, 11, 12, 85, 118, 133, 135, 136,
137, 139, 155, 156, 157, 159, 163, 167,
176, 177, 179, 180, 182, 185, 193, 194,
195, 197, 201, 203, 204, 208, 221, 222,
223, 228, 236, 271, 273, 277, 281, 287,
288, 289, 292, 296, 298, 312, 313, 317,
318
shelter from elements
outdoor housing facilities, 138, 139, 166,
184, 233, 237, 280, 282
sheltered housing facilities, 126, 128,
136,
137, 203, 204
terminal facilities, v, vi, vii, viii, ix, 126,
127, 128, 129, 130, 131, 162, 182, 197,
228, 277, 292, 317
shelters and pounds, 42, 114
denition of, 42
procurement of animals, 48, 114
protection of pets, 29
random source cats and dogs, 48, 114,
116, 328
space requirements, 146, 168, 169, 171, 188,
209, 210, 232, 238, 246, 249, 259, 260, 261,
301
cargo space, 159, 160, 162, 179, 180, 181,
194, 195, 196, 224, 225, 227, 273, 274,
289, 290, 291, 292, 312, 314,
316
Index
cats and dogs, 141, 142
guinea pigs, 168
hamsters, 168
marine mammals, 238
adult length, 239, 242, 243, 244, 246, 248,
249, 250, 251, 252, 253, 254
minimum horizontal dimension (MHD),
239
minimum required depth, 239, 242
minimum surface area, 247, 252, 262
pool volume, 253
separated, 115, 132, 173, 190, 199, 200,
259, 309
nonhuman primates, 223
other animals, iv, 17, 48, 83, 101, 114, 115,
122, 132, 140, 166, 184, 199, 204, 206,
225, 228, 259, 282, 283, 295, 299, 300,
308, 317
primary enclosures, 133, 140, 142, 143,
144, 148, 149, 154,
155, 162, 168, 169,
171, 172, 173, 175, 177, 178, 179, 182,
186, 187, 188, 189, 191, 194, 195, 197,
201, 211, 213, 216, 221, 222, 223, 225,
234, 236, 237, 238, 257, 258, 273, 277,
281, 284, 286, 289, 290, 292, 298, 299,
303, 306, 307, 308, 311, 313
rabbits, 186
swim-with-the-dolphin (SWTD)
programs, 261
special considerations, vii, 129, 213, 231, 303
standards
denition of, 44
state, 45, 66, 83, 101, 254, 319
denition of, 44
state government, i,
5, 6, 7, 11, 12, 13, 17, 18,
19, 22, 26, 27, 28, 30, 37, 38, 40, 41, 44, 50,
58, 59, 61, 74, 77, 78, 81, 93, 96, 98, 99, 101,
102, 104, 114, 116, 122, 124, 151, 174, 175,
190, 191, 234, 235, 268, 269, 270, 280, 281,
282, 285, 286
stipulations, 322
stolen animals, 32, 48, 95
storage, 18, 101, 102, 134, 201, 202, 235, 255,
257, 296,
297
study areas, 14, 65
summary actions, 321
surfaces, 40, 132, 133, 136, 137, 138, 139, 140,
142, 149, 167, 173, 176, 185, 189, 200, 201,
209, 216, 217, 233, 248, 257, 284, 295, 296,
299, 307, 308
impervious surfaces, 136, 137, 138, 142,
336
INDEX
Index
9 CFR AWA (5-1-2023 Edition)
167, 168, 185
interior surfaces, 133, 136, 167, 185, 296
resting surfaces, 142
swim-with-the-dolphin (SWTD) programs
denition of, 44
handling, 263
program animals, 263
recordkeeping, i, 10, 97, 258, 265
space requirements, 261
veterinary care, iii, 11, 22, 47, 72, 73, 85,
87, 118, 125, 147, 150, 161, 162, 171,
172, 181, 188, 196, 197, 215, 227, 266,
275, 276, 291, 292, 316
water clarity, 262
T
tattoos, 90, 92, 151.
See alsoidentication
temperature, 12, 35, 40, 44, 114, 135, 136,
137, 138, 139, 153, 159, 161, 163,
164, 167,
175, 180, 182, 183, 185, 191, 195, 197, 198,
202, 203, 204, 206, 207, 208, 219, 224, 225,
227, 228, 229, 230, 235, 236, 237, 255, 269,
270, 271, 274, 276, 277, 278, 281, 286, 292,
293, 297, 298, 301, 318, 319
acclimate, 114, 138, 164, 180, 195, 198,
230, 278, 294, 319
air and water, 235, 236
ambient temperature, 135, 136, 137, 138,
139, 159, 161, 163, 164, 167, 180,
185,
195, 202, 203, 204, 206, 207, 208, 224,
225, 227, 228, 229, 230, 278, 281, 298
environmental temperature, 274
humidity, 40, 114, 135, 136, 139, 159, 203,
204, 206, 297, 298, 301, 318
terminal facilities, 153, 162, 163, 228, 317
cleaning and sanitization, 133, 200
duration, 76, 146, 151, 236, 265, 275, 281,
298, 300
placement, 80, 113, 157, 300, 313
temperature, 12, 35, 40, 44, 114, 135, 136,
137, 138, 139, 153, 159, 161, 163, 164,
167, 175, 180, 182, 183, 185, 191, 195,
197, 198, 202, 203, 204, 206, 207, 208,
219, 224, 225, 227, 228, 229, 230, 235,
236, 237, 255, 269, 270, 271, 274, 276,
277, 278, 281, 286, 292, 293, 297, 298,
301, 318, 319
ventilation, 11, 12, 85, 118, 133, 135, 137,
139, 155, 156, 157, 159, 163, 176, 177,
179, 180, 182, 185, 193, 194, 195, 197,
201,
203, 204, 208, 221, 222, 223, 228,
271, 273, 277, 287, 288, 289, 292, 296,
298, 312, 313, 318
tethering, 144
trade secrets, 13, 28, 29, 76
training for animals
animal ghting, 25, 26, 27, 28
marine mammals, 41, 129, 231, 232, 233,
234, 235, 236, 237, 238, 242, 254, 255,
256, 257, 258, 259, 260, 261, 270, 271,
272, 273, 274, 275, 276, 277, 278
nonhuman primates, 43, 53, 101, 128, 199,
200, 201, 202, 203, 204,
205, 206, 207,
208, 209, 210, 211, 212, 213, 214, 215,
216, 217, 218, 219, 221, 222, 223, 224,
225, 226, 227, 228, 229, 230
trainers/behaviorists, 258, 263
See alsohandling
training for employees
annual reports, 76, 77, 78
handling, 5, 10, 11, 12, 19, 44, 62, 64, 68,
71, 73, 84, 87, 105, 114, 118, 155, 164,
177, 183, 193, 198, 221, 230, 234, 255,
257, 258, 263, 265, 272, 277, 279, 288,
294, 308
, 311, 318
marine mammals, 41, 129, 231, 232, 233,
234, 235, 236, 237, 238, 242, 254, 255,
256, 257, 258, 259, 260, 261, 270, 271,
272, 273, 274, 275, 276, 277, 278
personnel qualications, ii, 47, 71
research facilities, 5, 9, 10, 11, 13, 15, 16,
17, 18, 21, 25, 44, 47, 71, 75, 76, 78, 79,
85, 132, 144, 145, 146, 150, 151, 158,
160
, 171, 188, 199, 210, 211, 212, 213
,
214, 215, 225, 290, 301, 302, 303, 304,
315
swim-with-the-dolphin (SWTD)
programs, 258
transportation, 5, 6, 7, 8, 10, 11, 12, 17, 18,
19, 37, 40, 42, 44, 48, 50, 52, 58, 59, 75, 81,
83, 84, 91, 92, 95, 96, 100, 101, 102, 103,
104, 105, 113, 118, 121, 131, 154, 158, 159,
160, 161, 162, 174, 175, 176, 179, 181, 182,
191, 192, 195, 196, 197, 220, 221,
224, 225,
226, 227, 228, 269, 270, 271, 275, 285, 286,
287, 290, 291, 292, 311, 314, 315, 316, 318,
319
air or aircraft, 158, 159
animal ghting, 25, 26, 27, 28
care in transit, 161, 226, 291, 315
cargo space, 159, 160, 162, 179, 180, 181,
194, 195, 196, 224, 225, 227, 273, 274,
289, 290, 291, 292, 312, 314, 316
carriers and intermediate handlers, 126,
127, 128, 129, 130, 152, 160, 174, 190,
218, 226, 268, 285, 290, 309
337
INDEX
336
Animal Welfare Act, USDA
cats and dogs, 141, 142
commerce, 5, 6, 7, 8, 10, 12, 17, 18, 19, 26,
27, 28, 37, 38, 40, 41, 43, 83, 101, 102,
103, 105, 113, 152, 153, 154, 155, 160,
161, 162, 174, 175, 176, 179, 181, 182,
190, 191, 192, 195, 196, 197, 218, 219,
221, 222, 226, 227, 268, 269, 270, 271,
275, 276, 277, 285, 286, 287, 290, 291,
292, 309, 310, 311, 313
, 314, 315, 316
food and water requirements, 161, 226,
291, 315
guinea pigs, 42, 43
hamsters, v, 38, 42, 43, 127, 166, 167, 168,
169, 170 171, , 172, 173, 174, 175, 176,
177, 178, 179, 180, 181, 182, 183
health certication, 83, 101, 102
humane standards, 10
licensing, 11, 36, 37, 50, 51
marine mammals, vii, 41, 129, 231, 232,
233, 234, 235, 236, 237, 238, 242, 254,
255, 256, 257, 258, 259, 260, 261, 270,
271, 272, 273, 274, 275
, 276, 277, 278
nonhuman primates, vii, 43, 53, 101, 128,
199, 200, 201, 202, 203, 204, 205, 206,
207, 208, 209, 210, 211, 212, 213, 214,
215, 216, 217, 218, 219, 221, 222, 223,
224, 225, , 227, 228, 229, 230
other animals, iv
226
, 17, 48, 83, 101, 114, 115,
122, 132, 140, 166, 184, 199, 204, 206,
225, 228, 259, 282, 295, 299, 300, 308,
317
primary conveyances, 153, 159, 179, 180
,
194, 195, 224, 225, 274, 289, 314
primary enclosures, 133, 140, 142, 143,
144, 148, 149, 154, 155, 162, 168, 169,
171, 172, 173, 175, 177, 178, 179, 182,
186, 187, 188, 189, 191, 194, 195, 197,
201, 211, 213, 216, 221, 222, 223, 225,
234, 236, 237, 238, 257, 258, 273, 277,
281, 284, 286, 289, 290, 292, 298, 299,
303, 306, 307, 308, 311, 313
rabbits, vi, 39
, 42, 43, 128, 184, 185, 186,
187, 188, 189, 190, 191, 192, 193, 194,
195, 196, 197, 198
recordkeeping, i, 10, 97, 258
surface transportation, 158, 159, 181, 196,
224, 225, 291, 316
terminal facilities, 153, 162, 163, 228, 317
transporting devices
denition of, 44
shelter from cold temperatures, 164, 230
transporting vehicles, 44
traveling housing facilities. Seemobile or
traveling housing facilities
Index
U
United States Court of Appeals, 23
United States Government, 9, 18
V
ventilation, 11, 12, 85, 118, 133, 135, 137,
139, 155, 156, 157, 159, 163, 176, , 179,
180, 182, 185, 193, 194, 195, 197, 201
177
, 203,
204, 208, 221, 222, 223, 228, 271, 273, 277,
287, 288, 289, 292, 296, 298, 312, 313, 318
auxiliary, 159
indoor housing facilities, 136, 167, 185,
281
mobile or traveling housing facilities, 126,
128, 139, 140, 207, 208
primary enclosures, 133, 140, 142, 143,
144, 148, 149, 154, 155, 162, 168, 169,
171, 172, 173, 175, 177, 178, 179, 182,
186, 187, 188, 189, 191, 194, 195, 197,
201, 211, 213, 216, 221, 222,
223, 225,
234, 236, 237, 238, 257, 258, 273, 277,
281, 284, 286, 289, 290, 292, 298, 299,
303, 306, 307, 308, 311, 313
sheltered housing facilities, 136, 137, 203,
204
terminal facilities, 153, 162, 163, 228, 317
vermin, 133, 134, 139, 149, 162, 166, 182,
184, 197, 200, 201, 202, 217, 228, 234, 235,
280, 292, 296, 297, 307, 308, 317.
SeePest Control
veterinary care, 11, 22, 47, 72, 73, 85, 87, 118,
125,
147, 150, 161, 162, 171, 172, 181, 188,
196, 197, 215, 227, 266, 275, 276, 291, 292,
316
daily observation, 73, 87
importation of live dogs, 21
licensed veterinarians, 41
major operative procedures, 68
marine mammals, 41, 129, 231, 232, 233,
234, 235, 236, 237, 238, 242, 254, 255,
256, 257, 258, 259, 260, 261, 270, 271,
272, 273, 274, 275, 276, 277, 278
preventative care and treatment, 11, 22,
47, 72, 73, 85, 87, 119, 125
swim-with-the-dolphin (SWTD)
programs, 292, 316
violations, 21, 23, 24, 27, 28
, 31, 72
by licensees, i, 22, 47
penalties for, 20
protection of pets, 29
research, 27
state law, 26
338
INDEX
8
Index
9 CFR AWA (5-1-2023 Edition)
W
washrooms, 135, 166, 184, 202, 281, 297
waste disposal, 134, 201, 202, 235, 297
water, 12, 39, 41, 80, 81, 85, 106, 113, 118,
126, 127, 128, 129, 130, 131, 133, 134, 140,
141, 147, 148, 149, 152, 158, 159, 160, 161,
166, 168, 172, 173, 180, 181, 184, 186, 187,
188, 189, 196, 201, 202, 209, 212, 215, 216,
217, 218, 224, 225, 226, 233, 234, 235, 236,
237,
238, 239, 241, 242, 246, 247, 249, 250,
252, 253, 255, 256, 257, 260, 262, 263, 264,
268, 274, 275, 276, 277, 280, 281, 282, 284,
290, 291, 296, 297, 298, 299, 301, 302, 305,
306, 307, 308, 309, 310, 314, 315, 316
deprivation of food or water, 80, 113
potable water, 133, 148, 160, 166, 172, 184,
188, 201, 215, 225, 226, 275, 280, 284,
290, 296, 299, 305, 314, 315
requirements, 8 ,
10, 11, 12, 18, 22, 28,
30, 31, 37, 40, 41, 44, 47, 48, 50, 54, 55,
56, 58, 67, 70, 72, 74, 84,
129
105, 113, 117,
122, 125, 126, 127, 128, , 130, 131,
132, 133, 135, 136, 139, 140, 141, 142,
143, 144, 146, 150, 152, 153, 154, 158,
159, 160, 161, 162, 163, 164, 168, 169,
171, 172, 174, 176, 177, 180, 181, 182,
186, 187, 188, 191, 192, 196, 197, 199,
200, 201, 208, 209, 210, 211, 215, 219,
221, 223, 225, 226, 227, 231, 232, 233,
234, 236, 238, 239, 240, 246, 247, 248,
249, 259, 260, 261, 262, 263, 269, 271,
275, 283, 286, 287, 290, 291, 292, 296,
299, 300, 301, 304, 310, 311, 314, 315,
316, 317, 318, 319
cats and dogs, 147
guinea pigs, 166
hamsters, 166
in transport, 142, 143
nonhuman primates, 201
other animals, 284
rabbits,
188
sanitization, 126, 128, 130, 133, 148, 149,
162, 200, 216, 217, 228, 306, 307, 317
standing water, 255
water quality (marine mammals), 233, 256,
257, 268, 306
weaned, 90, 113, 141, 142, 187, 309, 314, 315
wild or exotic animals, 51, 113
wild state, 45
Z
zoos, 7, 38, 110, 205, 207
denition of, 45
See alsoexhibitions
338
