Section

[Code of Federal Regulations]
[Title 9, Volume 1]
[Revised as of January 1, 2005]
From the U.S. Government Printing Office via GPO Access
[CITE: 9CFR1.1]

[Page 7-13]
 
                  TITLE 9--ANIMALS AND ANIMAL PRODUCTS
 
  CHAPTER I--ANIMAL AND PLANT HEALTH INSPECTION SERVICE, DEPARTMENT OF 
                               AGRICULTURE
 
PART 1_DEFINITION OF TERMS--Table of Contents
 
Sec. 1.1  Definitions.




    Authority: 7 U.S.C. 2131-2159; 7 CFR 2.22, 2.80, and 371.7.


    For the purposes of this subchapter, unless the context otherwise 
requires, the following terms shall have the meanings assigned to them 
in this section. The singular form shall also signify the plural and the 
masculine form shall also signify the feminine. Words undefined in the 
following paragraphs shall have the meaning attributed to them in 
general usage as reflected by definitions in a standard dictionary.
    AC Regional Director means a veterinarian or his designee, employed 
by APHIS, who is assigned by the Administrator to supervise and perform 
the official work of APHIS in a given State or States. As used in part 2 
of this subchapter, the AC Regional Director shall be deemed to be the 
person in charge of the official work of APHIS in the State in which the 
dealer, exhibitor, research facility, intermediate handler, carrier, or 
operator of an auction sale has his principal place of business.
    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. The 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. This 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 used or 
intended for use as food or fiber, or livestock or poultry used or 
intended for use for improving animal nutrition, breeding, management, 
or production efficiency, or for improving the quality of food or fiber. 
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 official 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 certificate 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.
    Buffer area means that area in a primary enclosure for a swim-with-
the-dolphin program that is off-limits to members of the public and that 
directly abuts the interactive area.

[[Page 8]]

    Business hours means a reasonable number of hours between 7 a.m. and 
7 p.m., Monday through Friday, except for legal Federal holidays, 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 fiscal-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.
    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 definition of a 
``dealer'' (Sec. 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 definition of a ``dealer'' 
(Sec. 1.1), and whose business includes the purchase and/or resale of 
any animal. This 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 definition of an 
``exhibitor'' (Sec. 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, traffic, 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 affects 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 affiliated 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. The 
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 
profit, delivers for transportation, or transports, except as a carrier, 
buys, or sells, or negotiates the purchase or sale of: Any dog or other 
animal whether alive or dead (including unborn animals, organs, limbs, 
blood, serum, or other parts) for research, teaching, testing, 
experimentation, exhibition, or for use as a pet; or any dog at the 
wholesale level for hunting, security, or breeding purposes. This term 
does not include: A retail pet store, as defined in this section, unless 
such store sells any animal to a research facility, an exhibitor, or a 
dealer (wholesale); any retail outlet where dogs are sold for hunting, 
breeding, or security purposes; or any person who does not sell or 
negotiate the purchase or sale of any wild or exotic animal, dog, or cat 
and who derives no more than $500 gross income from the sale of animals 
other than wild or exotic animals, dogs, or cats during any calendar 
year.
    Department means the U.S. Department of Agriculture.
    Deputy Administrator means the Deputy Administrator for Animal Care 
(AC) or any other official of AC to whom authority has been delegated to 
act in his stead.

[[Page 9]]

    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 defined 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 affects commerce, or will affect commerce, to the public for 
compensation, as determined by the Secretary. This term includes 
carnivals, circuses, animal acts, zoos, and educational exhibits, 
exhibiting such animals whether operated for profit or not. This term 
excludes retail pet stores, horse and dog races, organizations 
sponsoring and all persons participating in State and county fairs, 
livestock shows, rodeos, field trials, coursing events, 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.
    Exotic animal means any animal not identified in the definition of 
``animal'' provided in this part that is native to a foreign country or 
of foreign origin or character, is not native to the United States, or 
was introduced from abroad. This term specifically includes animals such 
as, but not limited to, lions, tigers, leopards, elephants, camels, 
antelope, anteaters, kangaroos, and water buffalo, and species of 
foreign domestic cattle, such as Ankole, Gayal, and Yak.
    Farm animal means any domestic species of cattle, sheep, swine, 
goats, llamas, or horses, 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 fiber, or for improving animal nutrition, breeding, 
management, or production efficiency, or for improving the quality of 
food or fiber. This term also includes animals such as rabbits, mink, 
and chinchilla, when they are used solely for purposes of meat or fur, 
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 defined 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. The 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.
    Hybrid cross means an animal resulting from the crossbreeding 
between

[[Page 10]]

two different 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 buffalo and domestic cattle, are considered to be domestic 
animals.
    Impervious surface means a surface that does not permit the 
absorption of fluids. Such surfaces are those that can be thoroughly and 
repeatedly cleaned and disinfected, will not retain odors, and from 
which fluids bead up and run off 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, floor, 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 floor 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 definition 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.
    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 official 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 filtration 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 confines 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.
    Nonconditioned animals means animals which have not been subjected 
to special care and treatment for sufficient 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.

[[Page 11]]

    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.
    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, firm, 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, and hamsters. This term excludes exotic animals and wild 
animals.
    Positive physical contact means petting, stroking, or other 
touching, which is beneficial to the well-being of the animal.
    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 profit.
    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, 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, That 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 any outlet where only the following animals 
are sold or offered for sale, at retail, for use as pets: Dogs, cats, 
rabbits, guinea pigs, hamsters, gerbils, rats, mice, gophers, 
chinchilla, domestic ferrets, domestic farm animals, birds, and 
coldblooded species. Such definition excludes--

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    (1) Establishments or persons who deal in dogs used for hunting, 
security, or breeding purposes;
    (2) Establishments or persons exhibiting, selling, or offering to 
exhibit or sell any wild or exotic or other nonpet species of 
warmblooded animals (except birds), such as skunks, raccoons, nonhuman 
primates, squirrels, ocelots, foxes, coyotes, etc.;
    (3) Any establishment or person selling warmblooded animals (except 
birds, and laboratory rats and mice) for research or exhibition 
purposes; and
    (4) Any establishment wholesaling any animals (except birds, rats 
and mice).
    (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 off the retail pet store premises.
    Sanctuary area means that area in a primary enclosure for a swim-
with-the-dolphin program that is off-limits to the public and that 
directly abuts the buffer area.
    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 an animal has become accustomed to take solid food 
and has so done, without nursing, for a period of at least 5 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. This term includes, but 
is not limited to, animals such as: Deer, skunk, opossum, raccoon, mink, 
armadillo, coyote, squirrel, fox, wolf.
    Wild state means living in its original, natural condition; not 
domesticated.
    Zoo means any park, building, cage, enclosure, or other structure or

[[Page 13]]

premise in which a live animal or animals are kept for public exhibition 
or viewing, regardless of compensation.

[54 FR 36119, Aug. 31, 1989, as amended at 55 FR 12631, Apr. 5, 1990; 58 
FR 39129, July 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]

    Effective Date Note: At 64 FR 15920, Apr. 2, 1999, the definitions 
of buffer area, interactive area, interactive session, sanctuary area, 
and swim-with-the-dolphin (SWTD) program were suspended, effective Apr. 
2, 1999.