[Code of Federal Regulations]
[Title 9, Volume 1, Parts 1 to 199]
[Revised as of January 1, 1998]
From the U.S. Government Printing Office via GPO Access
[CITE: 9CFR1]

[Page 7-12]
 
                  TITLE 9--ANIMALS AND ANIMAL PRODUCTS
 
CHAPTER I--ANIMAL AND PLANT HEALTH INSPECTION SERVICE, DEPARTMENT OF AGRICULTURE
 
PART 1--DEFINITION OF TERMS

    Authority: 7 U.S.C. 2131-2159; 7 CFR 2.22, 2.80, and 371.2(g).

Sec. 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. 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.
    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 means the Administrator of the Animal and Plant Health 
Inspection Service, U.S. Department of Agriculture, or any other 
official of the Animal and Plant Health Inspection Service to whom 
authority has been delegated to act in his stead.
    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, and 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 means the Animal and Plant Health Inspection Service, United 
States Department of Agriculture.
    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.
    APHIS, REAC Sector Supervisor 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 APHIS, REAC Sector Supervisor 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.
    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.
    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 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 animals to a research facility, an exhibitor, or a dealer 
(wholesale); 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 Regulatory 
Enforcement and Animal Care (REAC) or any other official of REAC 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 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 any study conducted on free-living wild animals in 
their natural habitat, which does not involve an invasive procedure, and 
which does not harm or materially alter the behavior of the animals 
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 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).
    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.
    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--
    (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.
    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.
    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 
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]



                  TITLE 9--ANIMALS AND ANIMAL PRODUCTS
 
CHAPTER I--ANIMAL AND PLANT HEALTH INSPECTION SERVICE, DEPARTMENT OF AGRICULTURE
 
PART 2--REGULATIONS

                          Subpart A--Licensing

Sec.
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 officials.
2.5  Duration of license and termination of license.
2.6  Annual license fees.
2.7  Annual report by licensees.
2.8  Notification of change of name, address, control, or ownership of 
          business.
2.9  Officers, 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 initial license application.

                         Subpart B--Registration

2.25  Requirements and procedures.
2.26  Acknowledgement of regulations and standards.
2.27  Notification of change of operation.

                     Subpart C--Research Facilities

2.30  Registration.
2.31  Institutional Animal Care and Use Committee (IACUC).
2.32  Personnel qualifications.
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.

     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 identification.
2.51  Form of official 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 certification and identification.
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.
2.127  Publication of names of persons subject to the provisions of this 
          part.
2.128  Inspection for missing animals.
2.129  Confiscation and destruction of animals.
2.130  Minimum age requirements.
2.131  Handling of animals.
2.132  Procurement of random source dogs and cats, dealers.
2.133  Certification for random source dogs and cats.

    Authority: 7 U.S.C. 2131-2159; 7 CFR 2.22, 2.80, and 371.2(g).

    Source: 54 FR 36147, Aug. 31, 1989, unless otherwise noted.

                          Subpart A--Licensing

Sec. 2.1  Requirements and application.

    (a)(1) Any person operating or desiring to operate as a dealer, 
exhibitor, or operator of an auction sale, except persons who are 
exempted from the licensing requirements under paragraph (a)(3) of this 
section, must have a valid license. 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 APHIS, REAC Sector Supervisor in the 
State in which that person operates or intends to operate. The applicant 
shall provide the information requested on the application form, 
including a valid mailing address through which the licensee or 
applicant can be reached at all times, and a valid premises address 
where animals, animal facilities, equipment, and records may be 
inspected for compliance. The applicant shall file the completed 
application form with the APHIS, REAC Sector Supervisor.
    (2) If an applicant for a license or license renewal operates in 
more than one State, he or she shall apply in the State in which he or 
she has his or her principal place of business. All premises, 
facilities, or sites where such person operates or keeps animals shall 
be indicated on the application form or on a separate sheet attached to 
it. The completed application form, along with the application fee 
indicated in paragraph (d) of this section, and the annual license fee 
indicated in table 1 or 2 of Sec. 2.6 shall be filed with the APHIS, 
REAC Sector Supervisor.
    (3) The following persons are exempt from the licensing requirements 
under section 2 or section 3 of the Act:
    (i) Retail pet stores which sell nondangerous, pet-type animals, 
such as dogs, cats, birds, rabbits, hamsters, guinea pigs, gophers, 
domestic ferrets, chinchilla, rats, and mice, for pets, at retail only: 
Provided, That, Anyone wholesaling any animals, selling any animals for 
research or exhibition, or selling any wild, exotic, or nonpet animals 
retail, must have a license;
    (ii) Any person who sells or negotiates the sale or purchase 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 to a research 
facility, an exhibitor, a dealer, or a pet store during any calendar 
year and is not otherwise required to obtain a license;
    (iii) Any person who maintains a total of three (3) or fewer 
breeding female dogs and/or cats and who sells only the offspring of 
these dogs or cats, which were born and raised on his or her premises, 
for pets or exhibition, and is not otherwise required to obtain a 
license;
    (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. The 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 fiber (including fur);
    (vii) Any person who breeds and raises domestic pet animals for 
direct retail sales to another person for the buyer's own use and who 
buys no animals for resale and who sells no animals to a research 
facility, an exhibitor, a dealer, or a pet store (e.g., a purebred dog 
or cat fancier) and is not otherwise required to obtain a license;
    (viii) 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) Any person who sells fewer than 25 dogs or cats per year for 
research or teaching purposes and who is not otherwise required to 
obtain a license may obtain a voluntary license, provided the animals 
were born and raised on his or her premises. A voluntary licensee shall 
comply with the requirements for dealers set forth in this part and the 
Specifications for the Humane Handling, Care, Treatment, and 
Transportation of Dogs and Cats set forth in part 3 of this subchapter 
and shall agree in writing on a form furnished by APHIS to comply with 
all the requirements of the Act and this subchapter. Voluntary licenses 
will not be issued to any other persons. To obtain a voluntary license 
the applicant shall submit to the APHIS, REAC Sector Supervisor the 
application fee of $10 plus an annual license fee. The class of license 
issued and the fee for a voluntary license shall be that of a Class 
``A'' licensee (breeder). Voluntary licenses will not be issued to any 
other persons or for any other class of license.
    (c) No person shall have more than one license.
    (d) A license will be issued to any applicant, except as provided in 
Secs. 2.10 and 2.11, when the applicant:
    (1) Has met the requirements of this section and of Secs. 2.2 and 
2.3; and
    (2) Has paid the application fee of $10 and the annual license fee 
indicated in Sec. 2.6 to the APHIS, REAC Sector Supervisor and the 
payment has cleared normal banking procedures.
    (e)(1) On or before the expiration date of the license, a licensee 
who wishes a renewal shall submit to the APHIS, REAC Sector Supervisor a 
completed application form and the application fee of $10, plus the 
annual license fee indicated in Sec. 2.6 by certified check, cashier's 
check, personal check, or money order. A voluntary licensee who wishes a 
renewal shall also submit the $10 application fee plus an annual license 
fee. An applicant whose check is returned by the bank will be charged a 
fee of $15 for each returned check. One returned check will be deemed 
nonpayment of fees and will result in denial of license. Payment of fees 
must then be made by certified check, cashier's check, or money order. 
An applicant will not be licensed until his or her payment has cleared 
normal banking procedures.
    (2) The $10 application fee must also be paid if an applicant is 
applying for a changed class of license. The applicant may pay such fees 
by certified check, cashier's check, personal check, or money order. An applicant whose check is returned by a bank will be charged a fee of $15 for each returned check and will be required to pay all subsequent fees by 
certified check, money order, or cashier's check. A license will not be 
issued until payment has cleared normal banking procedures.
    (f) The 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.

Sec. 2.2  Acknowledgement of regulations and standards.

    (a) Application for initial license. APHIS will supply a copy of the 
applicable regulations and standards to the applicant with each request 
for a license application. The applicant shall acknowledge receipt of 
the regulations and standards and agree to comply with them by signing 
the application form before a license will be issued.
    (b) Application for license renewal. APHIS will supply a copy of the 
applicable regulations and standards to the applicant for license 
renewal with each request for a license renewal. Before a license will 
be renewed, the applicant for license renewal shall acknowledge receipt 
if the regulations and standards and shall certify by signing the 
applications form that, to the best of the applicant's knowledge and 
belief, he or she is in compliance with the regulations and standards 
and agrees to continue to comply with the regulations and standards.
[60 FR 13895, Mar. 15, 1995]

Sec. 2.3  Demonstration of compliance with standards and regulations.

    (a) Each applicant must demonstrate that his or her premises and any 
animals, facilities, vehicles, equipment, or other premises used or 
intended for use in the business comply with the regulations and 
standards set forth in parts 2 and 3 of this subchapter. Each applicant 
for an initial license or license renewal must make his or her animals, 
premises, facilities, vehicles, equipment, other premises, 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 standards and regulations.
    (b) In the case of an application for an initial license, the 
applicant must demonstrate compliance with the regulations and 
standards, as required in paragraph (a) of this section, before APHIS 
will issue a license. If the applicant's animals, premises, facilities, 
vehicles, equipment, other premises, or records do not meet the 
requirements of this subchapter, APHIS will advise the applicant of 
existing deficiencies and the corrective measures that must be completed 
to come into compliance with the regulations and standards. The 
applicant will have two more chances to demonstrate his or her 
compliance with the regulations and standards through re-inspection by 
APHIS. If the applicant fails the third inspection he or she will 
forfeit the application fee and cannot re-apply for a license for a 
period of 6 months following the third inspection. Issuance of the 
license will be denied until the applicant demonstrates upon inspection 
that the animals, premises, facilities, vehicles, equipment, other 
premises and records are in compliance with all regulations and 
standards in this subchapter.

Sec. 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 
official in the course of carrying out his or her duties.

Sec. 2.5  Duration of license and termination of license.

    (a) A license issued under this part shall be valid and effective 
unless:
    (1) The license has been revoked or suspended pursuant to section 19 
of the Act.
    (2) The license is voluntarily terminated upon request of the 
licensee, in writing, to the APHIS, REAC Sector Supervisor.
    (3) The license has expired or been terminated under this part.
    (4) The applicant has failed to pay the application fee and the 
annual license fee as required in Secs. 2.1 and 2.6. There will be no 
refund of fees if a license is terminated prior to its expiration date.
    (b) Any person who is licensed must file an application for a 
license renewal and an annual report form (APHIS Form 7003/VS Form 18-3) 
as required by Sec. 2.7, and pay the required fees, on or before the 
expiration date of the present license or the license shall expire and 
automatically terminate on its anniversary date. The licensee will be 
notified by certified mail at least 60 days prior to the expiration date 
of the license. Failure to comply with the annual reporting 
requirements, or to pay the required license fees prior to the 
expiration date of the license, shall result in automatic termination of 
such license on the anniversary date of the license.
    (c) Licensees must accept delivery of registered mail or certified 
mail notice and provide the APHIS, REAC Sector Supervisor notice of 
their address in conformity with the requirements in Sec. 2.1.
    (d) Any person who seeks the reinstatement of a license that has 
been automatically terminated must follow the procedure applicable to 
new applicants for a license set forth in Sec. 2.1.
    (e) Licenses are issued to specific persons for specific premises 
and do not transfer upon change of ownership, nor are they valid at a 
different location.
    (f) A license which is invalid under this part shall be surrendered 
to the APHIS, REAC Sector Supervisor. If the license cannot be found, 
the licensee shall provide a written statement so stating to the APHIS, 
REAC Sector Supervisor.
[54 FR 36147, Aug. 31, 1989, as amended at 60 FR 13895, Mar. 15, 1995]

Sec. 2.6  Annual license fees.

    (a) In addition to the application fee of $10 required to be paid 
upon the application for a license, license renewal, or changed class of 
license under Sec. 2.1, each licensee shall submit to the APHIS, REAC 
Sector Supervisor the annual license fee prescribed in this section. 
Paragraph (b) of this section indicates the method used to calculate the 
appropriate fee. The amount of the fee is determined from Table 1 or 2 
in paragraph (c) of this section.
    (b)(1) Class ``A'' license. The annual license renewal fee for a 
Class ``A'' dealer shall be based on 50 percent of the total gross 
amount, expressed in dollars, derived from the sale of animals to 
research facilities, dealers, exhibitors, retail pet stores, and persons 
for use as pets, directly or through an auction sale, by the dealer or 
applicant during his or her preceding business year (calendar or fiscal) 
in the case of a person who operated during such a year. If animals are 
leased, the lessor shall pay a fee based on 50 percent of any 
compensation received from the leased animals and the lessee shall pay a 
fee based upon the net compensation received from the leased animals, as 
indicated for dealers in Table 1 in paragraph (c) of this section.
    (2) Class ``B'' license. The annual license renewal fee for a Class 
``B'' dealer shall be established by calculating the total amount 
received from the sale of animals to research facilities, dealers, 
exhibitors, retail pet stores, and persons for use as pets, directly or 
through an auction sale, during the preceding business year (calendar or 
fiscal) less the amount paid for the animals by the dealer or applicant. 
This net difference, exclusive of other costs, shall be the figure used 
to determine the license fee of a Class ``B'' dealer. If animals are 
leased, the lessor and lessee shall each pay a fee based on the net 
compensation received from the leased animals calculated from Table 1 in 
paragraph (c) of this section.
    (3) The annual license renewal fee for a broker or operator of an 
auction sale shall be that of a class ``B'' dealer and shall be based on 
the total gross amount, expressed in dollars, derived from commissions 
or fees charged for the sale of animals, or for negotiating the sale of 
animals, by brokers or by the operator of an auction sale, to research 
facilities, dealers, exhibitors, retail pet stores, and persons for use 
as pets, during the preceding business year (calendar or fiscal).
    (4) In the case of a new applicant for a license as a dealer, broker 
or operator of an auction sale who did not operate during a preceding 
business year, the annual license fee will be based on the anticipated yearly dollar amount of business, as provided in paragraphs (b)(1), (2), and (3) of 
this section, derived from the sale of animals to research facilities, 
dealers, exhibitors, retail pet stores, and persons for use as pets, 
directly or through an auction sale.
    (5) The amount of the annual fee to be paid upon application for a 
class ``C'' license as an exhibitor under this section shall be based on 
the number of animals which the exhibitor owned, held, or exhibited at 
the time the application is signed and dated or during the previous 
year, whichever is greater, and will be the amount listed in Table 2 in 
paragraph (c) of this section. Animals which are leased shall be 
included in the number of animals being held by both the lessor and the 
lessee when calculating the annual fee. An exhibitor shall pay his or 
her annual license fee on or before the expiration date of the license 
and the fee shall be based on the number of animals which the exhibitor 
is holding or has held during the year (both owned and leased).
    (c) The license fee shall be computed in accordance with the 
following tables:

 Table 1--Dealers, Brokers and Operators of an Auction Sale Class ``A'' 
                            and ``B'' License                           
------------------------------------------------------------------------
                                                     But Not            
                       Over                            Over       Fee   
------------------------------------------------------------------------
$0................................................       $500        $30
500...............................................      2,000         60
2,000.............................................     10,000        120
10,000............................................     25,000        225
25,000............................................     50,000        350
50,000............................................    100,000        475
100,000...........................................  .........        750
------------------------------------------------------------------------


                Table 2--Exhibitors--Class ``C'' License                
------------------------------------------------------------------------
                        Number of Animals                           Fee 
------------------------------------------------------------------------
1 to 5..........................................................     $30
6 to 25.........................................................      75
26 to 50........................................................     175
51 to 500.......................................................     225
501 and up......................................................     300
------------------------------------------------------------------------

    (d) If a person meets the licensing requirements for more than one 
class of license, he shall be required to obtain a license and pay the 
fee for the type business which is predominant for his operation, as 
determined by the Secretary.
    (e) In any situation in which a licensee shall have demonstrated in 
writing to the satisfaction of the Secretary that he or she has good 
reason to believe that the dollar amount of his or her business for the 
forthcoming business year will be less than the previous business year, 
then his or her estimated dollar amount of business shall be used for 
computing the license fee for the forthcoming business year: Provided, 
however, That if the dollar amount upon which the license fee is based 
for that year does in fact exceed the amount estimated, the difference 
in amount of the fee paid and that which was due under paragraphs (b) 
and (c) of this section based upon the actual dollar business upon which 
the license fee is based, shall be payable in addition to the required 
annual license fee for the next subsequent year, on the anniversary date 
of his or her license as prescribed in this section.

Sec. 2.7  Annual report by licensees.

    (a) Each year, within 30 days prior to the expiration date of his or 
her license, a licensee shall file with the APHIS, REAC Sector 
Supervisor an application for license renewal and annual report upon a 
form which the APHIS, REAC Sector Supervisor will furnish to him or her 
upon request.
    (b) A person licensed as a dealer shall set forth in his or her 
license renewal application and annual report the dollar amount of 
business, from the sale of animals, upon which the license fee is based, 
directly or through an auction sale, to research facilities, dealers, 
exhibitors, retail pet stores, and persons for use as pets, by the 
licensee during the preceding business year (calendar or fiscal), and 
any other information as may be required thereon.
    (c) A licensed dealer who operates as a broker or an operator of an 
auction sale shall set forth in his or her license renewal application 
and annual report the total gross amount, expressed in dollars, derived 
from commissions or fees charged for the sale of animals by the licensee 
to research facilities, dealers, exhibitors, retail pet stores, and
persons for use as pets, during the preceding business year (calendar or 
fiscal), and any other information as may be required thereon.
    (d) A person licensed as an exhibitor shall set forth in his or her 
license renewal application and annual report the number of animals 
owned, held, or exhibited by him or her, including those which are 
leased, during the previous year or at the time he signs and dates the 
report, whichever is greater.

Sec. 2.8  Notification of change of name, address, control, or ownership 
          of business.

    A licensee shall promptly notify the APHIS, REAC Sector Supervisor 
by certified mail of any change in the name, address, management, or 
substantial control or ownership of his business or operation, or of any 
additional sites, within 10 days of any change.

Sec. 2.9  Officers, agents, and employees of licensees whose licenses 
          have been suspended or revoked.

    Any person who has been or is an officer, agent, or employee of a 
licensee whose license has been suspended or revoked and who was 
responsible for or participated in the violation upon which the order of 
suspension or revocation was based will not be licensed within the 
period during which the order of suspension or revocation is in effect.

Sec. 2.10  Licensees whose licenses have been suspended or revoked.

    (a) Any person whose license has been suspended for any reason shall 
not be licensed in his or her own name or in any other manner within the 
period during which the order of suspension is in effect. No 
partnership, firm, corporation, or other legal entity in which any such 
person has a substantial interest, financial or otherwise, will be 
licensed during that period. Any person whose license has been suspended 
for any reason may apply to the APHIS, REAC Sector Supervisor, in 
writing, for reinstatement of his or her license.
    (b) Any person whose license has been revoked shall not be licensed 
in his or her own name or in any other manner; nor will any partnership, 
firm, corporation, or other legal entity in which any such person has a 
substantial interest, financial or otherwise, be licensed.
    (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.

Sec. 2.11  Denial of initial license application.

    (a) A license will not be issued to any applicant who:
    (1) Has not complied with the raquirements of Secs. 2.1, 2.2, 2.3, 
and 2.4 and has not paid the fees indicated in Sec. 2.6;
    (2) Is not in compliance with any of the regulations or standards in 
this subchapter;
    (3) Has had a license revoked or whose license is suspended, as set 
forth in Sec. 2.10;
    (4) Has been fined, sentenced to jail, or pled nolo contendere (no 
contest) under State or local cruelty to animal laws within l year of 
application, except that if no penalty is imposed as a result of the 
plea of nolo contendere the applicant may reapply immediately; or
    (5) Has made any false or fraudulent statements, or provided any 
false or fraudulent records to the Department.
    (b) An applicant whose license application has been denied may 
request a hearing in accordance with the applicable rules of practice 
for the purpose of showing why the application for license should not be 
denied. The license denial shall remain in effect until the final legal 
decision has been rendered. Should the license denial be upheld, the 
applicant may again apply for a license l year from the date of the 
final order denying the application.
    (c) No partnership, firm, corporation, or other legal entity in 
which a person whose license application has been denied has a 
substantial interest, financial or otherwise, will be licensed within 1 
year of the license denial.

                         Subpart B--Registration

Sec. 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 
filing a properly executed form which will be furnished, upon request, 
by the APHIS, REAC Sector Supervisor. The registration form shall be 
filed with the APHIS, REAC Sector Supervisor 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 filing of a new registration 
form which will be provided by the APHIS, REAC Sector Supervisor.
    (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 effectuate the purposes of the Act.

Sec. 2.26  Acknowledgment of regulations and standards.

    APHIS will supply a copy of the regulations and standards in this 
subchapter with each registration form. The 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 filing it 
with the APHIS, REAC Sector Supervisor.

Sec. 2.27  Notification of change of operation.

    (a) A registrant shall notify the APHIS, REAC Sector Supervisor by 
certified mail of any change in the name, address, or ownership, or 
other change in operations affecting 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 APHIS, REAC Sector Supervisor 
A registrant shall notify the APHIS, REAC Sector Supervisor 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 APHIS, REAC Sector 
Supervisor. The 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.

                     Subpart C--Research Facilities

Sec. 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 filing a properly executed form which will be furnished, 
upon request, by the APHIS, REAC Sector Supervisor. The registration 
form shall be filed with the APHIS, REAC Sector Supervisor for the State 
in which the research facility has its principal place of business, and 
shall be updated every 3 years by the completion and filing of a new 
registration form which will be provided by the APHIS, REAC Sector 
Supervisor. 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 official 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 effectuate 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. The 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 filing it with the 
APHIS, REAC Sector Supervisor.
    (c) Notification of change of operation. (1) A research facility 
shall notify the APHIS, REAC Sector Supervisor by certified mail of any 
change in the name, address, or ownership, or other change in operations 
affecting its status as a research facility, within 10 days after making 
such change.
    (2) A research facility 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 APHIS, REAC Sector Supervisor. 
A research facility shall file an annual report of its status (active or 
inactive). A research facility shall notify the APHIS, REAC Sector 
Supervisor in writing at least 10 days before using, handling, or 
transporting animals again after being in an inactive status.
    (3) A research facility which goes out of business or which ceases 
to function as a research facility, 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 at any time in 
the future, may have its registration canceled by making a written 
request to the APHIS, REAC Sector Supervisor. The research facility 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.

Sec. 2.31  Institutional Animal Care and Use Committee (IACUC).

    (a) The Chief Executive Officer of the research facility shall 
appoint an Institutional Animal Care and Use Committee (IACUC), 
qualified through the experience and expertise of its members to assess 
the research facility's animal program, facilities, and procedures. 
Except as specifically 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) The members of each Committee shall be 
appointed by the Chief Executive Officer of the research facility;
    (2) The 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 affiliated 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 affiliated with the 
facility. The 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, That animal areas containing free-living wild animals 
in their natural habitat need not be included in such inspection;
    (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 Official of the research facility; Provided, however, That 
the IACUC may determine the best means of conducting evaluations of the 
research facility's programs and facilities; and Provided, further, That 
no Committee member wishing to participate in any evaluation conducted 
under this subpart may be excluded. The 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. The reports shall be reviewed and signed by a 
majority of the IACUC members and must include any minority views. The 
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 officials of 
funding Federal agencies for inspection and copying upon request. The 
reports must contain a description of the nature and extent of the 
research facility's adherence to this subchapter, must identify 
specifically any departures from the provisions of title 9, chapter I, 
subchapter A--Animal Welfare, and must state the reasons for each 
departure. The reports must distinguish significant deficiencies from 
minor deficiencies. A significant deficiency is one which, with 
reference to Subchapter A, and, in the judgment of the IACUC and the 
Institutional Official, is or may be a threat to the health or safety of 
the animals. If program or facility deficiencies are noted, the reports 
must contain a reasonable and specific plan and schedule with dates for 
correcting each deficiency. Any failure to adhere to the plan and 
schedule that results in a significant deficiency remaining uncorrected 
shall be reported in writing within 15 business days by the IACUC, 
through the Institutional Official, 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;
    (5) Make recommendations to the Institutional Official regarding any 
aspect of the research facility's animal program, facilities, or 
personnel training;
    (6) Review and approve, require modifications in (to secure 
approval), or withhold approval of those components of proposed 
activities related to the care and use of animals, as specified in 
paragraph (d) of this section;
    (7) Review and approve, require modifications in (to secure 
approval), or withhold approval of proposed significant 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 specifications 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 significant 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 justification for a departure is presented in writing; 
Provided, however, That field studies as defined in part 1 of this 
subchapter are exempt from this requirement. Further, the IACUC shall 
determine that the proposed activities or significant changes in ongoing 
activities meet the following requirements:
    (i) Procedures involving animals will avoid or minimize discomfort, 
distress, and pain to the animals;
    (ii) The 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) The 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:
    (A) Be performed with appropriate sedatives, analgesics or 
anesthetics, unless withholding such agents is justified for scientific 
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) The animals' living conditions will be appropriate for their 
species in accordance with part 3 of this subchapter, and contribute to 
their health and comfort. The 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 qualified veterinarian;
    (viii) Personnel conducting procedures on the species being 
maintained or studied will be appropriately qualified 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 non-rodents 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 do not require a dedicated facility, but must be performed using 
aseptic procedures. Operative procedures conducted at field sites need 
not be performed in dedicated facilities, but must be performed using 
aseptic procedures;
    (x) No animal will be used in more than one major operative 
procedure from which it is allowed to recover, unless:
    (A) Justified for scientific 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 Servcie, 
Regulatory Enforcement and Animal Care, Animal Care, 4700 River Road, 
Unit 84, Riverdale, Maryland 20737-1234;
    (xi) Methods of euthanasia used must be in accordance with the 
definition of the term set forth in 9 CFR part 1, Sec. 1.1 of this 
subchapter, unless a deviation is justified for scientific 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 qualified to conduct 
the review, shall review those activities, and shall have the authority 
to approve, require modifications 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 conflicting interest (e.g., is personally involved in 
the activity), except to provide information requested by the IACUC, nor 
may a member who has a conflicting interest contribute to the 
constitution of a quorum;
    (3) The 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;
    (4) The 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 
modifications required to secure IACUC approval. If the IACUC decides to 
withhold approval of an activity, it shall include in its written 
notification a statement of the reasons for its decision and give the 
principal investigator an opportunity to respond in person or in 
writing. The IACUC may reconsider its decision, with documentation in 
Committee minutes, in light of the information provided by the principal 
investigator;
    (5) The IACUC shall conduct continuing reviews of activities covered 
by this subchapter at appropriate intervals as determined by the IACUC, 
but not less than annually;
    (6) The 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. The 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 Official, 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 significant changes in ongoing 
activities that have been approved by the IACUC may be subject to 
further appropriate review and approval by officials of the research 
facility. However, those officials 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 significant change in an ongoing activity involving animals, must 
contain the following:
    (1) Identification 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 scientifically 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.
[54 FR 36147, August 31, 1989, as amended by 59 FR 67611, Dec. 30, 1994]

Sec. 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 
qualified to perform their duties. This responsibility shall be 
fulfilled in part through the provision of training and instruction to 
those personnel.
    (b) Training and instruction shall be made available, and the 
qualifications of personnel reviewed, with sufficient frequency to 
fulfill the research facility's responsibilities under this section and 
Sec. 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) The 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;
    (2) The 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 deficiencies in animal care and treatment are 
reported, including deficiencies 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) That could prevent unintended and unnecessary duplication of 
research involving animals; and
    (iv) Regarding the intent and requirements of the Act.

Sec. 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 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) The availability of appropriate facilities, personnel, 
equipment, and services to comply with the provisions of this 
subchapter;
    (2) The 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, That daily observation of animals may be 
accomplished by someone other than the attending veterinarian; and 
Provided, further, That 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.

Sec. 2.34  [Reserved]

Sec. 2.35  Recordkeeping requirements.

    (a) The 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 
significant 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 Sec. 2.31(c)(3) of this subpart, and forwarded to the Institutional 
Official.
    (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. The records shall include any offspring born of any animal 
while in the research facility's possession or under its control:
    (1) The 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) The USDA license or registration number of the person if he or 
she is licensed or registered under the Act;
    (3) The vehicle license number and state, and the driver's license 
number and state of the person, if he or she is not licensed or 
registered under the Act;
    (4) The date of acquisition of each dog or cat;
    (5) The official USDA tag number or tattoo assigned to each dog or 
cat under Sec. 2.38(g) of this subpart;
    (6) A description of each dog or cat which shall include:
    (i) The species and breed or type of animal;
    (ii) The sex;
    (iii) The date of birth or approximate age; and
    (iv) The color and any distinctive markings;
    (7) Any identification number or mark assigned to each dog or cat by 
the research facility.
    (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) The name and address of the person to whom a live dog or cat is 
transported, sold, or otherwise disposed of;
    (2) The date of transportation, sale, euthanasia, or other 
disposition of the animal; and
    (3) The 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) The USDA Interstate and International Certificate of Health 
Examination for Small Animals (APHIS Form 7001/VS Form 18-1) and Record 
of Aquisition and Dogs and Cats on Hand (APHIS Form 7005/VS Form 18-5) 
are forms which may be used by research facilities to keep and maintain 
the information required by paragraph (b) of this section.
    (2) The USDA Interstate and International Certificate of Health 
Examination for Small Animals (APHIS Form 7001/VS Form 18-1) and Record 
of Disposition of Dogs and Cats (APHIS Form 7006/VS Form 18-6) 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, That, except as provided in Sec. 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 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 
significant 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 confidentiality 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 financial information that is 
privileged or confidential will be governed by applicable sections of 
the Freedom of Information Act. Whenever the Administrator notifies a 
research facility in writing that specified 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.
[54 FR 36147, Aug. 31, 1989, as amended at 58 FR 39129, July 22, 1993; 
60 FR 13895, Mar. 15, 1995]

Sec. 2.36  Annual report.

    (a) The 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 APHIS, REAC Sector Supervisor for the State where 
the facility is located on or before December 1 of each calendar year. 
The report shall be signed and certified by the CEO or Institutional 
Official, and shall cover the previous Federal fiscal year.
    (b) The 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 specified 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 affected;
    (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 adversely affected 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.

Sec. 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 Sec. 2.31 with the following exceptions:
    (a) The Committee shall report deficiencies to the head of the 
Federal agency conducting the research rather than to APHIS; and
    (b) The 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.

Sec. 2.38  Miscellaneous.

    (a) Information as to business: furnishing of same by research 
facilities. Each research facility shall furnish to any APHIS official 
any information concerning the business of the research facility which 
the APHIS official may request in connection with the enforcement of the 
provisions of the Act, the regulations, and the standards in this 
subchapter. The information shall be furnished within a reasonable time 
and as may be specified in the request for information.
    (b) Access and inspection of records and property. (1) Each research 
facility shall, during business hours, allow APHIS officials:
    (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 
officials 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) The 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 officials by the research facility.
    (c) Publication of names of research facilities subject to the 
provisions of this part. APHIS will publish lists of research facilities 
registered in accordance with the provisions of this subpart in the 
Federal Register. The lists may be obtained upon request from the APHIS, 
REAC Sector Supervisor.
    (d) Inspection for missing animals. Each research facility shall 
allow, upon request and during business hours, police or officers 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) The police or other law officer 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) The police or other law officer 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.
    (e) Confiscation 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 official to be 
suffering 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 official shall make a reasonable effort 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 suffering 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 official may confiscate 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 official is unable to locate or 
notify the research facility as required in this section, the APHIS 
official shall contact a local police or other law officer to accompany 
him or her to the premises and shall provide for adequate care when 
necessary to alleviate the animal's suffering. If, in the opinion of the 
Administrator, the condition of the animal(s) cannot be corrected by 
this temporary care, the APHIS official shall confiscate the animal(s).
    (3) Confiscated 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. The 
research facility from which the animals were confiscated 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.
    (ii) Deprivation of food or water shall not be used to train, work, 
or otherwise handle animals; Provided, however: That the short-term 
withholding of food or water from animals, when specified in an IACUC-
approved activity that includes a description of monitoring procedures, 
is allowed by these regulations.
    (g) Identification 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 identified at the time of such delivery for 
transportation, purchase, sale, disposal, or acquisition in one of the 
following ways:
    (i) By the official tag or tattoo which was affixed 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 identifies the dog or cat 
by number.
    (2) All official tag or tattoo numbers shall be correctly listed in 
the records of purchase, acquisition, disposal, or sale which shall be 
maintained in accordance with Sec. 2.35.
    (3) Unweaned puppies or kittens need not be individually identified 
while they are maintained as a litter with their dam in the same primary 
enclosure, provided the dam has been individually identified.
    (4) The official tag shall be made of a durable alloy such as brass, 
bronze, or steel, or of a durable plastic. Aluminum of a sufficient 
thickness to assure the tag is durable and legible may also be used. The 
tag may be circular in shape and not less than 1\1/4\ inches in 
diameter, or oblong and flat in shape and not less than 2 inches by \3/
4\ 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) The 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) Official 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 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, official 
tags from commercial tag manufacturers.(FOOTNOTE\1 APPENED TO THIS PARAGRAPH) At the time the research facility is registered, the Department will assign identification letters and numbers to be used on the official tags.
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    FOOTNOTE 1\ A list of the commercial manufacturers who produce these tags 
and are known to the Department may be obtained from the APHIS, REAC 
Sector Supervisor. Any manufacturer who desires to be included in the 
list should notify the Administrator.
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    (8) Each research facility shall be held accountable for all 
official tags acquired. In the event an official tag is lost from a dog 
or cat while in the possession of a research facility, the facility 
shall make a diligent effort to locate and reapply the tag to the proper 
animal. If the lost tag is not located, the research facility shall 
affix another official tag to the animal in the manner prescribed in 
this section and record the tag number on the official records.
    (9) When a dog or cat wearing or identified by an official 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 affixed or which is identified 
by an official 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 official tags removed and retained by a research facility 
shall be held until called for by an APHIS official or for a period of 1 
year.
    (12) When official tags are removed from animals for disposal, the 
tags must be disposed of so as to preclude their reuse for animal 
identification. No animal identification number shall be used within any 
5-year period following its previous use.
    (h) Health certification. (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 
any dog, cat, or nonhuman primate unless the dog, cat, or nonhuman 
primate is accompanied by a health certificate executed and issued by a 
licensed veterinarian. The health certificate shall state that:
    (i) The licensed veterinarian inspected the dog, cat, or nonhuman 
primate on a specified 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) The Secretary may provide exceptions to the health certification 
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 certification. 
Requests should be addressed to the Animal and Plant Health Inspection 
Service, Regulatory Enforcement and Animal Care, Animal Care, 4700 River 
Road, Unit 84, Riverdale, Maryland 20737-1234.
    (3) The U.S. Interstate and International Certificate of Health 
Examination for Small Animals (APHIS Form 7001/VS Form 18-1) may be used 
for health certification by a licensed veterinarian as required by this 
section.
    (i) Holding of animals. If any research facility obtains prior 
approval of the APHIS, REAC Sector Supervisor, it may arrange to have 
another person hold animals: Provided, That:
    (1) The 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 official during 
business hours;
    (2) The animals remain under the total control and responsibility of 
the research facility; and
    (3) The Institutional Official agrees, in writing, that the other 
person or premises is a recognized animal site under its research 
facility registration. APHIS Form 7009/VS Form 18-9 shall be used for 
approval.
    (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 identification of animals requirements set forth in Sec. 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, That exceptions to the 
standards in part 3 and the provisions of subpart C of this part may be 
made only when such exceptions are specified and justified in the 
proposal to conduct the activity and are approved by the IACUC.
    (2) No person shall obtain live random source dogs or cats by use of 
false pretenses, misrepresentation, or deception.
    (3) No person shall acquire, buy, sell, exhibit, use for research, 
transport, or offer for transportation, any stolen animal.
    (4) Each research facility shall comply with the regulations set 
forth in Sec. 2.133 of subpart I of this part.
[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]

     Subpart D--Attending Veterinarian and Adequate Veterinary Care

Sec. 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) The availability of appropriate facilities, personnel, 
equipment, and services to comply with the provisions of this 
subchapter;
    (2) The 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, That daily observation of animals may be 
accomplished by someone other than the attending veterinarian; and 
Provided, further, That 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
    (5) Adequate pre-procedural and post-procedural care in accordance 
with established veterinary medical and nursing procedures.

                  Subpart E--Identification of Animals

Sec. 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 identified by an official tag of the type described in 
Sec. 2.51 affixed 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 (FOOTNOTE 2\ APPENDED TO THIS PARAGRAPH), or shall be identified by a distinctive and legible tattoo marking acceptable to and approved by the Administrator.
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    FOOTNOTE 2\ In general, well fitted collars made of leather or plastic will 
be acceptable under this provision. The use of certain types of chains 
presently used by some dealers may also be deemed acceptable. APHIS will 
determine 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. The 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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    (2) Live puppies or kittens, less than 16 weeks of age, shall be 
identified by:
    (i) An official tag as described in Sec. 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 official tag 
pursuant to Sec. 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 identified:
    (i) By affixing to the animal's neck an official tag as set forth in 
Sec. 2.51 by means of a collar made of material generally acceptable to 
pet owners as a means of identifying their pet dogs or cats (FOOTNOTE 3\ APPENDED TO THIS PARAGRAPH); or
---------------------------------------------------------------------------


    FOOTNOTE 3\ See footnote 2 in Sec. 2.50(a)(1).
---------------------------------------------------------------------------

    (ii) By a distinctive and legible tattoo marking approved by the 
Administrator.
    (2) If any live dog or cat is already identified by an official 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 identification 
number, or may replace the previous tag with his own official tag or 
approved tattoo. In either case, the class B dealer or class C exhibitor 
shall correctly list all old and new official tag numbers or tattoos in 
his or her records of purchase which shall be maintained in accordance 
with Secs. 2.75 and 2.77. Any new official 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 
identified by:
    (i) An official tag as described in Sec. 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 official tag 
pursuant to Sec. 2.51.
    (4) When any dealer has made a reasonable effort to affix an 
official 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 affixed collar and official tag, 
unless the cats are identified by a distinctive and legible tattoo or 
plastic-type collar approved by the Administrator.
    (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 official 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 Sec. 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 identified 
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 identified.
    (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 identified 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 Secs. 2.75 and 2.77.
    (2) When one or more animals, other than dogs or cats, are confined 
in a primary enclosure, the animal(s) shall be identified by:
    (i) A label attached to the primary enclosure which shall bear a 
description of the animals in the primary enclosure, including:
    (A) The number of animals;
    (B) The 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) The 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 identifies each 
animal by description or number.
    (3) When any animal, other than a dog or cat, is not confined in a 
primary enclosure, it shall be identified on a record, as required by 
Sec. 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.

Sec. 2.51  Form of official tag.

    (a) The official tag shall be made of a durable alloy such as brass, 
bronze, or steel, or of a durable plastic. Aluminum of a sufficient 
thickness to assure the tag is durable and legible may also be used. The 
tag shall be one of the following shapes:
    (1) Circular in shape and not less than 1\1/4\ inches in diameter, 
or
    (2) Oblong and flat in shape, not less than 2 inches by \3/4\ 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) The 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) Official tags shall be serially numbered. No individual dealer 
or exhibitor shall use any identification tag number more than once 
within a 5-year period.

Sec. 2.52  How to obtain tags.

    Dealers or exhibitors may obtain, at their own expense, official 
tags from commercial tag manufacturers. (FOOTNOTE 4\ APPENDED TO THIS PARAGRAPH)  At the time the dealer or 
exhibitor is issued a license or is registered, the Department will 
assign identification letters and numbers and inform them of the 
identification letters and numbers to be used on the official tags.
---------------------------------------------------------------------------


    FOOTNOTE 4\ A list of the commercial manufacturers who produce these tags 
and are known to the Department may be obtained from the APHIS, REAC 
Sector Supervisor. Any manufacturer who desires to be included in the 
list should notify the Administrator.
---------------------------------------------------------------------------

Sec. 2.53  Use of tags.

    Official tags obtained by a dealer, exhibitor, or research facility, 
shall be applied to dogs or cats in the manner set forth in Sec. 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.

Sec. 2.54  Lost tags.

    Each dealer or exhibitor shall be held accountable for all official 
tags acquired. In the event an official 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 effort to locate and reapply the tag to the proper animal. If the lost tag is not located, the dealer or 
exhibitor shall affix another official tag to the animal in the manner 
prescribed in Sec. 2.50, and record the tag number on the official 
records.

Sec. 2.55  Removal and disposal of tags.

    (a) Where a dog or cat to which is affixed or which is identified by 
an official 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 official tags removed and retained by a dealer or exhibitor 
shall be held until called for by an APHIS official or for a period of 1 
year.
    (c) When official tags are removed from animals for disposal, the 
tags must be disposed of so as to preclude their reuse for animal 
identification. No animal identification number shall be used within any 
5-year period following its previous use.

                        Subpart F--Stolen Animals

Sec. 2.60  Prohibition on the purchase, sale, use, or transportation of 
          stolen animals.

    No person shall buy, sell, exhibit, use for research, transport, or 
offer for transportation, any stolen animal.

                           Subpart G--Records

Sec. 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. The records shall 
include any offspring born of any animal while in his or her possession 
or under his or her control.
    (i) The 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) The USDA license or registration number of the person if he or 
she is licensed or registered under the Act;
    (iii) The vehicle license number and state, and the driver's license 
number and state of the person, if he or she is not licensed or 
registered under the Act;
    (iv) The 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) The date a dog or cat was acquired or disposed of, including by 
euthanasia;
    (vi) The official USDA tag number or tattoo assigned to a dog or cat 
under Secs. 2.50 and 2.54;
    (vii) A description of each dog or cat which shall include:
    (A) The species and breed or type;
    (B) The sex;
    (C) The date of birth or approximate age; and
    (D) The color and any distinctive markings;
    (viii) The method of transportation including the name of the 
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) The 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 Aquisition and 
Dogs and Cats on Hand (APHIS Form 7005/VS Form 18-5) and Record of 
Disposition of Dogs and Cats (APHIS Form 7006/VS Form 18-6) 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/VS Form 18-5 and 
APHIS Form 7006/VS Form 18-6 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/VS Form 18-5 and APHIS Form 7006/VS 
Form 18-6.
     (i) The request for a variance must consist of a written statement 
describing why APHIS Form 7005/VS Form 18-5 and APHIS Form 7006/VS Form 
18-6 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/VS Form 18-5 and APHIS Form 7006/VS 
Form 18-6 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/VS Form 18-5 and APHIS Form 7006/VS Form 18-6.
    (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. The denial of the variance shall remain in effect 
until the final legal decision has been rendered.
    (3) The USDA Interstate and International Certificate of Health 
Examination for Small Animals (APHIS Form 7001/VS Form 18-1) may be used 
by dealers and exhibitors to make, keep, and maintain the information 
required by Sec. 2.79.
    (4) 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 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 Sec. 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 of any animal 
while in his or her possession or under his or her control.
    (i) The name and address of the person from whom the animals were 
purchased or otherwise acquired;
    (ii) The USDA license or registration number of the person if he or 
she is licensed or registered under the Act;
    (iii) The vehicle license number and state, and the driver's license 
number and state of the person, if he or she is not licensed or 
registered under the Act;
    (iv) The name and address of the person to whom an animal was sold 
or given;
    (v) The date of purchase, acquisition, sale, or disposal of the 
animal(s);
    (vi) The species of the animal(s); and
    (vii) The number of animals in the shipment.
    (2) Record of Animals on Hand (other than dogs and cats) (APHIS Form 
7019/VS Form 18-19) and Record of Acquisition, Disposition, or Transport 
of Animals (other than dogs and cats) (APHIS Form 7020/VS Form 18-20) 
are 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 
Sec. 2.79.
    (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, That 
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. The dealer or exhibitor shall retain one copy of the record 
containing the information required by paragraph (b)(1) of this section.
[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]

Sec. 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) The name and address of the person who owned or consigned the 
animal(s) for sale;
    (2) The name and address of the buyer or consignee who received the 
animal;
    (3) The 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) The vehicle license number and state, and the driver's license 
number and state of the person, if he or she is not licensed or 
registered under the Act;
    (5) The date of the consignment;
    (6) The official USDA tag number or tattoo assigned to the animal 
under Secs. 2.50 and 2.54;
    (7) A description of the animal which shall include:
    (i) The species and breed or type of animal;
    (ii) The sex of the animal; and
    (iii) The date of birth or approximate age; and
    (iv) The color and any distinctive markings;
    (8) The 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, That 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.

Sec. 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 Sec. 2.80, including, where 
necessary, both the return transportation charges and an amount 
sufficient to reimburse the carrier for out-of-pocket expenses incurred 
for the care, feeding, and storage of the animal. The 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 notification and the final notification to the consignee and 
the name of the person notifying the consignee, as provided in 
Sec. 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 certification completed as required by 
Sec. 2.79, tendered with each live dog, cat, or nonhuman primate.

Sec. 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 certificate executed and issued by a licensed 
veterinarian. The health certificate shall state that:
    (1) The licensed veterinarian inspected the dog, cat, or nonhuman 
primate on a specified 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.
    (b) The Secretary may provide exceptions to the health certification 
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 certification. 
Requests should be addressed to the Animal and Plant Health Inspection 
Service, Regulatory Enforcement and Animal Care, 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 certificate 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) The U.S. Interstate and International Certificate of Health 
Examination for Small Animals (APHIS Form 7001/VS Form 18-1) may be used 
for health certification by a licensed veterinarian as required by this 
section.
[54 FR 36147, August 31, 1989, as amended at 59 FR 67612, Dec. 30, 1994; 
60 FR 13896, Mar. 15, 1995]

Sec. 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 is 
unclaimed or the consignee cannot be notified 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.
    (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. The carrier or intermediate handler shall 
record the time, date, and method of each attempted notification and the 
final notification 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 notified 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 notified 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 notification, 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 notified 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 or other incidental expenses 
incurred in the transportation of any animal.

Sec. 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 specified, 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 notifies a dealer, exhibitor, broker, 
operator of an auction sale, carrier, or intermediate handler in writing 
that specified 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.

         Subpart H--Compliance With Standards and Holding Period

Sec. 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.

Sec. 2.101  Holding period.

    (a) Any live dog or cat acquired by a dealer (FOOTNOTE 5\ APPENDED TO THIS PARAGRAPH)  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:
---------------------------------------------------------------------------


    FOOTNOTE 5/ An operator of an auction sale is not considered to have 
acquired a dog or cat which is sold through the auction sale.
---------------------------------------------------------------------------

    (1) That 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 minimum holding period of 24 hours by each 
subsequent dealer or exhibitor excluding time in transit;
    (3) Any dog or cat suffering 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 
Sec. 2.131.

Sec. 2.102  Holding facility.

    (a) If any dealer or exhibitor obtains the prior approval of the 
APHIS, REAC Sector Supervisor, he may arrange to have another person 
hold animals for the required period provided for in paragraph (a) of 
Sec. 2.101: Provided, That:
    (1) The 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 official during business 
hours; and
    (2) The 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 Sec. 2.1 to have animals held for purposes of 
this section by another licensed dealer or exhibitor. APHIS Form 7009/VS 
Form 18-9 shall be used for approval.
    (b) If any intermediate handler obtains prior approval of the APHIS, 
REAC Sector Supervisor, it may arrange to have another person hold 
animals: Provided, That:
    (1) The 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 official during business 
hours; and
    (2) The animals remain under the total control and responsibility of 
the research facility or intermediate handler.
[54 FR 36147, Aug. 31, 1989, as amended at 60 FR 13896, Mar. 15, 1995]

                        Subpart I--Miscellaneous

Sec. 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 official any information 
concerning the business of the dealer, exhibitor, operator of an auction 
sale, intermediate handler or carrier which the APHIS official may 
request in connection with the enforcement of the provisions of the Act, 
the regulations and the standards in this subchapter. The information 
shall be furnished within a reasonable time and as may be specified in 
the request for information.

Sec. 2.126  Access and inspection of records and property.

    (a) Each dealer, exhibitor, intermediate handler, or carrier, shall, 
during business hours, allow APHIS officials:
    (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 officials 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) The use of a room, table, or other facilities necessary for the 
proper examination of the records and inspection of the property or 
animals shall be extended to APHIS officials by the dealer, exhibitor, 
intermediate handler or carrier.

Sec. 2.127  Publication of names of persons subject to the provisions of 
          this part.

    APHIS will publish lists of persons licensed or registered in 
accordance with the provisions of this part in the Federal Register. The 
lists may be obtained upon request from the APHIS, REAC Sector 
Supervisor.

Sec. 2.128  Inspection for missing animals.

    Each dealer, exhibitor, intermediate handler and carrier shall 
allow, upon request and during business hours, police or officers 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) The police or other law officer 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) The police or other law officer 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 
clothing, footwear, and masks where required, or to prevent the escape 
of an animal.

Sec. 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 official to be suffering 
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 official shall 
make a reasonable effort 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 suffering 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 
official may confiscate 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 official is unable to locate or 
notify the dealer, exhibitor, intermediate handler, or carrier as 
required in this section, the APHIS official shall contact a local 
police or other law officer to accompany him to the premises and shall 
provide for adequate care when necessary to alleviate the animal's 
suffering. If in the opinion of the Administrator, the condition of the 
animal(s) cannot be corrected by this temporary care, the APHIS official 
shall confiscate the animals.
    (c) Confiscated animals may be placed, by sale or donation, with 
other licensees or registrants which comply with the standards and 
regulations and can provide proper care, or they may be euthanized. The 
dealer, exhibitor, intermediate handler, or carrier from whom the 
animals were confiscated shall bear all costs incurred in performing the 
placement or euthanasia activities authorized by this section.

Sec. 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.

Sec. 2.131  Handling of animals.

    (a)(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, That the short-term 
withholding of food or water from animals by exhibitors is allowed by these regulations as long as each of the animals affected receives its full dietary and nutrition requirements each day.
    (b)(1) During public exhibition, any animal must be handled so there 
is minimal risk of harm to the animal and to the public, with sufficient 
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.
    (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.
    (c)(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 identifiable 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.

Sec. 2.132  Procurement of random source dogs and cats, 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.
    (b) A class ``B'' dealer shall not obtain live random source dogs 
and cats from individuals who have not bred and raised the dogs and cats 
on their own premises.
    (c) Live nonrandom source dogs and cats may be obtained from persons 
who have bred and raised the dogs and cats on their own premises, such 
as hobby breeders.
    (d) No person shall obtain live random source dogs or cats by use of 
false pretenses, misrepresentation, or deception.
    (e) 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) The animal pound or shelter shall be located on premises that 
are physically separated from the licensed or registered facility. The 
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. The records 
shall be in accordance with Secs. 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) The date the dog or cat was transferred to the dealer.
    (3) Any dealer who obtains or acquires a live random source 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 
Sec. 2.101.

Sec. 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. This holding period shall include at least one Saturday. The 
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 certification that contains the 
following information:
    (1) The name, address, USDA license number, and signature of the 
dealer;
    (2) The 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) The species and breed or type (for mixed breeds, estimate the 
two dominant breeds or types);
    (ii) The sex;
    (iii) The date of birth or, if unknown, then the approximate age;
    (iv) The color and any distinctive markings; and
    (v) The Official USDA-approved identification number of the animal. 
However, if the certification is attached to a certificate provided by a 
prior dealer which contains the required description, then only the 
official identification numbers are required;
    (4) The 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 notified that the cat or dog might be used 
for research or educational purposes;
    (5) The 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. This statement must at least describe the 
animals by their official USDA identification numbers. It may be 
incorporated within the certification if the dealer makes the 
certification at the time that the animals are acquired from the pound 
or shelter or it may be made separately and attached to the 
certification later. If made separately, it must include the same 
information describing each animal as is required in the certification. 
A photocopy of the statement will be regarded as a duplicate original.
    (c) The original certification 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 certification required by paragraph (b) of 
this section and must attach that certification (including any 
previously attached certification) to the certification which he or she 
provides pursuant to paragraph (b) of this section (a photocopy of the 
original certification 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 certification 
required under paragraph (b) of this section shall keep, maintain, and 
make available for APHIS inspection a copy of the certification for at 
least 1 year following disposition.
    (f) A research facility which acquires any live random source dog or 
cat from a dealer must obtain the certification required under paragraph 
(b) 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 certification required by paragraph (b) of this 
section must accompany the dog or cat transferred. The research facility 
to which the dog or cat is transferred shall keep, maintain, and make 
available for APHIS inspection the copy of the certification for at 
least 3 years following disposition.
[58 FR 39129, July 22, 1993]


                  TITLE 9--ANIMALS AND ANIMAL PRODUCTS
 
CHAPTER I--ANIMAL AND PLANT HEALTH INSPECTION SERVICE, DEPARTMENT OF AGRICULTURE
 
PART 3--STANDARDS

Subpart A--Specifications for the Humane Handling, Care, Treatment, and 
                     Transportation of Dogs and Cats

                   Facilities and Operating Standards

Sec.
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.

                        Transportation Standards

3.13  Consignments to carriers and intermediate handlers.
3.14  Primary enclosures used to transport live dogs and cats.
3.15  Primary conveyances (motor vehicle, rail, air, and marine).
3.16  Food and water requirements.
3.17  Care in transit.
3.18  Terminal facilities.
3.19  Handling.

Subpart B--Specifications 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  Classification 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--Specifications 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.

                  Animal Health and Husbandry Standards

3.54  Feeding.
3.55  Watering.
3.56  Sanitation.
3.57  Employees.
3.58  Classification 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--Specifications 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

3.82  Feeding.

3.83  Watering.

3.84  Cleaning, sanitization, housekeeping, and pest control.

3.85  Employees.

                        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--Specifications 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  [Reserved]

                        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 water requirements.

3.116  Care in transit.

3.117 Terminal facilities.

3.118  Handling.

Subpart F--Specifications for the Humane Handling, Care, Treatment, and 
 Transportation of Warmblooded Animals Other Than Dogs, Cats, Rabbits, 
      Hamsters, Guinea Pigs, Nonhuman Primates, and Marine Mammals

                   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.
3.134--3.135  [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.

    Authority: 7 U.S.C. 2131-2159; 7 CFR 2.22, 2.80, and 371.2(d).

    Source: 32 FR 3273, Feb. 24, 1967, unless otherwise noted.

Subpart A--Specifications for the Humane Handling, Care, Treatment, and 
                   Transportation of Dogs and Cats (FOOTNOTE 2\ APPENDED TO THIS PARAGRAPH) 

    Source: 56 FR 6486, Feb. 15, 1991, unless otherwise noted.

                   Facilities and Operating Standards

Sec. 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. 
They must be kept in good repair, and they must protect the animals from 
injury, contain the animals securely, and restrict other animals from 
entering.
---------------------------------------------------------------------------


    FOOTNOTE 1\ These minimum standards apply only to live dogs and cats, unless 
stated otherwise.
---------------------------------------------------------------------------

    (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 fixtures 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. The surfaces of housing 
facilities--including houses, dens, and other furniture-type fixtures 
and 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. 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 affects 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 fixtures 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 
Sec. 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 sufficient 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 sufficient 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 
Sec. 3.11(b)(3) for primary enclosures.
    (d) Water and electric power. The 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. The housing facility 
must provide adequate running potable water for the dogs' and cats' 
drinking needs, 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. The supplies must be stored off the floor 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 fitting 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 fluids 
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 backflow of gases and the backup of sewage onto the floor. 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 leakproof and must have 
tightly fitted 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.
    (g) Washrooms and sinks. Washing facilities such as washrooms, 
basins, sinks, or showers must be provided for animal caretakers and 
must be readily accessible.

Sec. 3.2  Indoor housing facilities.

    (a) Heating, cooling, and temperature. Indoor housing facilities for 
dogs and cats must be sufficiently heated and cooled when necessary to 
protect the dogs and cats from temperature 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  deg.F (10  deg.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 infirm 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  deg.F (10  deg.C). The ambient 
temperature must not fall below 45  deg.F (7.2  deg.C) for more than 4 
consecutive hours when dogs or cats are present, and must not rise above 
85  deg.F (29.5  deg.C) for more than 4 consecutive hours when dogs or 
cats are present.
    (b) Ventilation. Indoor housing facilities for dogs and cats must be 
sufficiently 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  deg.F (29.5  deg.C) or higher. The 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 the 
facility, and observation of the dogs and cats. Animal areas must be 
provided a regular diurnal lighting cycle of either natural or 
artificial light. Lighting must be uniformly diffused throughout animal 
facilities and provide sufficient 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. The floors and walls of indoor housing 
facilities, and any other surfaces in contact with the animals, must be 
impervious to moisture. The ceilings of indoor housing facilities must 
be impervious to moisture or be replaceable (e.g., a suspended ceiling 
with replaceable panels).

Sec. 3.3  Sheltered housing facilities.

    (a) Heating, cooling, and temperature. The sheltered part of 
sheltered housing facilities for dogs and cats must be sufficiently 
heated and cooled when necessary to protect the dogs and cats from 
temperature extremes and to provide for their health and well-being. The 
ambient temperature in the sheltered part of the facility must not fall 
below 50  deg.F (10  deg.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 infirm 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  
deg.F (10  deg.C). The ambient temperature must not fall below 45  deg.F 
(7.2  deg.C) for more than 4 consecutive hours when dogs or cats are 
present, and must not rise above 85  deg.F (29.5  deg.C) for more than 4 
consecutive hours when dogs or cats are present.
    (b) Ventilation. The enclosed or sheltered part of sheltered housing 
facilities for dogs and cats must be sufficiently ventilated 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, doors, vents, fans, or air 
conditioning. Auxiliary ventilation, such as fans, blowers, or air-
conditioning, must be provided when the ambient temperature is 85  deg.F 
(29.5  deg.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 
artificial light. Lighting must be uniformly diffused throughout animal 
facilities and provide sufficient 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. The 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) The following areas in sheltered housing 
facilities must be impervious to moisture:
    (i) Indoor floor areas in contact with the animals;
    (ii) Outdoor floor areas in contact with the animals, when the floor 
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 floor areas in contact with the animals and exposed to 
the direct sun may consist of compacted earth, absorbent bedding, sand, 
gravel, or grass.

Sec. 3.4  Outdoor housing facilities.

    (a) Restrictions. (1) The following categories of dogs or cats must 
not be kept in outdoor facilities, unless that practice is specifically 
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, infirm, 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  deg.F (10  deg.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 floor, 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 effect 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  deg.F (10  deg.C). Additional clean, dry bedding is required when the temperature is 35  deg.F (1.7  deg.C) or 
lower.
    (c) Construction. Building surfaces in contact with animals in 
outdoor housing facilities must be impervious to moisture. Metal 
barrels, cars, refrigerators or freezers, and the like must not be used 
as shelter structures. The floors 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.

Sec. 3.5  Mobile or traveling housing facilities.

    (a) Heating, cooling, and temperature. Mobile or traveling housing 
facilities for dogs and cats must be sufficiently heated and cooled when 
necessary to protect the dogs and cats from temperature extremes and to 
provide for their health and well-being. The ambient temperature in the 
mobile or traveling housing facility must not fall below 50  deg.F (10  
deg.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 
infirm dogs and cats. Dry bedding, solid resting boards, or other 
methods of conserving body heat must be provided when temperatures are 
below 50  deg.F (10  deg.C). The ambient temperature must not fall below 
45  deg.F (7.2  deg.C) for more than 4 consecutive hours when dogs or 
cats are present, and must not exceed 85  deg.F (29.5  deg.C) for more 
than 4 consecutive hours when dogs or cats are present.
    (b) Ventilation. Mobile or traveling housing facilities for dogs and 
cats must be sufficiently 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  deg.F (29.5  deg.C) or 
higher.
    (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 artificial light. Lighting must be uniformly diffused 
throughout animal facilities and provide sufficient illumination to aid 
in maintaining good housekeeping practices, adequate cleaning, adequate 
inspection of animals, and for the well-being of the animals.

Sec. 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. The 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 sufficient 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 Sec. 3.11(b) of this 
subpart, or be replaceable when worn or soiled;
    (x) Have floors that are constructed in a manner that protects the 
dogs' and cats' feet and legs from injury, and that, if of mesh or slatted 
construction, do not allow the dogs' and cats' feet to pass through any 
openings in the floor. If the floor of the primary enclosure is 
constructed of wire, a solid 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 must be provided; and
    (xi) Provide sufficient 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.
    (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 floor 
space as follows:
    (i) Prior to February 15, 1994 each cat housed in any primary 
enclosure shall be provided a minimum of 2\1/2\ square feet of floor 
space;
    (ii) On and after February 15, 1994:
    (A) Each primary enclosure housing cats must be at least 24 in. high 
(60.96 cm);
    (B) Cats up to and including 8.8 lbs (4 kg) must be provided with at 
least 3.0 ft\2\ (0.28 m\2\);
    (C) Cats over 8.8 lbs (4 kg) must be provided with at least 4.0 
ft\2\ (0.37 m\2\);
    (iii) Each queen with nursing kittens must be provided with an 
additional amount of floor space, based on her breed and behavioral 
characteristics, and in accordance with generally accepted husbandry 
practices. If the additional amount of floor 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
    (iv) The minimum floor space required by this section is exclusive 
of any food or water pans. The litter pan may be considered part of the 
floor space if properly cleaned and sanitized.
    (2) Compatibility. All cats housed in the same primary enclosure 
must be compatible, as determined by observation. Not more than 12 adult 
nonconditioned 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 
sufficient 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. The 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 floor 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 Sec. 3.14 of this 
subpart other than the marking requirements in Sec. 3.14(a)(6) of this 
subpart. 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 floor 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 its tail) plus 6 
inches; then divide the product by 144. The calculation is: (length of 
dog in inches + 6)  x  (length of dog in inches + 6) = required floor 
space in square inches. Required floor space in inches/144 = required floor space in square feet.
    (ii) Each bitch with nursing puppies must be provided with an 
additional amount of floor 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 floor 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) The 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 That, 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 
nonconditioned 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 Sec. 3.14 of this 
subpart other than the marking requirements in Sec. 3.14(a)(6) of this 
subpart. When the show or act is not traveling, the dogs must be placed 
in primary enclosures that meet the minimum requirements of this 
section.
    (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 floor 
area and height requirements provided in paragraphs (b)(1) and (c)(1) of 
this section, but that provide the dogs or cats with a sufficient 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 Office of Management and Budget under control number 
0579-0093)

[56 FR 6486, Feb. 15, 1991, as amended at 62 FR 43275, Aug. 13, 1997]

                  Animal Health and Husbandry Standards

Sec. 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 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.

Sec. 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. The plan must include written standard procedures to be 
followed in providing the opportunity for exercise. The plan must be 
made available to APHIS upon request, and, in the case of research 
facilities, to officials of any pertinent funding Federal agency. The 
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 floor space for that dog, as indicated by Sec. 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 affect the health or well-being of the dog(s); or
    (3) Any dog exhibits aggressive or vicious behavior.
    (c) Methods and period of providing exercise opportunity. (1) The 
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) The 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 floor space requirements of Sec. 3.6(c)(1) of this 
subpart;
    (ii) Maintaining individually housed dogs in cages, pens, or runs 
that provide at least twice the minimum floor space required by 
Sec. 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 scientific 
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 officials or any pertinent funding Federal agency upon request. 
(Approved by the Office of Management and Budget under control number 
0579-0093)

Sec. 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. The 
food must be uncontaminated, wholesome, palatable, and of sufficient 
quantity and nutritive value to maintain the normal condition and weight 
of the animal. The 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 Sec. 3.11(b) of this subpart. Sanitization is achieved 
by using one of the methods described in Sec. 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 Sec. 3.11(b) of this subpart. Measures must be taken to 
ensure that there is no molding, deterioration, and caking of feed.

Sec. 3.10  Watering.

    If potable water is not continually available to the dogs and cats, 
it must be offered to the dogs and 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. Water 
receptacles must be kept clean and sanitized in accordance with 
Sec. 3.11(b) of this subpart, and before being used to water a different 
dog or cat or social grouping of dogs or cats.

Sec. 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, flushing, 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. The pans under primary enclosures 
with grill-type floors and the ground areas under raised runs with wire 
or slatted floors 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 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  deg.F (82.2  deg.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 effective program for the control of insects, 
external parasites affecting 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.

Sec. 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. The 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. The employer must be certain that the supervisor 
and other employees can perform to these standards.

                        Transportation Standards

Sec. 3.13  Consignments 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 certifies in writing to 
the carrier or intermediate handler that the dog or cat was offered food 
and water during the 4 hours before delivery to the carrier or 
intermediate handler. The certification 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 Sec. 3.16 of this subpart. The certification must 
include the following information for each dog and cat:
    (1) The consignor's name and address;
    (2) The tag number or tattoo assigned to each dog or cat under 
Secs. 2.38 and 2.50 of this chapter;
    (3) The time and date the animal was last fed and watered and the 
specific instructions for the next feeding(s) and watering(s) for a 24-
hour period; and
    (4) The consignor's signature and the date and time the 
certification 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 Sec. 3.14 of this subpart. A carrier 
or intermediate handler must not accept a dog or cat for transport if 
the primary enclosure is obviously defective or damaged and cannot reasonably be expected to safely and comfortably contain the dog or cat without causing suffering 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 Secs. 3.18 and 3.19 of this 
subpart, or unless the consignor provides them with a certificate 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 Secs. 3.18 and 3.19 of this subpart. Even if the 
carrier or intermediate handler receives this certification, the 
temperatures the dog or cat is exposed to while in a terminal facility 
must not be lower than 45  deg.F (2.2  deg.C) for more than 4 
consecutive hours when dogs or cats are present, as set forth in 
Sec. 3.18, nor lower than 45  deg.F (2.2  deg.C) for more than 45 
minutes, as set forth in Sec. 3.19, when moving dogs or cats to or from 
terminal facilities or primary conveyances. A copy of the certification 
must accompany the dog or cat to its destination and must include the 
following information:
    (1) The consignor's name and address;
    (2) The tag number or tattoo assigned to each dog or cat under 
Secs. 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  deg.F (10  deg.C); but not lower than a 
minimum temperature, specified on a certificate, 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) The signature of the veterinarian and the date the certification 
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. The 
time, date, and method of all attempted notifications and the actual 
notification of the consignee, and the name of the person who notifies 
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 notified 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 notified 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. The 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. The 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 Office of Management and Budget under control number 
0579-0093)

Sec. 3.14  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. The 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) The primary enclosure is strong enough to contain the dogs and 
cats securely and comfortably and to withstand the normal rigors of 
transportation;
    (2) The interior of the primary enclosure has no sharp points or 
edges and no protrusions that could injure the animal contained in it;
    (3) The 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;
    (4) The dog or cat can be easily and quickly removed from the 
enclosure in an emergency;
    (5) Unless the enclosure is permanently affixed 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 affixed 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) The primary enclosure has a solid, leak-proof bottom or a 
removable, leak-proof collection tray under a slatted or wire mesh floor 
that prevents seepage of waste products, such as excreta and body 
fluids, outside of the enclosure. If a slatted or wire mesh floor 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 floors 
or raised floors made of wire mesh, the primary enclosure must contain 
enough previously unused litter to absorb and cover excreta. The 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 
Sec. 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 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 
affixed 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 affixed 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. The 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.
    (3) If a primary enclosure is permanently affixed to the primary 
conveyance so that there is only a front ventilation 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 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) 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.
    (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 reattach 
securely. Food and water instructions must be attached in accordance 
with Sec. 3.13(c).

(Approved by the Office of Management and Budget under control number 
0579-0093)

Sec. 3.15  Primary conveyances (motor vehicle, rail, air, and marine).

    (a) The 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) The animal cargo space must have a supply of air that is 
sufficient 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 that ensures the health and well-being of the dogs or cats. 
The cargo areas must be pressurized when the primary conveyance used for 
air transportation is not on the ground, unless flying 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  deg.F (29.5  deg.C). Moreover, the 
ambient temperature may not exceed 85  deg.F (29.5  deg.C) for a period 
of more than 4 hours; nor fall below 45  deg.F (7.2  deg.C) for a period 
of more than 4 hours.
    (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) The 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.

Sec. 3.16  Food and water requirements.

    (a) Each dog and cat that is 16 weeks of age or more must be offered 
food at least once every 24 hours. Puppies and kittens less than 16 
weeks of age must be offered food at least once every 12 hours. Each dog 
and cat must be offered potable water at least once every 12 hours. 
These 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 offered food and potable water before transportation was begun. 
These time periods apply to carriers and intermediate handlers starting 
from the date and time stated on the certificate provided under 
Sec. 3.13(c) of this subpart. Each dog and cat must be offered 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 offered 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 
offered, in accordance with Sec. 3.13(c) of this subpart.
    (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 Office of Management and Budget under control number 
0579-0093)

Sec. 3.17  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 sufficient air for normal breathing, that the ambient 
temperature is within the limits provided in Sec. 3.15(e), and that all 
applicable standards of this subpart are being complied with. The 
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 flight. If the animal 
cargo area is not accessible during flight, 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 
sufficient air for normal breathing, that the animal cargo area meets 
the heating and cooling requirements of Sec. 3.15(d), and that all other 
applicable standards of this subpart are being complied with. The 
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) Except during the cleaning of primary enclosures, as required in 
Sec. 3.14(b) of this subpart, 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 
Sec. 3.6 or Sec. 3.14 of this subpart.
    (e) The 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.

Sec. 3.18  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 Sec. 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 
effective program in all animal holding areas for the control of 
insects, ectoparasites, and birds and mammals that are pests to dogs and 
cats.
    (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. The 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  deg.F (29.5  deg.C) or higher
    (d) Temperature. The ambient temperature in an animal holding area 
containing dogs or cats must not fall below 45  deg.F (7.2  deg.C) or 
rise above 85  deg.F (29.5  deg.C) for more than four consecutive hours 
at any time dogs or cats are present. The 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) 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 sufficient to protect the dog or cat from the direct rays of the 
sun.
    (2) Shelter from rain or snow. Sufficient protection must be 
provided to allow the dogs and cats to remain dry during rain, snow, and 
other precipitation.
    (f) Duration. The 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 Sec. 3.13(f) of this subpart.

Sec. 3.19  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 efficiently as 
possible and must provide the following during movement of the dog or 
cat:
    (1) Shelter from sunlight and extreme heat. Sufficient shade must be 
provided to protect the dog or cat from the direct rays of the sun. The 
dog or cat must not be exposed to an ambient air temperature above 85 
deg.F (29.5  deg.C) for a period of more than 45 minutes while being 
moved to or from a primary conveyance or a terminal facility. The 
temperature must be measured in the manner provided in Sec. 3.18(d) of 
this subpart.
    (2) Shelter from rain and snow. Sufficient 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  deg.F (10  deg.C). 
The dogs or cats must not be exposed to an ambient temperature below 45 
deg.F (7.2  deg.C) for a period of more than 45 minutes, unless they are 
accompanied by a certificate of acclimation to lower temperatures as 
provided in Sec. 3.13(e). The temperature must be measured in the manner 
provided in Sec. 3.18(d) of this subpart.
    (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 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) This 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 Office of Management and Budget under control number 
0579-0093)

Subpart B--Specifications for the Humane Handling, Care, Treatment, and 
               Transportation of Guinea Pigs and Hamsters

                   Facilities and Operating Standards

Sec. 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 fitting 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]

Sec. 3.26  Facilities, indoor.

    (a) Heating. Indoor housing facilities for guinea pigs or hamsters 
shall be sufficiently heated when necessary to protect the animals from 
the cold, and to provide for their health and comfort. The ambient 
temperature shall not be allowed to fall below 60 deg. F. nor to exceed 
85 deg. 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. The ambient temperature shall not be allowed 
to rise above 85 deg. F.
    (c) Lighting. Indoor housing facilities for guinea pigs or hamsters 
shall have ample light, by natural or artificial means, or both, of good 
quality and well distributed. Such lighting shall provide uniformly 
distributed illumination of sufficient 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. The 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.

Sec. 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.

Sec. 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 floor shall be provided with 
clean bedding material.
    (4) Primary enclosures equipped with mesh or wire floors shall be so 
constructed as to allow feces to pass through the spaces of the mesh or 
wire: Provided, however, That such floors 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 sufficient 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) The interior height of any primary enclosure used to confine 
guinea pigs shall be at least 6\1/2\ inches.
    (ii) Each guinea pig housed in a primary enclosure shall be provided 
a minimum amount of floor space in accordance with the following table:

                                                                        
------------------------------------------------------------------------
                                                                Minimum 
                                                               space per
                 Weight or stage of maturity                  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) The interior height of any primary enclosure used to confine 
hamsters shall be at least 5\1/2\ 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 floor space: Provided, however, 
That in the case of dwarf hamsters such floor space shall be at least 25 
square inches.
    (iii) The minimum amount of floor 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:

                                                                        
------------------------------------------------------------------------
                                           Minimum space per            
                                            hamster (square     Maximum 
                   Age                          inches)       population
                                         --------------------     per   
                                            Dwarf     Other    enclosure
------------------------------------------------------------------------
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--(1) Guinea pigs. (i) Primary enclosures shall be 
constructed and maintained so as to provide sufficient space for each 
guinea pig contained therein to make normal postural adjustments with 
adequte freedom of movement.
    (ii) The interior height of any primary enclosure used to confine 
guinea pigs shall be at least 7 inches (17.78 cm).
    (iii) Each guinea pig shall be provided a minimum amount of floor 
space in any primary enclosure as follows:

                                                                        
------------------------------------------------------------------------
                                                           Minimum floor
                                                               space    
               Weight or stage of maturity               ---------------
                                                          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 sufficient space for each hamster contained 
therein to make normal postural adjustments with adequate freedom of 
movement.
    (ii) The interior height of any primary enclosure used to confine 
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 floor space in any 
primary enclosure as follows:
                                                                        
------------------------------------------------------------------------
                        Weight              Minimum floor 
----------------------------------------     space per   
                                              hamster   
   g                     ozs              -----------------
                                        in<SUP>2  cm<SUP>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
------------------------------------------------------------------------

    (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 floor space: Provided, however, 
That in the case of nursing female dwarf hamsters such floor 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 sufficient 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

Sec. 3.29  Feeding.

    (a) Guinea pigs and hamsters shall be fed each day except as 
otherwise might be required to provide adequate veterinary care. The 
food shall be free from contamination, wholesome, palatable and of 
sufficient 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) The 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. 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 floor of a primary enclosure.
    (e) Fruit or vegetable food supplements may be placed upon the 
bedding within the primary enclosure: Provided, however, That 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.

Sec. 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.

Sec. 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, That 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 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 deg. 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 effective 
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 effective program for the control of insects, 
ectoparasites, and avian and mammalian pests shall be established and 
maintained.

Sec. 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.

Sec. 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 or 
hamsters and other susceptible species of animals in such a manner as to 
minimize dissemination of such disease.

Sec. 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.

Sec. 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 govenment 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, That 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 specific 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 
Sec. 3.36 of the standards: Provided, however, That 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 
certificate, signed by the consignor, stating that the primary enclosure 
complies with Sec. 3.36 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 guinea pig or hamster without causing suffering or injury to such live guinea pig or hamster. A copy of such certificate shall accompany the shipment to destination. The certificate of compliance shall include at least the following information:
    (1) Name and address of the consignor;
    (2) The 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) The 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 certificate 
executed by a veterinarian accredited by this Department pursuant to 
part 160 of this title on a specified 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 Secs. 3.40 and 3.41. A copy 
of such certificate shall accompany the shipment to destination. The 
certificate shall include the following information:
    (1) Name and address of the consignor;
    (2) The 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 deg. C. (45 deg. F.).''); 
and
    (4) The 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 guinea pig or hamster at the animal holding area of the 
terminal cargo facility. The time, date, and method of each attempted 
notification and the final notification 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]

Sec. 3.36  Primary enclosures used to transport live guinea pigs and 
          hamsters.

    No person subject to the Animal Welfare regulations shall offer 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 sufficient 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 fiberboard, 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, 
That 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; (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 (.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 tranported 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 sufficient 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) The interior height of primary enclosures used 
to tranport 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 floor space in accordance with the 
following table:

                    Minimum space per live guinea pig                   
------------------------------------------------------------------------
                                                   Square       Square  
                 Weight (grams)                  centimeters    inches  
------------------------------------------------------------------------
Up to 350..................................        193.6          30
350 to 600.................................        290.3          45
Over 600...................................        354.8          55
------------------------------------------------------------------------

    (2) Hamsters. (i) The 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 floor space in accordance with the 
following table:

                         Minimum space per live hamster                                         
--------------------------------------------------------------------------------                                                                                            	                                 Dwarf                   Other        
                              ----------------------  -------------------------
 Age                            Square       Square     Square       Square 
                              centimeters    inches   centimeters    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 Sec. 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 sufficient quantity to absorb and cover excreta, unless the guinea pigs or hamsters are on wire or other nonsolid floors.
    (g) Primary enclosures used to transport live guinea pigs or 
hamsters, except where such primary enclosures are permanently affixed 
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 affixed 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]

Sec. 3.37  Primary conveyances (motor vehicle, rail, air, and marine).

    (a) The 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) The 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 sufficient 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 
guinea pig or hamster has access to sufficient 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) The 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) The 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  deg.F (23.9  deg.C) 
or higher. The ambient temperature within the animal cargo space shall 
not exceed 85  deg.F (29.5  deg.C) or fall below 45  deg.F (7.2  deg.C), 
except that the ambient temperature in the cargo space may be below 45 
deg.F (7.2  deg.C) for hamsters if the hamsters are accompanied by a 
certificate of acclimation to lower temperatures, as provided in 
Sec. 3.35(c) of this part.
[42 FR 31563, June 21, 1977, as amended at 55 FR 28882, July 16, 1990]

Sec. 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 sufficient to satisfy their food and water 
needs, during transit.
    (b) Any dealer, research facility, exhibitor or operator of an 
auction sale offering 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]

Sec. 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 sufficient 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 flight. If the animal cargo space is not accessible 
during flight, 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 
sufficient 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. The 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.
    (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]

Sec. 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 Sec. 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 effective 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 deg. C. (75. deg. F.) or higher. 
The air temperature around any live guinea pig or hamster in any animal 
holding area shall not be allowed to fall below 7.2 deg. C. (45 deg. F.) 
nor be allowed to exceed 29.5 deg. C. (85 deg. 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]

Sec. 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 efficiently 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, sufficient 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 deg. C. (85 deg. F.), and which shall 
be measured and read in the manner prescribed Sec. 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 deg. C. (50 deg. F.), and such live 
guinea pigs and hamsters shall not be subjected to surrounding air 
temperatures which fall below 7.2 deg. C. (45 deg. F.), and which shall 
be measured and read in the manner prescribed in Sec. 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]

 Subpart C--Specifications for the Humane Handling, Care, Treatment and 
                        Transportation of Rabbits

                   Facilities and Operating Standards

Sec. 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]

Sec. 3.51  Facilities, indoor.

    (a) Heating. Indoor housing facilities for rabbits need not be 
heated.
    (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 deg. F. or higher.
    (c) Lighting. Indoor housing facilities for rabbits shall have ample 
light, by natural or artificial means, or both, of good quality and well 
distributed. Such lighting shall provide uniformly distributed 
illumination of sufficient 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. The 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.

Sec. 3.52  Facilities, outdoor.

    (a) Shelter from sunlight. When sunlight is likely to cause 
overheating or discomfort, sufficient 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 deg. F. artificial 
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 deg. F.
    (d) Protection from predators. Outdoor housing facilities for 
rabbits 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.

Sec. 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) The floors 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 floors.
    (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 sufficient 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 floor space, 
exclusive of the space taken up by food and water receptacles, in 
accordance with the following table:

                                                                        
------------------------------------------------------------------------
                                                                Minimum 
                                                               space per
              Category                  Individual weights      rabbit  
                                             (pounds)           (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 sufficient 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 floor space, exclusive of the space taken up by food and water receptacles, in accordance with the following table:

                                                                                                                
--------------------------------------------------------------------------------
       Individual weights        Minimum floor space     Minimum interior height
                           --------------------------    -----------------------
     kg       lbs               m2             ft2             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                                                                                           
 
  
--------------------------------------------------------------------------------
                                                                                                                
--------------------------------------------------------------------------------
    Weight of nursing female    Minimum floor space/     Minimum interior height
                                  female & litter                                                             
     kg       lbs               m2              ft2             cm           in    
--------------------------------------------------------------------------------
Females with litters.............
     <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 sufficient 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

Sec. 3.54  Feeding.

    (a) Rabbits shall be fed at least once each day except as otherwise 
might be required to provide adequate veterinary care. The food shall be 
free from contamination, wholesome, palatable and of sufficient 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.

Sec. 3.55  Watering.

    Sufficient potable water shall be provided daily except as might 
otherwise be required to provide adequate veterinary care. All watering 
receptacles shall be sanitized when dirty: Provided, however, That such 
receptacles shall be sanitized at least once every 2 weeks.

Sec. 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 floors, 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 floors, 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 deg. 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 effective disinfectant, or by 
cleaning all soiled surfaces with live steam or flame.
    (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 effective program for the control of insects, 
ectoparasites, and avian and mammalian pests shall be established and 
maintained.

Sec. 3.57  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.

Sec. 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 scientific 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.

Sec. 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.

Sec. 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, That 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 specific 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 Sec. 3.61 of 
the standards: Provided, however, That 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 certificate, signed by the 
consignor, stating that the primary enclosure complies with Sec. 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 suffering or injury to such live 
rabbit. A copy of such certificate shall accompany the shipment to 
destination. The certificate shall include at least the following 
information:
    (1) Name and address of the consignor;
    (2) The 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) The 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 certificate 
executed by a veterinarian accredited by this Department pursuant to 
part 160 of this title on a specified 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 those prescribed in Secs. 3.65 and 3.66. A copy of such certificate 
shall accompany the shipment to destination. The certificate shall 
include at least the following information:
    (1) Name and address of the consignor;
    (2) The 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 deg. C. (45 deg. F.).)''; 
and
    (4) The 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. The time, date, and method of each attempted notification and 
the final notification 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]

Sec. 3.61  Primary enclosures used to transport live rabbits.

    No person subject to the Animal Welfare regulations shall offer 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) The stuctural strength of the enclosure shall be sufficient to 
contain the live rabbits 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 rabbits contained therein;
    (3) The openings of such enclosures are easily accessible at all 
times for emergency removal of the live rabbits;
    (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, That 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 specie of animals.
    (c) Primary enclosures used to transport live rabbits shall be large 
enough to ensure that each rabbit contained therein has sufficient 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.
    (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 Sec. 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 sufficient quantity to absorb and cover excreta, 
unless the rabbits are on wire or other nonsolid floors.
    (f) Primary enclosures used to transport live rabbits, except where 
such primary enclosures are permanently affixed in the animal cargo 
space of the primary conveyance, shall be clearly marked on top and on 
one or more sides with the works ``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 affixed 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]

Sec. 3.62  Primary conveyances (motor vehicle, rail, air, and marine).

    (a) The 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.
    (b) The 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 sufficient 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 sufficient 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) The 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) The 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  deg.F (23.9  deg.C) or higher. The ambient temperature 
within the animal cargo space shall not exceed 85  deg.F (29.5  deg.C) 
or fall below 45  deg.F (7.2  deg.C), except that the ambient 
temperature in the cargo space may be below 45  deg.F (7.2  deg.C) if 
the rabbits are accompanied by a certificate of acclimation to lower 
temperatures, as provided in Sec. 3.60(c) of this part.
[42 FR 31565, June 21, 1977, as amended at 55 FR 28883, July 16, 1990]

Sec. 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 sufficient to satisfy their food and water needs, during 
transit.
    (b) Any dealer, research facility, exhibitor or operator of an 
auction sale offering 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.

Sec. 3.64  Care in transit.

    (a) During surface transportation, it shall be th 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 sufficient 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 disress 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 flight. If the animal 
cargo space is not accessible during flight, 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 sufficient 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 
rabbits are in obvious physical distress. The 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.

Sec. 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 Sec. 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 
effective 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 deg. C. (75 deg. F.) or higher. The air temperature around any live rabbit in any animal holding area shall not be allowed to fall below 7.2 deg. C. (45 deg. F.) nor be allowed to exceed 29.5 deg. C. (85 deg. 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]]

Sec. 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 efficiently 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, sufficient 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 deg. C. (85 deg. F.), and which shall be measured and read in the 
manner prescribed in Sec. 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 deg. C. (50 deg. F.), and such live rabbits shall not be 
subjected to surrounding air temperatures which fall below 7.2 deg. C. 
(45 deg. F.), and which shall be measured and read in the manner 
prescribed in Sec. 3.65 of this part, for a period of more than 45 
minutes unless such rabbits are accompanied by a certificate of 
acclimation to lower temperatures as prescribed in Sec. 3.60(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 rabbit contained therein.
    (c) 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]

Subpart D--Specifications for the Humane Handling, Care, Treatment, and 
                 Transportation of Nonhuman Primates (FOOTNOTE 2\ APPENDED TO THIS PARAGRAPH) 

    Source: 56 FR 6495, Feb. 15, 1991, unless otherwise noted.

                   Facilities and Operating Standards

Sec. 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. They must be kept in good 
repair, and they must protect the animals from injury, contain the 
animals securely, and restrict other animals from entering.
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    FOOTNOTE 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. They 
come from Asia, Africa, and Central and South America, and they live in 
different habitats in nature. Some have been transported to the United 
States from their natural habitats and some have been raised in 
captivity in the United States. Their nutritional and activity 
requirements differ, 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 specifications 
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.
    These minimum standards apply only to live nonhuman primates, unless 
stated otherwise.
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    (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 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. The surfaces of housing 
facilities--including perches, shelves, swings, boxes, houses, dens, and 
other furniture-type fixtures 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 fixtures 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 affects 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 fixtures 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 
Sec. 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 sufficient 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 
Sec. 3.84(b)(3) of this subpart for primary enclosures.
    (d) Water and electric power. The 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. The 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. The supplies must be stored off the floor 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 fitting 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 fluids 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 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 
backflow of gases and the backup of sewage onto the floor. 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 flow 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 fitted 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.

Sec. 3.76  Indoor housing facilities.

    (a) Heating, cooling, and temperature. Indoor housing facilities 
must be sufficiently heated and cooled when necessary to protect 
nonhuman primates from temperature extremes and to provide for their 
health and well-being. The ambient temperature in the facility must not 
fall below 45  deg.F (7.2  deg.C) for more than 4 consecutive hours when 
nonhuman primates are present, and must not rise above 85  deg.F (29.5 
deg.C) for more than 4 consecutive hours when nonhuman primates are 
present. The 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.
    (b) Ventilation. Indoor housing facilities must be sufficiently 
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  deg.F (29.5  deg.C) or higher. The 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 artificial light. Lighting must be 
uniformly diffused throughout animal facilities and provide sufficient 
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.

Sec. 3.77  Sheltered housing facilities.

    (a) Heating, cooling, and temperature. The sheltered part of 
sheltered housing facilities must be sufficiently heated and cooled when 
necessary to protect the nonhuman primates from temperature extremes, 
and to provide for their health and well-being. The ambient temperature 
in the sheltered part of the facility must not fall below 45  deg.F (7.2 
 deg.C) for more than 4 consecutive hours when nonhuman primates are 
present, and must not rise above 85  deg.F (29.5  deg.C) for more than 4 
consecutive hours when nonhuman primates are present, unless 
temperatures above 85  deg.F (29.5  deg.C) are approved by the attending 
veterinarian, in accordance with generally accepted husbandry practices. 
The 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.
    (b) Ventilation. The sheltered part of sheltered animal facilities 
must be sufficiently 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  deg.F (29.5  deg.C) or 
higher. The 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. The 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 
artificial light. Lighting must be uniformly diffused throughout animal 
facilities and provide sufficient 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. They 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 sufficiently 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 that is 
of sufficient height to keep unwanted species out. Fences less than 6 
feet high must be approved by the Administrator. The 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 sufficient 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) The 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) The 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 Sec. 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 Office of Management and Budget under control number 
0579-0093)

Sec. 3.78  0utdoor 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. The shelter must 
safely provide heat to the nonhuman primates to prevent the ambient 
temperature from falling below 45  deg.F (7.2  deg.C), except as 
directed by the attending veterinarian and in accordance with generally 
accepted professional and husbandry practices.
    (c) Capacity: multiple shelters. The shelter must be sufficiently 
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 sufficient 
height to keep unwanted species out. Fences less than 6 feet high must 
be approved by the Administrator. The 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 
sufficient 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) The 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) The 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 Office of Management and Budget under control number 
0579-0093)

Sec. 3.79  Mobile or traveling housing facilities.

    (a) Heating, cooling, and temperature. Mobile or traveling housing 
facilities must be sufficiently heated and cooled when necessary to 
protect nonhuman primates from temperature extremes and to provide for 
their health and well-being. The ambient temperature in the traveling 
housing facility must not fall below 45  deg.F (7.2  deg.C) for more 
than 4 consecutive hours when nonhuman primates are present, and must 
not rise above 85  deg.F (29.5  deg.C) for more than 4 consecutive hours 
when nonhuman primates are present. The 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.
    (b) Ventilation. Traveling housing facilities must be sufficiently 
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  deg.F (29.5  deg.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 artificial light. 
Lighting must be uniformly diffused throughout animal facilities and 
provide sufficient 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. There 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 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.

Sec. 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 species of nonhuman primates contained in them. They 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 nonhuman 
primates;
    (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 sufficient 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 Sec. 3.84(b)(3) of this 
subpart, or replaced when worn or soiled;
    (x) Have floors that are constructed in a manner that protects the 
nonhuman primates from injuring themselves; and
    (xi) Provide sufficient 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. These minimum space 
requirements must be met even if perches, ledges, swings, or other 
suspended fixtures 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 floor space.
    (1) Prior to February 15, 1994:
    (i) Primary enclosures must be constructed and maintained so as to 
provide sufficient space to allow each nonhuman primate to make normal 
postural adjustments with adequate freedom of movement; and
    (ii) Each nonhuman primate housed in a primary enclosure must be 
provided with a minimum floor space equal to an area at least three 
times the area occupied by the primate when standing on four feet.
    (2) On and after February 15, 1994:
    (i) The 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 (SEE FOOTNOTE 3\ APPENDED TO FOLLOW THIS PARAGRAPH) and will be calculated 
by using the following table: (SEE FOOTNOTE 4\ APPENDED TO FOLLOW THIS PARAGRAPH)
---------------------------------------------------------------------------


FOOTNOTE 3\ The different 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. The 
grouping provided is based upon the typical weight for various species 
and not on changes associated with obesity, aging, or pregnancy. These 
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. 
Different species of prosimians vary in weight and should be grouped 
with their appropriate weight group. They have not been included in the 
weight table since different species typically fall into different 
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.

FOOTNOTE 4\ Examples of the kinds of nonhuman primates typically included in each age group are:
    Group 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)(ii) of this section, and brachiating species.
--------------------------------------------------------------------------------

                                                                                                                
-------------------------------------------------------------------------------- Group	              Weight                 Floor area/animal         Height      
        ----------------------------   ------------------------  ---------------
          lbs.               (kg.)            ft.2    (m2)       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)
--------------------------------------------------------------------------------
    (ii) 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)(2)(i) of this section, to allow 
for normal postural adjustments.
    (iii) 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.
    (iv) 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 floor area space required for each individual nonhuman 
primate in the table in paragraph (b)(2)(i) 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 floor area space and height requirements of the mother.
    (c) Innovative primary enclosures not precisely meeting the floor 
area and height requirements provided in paragraphs (b)(1) and (b)(2) of 
this section, but that do provide nonhuman primates with a sufficient 
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 Office of Management and Budget under control number 
0579-0093)

Sec. 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. The 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. This plan must be made available 
to APHIS upon request, and, in the case of research facilities, to 
officials of any pertinent funding agency. The plan, at a minimum, must 
address each of the following:
    (a) Social grouping. The environment enhancement plan must include 
specific provisions to address the social needs of nonhuman primates of 
species known to exist in social groups in nature. Such specific 
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. The 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 an 
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 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. The physical environment in the 
primary enclosures must be enriched by providing means of expressing 
noninjurious species-typical activities. Species differences 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) Those that show signs of being in psychological distress through 
behavior or appearance;
    (3) Those 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 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) The 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. The 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 scientific reasons set forth 
in the research proposal. The 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 
officials or officials of any pertinent funding Federal agency upon 
request.

(Approved by the Office of Management and Budget under control number 
0579-0093)
                  Animal Health and Husbandry Standards

Sec. 3.82  Feeding.

    (a) The 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. 
The food must be clean, wholesome, and palatable to the animals. It must 
be of sufficient quantity and have sufficient 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. The animals must be observed to 
determine that all receive a sufficient 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 Sec. 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 different 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.

Sec. 3.83  Watering.

    Potable water must be provided in sufficient quantity to every 
nonhuman primate housed at the facility. If potable water is not 
continually available to the nonhuman primates, it must be offered 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 Sec. 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 different nonhuman primate or social grouping of 
nonhuman primates.

(Approved by the Office of Management and Budget under control number 
0579-0093)

Sec. 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 floors, floors with absorbent bedding, and planted areas in 
primary enclosures must be spot-cleaned with sufficient 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, flushing, 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:
    (i) Live steam under pressure;
    (ii) Washing with hot water (at least 180  deg.F (82.2  deg.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 effective program for control of insects, 
external parasites affecting 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.

Sec. 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. The 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 proper 
husbandry and care of nonhuman primates to supervise others. The 
employer must be certain that the supervisor can perform to these 
standards.

                        Transportation Standards

Sec. 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 certifies in 
writing to the carrier or intermediate handler that the nonhuman primate 
was offered food and water during the 4 hours before delivery to the carrier or intermediate handler. The certification 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 
Sec. 3.89 of this subpart. The certification must include the following 
information for each nonhuman primate:
    (1) The consignor's name and address;
    (2) The species of nonhuman primate;
    (3) The time and date the animal was last fed and watered and the 
specific instructions for the next feeding(s) and watering(s) for a 24-
hour period; and
    (4) The consignor's signature and the date and time the 
certification was signed.
    (d) Carriers and intermediate handlers must not accept a nonhuman 
primate for transport in commerce unless the primary enclosure meets the 
requirements of Sec. 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 
suffering 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 
Secs. 3.91 and 3.92 of this subpart, or unless the consignor provides 
them with a certificate 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 
Secs. 3.91 and 3.92 of this subpart. Even if the carrier or intermediate 
handler receives this certification, 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 specified 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 
certification must accompany the nonhuman primate to its destination and 
must include the following information for each primary enclosure:
    (1) The consignor's name and address;
    (2) The number of nonhuman primates contained in the primary 
enclosure;
    (3) The 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  deg.F (10 
deg.C), but not lower than a minimum temperature specified on the 
certificate based on the generally and professionally accepted 
temperature range for the nonhuman primate, considering its age, 
condition, and species; and
    (5) The veterinarian's signature and the date the certification 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. The time, date, and method of all attempted notifications 
and the actual notification of the consignee, and the name of the person 
who notifies 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 notified 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 notified 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. The 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. The 
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 Office of Management and Budget under control number 
0579-0093)

Sec. 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) The primary enclosure is strong enough to contain the nonhuman 
primate securely and comfortably and to withstand the normal rigors of 
transportation;
    (2) The interior of the enclosure has no sharp points or edges and 
no protrusions that could injure the animal contained in it;
    (3) The 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) The nonhuman primate can be easily and quickly removed from the 
enclosure in an emergency;
    (5) The 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 affixed 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
    (10) The primary enclosure has a solid, leak-proof bottom, or a 
removable, leak-proof collection tray under a slatted or wire mesh floor 
that prevents seepage of waste products, such as excreta and body 
fluids, outside of the enclosure. If a slatted or wire mesh floor 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. The 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 
Sec. 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 affixed 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. The 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 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 different 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 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 Sec. 3.86(c) of this subpart.

(Approved by the Office of Management and Budget under control number 
0579-0093)

Sec. 3.88  Primary conveyances (motor vehicle, rail, air, and marine).

    (a) The 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) The animal cargo space must have a supply of air that is 
sufficient 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 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  deg.F (7.2  deg.C) and 85  deg.F (30  deg.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) The 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.

Sec. 3.89  Food and water requirements.

    (a) Each nonhuman primate that is 1 year of age or more must be 
offered food (FOOTNOTE 5\ APPENDED TO THIS PARAGRAPH) at least once every 24 hours. Each nonhuman primate that is less than 1 year of age must be offered food at least once every 12 hours. Each nonhuman primate must be offered potable water at least once every 12 hours. These 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 offered food and potable 
water before transportation was begun. These time periods apply to 
carriers and intermediate handlers starting from the date and time 
stated on the certification provided under Sec. 3.86(c) of this subpart. 
Each nonhuman primate must be offered 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 offered 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 offered, in accordance 
with Sec. 3.86(c) of this subpart.
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    FOOTNOTE 5\ Proper food for purposes of this section is described in 
Sec. 3.82 of this subpart, with the necessities and circumstances of the 
mode of travel taken into account.
---------------------------------------------------------------------------

    (b) Any dealer, exhibitor, or research facility, including a Federal 
research facility, offering 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. 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 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 Office of Management and Budget under control number 
0579-0093)

Sec. 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 4 hours, to make sure that they have sufficient air 
for normal breathing, that the ambient temperature is within the limits 
provided in Sec. 3.88(d) of this subpart, and that all other applicable 
standards of this subpart are being complied with. The 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 
flight. If the animal cargo area is not accessible during flight, 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 sufficient air for normal 
breathing, that the ambient temperature is within the limits provided in 
Sec. 3.88(d) of this subpart, and that all other applicable standards of 
this subpart are being complied with. The 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 Sec. 3.80 
or Sec. 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.
    (e) The 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.

Sec. 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 Sec. 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 
effective 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. The 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  deg.F (29.5  
deg.C) or higher.
    (d) Temperature. The ambient temperature in an animal holding area 
containing nonhuman primates must not fall below 45  deg.F (7.2  deg.C) 
or rise above 85  deg.F (29.5  deg.C) for more than four consecutive 
hours at any time nonhuman primates are present. The ambient temperature 
must be measured in the animal holding area by the 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 sufficient to protect the nonhuman primate from the direct rays 
of the sun.
    (2) Shelter from rain or snow. Sufficient protection must be 
provided to allow nonhuman primates to remain dry during rain, snow, and 
other precipitation.
    (f) Duration. The 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 Sec. 3.86(f) of this subpart.

Sec. 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 efficiently 
as possible, and must provide the following during movement of the 
nonhuman primate:
    (1) Shelter from sunlight and extreme heat. Sufficient 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  deg.F (29.5  deg.C) for a period of more than 45 minutes while 
being moved to or from a primary conveyance or a terminal facility, The 
ambient temperature must be measured in the manner provided in 
Sec. 3.91(d) of this subpart.
    (2) Shelter from rain or snow. Sufficient 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  deg.F (7.2  deg.C). 
A nonhuman primate must not be exposed to an ambient air temperature 
below 45  deg.F (7.2  deg.C) for a period of more than 45 minutes, 
unless it is accompanied by a certificate of acclimation to lower 
temperatures as provided in Sec. 3.86(e) of this subpart. The ambient 
temperature must be measured in the manner provided in Sec. 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.
    (c) This 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 Office of Management and Budget under control number 
0579-0093)

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

Sec. 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 
specified provisions of Sec. 3.104. The 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.
---------------------------------------------------------------------------


    \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 specified provisions of Sec. 3.104.
---------------------------------------------------------------------------

    (b) An application for a variance must be made to the Deputy 
Administrator in writing. The request must include:
    (1) The 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) The time period requested for a variance,
    (5) The specific reasons why a variance is requested, and
    (6) The estimated cost of coming into compliance, if construction is 
involved.
    (c) After receipt of an application for a variance, the Deputy 
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 effects 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. The cost of such report is to be paid by the applicant.
    (d) Variances granted for facilities because of ill or infirm 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, That under 
circumstances deemed justified 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) The Deputy Administrator shall deny any application for a 
variance if he determines that it is not justified 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.
    (g) A research facility may be granted a variance from specified 
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]

Sec. 3.101  Facilities, general.

    (a) Construction requirements. (1) Indoor and outdoor housing 
facilities for marine mammals 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 unwanted animals.
    (2) All marine mammals shall be provided with protection from abuse 
and harassment by the viewing public by the use of a sufficient number 
of employees or attendants to supervise the viewing public, or by 
physical barriers, such as fences, walls, glass partitions, or distance, 
or both.
    (3) Any primary enclosure pool, except for natural seawater pools 
subject to tidal action, shall be constructed of materials having a 
nonporous, waterproof finish, which facilitate proper cleaning and 
disinfection, and shall be maintained in good repair as part of a 
regular ongoing maintenance program. Any ramps or haul-out areas for 
primary enclosure pools, and any natural seawater pools subject to tidal 
action, shall be constructed of materials which facilitate proper 
cleaning and disinfection and shall be maintained in good repair as part 
of a regular ongoing maintenance program.
    (4) Facilities which utilize natural water areas, such as tidal 
basins, bays, or estuaries (subject to natural tidewater action) used 
for housing marine mammals shall be exempt from the drainage 
requirements of paragraph (c)(1) of this section, but they must meet the 
minimum standards with regard to space, depth, and sanitation. The water 
must be monitored for coliforms and for ph and chemical content, if 
chemicals are added.
    (b) Water and power supply. Reliable and adequate sources of water 
and electric power shall be provided by the facility housing marine 
mammals. Written contingency plans must be submitted to and approved by 
Veterinary Services 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 therein.
    (c) Drainage. (1) Adequate drainage shall be provided for all 
primary enclosure pools and shall be located so that all of the water 
contained in such pools may be rapidly eliminated when necessary for 
cleaning the pools or for other purposes. Drainage effluent from primary 
enclosure pools shall be disposed of in a manner that complies with all 
applicable Federal, State, and local pollution control laws.
    (2) Drainage shall be provided for primary enclosures and areas 
immediately surrounding pools. Drains shall be located so as to rapidly 
eliminate excess water (except in pools). Such drainage effluent shall 
be disposed of in a manner that complies with all applicable Federal, 
State, and local pollution control laws.
    (d) Storage. Supplies of food shall be stored in facilities which 
adequately protect such supplies from deterioration, molding, or 
contamination by vermin. Refrigerators and freezers shall be used for 
perishable food. No substances which are known to be or may be toxic or 
harmful to marine mammals shall be stored or maintained in the marine 
mammal food storage areas.
    (e) Waste disposal. Provision shall be made for the removal and 
disposal of animal and food wastes, dead animals, trash, and debris. 
Disposal facilities shall be provided and operated in a
manner which will minimize vermin infestation, odors, 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) Washroom facilities. Facilities such as washrooms, basins, 
showers, or sinks, shall be provided to maintain cleanliness among 
employees and attendants.
[44 FR 36874, June 22, 1979, as amended at 44 FR 63492, Nov. 2, 1979; 49 
FR 26682, June 28, 1984]

Sec. 3.102  Facilities, indoor.

    (a) Ambient temperature. The air and water temperatures in indoor 
facilities shall be sufficiently 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.
    (b) Ventilation. Indoor housing facilities shall be ventilated by 
natural or artificial means to provide a flow 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. (FOOTNOTE 5\ APPENDED TO THIS PARAGRAPH) 
---------------------------------------------------------------------------


    FOOTNOTE 5\ 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.
---------------------------------------------------------------------------

[44 FR 36874, June 22, 1979; 63 FR 2, Jan. 2, 1998]

Sec. 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 
affect 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. The following 
requirements shall be applicable to all outdoor pools.
    (1) The water surface of pools in outdoor primary enclosures housing 
polar bears and ice or cold water dwelling species of pinnipeds shall be 
kept sufficiently free of solid ice to allow for entry and exit of the 
animals.
    (2) The water surface of pools in outdoor primary enclosures housing 
cetaceans and sea otters shall be kept free of ice.
    (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 artificial 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 
afford them protection from the weather or from direct sunlight.

Sec. 3.104  Space requirements.

    (a) General. Primary enclosures, including pools of water housing 
marine mammals, shall comply with the minimum space requirements 
prescribed by this part. They shall be constructed and maintained so that the animals contained therein are provided with 
sufficient space, both horizontally and vertically so that they are 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 for in Sec. 3.110, ``Veterinary care.'' Primary enclosures 
smaller than required by the standards are also allowed to be used for 
temporary holding purposes such as training and transfer. Such 
enclosures shall not be used for permanent housing purposes or for 
periods longer than specified by an attending veterinarian.
    (b) Cetaceans. Primary enclosures housing cetaceans shall 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) The 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 fluke FOOTNOTE 2\ APPENDED TO FOLLOW THIS PARAGRAPH), 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.
---------------------------------------------------------------------------
FOOTNOTE 2\ The body length of a Monodon monoceros (narwhale) is measured 
from the tip of the upper incisor tooth to the notch in the tail fluke. 
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 fluke. Immature males should be 
anticipated to develop the ``tusk'' (usually left incisor tooth) 
beginning at sexual maturity.
---------------------------------------------------------------------------

    (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 cetaceans, 
the MHD shall be the largest required for any cetacean housed therein.
    (iv) Once the required MHD has been satisfied, 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.

                          Table I--Group I CetaceansSUP1                               
--------------------------------------------------------------------------------
Representative   Minimum horizontal  Minimum required    Volume of water   average adult      dimension (MHD)       depth           required for each 
length                                                   additional cetacean 
                                                         in excess of two       
Meters    Feet   Meters    Feet      Meters      Feet  Cubic meters       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  
--------------------------------------------------------------------------------
1\ All calculations are rounded off to the nearest hundredth. In       converting the length of cetaceans from feet to meters, 1 foot equals .3048 meter. Due to rounding of meter figures 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.                                                                                      


                     Table II--Group II CetaceansSUP1
--------------------------------------------------------------------------------
Representative   Minimum horizontal  Minimum required    Volume of water   average adult      dimension (MHD)       depth           required for each 
length                                                   additional cetacean 
                                                         in excess of four       
Meters  Feet     Meters    Feet      Meters    Feet     Cubic meters*       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  
--------------------------------------------------------------------------------
*Converting cubic feet to cubic meters is based on: 1 cubic foot=0.0283 of a cubic meter.                    


    Table III--Average Adult Lengths of Marine Mammals Maintained in    
                              CaptivitySUP1
------------------------------------------------------------------------
                                                         Average adult  
                                                            length      
             Species                  Common name    -------------------
                                                         In             
                                                       meters    In feet
------------------------------------------------------------------------
Group I Cetaceans:                                                      
    Balaenoptera acutorostrata..  Minke whale.......      8.50      27.9
    Cephalorhynchus commersonii.  Commerson's             1.52       5.0
                                   dolphin.                             
    Delphinapterus leucas.......  Beluga whale......      4.27      14.0
    Monodon monoceros...........  Narwhale..........      3.96      13.0
    Globicephala melaena........  Long-finned pilot       5.79      19.0
                                   whale.                               
    Globicephala macrorhynchus..  Short-finned pilot      5.49      18.0
                                   whale.                               
    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            Bottlenose dolphin      2.74       9.0
     (Atlantic).                                                        
    Tursiops truncatus (Pacific)  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 fluviatilis.........  Tucuxi............      1.68       5.5
    Platanista, all species.....  River dolphin.....      2.44       8.0
Group II Cetaceans:                                                     
    Delphinus delphis...........  Common dolphin....      2.59       8.5
    Feresa attenuata............  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-         2.90       9.5
                                   sided dolphin.                       
    Lagenorhynchus cruciger.....  Hourglass dolphin.      1.70       5.6
    Lagenorhynchus obliquidens..  Pacific white-          2.29       7.5
                                   sided dolphin.                       
    Lagenorhynchus albirostris..  White-beaked            2.74       9.0
                                   dolphin.                             
    Lagenorhynchus obscurus.....  Duskey dolphin....      2.13       7.0
    Lissodelphis borealis.......  Northern right          2.74       9.0
                                   whale dolphin.                       
    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 attenuata..........  Spotted dolphin...      2.29       7.5
    Stenella plagiodon..........  Spotted dolphin...      2.29       7.5
    Steno bredanensis...........  Rough-toothed           2.44       8.0
                                   dolphin.                             
------------------------------------------------------------------------
1\ This 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.                             


--------------------------------------------------------------------------------              	                                                      Average adult length         
                                                            --------------------
Species                            Common name               In meters   In feet     
                                                             -------------------
                                                   Male   Female   Male   Female 
----------------------------------------------------------------------------------------------------------------
Group I Pinnipeds:                                                                                              
 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 flavescens**        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             Habor Seal                1.70  1.50   5.6      4.9 
 Zalophus californianus     California Sea Lion       2.24  1.75   7.3      5.7 
 Halichoerus grypus**       Grar 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 
Group II Pinnipeds:                                                                                             
 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.                                                   

------------------------------------------------------------------------
                                                         Average adult  
                                                            length      
             Species                  Common name    -------------------
                                                         In             
                                                       meters    In feet
------------------------------------------------------------------------
Sirenia:                                                                
    Dugong dugong...............  Dugong............      3.35      11.0
    Trichechus manatus..........  West Indian             3.51      11.5
                                   Manatee.                             
    Trichechus inunguis.........  Amazon Manatee....      2.44       8.0
Mustelidae:                                                             
    Enhydra lutris..............  Sea Otter.........      1.25       4.1
------------------------------------------------------------------------

    (2) The 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 classification, or 1.83 meters (6.0 feet), whichever is greater, and can be expressed as 
d=L/2 or 6 feet, whichever is greater. Those 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 satisfies 
the MHD and which meets the minimum depth requirement, will have 
sufficient volume and surface area 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. The 
additional volume needed shall be based on the number and kind of 
cetaceans housed therein and shall be determined in the following 
manner.
    (i) The minimum volume of water required for up to two Group I 
cetaceans is based upon the following formula:

  VOLUME = (MHD/2)SUP2 X 3.14 X 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)SUP2/2 X 3.14 X DEPTH

See Table I for required volumes.
    (ii) The minimum volume of water required for up to four Group II 
cetaceans is based upon the following formula:

  VOLUME = (MHD/2)SUP2 X 3.14 X 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 = (AVERAGE ADULT LENGTH)SUP2 x 3.14  x  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 satisfied as stated in 
Sec. 3.104(b)(1), and the minimum depth must be satisfied as stated in 
Sec. 3.104(b)(2). Based on these figures, the resulting volume must then 
be calculated

 VOLUME = (MHD/2)SUP2 X 3.14 X DEPTH

Then 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 figures, then the additional volume required may be added 
by enlarging the pool in its lateral dimensions or by increasing its 
depth, or both. The minimum surface area requirements discussed next 
must also be satisfied.
    (4)(i) The minimum surface area requirements for each cetacean 
housed in a pool, regardless of Group I or Group II classification, are 
calculated as follows:

 SURFACE AREA = (AVERAGE ADULT BODY LENGTH/2)SUP2 X 3.14 X 1.5 

Or

  SA = (L/2)SUP2 X 3.14 X 1.5

In a pool containing more than two Group I cetaceans or more than four 
Group II cetaceans, (FOOTNOTE 8\ APPENDED TO FOLLOW THIS PARAGRAPH) 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. Then 
the required surface area must be determined for each animal in the 
pool. The 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.(FOOTNOTE 9\ APPENDED TO FOLLOW THIS PARAGRAPH) The larger of the two figures 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.

--------------
    FOOTNOTE 8\ 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.
    FOOTNOTE 9\ Since the MHD represents the diameter of a circle, the surface 
area based on the MHD is calculated by use of the following formula:

(FORMULA NOT GIVEN IN COPY)

        Table IV--Minimum Surface Area Required for Each Cetacean       
------------------------------------------------------------------------
    Average adult length of each        Surface area required for each  
              cetacean                             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 x 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.
    (2) The 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. Those 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) The 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. The 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 figures 
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. 
Examples:

(average adult length)SUP2 of 1st Group I pinniped + (average adult 
          length)SUP2 of 2nd Group I pinniped = Total DRA for two pinnipeds
DRA for one pinniped = 2 x (average adult length of Group I 
          pinniped)SUP2

    (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 fifth 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 
figures 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)SUP2 x 1.5] + [(Average adult length)SUP2 x 1.4]

                                                                        
                                                                        
                                                                         
1st pinniped (avg. adult length)SUP2 x 1.5=social and DRA required       
2nd pinniped (avg. adult length)SUP2 x 1.4=social and DRA required       
3rd pinniped (avg. adult length)SUP1 x 1.3=social and DRA required       
4th pinniped (avg. adult length)SUP2 x 1.2=social and DRA required       
5th pinniped (avg. adult length)SUP2 x 1.1=social and DRA required       
Each pinniped over 5 (avg. adult length)SUP2=social and DRA required     
------------------------------------------------------------------------
    Total minimum social activity and dry resting area required for all 
     pinnipeds housed in a primary enclosure.                           
                                                                        


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)SUP2 x 1.5]+ [(8.5)SUP2 x 1.4] 
+[(6.6)SUP2 x 1.3] +[(6.6)SUP2 x 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 sufficient 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. The dry resting or social activity area shall be 
divided into two or more separate areas with sufficient visual barriers 
(such as fences, rocks, or foliage) to provide relief from aggressive 
animals.
    (3)(i) The 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) The 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) The 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 activity area for each additional polar bear. The 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. The 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. This 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. The 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. The 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) The minimum volume of water required for a primary enclosure 
pool for sea otters shall be based on the sea otter's average adult 
length. The 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 by 3.14 and then multiply the total by 0.91 
meters (3.0 feet). This 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).
    (3) The minimum dry resting area required for one or two sea otters 
shall be based on the sea otter's average adult length. The 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 figures:

Table V--Additional Space Required for Each Sea Otter When More Than Two
                         in a Primary Enclosure                         
------------------------------------------------------------------------
Average adult length of       Resting area             Pool Volume      
       sea otter        ------------------------------------------------
------------------------   Square      Square       Cubic               
   Meters       Feet       meters       Feet       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]

                  Animal Health and Husbandry Standards

Sec. 3.105  Feeding.

    (a) The food for marine mammals shall be wholesome, palatable, and 
free from contamination, and shall be of sufficient quantity and 
nutritive value to maintain all of the marine mammals in a state of good 
health. The diet shall be prepared with consideration for age, species, 
condition, size, and type of marine mammal being fed. Marine mammals 
shall be offered food at least once a day, except as directed by 
veterinary treatment or professionally accepted practices.
    (b) Food receptacles, if used, shall be located so as to be 
accessible to all marine mammals in the same primary enclosure and shall 
be placed so as to minimize contamination of the food contained therein. 
Such food receptacles shall be cleaned and sanitized after each use.
    (c) Food, when given to each marine mammal individually, shall 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. Public feeding shall be only 
permitted if it is done in the presence and under the supervision of a 
uniformed employee or attendant. Such employee or attendant 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 shall be fed to such mammals by the public.
    (d) Food preparation and handling shall be conducted so as to 
minimize bacterial or chemical contamination and to assure the 
wholesomeness and nutritive value of the food. Frozen fish or other 
frozen food shall be stored in freezers which are maintained at a 
maximum temperature of -18 deg. C. (0 deg. F.). The length of time food 
is stored and the method of storage, as well as the thawing of frozen 
food, shall be conducted in a manner which will minimize contamination 
and which will assure that the food retains nutritive value and 
wholesome quality. The thawed product shall be kept iced or refrigerated 
until a reasonable time before feeding. All foods shall be fed to the 
marine mammals within 24 hours following the removal of such foods from 
the freezers for thawing.

Sec. 3.106  Water quality.

    (a) General. The primary enclosure shall not contain water which 
would be detrimental to the health of the marine mammal contained 
therein.
    (b) Bacterial standards. (1) The 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 first 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. The 
salinity of the water in such pools shall be maintained within a range 
of 15-36 parts per thousand.
    (d) Filtration and water flow. Water quality must be maintained by 
filtration, chemical treatment, or other means so as to comply with the 
water quality standards specified in this section.

Sec. 3.107  Sanitation.

    (a) Primary enclosures. (1) Animal and food waste in areas other 
than the pool of water shall be removed from the primary enclosure at 
least daily, and more often when necessary to prevent contamination of 
the marine mammals contained therein and to minimize disease hazards.
    (2) Particulate animal and food waste, trash, or debris that enter 
the primary enclosure pool of water shall be removed as often as 
necessary to maintain the required water quality and to prevent health 
hazards to the marine mammals contained therein.
    (3) The wall and bottom surfaces of the primary enclosure pool of 
water shall be cleaned as often as necessary to maintain proper water 
quality.
    (b) Food preparation areas and food receptacles. Containers, such as 
buckets, tubs, and tanks, as well as utensils, such as knives and 
cutting boards, or any other equipment which has been used for holding, 
thawing or preparing food for marine mammals shall be cleaned and 
sanitized after each feeding, if the marine mammals are fed once a day, 
and at least daily if the marine mammals are fed more than once a day. 
Kitchens and other food handling areas where animal food is prepared 
shall be cleaned at least once daily and sanitized at least once every 
week. Sanitizing shall be accomplished by washing with hot water 
(82 deg. C., 180 deg. 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 effective 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 away from food 
preparation surface areas.
    (c) Housekeeping. Buildings and grounds, as well as exhibit areas, 
shall be kept clean and in good repair. Fences shall be maintained in 
good repair. Primary enclosures housing marine mammals shall not have 
any loose objects, sharp projections, and/or edges which may cause 
injury or trauma to the marine mammals contained therein.
    (d) Pest control. A safe and effective program for the control of 
insects, ectoparasites, and avian and mammalian pests shall be 
established and maintained. Insecticides or other such chemical agents 
shall not be applied in a primary enclosure housing marine mammals 
except when deemed essential by an attending veterinarian.

Sec. 3.108  Employees or attendants.

    A sufficient number of adequately trained employees or attendants 
responsible to management shall be utilized to maintain the prescribed 
level of husbandry practices set forth in this subpart. Such practices 
shall be conducted under the supervision of a marine mammal caretaker 
who has a background in marine mammal husbandry and care. Training of 
marine mammals shall be done by or under the direct supervision of 
experienced trainers without physical punishment or abuse being used or 
inflicted upon the marine mammals.

Sec. 3.109  Separation.

    Marine mammals which are not compatible shall not be housed in the 
same enclosure. Marine mammals shall not be housed near animals that 
would cause them stress or discomfort, or interfere with their good 
health. Captive marine mammals must be given access to other animals 
except when they are temporarily maintained in isolation for such 
purposes as medical treatment or training and given special attention.

Sec. 3.110  Veterinary care.

    (a) Newly acquired marine mammals shall be isolated from resident 
marine mammals until such newly acquired marine mammals can be reasonably 
determined to be in good health. Any communicable disease condition in a 
newly acquired marine mammal must be remedied before it is placed with 
other resident marine mammals.
    (b) Any primary enclosure containing a marine mammal with an 
infectious or contagious disease shall be cleaned and sanitized in the 
manner prescribed by the attending veterinarian. No additional animals 
shall be introduced into the primary enclosure prior to such cleaning 
and sanitizing procedures. Any marine mammal exposed to a diseased 
animal shall be isolated for observation for an appropriate period of 
time as determined by the attending veterinarian.
    (c) Temporary holding facilities with adequately and properly 
designed pools, tanks, restraining devices or primary enclosures shall 
be provided for isolation, medication, treatment, and other purposes 
such as transfer and training of marine mammals. The pools, tanks and 
primary enclosures may be less than minimum size in both lateral 
dimensions and depth when used in special situations when prescribed by 
the professional staff for temporary usage.
    (d) A complete necropsy must be conducted by or under the direct 
supervision of a veterinarian on all marine mammals that die in 
captivity. A necropsy report must be prepared by the veterinarian 
listing all pathologic lesions observed and giving the apparent cause of 
death. All diagnostic tests conducted on post mortem specimens shall be 
listed in the report, and the results of each test recorded. The 
management of the facility, at which the marine mammal died, must 
maintain these necropsy records for a period of 3 years and present them 
to Department inspectors when requested.
[44 FR 36874, June 22, 1979, as amended at 54 FR 36163, Aug. 31, 1989]

Sec. 3.111  [Reserved]

                        Transportation Standards

Sec. 3.112  Consignments to carriers and intermediate handlers.

    (a) Carriers and intermediate handlers shall not accept any marine 
mammal 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, That 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 of any State or local government may mutually agree to 
extend the time of acceptance to not more than 6 hours if specific 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 
enclosure which conforms to the requirements set forth in Sec. 3.113 of 
the standards: Provided, however, That 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 certificate, signed by the 
consignor, stating that the primary enclosure complies with Sec. 3.113 
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 marine mammal without causing suffering or injury to such marine mammal. A copy of such certificate shall accompany the shipment to destination. The certificate shall include at least the following information:
    (1) Name and address of the consignor;
    (2) The 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) The 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 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 certificate 
executed by a veterinarian accredited by this Department pursuant to 
part 160 of this title on a specified date which shall not be more than 
10 days prior to delivery of such animal for transportation in commerce, 
stating that such marine mammal is acclimated to air temperatures lower 
than those prescribed in Secs. 3.117 and 3.118. A copy of such 
certificate shall accompany the shipment to destination. The certificate 
to include at least the following information:
    (1) Name and address of the consignor;
    (2) The 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 deg. C. (45 deg. F.)''); 
and
    (4) The signature of the USDA accredited veterinarian, assigned 
accreditation number, and date.
    (d) Carriers and intermediate handlers shall attempt to notify the 
consigned 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. The time, date, and method of each attempted notification and 
the final notification 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.
[44 FR 36874, June 22, 1979, as amended at 44 FR 63493, Nov. 2, 1979]

Sec. 3.113  Primary enclosures used to transport marine mammals.

    No dealer, research facility, exhibitor, or operator of an auction 
sale shall offer for transportation or transport, in commerce, any 
marine mammal in a primary enclosure which does not conform to the 
following requirements:
    (a) Primary enclosures, which are used to transport marine mammals 
other than cetaceans and sirenians, shall (1) be constructed from 
materials of sufficient 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 which are free from any 
protrusions that could be injurious to the marine mammals contained 
therein; (5) be constructed so that no parts of the contained marine 
mammals shall be exposed to the outside of the enclosures in such a way 
which may cause injury to the animals or to persons who are nearby or 
who handle the enclosures; (6) have openings which provide access into 
the enclosures which shall be secured with locking devices of a type 
which cannot be accidentally opened; (7) have such openings located in a 
manner which makes them easily accessible at all times for emergency 
removal of any live marine mammal contained therein; (8) have air inlets 
at heights which will provide cross ventilation at all levels 
(particularly when the marine mammals are in a prone position) and 
located on all four sides of the enclosures, and such ventilation openings shall be not less than 16 percent of the total surface area of each side of the enclosures; (9) have projecting rims or other devices placed on the ends and sides of any enclosures which have ventilation openings to provide a minimum air circulation space of 1.9 centimeters (0.75 inches) between the enclosures and any adjacent cargo or conveyance wall; and (10) be equipped with adequate handholds or other devices on the exterior of the enclosures which shall enable them to be lifted without unnecessary tilting and which will ensure that the 
persons handling the enclosures will not come in contact with any marine 
mammal contained therein.
    (b) Straps, slings, harnesses, or other devices, if used for body 
support or restraint, when transporting marine mammals such as cetaceans 
and sirenians shall (1) be designed so as not to prevent access to such 
mammals by attendants during transportation 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 live marine mammals shall 
be large enough to assure that (1) in the case of polar bears and sea 
otters, there is sufficient space to turn about freely in a stance 
whereby all four feet are on the floor and the animal can sit in an 
upright position and lie in a natural position; (2) in the case of 
pinnipeds, each animal has sufficient space to lie in a natural 
position; and (3) in the case of cetaceans and sirenians, each animal 
has sufficient 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 enclosure: Provided, however, That 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.
    (d) Marine mammals transported in the same primary enclosure shall 
be of the same species and maintained in compatible groups. Marine 
mammals which have not reached puberty shall not be transported in the 
same primary enclosure with adult marine 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. Female 
marine mammals shall 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 shall have solid bottoms to prevent leakage in shipment 
and shall be cleaned and sanitized in a manner prescribed in Sec. 3.107 
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 marine mammals contained therein, in sufficient quantity 
to absorb and cover excreta, unless the animals are on wire or other 
nonsolid floors.
    (f) Primary enclosures used to transport marine mammals, except 
where such primary enclosures are permanently affixed 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.
    (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 affixed 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.

Sec. 3.114  Primary conveyances (motor vehicle, rail, air and marine).

    (a) The animal cargo space of primary conveyances used in 
transporting live marine mammals shall be constructed in a manner which 
will protect the health and assure the safety and comfort of the marine 
mammals contained therein at all times.
    (b) The animal cargo space shall be constructed and maintained in a 
manner which will prevent the ingress of engine exhaust fumes and gases 
in excess of that ordinarily contained in the passenger compartments.
    (c) No marine mammal shall be placed in an animal cargo space that 
does not have a supply of air sufficient for normal breathing for each 
live animal contained therein, and the primary enclosures shall be 
positioned in the animal cargo spaces of primary conveyances in such a 
manner that each marine mammal contained therein shall have access to 
sufficient air for normal breathing.
    (d) Primary enclosures shall 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) The interiors of animal cargo spaces in primary conveyances 
shall be kept clean.
    (f) Live marine mammals shall not knowingly be transported with any 
material, substance or device which may be injurious to the health and 
well-being of such marine mammals unless proper precaution is taken to 
prevent such injury.

Sec. 3.115  Food and water requirements.

    (a) Those marine mammals which require drinking water shall be 
offered potable water within 4 hours prior to being transported in 
commerce or offered for transportation in commerce. Such marine mammals 
shall be watered as often as necessary and appropriate to the species 
involved to prevent excessive dehydration which would jeopardize the 
good health and well-being of the animals.
    (b) Marine mammals shall not be transported for more than a period 
of 36 hours without being offered food. When an employee or attendant is 
required to accompany a shipment of marine mammals, as provided in 
Sec. 3.116 of these standards, such marine mammals shall be fed during 
transit when necessary to provide for their good health and well-being.

Sec. 3.116  Care in transit.

    (a) An employee or attendant of the shipper or receiver of any 
marine mammal being transported, in commerce, knowledgeable in the area 
of marine mammal care, shall accompany cetaceans, sirenians, pinnipeds, 
and sea otters during periods of transportation to provide for their 
good health and well-being, to observe such marine mammals and to 
determine whether they need veterinary care and to obtain any needed 
veterinary care as soon as possible.
    (b) An employee or attendant of the shipper or receiver of cetaceans 
or sirenians being transported, in commerce, shall 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, 
such as lanolin; (2) assuring that the pectoral flippers shall be 
allowed freedom of movement at all times; (3) making adjustments in the 
position of such marine mammals when necessary to prevent necrosis of 
the skin at weight pressure points; and (4) calming such marine mammals 
to avoid struggling, thrashing, and other unnecessary activity which may 
cause overheating or physical trauma. No cetacean or sirenian in need of 
veterinary care shall be transported in commerce, unless such 
transportation is for the purpose of obtaining such care.
    (c) Not less than one-half of the floor area in a primary enclosure 
used to transport sea otters shall be leakproof and shall contain 
sufficient crushed ice or ice water to provide each sea otter contained 
therein with moisture necessary to allow each sea otter to maintain its 
hair coat by preventing it from drying and to minimize soiling of the 
hair coat with urine and fecal material.

[[Page 107]]

No sea otter in need of veterinary care shall be transported in 
commerce, unless such transportation is for the purpose of obtaining 
such care.
    (d) Polar bears need not be accompanied by an employee or attendant 
of the shipper or receiver, unless the period of transportation will 
exceed 24 hours in duration. During surface transportation, it shall be 
the responsibility of the carrier to inspect polar bears unaccompanied 
by an employee or attendant at least every 4 hours to determine whether 
they need veterinary care and to provide any needed veterinary care as 
soon as possible. When transported by air, live polar bears 
unaccompanied by an employee or attendant, shall be inspected by the 
carrier at least every 4 hours if the animal cargo space is accessible 
during flight. If the animal cargo space is not accessible during 
flight, the air carrier shall inspect such live unattended polar bears 
whenever loaded and unloaded and whenever the animal cargo space is 
otherwise accessible to determine whether such unattended live animals 
need veterinary care, and the carrier shall provide any needed 
veterinary care as soon as possible. No polar bear in need of veterinary 
care shall be transported in commerce, unless such transportation is for 
the purpose of obtaining such care.
    (e) Wild or otherwise dangerous marine mammals shall not be taken 
from their primary enclosure except under extreme emergency conditions 
and then only by their trainer or other person who is capable of 
handling such mammals safely.
[44 FR 36874, June 22, 1979, as amended at 49 FR 26686, June 28, 1984]

Sec. 3.117  Terminal facilities.

    Carriers and intermediate handlers shall not commingle marine mammal 
shipments with inanimate cargo. All animal holding areas of a terminal 
facility of any carrier or intermediate handler wherein marine mammal 
shipments are maintained shall be cleaned and sanitized in a manner 
prescribed in Sec. 3.107 of the standards often enough to prevent an 
accumulation of debris or excreta, to minimize vermin infestation, and 
to prevent a disease hazard. An effective 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 marine mammals shall be provided with fresh air 
by means of windows, door, 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 marine mammals when the air temperature within such 
animal holding area is 23.9 deg. C. (75 deg. F.) or higher. The air 
temperature around any marine mammal in any animal holding area shall 
not be allowed to fall below 7.2 deg. C. (45 deg. F.). The air 
temperature around any polar bear shall not be allowed to exceed 
29.5 deg. C. (85 deg. F.) at any time and no polar bear shall be 
subjected to surrounding air temperatures which exceed 23.9 deg. C. 
(75 deg. F.) for more than 4 hours at any time. To ascertain compliance 
with the provisions of this paragraph, the air temperature around any 
marine mammal 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.
[44 FR 36874, June 22, 1979, as amended at 49 FR 26686, June 28, 1984]

Sec. 3.118  Handling.

    (a) Carriers and intermediate handlers shall move marine mammals 
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 marine mammal in an animal holding 
area of a terminal facility or in transporting any marine mammal from 
the animal holding area of the terminal facility to the primary

[[Page 108]]

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, sufficient shade shall be provided to protect 
the marine mammals from the direct rays of the sun and such marine 
mammals shall not be subjected to surrounding air temperatures which 
exceed 29.5 deg. C. (85 deg. F.), and which shall be measured and read 
in the manner prescribed in Sec. 3.117 of this part, for a period of 
more than 45 minutes.
    (2) Shelter from cold weather. Transporting devices shall be covered 
to provide protection for marine mammals when the outdoor air 
temperature falls below 10 deg. C. (50 deg. F.) and such marine mammals 
shall not be subjected to surrounding air temperatures which fall below 
7.2 deg. C. (45 deg. F.), and which shall be measured and read in the 
manner prescribed in Sec. 3.117 of this part, for a period of more than 
45 minutes unless such animals are accompanied by a certificate of 
acclimation to lower temperatures as prescribed in Sec. 3.112(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 marine mammal contained therein.
    (c) Primary enclosures used to transport any marine mammal 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.
[44 FR 36874, June 22, 1979, as amended at 49 FR 26686, June 28, 1984]

Subpart F--Specifications for the Humane Handling, Care, Treatment, and 
 Transportation of Warmblooded Animals Other Than Dogs, Cats, Rabbits, 
      Hamsters, Guinea Pigs, Nonhuman Primates, and Marine Mammals

    Source: 36 FR 24925, Dec. 24, 1971, unless otherwise noted. 
Redesignated at 44 FR 36874, July 22, 1979.

                   Facilities and Operating Standards

Sec. 3.125  Facilities, general.

    (a) Structural strength. The facility must be constructed of such 
material and of such strength as appropriate for the animals involved. 
The 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. The 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.
    (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]

Sec. 3.126  Facilities, indoor.

    (a) Ambient temperatures. Temperature in indoor housing facilities 
shall be sufficiently regulated by heating or cooling to protect the 
animals from the extremes of temperature, to provide for their health 
and to prevent their discomfort. The 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 artificial means, or both, of good quality, distribution, 
and duration as appropriate for the species involved. Such lighting 
shall be uniformly distributed and of sufficient 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. The method of drainage shall comply with applicable Federal, 
State, and local laws and regulations relating to pollution control or 
the protection of the environment.

Sec. 3.127  Facilities, outdoor.

    (a) Shelter from sunlight. When sunlight is likely to cause 
overheating or discomfort of the animals, sufficient shade by natural or 
artificial means shall be provided to allow all animals kept outdoors to 
protect themselves from direct sunlight.
    (b) Shelter from inclement weather. Natural or artificial shelter 
appropriate to the local climatic conditions for the species concerned 
shall be provided for all animals kept outdoors to afford 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. The method of drainage shall comply with 
applicable Federal, State, and local laws and regulations relating to 
pollution control or the protection of the environment.

Sec. 3.128  Space requirements.

    Enclosures shall be constructed and maintained so as to provide 
sufficient 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

Sec. 3.129  Feeding.

    (a) The food shall be wholesome, palatable, and free from 
contamination and of sufficient quantity and nutritive value to maintain 
all animals in good health. The 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.
    (b) Food, and food receptacles, if used, shall be sufficient 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.

Sec. 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.

Sec. 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 flushing, adequate measures shall be taken to protect the animals confined 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 effective 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.
    (d) Pest control. A safe and effective program for the control of 
insects, ectoparasites, and avian and mammalian pests shall be 
established and maintained.

Sec. 3.132  Employees.

    A sufficient 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.

Sec. 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.

Secs. 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.

Sec. 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, That 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 specific 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 animal in a primary 
enclosure which conforms to the requirements set forth in Sec. 3.137 of 
the standards: Provided, however, That 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 certificate, signed by the 
consignor, stating that the primary enclosure complies with Sec. 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 suffering or injury to such live 
animal. A copy of such certificate shall accompany the shipment to 
destination. The certificate shall include at least the following 
information:
    (1) Name and address of the consignor;
    (2) The 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) The 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 certificate 
executed by a veterinarian accredited by this Department pursuant to 
part 160 of this title on a specified 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 Secs. 3.141 and 3.142. A copy of such 
certificate shall accompany the shipment to destination. The certificate 
shall include at least the following information:
    (1) Name and address of the consignor;
    (2) The 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 deg. C. (45 deg. F.)''); 
and
    (4) The signature of the USDA accredited veterinarian, assigned 
accrediation 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. The time, date, and method of each attempted notification and 
the final notification 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]

Sec. 3.137  Primary enclosures used to transport live animals.

    No dealer, research facility, exhibitor, or operator of an auction 
sale shall offer 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 sufficient 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 opernings 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 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, That 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 sufficient 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 acceptable standards when such freedom of 
movement would constitute a danger to the animals, their handlers, or 
other persons.
    (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 Sec. 3.131 of 
the standards, if previously used. Such primary enclosures shall contain 
clean litter of a suitable absorbant material, which is safe and 
nontoxic to the live animals contained therein, in sufficient quantity 
to absorb and cover excreta, unless the animals are on wire or other 
nonsolid floors.
    (e) Primary enclosures used to transport live animals, except where 
such primary enclosures are permanently affixed 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 affixed 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]

Sec. 3.138  Primary conveyances (motor vehicle, rail, air, and marine).

    (a) The 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.
    (b) The 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 sufficient 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 sufficient 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) The 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.

Sec. 3.139  Food and water requirements.

    (a) All live animals shall be offered 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, That 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 
fasts, or other professionally accepted practices. Those live animals 
which, by common accepted practice, require feeding more frequently 
shall be so fed.
    (c) A sufficient 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 offering any live animal to any carrier or intermediate 
handler for transportation in commerce shall affix 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.
    (e) 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 affixed to the outside of its primary enclosure.

Sec. 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 sufficient 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 flight. If the 
animal cargo space is not accessible during flight, the carrier shall 
visually observe the live animals whenever loaded and unloaded and 
whenever the animal cargo space is otherwise accessible to assure that 
they are receiving sufficient 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. The 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, That 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.

Sec. 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 Sec. 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 effective 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 deg.C. (75. deg.F.) or higher. The air temperature around any live 
animal in any animal holding area shall not be allowed to fall below 
7.2 deg.C. (45 deg.F.) nor be allowed to exceed 29.5 deg.C. (85 deg.F.) 
at any time: Provided, however, That no live animal shall be subjected 
to surrounding air temperatures which exceed 23.9 deg.C. (75 deg.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]

Sec. 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, sufficient 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 deg.C. (85 deg.F.), and which shall be measured and read in the 
manner prescribed in Sec. 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 deg.C. (50 deg.F.) and such live animals shall not be 
subjected to surrounding air temperatures which fall below 7.2 deg.C. 
(45 deg.F.), and which shall be measured and read in the manner 
prescribed in Sec. 3.141 of this part, for a period of more than 45 
minutes unless such animals are accompanied by a certificate of 
acclimation to lower temperatures as prescribed in Sec. 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]



PART 4--RULES OF PRACTICE GOVERNING PROCEEDINGS UNDER THE ANIMAL WELFARE ACT

                           Subpart A--General

Sec.
4.1  Scope and applicability of rules of practice.

                Subpart B--Supplemental Rules of Practice

4.10  Summary action.
4.11  Stipulations.

    Authority: 80 Stat. 353; 7 U.S.C. 2151.

    Source: 42 FR 10959, Feb. 25, 1977, unless otherwise noted.

                           Subpart A--General

Sec. 4.1  Scope and applicability of rules of practice.

    The 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

Sec. 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 deems it warranted under the circumstances, the Administrator may 
suspend such person's license temporarily, for a period not to exceed 21 
days, effective, except as provided in Sec. 4.10(b), upon written 
notification given to such person of the suspension of his license 
pursuant to Sec. 1.147(b) of the Uniform Rules of Practice (7 CFR 
1.147(b)).
    (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, 
effective upon oral or written notification, whichever is earlier. In 
the event of oral notification, a written confirmation thereof shall be 
given to such person pursuant to Sec. 1.147(b) of the Uniform Rules of 
Practice (7 CFR 1.147(b)) as promptly as circumstances permit.
    (c) The 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.

Sec. 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 discretion, may enter 
into a stipulation with any person in which:
    (1) The Administrator gives notice of an apparent violation of the 
Act, or the regulations or standards issued thereunder, by such person 
and affords 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 
specified penalty within a designated time; and
    (3) The Administrator agrees to accept the specified penalty in 
settlement of the particular matter involved if it is paid within the 
designated time.
    (b) If the specified 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.