ANIMAL WELFARE REGULATIONS CONTINGENCY PLAN POLICY AND CHECKLIST

Policies 

Contingency Plan

Animal Care Resource Guide

Issue Date: 

AC ##.#

Subject: Contingency Plan

Policy #

References: 

9 CFR, Part 2, Section 2.38 (i)(4) and (l) 

9 CFR, Part 2, Section 2.102 (a)(4) and (b)(3)

9 CFR, Part 2, Section 2.134

History: Provides guidance on the requirement to create a contingency plan for events such as emergencies or disasters. New policy.

Justification: Lack of preparedness for unexpected situations can leave businesses and organizations and the animals in their care vulnerable. 

The Animal Welfare Act (AWA) regulations require that facilities create a contingency plan in accordance with good animal welfare. 

Policy: Contingency Plan is generally regarded as a plan to follow in the event of an emergency. The terms “emergency” and “disaster” are 

not limited to major national or regional natural disasters such as hurricanes or earthquakes. It is encouraged that contingency planning 

includes consideration of very localized events such as a fire, severe weather, or any other unexpected situation that interrupts normal animal 

care activities. 

A fundamental goal of the AWA and the accompanying regulations is the minimization of animal pain and distress. A contingency plan prevents 

or mitigates animal suffering. Plans are to include at minimum: 

• Identify situations the facility might experience that would trigger the need for a contingency plan, including emergencies such as electrical 

outages, faulty HVAC systems, fires, and animal escapes, as well as natural disasters the facility is most likely to experience. 

• Outline specific tasks required to be carried out in response to the identified emergencies including, but not limited to, detailed animal 

evacuation instructions or shelter-in-place instructions and provisions for providing backup sources of food and water as well as sanitation, 

ventilation, bedding, veterinary care, etc.

• Identify a chain of command and who (by name or by position title) will be responsible for fulfilling these tasks.

• Address how response and recovery will be handled in terms of materials, resources, and training needed. 

The contingency plan must be in place by180 days after effective date of final rule. This plan must be made available to APHIS and any funding 

Federal agency representatives upon request. The plan must be reviewed by the facility on at least an annual basis. The facility must provide 

and document participation in and successful completion of training for its personnel regarding their roles and responsibilities as outlined in the 

plan. Training of facility personnel must be completed within 60 days of the adoption date; employees hired 30 days or less after that date must 

also be trained within that 60-day period. For employees hired more than 30 days after adoption of the contingency plan, training must be 

conducted within 30 days of their start date. Any changes to the plan as a result of the annual review must be communicated to employees 

through training which must be conducted within 30 days of making the changes. 

While Animal Care does not endorse any particular resource for a contingency plan standard, resources to assist in development of a plan can 

be found on our website at: http://www.aphis.usda.gov/animal_welfare/ep

At the time of writing, these web resources were live. However, most of these are external links to USDA-APHIS-AC. Please refer to the URL 

above for updated information.

http://bigcatrescue.org/2011/critical-incident-hurricane-and-disaster-plan

http://grants.nih.gov/grants/olaw/disaster_planning.htm

http://oacu.od.nih.gov/disaster/

http://www.aphis.usda.gov/animal_welfare/downloads/em/final_compliance_assessment_question_set_11feb.doc

http://www.usgs.gov/hazards/

http://www.weather.com/ready/severeweatherprep.html?from=WXReadyywelcome_h1
ANIMAL WELFARE REGULATIONS CONTINGENCY PLAN POLICY AND CHECKLIST

Research Facilities Dealers, exhibitors, intermediate handlers, and carriers

Subpart C Research Facilities, § 2.38 Miscellaneous, (l) Contingency 

planning

Subpart I, Miscellaneous, § 2.134 Contingency planning

(1) Research facilities must develop, document, and follow an 

appropriate plan to provide for the humane handling, treatment, 

transportation, housing, and care of their animals in the event of an 

emergency or disaster (one which could reasonably be anticipated and 

expected to be detrimental to the good health and well-being of the 

animals in their possession). Such contingency plans must:

(i) Identify situations the facility might experience that would trigger the 

need for the measures identified in a contingency plan to be put into 

action including emergencies such as electrical outages, faulty HVAC 

systems, fires, and animal escapes, as well as natural disasters the 

facility is most likely to experience. 

(a) Dealers, exhibitors, intermediate handlers, and carriers must 

develop, document, and follow an appropriate plan to provide for the 

humane handling, treatment, transportation, housing, and care of their 

animals in the event of an emergency or disaster (one which could 

reasonably be anticipated and expected to be detrimental to the good 

health and well-being of the animals in their possession). Such 

contingency plans must:

(1) Identify situations the licensee or registrant might experience that 

would trigger the need for the measures identified in a contingency plan 

to be put into action including emergencies such as electrical outages, 

faulty HVAC systems, fires, mechanical breakdowns, and animal 

escapes, as well as natural disasters most likely to be experienced;

CONSIDERATIONS

Emergencies that may impact animal 

welfare. This facility could likely experience:

• Electrical outage Yes No 

• Faulty HVAC Yes No 

• Fire Yes No 

• Animal escape Yes No 

• Disruption in clean water supply Yes No 

• Disruption in feed supply Yes No 

• Disruption of access to facility (e.g.,

road closure). Yes No 

• Intentional attack Yes No 

• Hazardous materials situation Yes No 

• Employee absence Yes No 

• Other (list): List

Natural Disasters that may impact animal 

welfare. This facility could likely experience:

• Flooding Yes No 

• Earthquake Yes No 

• Landslide/Mudslide/Avalanche or other 

geophysical disaster Yes No 

• Hurricane Yes No 

• Blizzard/Ice Storm Yes No 

• Tornado Yes No 

• Other severe storm Yes No 

• Tsunami Yes No 

• Wildfire Yes No 

• Other (list): List

Research Facilities Dealers, exhibitors, intermediate handlers, and carriers

Subpart C Research Facilities, § 2.38 Miscellaneous, (l) Contingency 

planning

Subpart I, Miscellaneous, § 2.134 Contingency planning

(ii) Outline specific tasks required to be carried out in response to the 

identified emergencies or disasters including, but not limited to, detailed 

animal evacuation instructions or shelter-in-place instructions and 

provisions for providing backup sources of food and water as well as 

sanitation, ventilation, bedding, veterinary care, etc.;

(2) Outline specific tasks required to be carried out in response to the 

identified emergencies or disasters including, but not limited to, detailed 

animal evacuation instructions or shelter-in-place instructions and 

provisions for providing backup sources of food and water as well as 

sanitation, ventilation, bedding, veterinary care, etc.;

CONSIDERATIONS

• Are there detailed animal evacuation instructions? If yes, how are the following items addressed (include who is responsible)?

If no, please justify. 

If yes, please detail...

Transportation vehicle

Transportation equipment/caging

Alternate site location(s)
ANIMAL WELFARE REGULATIONS CONTINGENCY PLAN POLICY AND CHECKLIST

Provision for veterinary care

Husbandry needs (e.g., food, water)

Environmental conditions (e.g., temperature, ventilation, lighting)

Staffing

Animal identification

Records transfer 

• Are there detailed shelter-in-place instructions? If yes, how are the following items addressed (include who is responsible)?

If no, please justify. 

If yes, please detail...

Husbandry needs (e.g., food, water)

Providing veterinary care

Environmental conditions (e.g., temperature, ventilation, lighting)

Staffing

Animal identification

Records maintenance

• Are there plans to recapture an escaped animal? If yes, how are the following items addressed (include who is responsible)?

If no, please justify. 

If yes, please detail...

Supplies needed (e.g., gloves, nets, darting equipment)

Secondary barriers secured

Recovery/transport of animal back to primary enclosure

Research Facilities Dealers, exhibitors, intermediate handlers, and carriers

Subpart C Research Facilities, § 2.38 Miscellaneous, (l) Contingency 

planning

Subpart I, Miscellaneous, § 2.134 Contingency planning

(iii) Identify a chain of command and who (by name or by position title) 

will be responsible for fulfilling these tasks; and

(3) Identify a chain of command and who (by name or by position title) 

will be responsible for fulfilling these tasks; and

CONSIDERATIONS

• Who will determine the contingency plan must be initiated? 

• Outline the chain of command.

• List methods used to maintain communication (e.g., land phones, cell phones, satellite phones, texting, email, web posting)

Research Facilities Dealers, exhibitors, intermediate handlers, and carriers

Subpart C Research Facilities, § 2.38 Miscellaneous, (l) Contingency 

planning

Subpart I, Miscellaneous, § 2.134 Contingency planning

(iv) Address how response and recovery will be handled in terms of 

materials, resources, and training needed.

(4) Address how response and recovery will be handled in terms of 

materials, resources, and training needed.

CONSIDERATIONS

• Has response and recovery been addressed in terms of materials, resources, and training?

• Who will be responsible for addressing recovery activities, and do they have adequate knowledge/training?
ANIMAL WELFARE REGULATIONS CONTINGENCY PLAN POLICY AND CHECKLIST

Research Facilities Dealers, exhibitors, intermediate handlers, and carriers

Subpart C Research Facilities, § 2.38 Miscellaneous, (l) Contingency 

planning

Subpart I, Miscellaneous, § 2.134 Contingency planning

(2) For current licensees and registrants, the contingency plan must be 

in place by [insert date 180 days after effective date of final rule]. 

(b) For current licensees and registrants, the contingency plan must be 

in place by [insert date 180 days after effective date of final rule]. 

(3) The facility must provide and document participation in and 

successful completion of training for its personnel regarding their roles 

and responsibilities as outlined in the plan. 

(c) Dealers, exhibitors, intermediate handlers, and carriers must 

provide and document participation in and successful completion of 

training for personnel regarding their roles and responsibilities as 

outlined in the plan. 

CONSIDERATIONS

• Has the contingency plan been in place by [insert date 180 days after effective date of final rule]?

• List the date when the current contingency plan was put in place.

• List the date of last review of the contingency plan.

• Has the facility provided and documented training for personnel regarding their roles and responsibilities as outlined in the plan?

Research Facilities Dealers, exhibitors, intermediate handlers, and carriers

Subpart C, Research Facilities, § 2.38 Miscellaneous Subpart H, Compliance with Standards and Holding Period, § 2.102 

Holding facility.

(i) Holding of animals. If any research facility obtains prior approval of 

the AC Regional Director, it may arrange to have another person hold 

animals: Provided, That:

(4) The other person or premises must either be directly included in the 

research facility’s contingency plan required under paragraph (l) of this 

section or must develop its own contingency plan in accordance with 

paragraph (l) of this section. 

(a) If any dealer or exhibitor obtains the prior approval of the AC 

Regional Director, he may arrange to have another person hold 

animals for the required period provided for in paragraph (a) of Sec. 

2.101: Provided, That:

(4) The other person or premises must either be directly included in the 

dealer’s or exhibitor’s contingency plan required under § 2.134 or must 

develop its own contingency plan in accordance with § 2.134. 

(b) If any intermediate handler obtains prior approval of the AC 

Regional Director, it may arrange to have another person hold animals: 

Provided, That:

(3) The other person or premises must either be directly included in the 

intermediate handler’s contingency plan required under § 2.134 or must 

develop its own contingency plan in accordance with § 2.134. 

CONSIDERATIONS

• If applicable, is the holding person or premises either directly included in the research facility’s contingency plan, or have developed its own 

contingency plan?