APHIS 41-35-076

United States

Department of

Agriculture

USDA Animal Care

Animal Welfare Act and

Animal Welfare Regulations

Animal and Plant Health Inspection Service
In accordance with Federal civil rights law and U.S. 

Department of Agriculture (USDA) civil rights regulations and 

policies, the USDA, its Agencies, offices, and employees, and 

institutions participating in or administering USDA programs 

are prohibited from discriminating based on race, color, 

national origin, religion, sex, gender identity (including gender 

expression), sexual orientation, disability, age, marital status, 

family/parental status, income derived from a public assistance 

program, political beliefs, or reprisal or retaliation for prior civil 

rights activity, in any program or activity conducted or funded 

by USDA (not all bases apply to all programs). Remedies and 

complaint filing deadlines vary by program or incident. 

Persons with disabilities who require alternative means of 

communication for program information (e.g., Braille, large print, 

audiotape, American Sign Language, etc.) should contact the 

responsible Agency or USDA’s TARGET Center at (202) 720-2600 

(voice and TTY) or contact USDA through the Federal Relay 

Service at (800) 877-8339. Additionally, program information may 

be made available in languages other than English. 

To file a program discrimination complaint, complete the 

USDA Program Discrimination Complaint Form, AD-3027, found 

online at How to File a Program Discrimination Complaint (www.

ascr.usda.gov/filing-program-discrimination-complaint-usdacustomer) and at any USDA office or write a letter addressed to 

USDA and provide in the letter all of the information requested in 

the form. To request a copy of the complaint form, call (866) 632-

9992. Submit your completed form or letter to USDA by: (1) mail: 

U.S. Department of Agriculture, Office of the Assistant Secretary 

for Civil Rights, 1400 Independence Avenue, SW, Washington, 

D.C. 20250-9410; (2) fax: (202) 690-7442; or (3) email: program.

intake@usda.gov. 

USDA is an equal opportunity provider, employer, and lender.

Issued May 2019
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TABLE OF CONTENTS 

Page 

INTRODUCTION ......................................................................................... 1 

ANIMAL WELFARE ACT ...........................................................................5 

Section Page 

§ 2131 Congressional statement of policy .........................................5

§ 2132 Definitions ..............................................................................5

§ 2133 Licensing of dealers and exhibitors........................................7

§ 2134 Valid license for dealers and exhibitors required ...................8

§ 2135 Time period for disposal of dogs or cats

by dealers or exhibitors ..........................................................8 

§ 2136 Registration of research facilities, handlers,

carriers and unlicensed exhibitors..........................................8 

§ 2137 Purchase of dogs or cats by research facilities

prohibited except from authorized operators of 

auction sales and licensed dealers or exhibitors.....................8 

§ 2138 Purchase of dogs or cats by United States Government

facilities prohibited except from authorized operators 

of auction sales and licensed dealers or exhibitors.................9 

§ 2139 Principal-agent relationship established.................................9

§ 2140 Recordkeeping by dealers, exhibitors, research facilities,

intermediate handlers, and carriers.........................................9 

§ 2141 Marking and identification of animals..................................10

§ 2142 Humane standards and recordkeeping requirements

at auction sales......................................................................10 

§ 2143 Standards and certification process for humane handling,

care, treatment, and transportation of animals .....................10 

§ 2144 Humane standards for animals by United States

Government facilities...........................................................16 

§ 2145 Consultation and cooperation with Federal, State, and

local governmental bodies by Secretary of Agriculture .......16 

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§ 2146 Administration and enforcement by Secretary.....................17

§ 2147 Inspection by legally constituted law

enforcement agencies...........................................................18 

§ 2148 Importation of live dogs.......................................................18

§ 2149 Violations by licensees.........................................................19

§ 2150 Repealed ..............................................................................21

§ 2151 Rules and regulations ...........................................................21

§ 2152 Separability...........................................................................21

§ 2153 Fees and authorization of appropriations .............................21

§ 2154 Effective dates......................................................................21

§ 2155 – Omitted ................................................................................22

§ 2156 Animal fighting venture prohibition.....................................22

§ 2157 Release of trade secrets ........................................................25

§ 2158 Protection of pets..................................................................26

§ 2159 Authority to apply for injunctions........................................28

ANIMAL WELFARE REGULATIONS....................................................29 

PART 1 – DEFINITION OF TERMS 

Section Page 

§ 1.1 Definitions. ...........................................................................31 

PART 2 – REGULATIONS 

Section Page 

Subpart A – Licensing 

§ 2.1 Requirements and application. .............................................43 

§ 2.2 Acknowledgement of regulations and standards..................45
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§ 2.3 Demonstration of compliance with standards

and regulations. ....................................................................46 

§ 2.4 Non-interference with APHIS officials. ...............................47

§ 2.5 Duration of license and termination of license.....................47

§ 2.6 Annual license fees...............................................................47

§ 2.7 Annual report by licensees. ..................................................50

§ 2.8 Notification of change of name, address,

control, or ownership of business.........................................51 

§ 2.9 Officers, agents, and employees of licensees

whose licenses have been suspended or revoked. ................51 

§ 2.10 Licensees whose licenses have been

suspended or revoked. ..........................................................51 

§ 2.11 Denial of initial license application......................................51

§ 2.12 Termination of a license. ......................................................52

Subpart B – Registration 

§ 2.25 Requirements and procedures. .............................................53

§ 2.26 Acknowledgment of regulations and standards....................53

§ 2.27 Notification of change of operation......................................53

Subpart C – Research Facilities 

§ 2.30 Registration. .........................................................................55

§ 2.31 Institutional Animal Care and Use Committee (IACUC). ...56

§ 2.32 Personnel qualifications........................................................61

§ 2.33 Attending veterinarian and adequate veterinary care...........62

§ 2.34 [Reserved] ............................................................................63

§ 2.35 Recordkeeping requirements................................................63

§ 2.36 Annual report........................................................................65

§ 2.37 Federal research facilities.....................................................66

§ 2.38 Miscellaneous.......................................................................67

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Subpart D – Attending Veterinarian and Adequate Veterinary 

Care 

§ 2.40 Attending veterinarian and adequate

veterinary care (dealers and exhibitors). ..............................75 

Subpart E – Identification of Animals 

§ 2.50 Time and method of identification. ......................................77

§ 2.51 Form of official tag...............................................................79

§ 2.52 How to obtain tags................................................................80

§ 2.53 Use of tags............................................................................80

§ 2.54 Lost tags. ..............................................................................80

§ 2.55 Removal and disposal of tags...............................................80

Subpart F – Stolen Animals 

§ 2.60 Prohibition on the purchase, sale, use, or

transportation of stolen animals. ..........................................81 

Subpart G – Records 

§ 2.75 Records: Dealers and exhibitors...........................................83

§ 2.76 Records: Operators of auction sales and brokers. ................85

§ 2.77 Records: Carriers and intermediate handlers........................86

§ 2.78 Health certification and identification. .................................87

§ 2.79 C.O.D. shipments. ................................................................88

§ 2.80 Records, disposition. ............................................................89

Subpart H – Compliance With Standards and Holding Period 

§ 2.100 Compliance with standards. .................................................91

§ 2.101 Holding period......................................................................91

§ 2.102 Holding facility.....................................................................92
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Subpart I – Miscellaneous 

§ 2.125 Information as to business; furnishing of same

by dealers, exhibitors, operators of auction sales, 

intermediate handlers, and carriers.......................................93 

§ 2.126 Access and inspection of records and property;

submission of itineraries.......................................................93 

§ 2.127 Publication of names of persons subject to the

provisions of this part...........................................................94 

§ 2.128 Inspection for missing animals.............................................95

§ 2.129 Confiscation and destruction of animals. .............................95

§ 2.130 Minimum age requirements..................................................96

§ 2.131 Handling of animals. ............................................................96

§ 2.132 Procurement of dogs, cats, and other animals; dealers.........97

§ 2.133 Certification for random source dogs and cats. ....................98

§ 2.134 Contingency planning.........................................................100

Subpart J—Importation of Live Dogs 

§ 2.150 Import Permit .....................................................................103

§ 2.151 Certifications. .....................................................................104

§ 2.152 Notification of arrival. ........................................................105

§ 2.153 Dogs refused entry..............................................................106

PART 3 – STANDARDS 

Section Page 

Subpart A – Specifications for the Humane Handling, 

Care, Treatment, and Transportation of Dogs and Cats 

§ 3.1 Housing facilities, general.................................................. 111

§ 3.2 Indoor housing facilities..................................................... 113

§ 3.3 Sheltered housing facilities. ............................................... 114

§ 3.4 Outdoor housing facilities. ................................................. 115

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§ 3.5 Mobile or traveling housing facilities. ............................... 116

§ 3.6 Primary enclosures. ............................................................ 117

§ 3.7 Compatible grouping..........................................................120

§ 3.8 Exercise for dogs................................................................121

§ 3.9 Feeding. ..............................................................................123

§ 3.10 Watering. ............................................................................123

§ 3.11 Cleaning, sanitization, housekeeping, and pest control......123

§ 3.12 Employees. .........................................................................125

§ 3.13 Consignments to carriers and intermediate handlers..........125

§ 3.14 Primary enclosures used to transport live dogs and cats....127

§ 3.15 Primary conveyances (motor vehicle,

rail, air, and marine). ..........................................................130 

§ 3.16 Food and water requirements. ............................................131

§ 3.17 Care in transit. ....................................................................132

§ 3.18 Terminal facilities...............................................................133

§ 3.19 Handling. ............................................................................134

Subpart B – Specifications for the Humane Handling, 

Care, Treatment, and Transportation of Guinea Pigs 

and Hamsters 

§ 3.25 Facilities, general................................................................137

§ 3.26 Facilities, indoor. ................................................................137

§ 3.27 Facilities, outdoor. ..............................................................138

§ 3.28 Primary enclosures. ............................................................138

§ 3.29 Feeding. ..............................................................................141

§ 3.30 Watering. ............................................................................141

§ 3.31 Sanitation............................................................................142

§ 3.32 Employees. .........................................................................142

§ 3.33 Classification and separation..............................................142

§ 3.34 [Reserved] ..........................................................................143
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§ 3.35 Consignments to carriers and intermediate handlers..........143

§ 3.36 Primary enclosures used to transport live

guinea pigs and hamsters....................................................145 

§ 3.37 Primary conveyances (motor vehicle, rail,

air, and marine)...................................................................147 

§ 3.38 Food and water requirements. ............................................148

§ 3.39 Care in transit. ....................................................................149

§ 3.40 Terminal facilities...............................................................149

§ 3.41 Handling. ............................................................................150

Subpart C – Specifications for the Humane Handling, 

Care, Treatment and Transportation of Rabbits 

§ 3.50 Facilities, general................................................................153

§ 3.51 Facilities, indoor. ................................................................153

§ 3.52 Facilities, outdoor. ..............................................................154

§ 3.53 Primary enclosures. ............................................................154

§ 3.54 Feeding. ..............................................................................156

§ 3.55 Watering. ............................................................................156

§ 3.56 Sanitation............................................................................157

§ 3.57 Employees. .........................................................................157

§ 3.58 Classification and separation..............................................157

§ 3.59 [Reserved] ..........................................................................158

§ 3.60 Consignments to carriers and intermediate handlers..........158

§ 3.61 Primary enclosures used to transport live rabbits...............160

§ 3.62 Primary conveyances (motor vehicle, rail,

air, and marine)...................................................................161 

§ 3.63 Food and water requirements. ............................................162

§ 3.64 Care in transit. ....................................................................162

§ 3.65 Terminal facilities...............................................................163

§ 3.66 Handling. ............................................................................164

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Subpart D – Specifications for the Humane Handling, 

Care, Treatment, and Transportation of Nonhuman Primates 

§ 3.75 Housing facilities, general..................................................165

§ 3.81 Environment enhancement to promote

§ 3.76 Indoor housing facilities.....................................................167

§ 3.77 Sheltered housing facilities. ...............................................168

§ 3.78 Outdoor housing facilities. .................................................170

§ 3.79 Mobile or traveling housing facilities. ...............................171

§ 3.80 Primary enclosures. ............................................................172

psychological well-being....................................................175 

§ 3.82 Feeding. ..............................................................................177

§ 3.83 Watering. ............................................................................177

§ 3.84 Cleaning, sanitization, housekeeping, and pest control......178

§ 3.85 Employees. .........................................................................179

§ 3.86 Consignments to carriers and intermediate handlers..........179

§ 3.87 Primary enclosures used to transport

nonhuman primates. ...........................................................182 

§ 3.88 Primary conveyances (motor vehicle, rail,

air, and marine)...................................................................184 

§ 3.89 Food and water requirements. ............................................185

§ 3.90 Care in transit. ....................................................................186

§ 3.91 Terminal facilities...............................................................187

§ 3.92 Handling. ............................................................................188

Subpart E – Specifications for the Humane Handling, 

Care, Treatment, and Transportation of Marine Mammals 

§ 3.100 Special considerations regarding compliance

and/or variance. ..................................................................191 

§ 3.101 Facilities, general................................................................192

§ 3.102 Facilities, indoor. ................................................................194

§ 3.103 Facilities, outdoor. ..............................................................195

§ 3.104 Space requirements.............................................................196
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§ 3.105 Feeding. ..............................................................................209

§ 3.106 Water quality....................................................................... 211

§ 3.107 Sanitation............................................................................ 211

§ 3.108 Employees or attendants.....................................................212

§ 3.109 Separation...........................................................................213

§ 3.110 Veterinary care....................................................................213

§ 3.111 Swim-with-the-dolphin programs. .....................................215

§ 3.112 Consignments to carriers and intermediate handlers..........221

§ 3.113 Primary enclosures used to transport marine mammals.....222

§ 3.114 Primary conveyances (motor vehicle, rail,

air and marine)....................................................................224

§ 3.115 Food and drinking water requirements...............................225

§ 3.116 Care in transit. ....................................................................226

§ 3.117 Terminal facilities...............................................................227

§ 3.118 Handling. ............................................................................228

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

§ 3.125 Facilities, general................................................................229

§ 3.126 Facilities, indoor. ................................................................229

§ 3.127 Facilities, outdoor. ..............................................................230

§ 3.128 Space requirements.............................................................231

§ 3.129 Feeding. ..............................................................................231

§ 3.130 Watering. ............................................................................232

§ 3.131 Sanitation............................................................................232

§ 3.132 Employees. .........................................................................232

§ 3.133 Separation...........................................................................233

§§ 3.134-3.135 - [Reserved] .............................................................233

§ 3.136 Consignments to carriers and intermediate handlers..........233

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Contents § 3.137 Primary enclosures used to transport live animals. ............235

§ 3.138 Primary conveyances (motor vehicle, rail, air,

and marine).........................................................................236

§ 3.139 Food and water requirements. ............................................237

§ 3.140 Care in transit. ....................................................................237

§ 3.141 Terminal facilities...............................................................238

§ 3.142 Handling. ............................................................................239

PART 4 – RULES OF PRACTICE GOVERNING 

PROCEEDINGS UNDER THE ANIMAL WELFARE ACT

Section Page

Subpart A – General

§ 4.1 Scope and applicability of rules of practice. ......................241

Subpart B – Supplemental Rules of Practice

§ 4.10 Summary action..................................................................241

§ 4.11 Stipulations.........................................................................242
1

Introduction 

Passed by Congress in 1966, the Animal Welfare Act (AWA) sets general 

standards for humane care and treatment that must be provided for certain 

animals that are bred for commercial sale, sold sight unseen (Internet 

sales), exhibited to the public, used in biomedical research, or transported 

commercially. Congress assigned the U.S. Department of Agriculture 

(USDA) the responsibility for enforcing the AWA. The Animal and Plant 

Health Inspection Service (APHIS) is the agency within USDA responsible 

for ensuring this occurs. 

APHIS has published the Animal Welfare Act and Animal Welfare 

Regulations, known as the “Blue Book,” as a tool to improve compliance 

among our licensees and registrants and to enhance the consistency of 

inspections by our field inspectors. The Blue Book consolidates into one 

source the AWA and the applicable regulations and standards. 

Text was pulled directly from two official sources: the Animal Welfare 

Act [United States Code, Title 7 (Agriculture), Chapter 54 (Transportation, 

Sale, and Handling of Certain Animals), Sections 2131– 2159]; and the 

Animal Welfare Regulations [Code of Federal Regulations, Title 9 

(Animals and Animal Products), Chapter 1 (Animal and Plant Health 

Inspection Service, Department of Agriculture), Subchapter A (Animal 

Welfare), Parts 1–4]. Every effort has been made to ensure that this book is 

accurate. 

The AWA is a Federal law; the associated regulations interpret the law 

into enforceable standards. USDA can amend existing regulations and/or 

create new regulations, but only Congress can change the actual law. Prior 

to altering the regulations in any way, APHIS publicizes the proposed rule 

and encourages interested parties to provide comments. All comments are 

reviewed before determining a final course of action. 

CONTROL DATA Control data is located at the top and bottom of each 

page to help readers keep track of where they are and to be aware of updates 

to specific chapters, appendixes, and other sections. 

FOOTNOTES The footnotes include text, figures, and tables. Text 

footnotes are located at the bottom of a page. When space allows, footnotes 

involving figures and tables are located directly below the associated figure 
2

or table. Otherwise, the footnotes are placed as close to the figure or table as 

possible.

UPDATES APHIS maintains an electronic copy of the Blue Book3

on our agency’s Animal Care Web site: www.aphis.usda.gov

/animal-welfare. The electronic version contains the most 

up-to-date information. 

When the Blue Book is revised, Animal Care notifies interested parties via 

the USDA-APHIS Stakeholder Registry. To subscribe, please register here: 

https://public.govdelivery.com/accounts/USDAAPHIS/subscriber/new. 

You can select the individual topics that interest you, or you can choose to 

receive all of our agency’s messages. 

ORDERING PRINTED COPIES APHIS encourages you to use the 

electronic version of the Blue Book, as it will always be the most current, 

but you can still order printed copies. The link to the APHIS publications 

ordering page is: www.aphis.usda.gov/publications.

To order, contact Animal Care ace@aphis.usda.gov or 

call (970) 494-7478.

QUESTIONS OR CONCERNS If you have questions or concerns 

regarding the Blue Book, please contact Animal Care’s National 

Policy staff at (301) 851-3751. 
Animal Welfare Act

As of Jan. 1, 2018

As found in the United States Code

Title 7 – Agriculture

Chapter 54 – Transportation, Sale, 

and Handling of Certain Animals

Sections 2131 - 2159

NOTE: This copy of the Animal Welfare Act as it appears in the U.S. Code is provided for 

informational purposes only. Before relying on any portion of the Act as it appears here, 

reference should be made to the official U.S. Code, 7 U.S.C. Sections 2131 - 2159. 

These sections can be found at the U.S. Government Printing Office website:

http://www.gpo.gov/fdsys/browse/collectionUScode.action?collectionCode=USCODE.

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AWA

ANIMAL WELFARE ACT

§ 2131 - Congressional statement of policy

(1) to insure that animals intended for use in research facilities or 

(2) to assure the humane treatment of animals during transportation in 

commerce; and

(3) to protect the owners of animals from the theft of their animals by 

preventing the sale or use of animals which have been stolen.

 For a full history of all of the Animal Welfare Act amendments, please 

http://www.aphis.usda.gov/animal_welfare/downloads/awa/awa.pdf

§ 2132 - Definitions

 In this chapter:

(a) The term “

(b) The term “Secretary” means the Secretary of Agriculture of the 

United States or his representative who shall be an employee of the United 

States Department of Agriculture.

(c) The term “

(1) between a place in a State and any place outside of such State, or 

(2)
6

AWA

(d) The term “

(e) The term “research facility” means any school (except an elementary 

or secondary school), institution, organization, or person that uses or intends 

to use live animals in research, tests, or experiments, and that (1) purchases 

or transports live animals in commerce, or (2) receives funds under a grant, 

award, loan, or contract from a department, agency, or instrumentality of the 

United States for the purpose of carrying out research, tests, or experiments: 

Provided, That the Secretary may exempt, by regulation, any such school, 

institution, organization, or person that does not use or intend to use live dogs 

or cats, except those schools, institutions, organizations, or persons, which 

use substantial numbers (as determined by the Secretary) of live animals the 

principal function of which schools, institutions, organizations, or persons, 

is biomedical research or testing, when in the judgment of the Secretary, any 

such exemption does not vitiate the purpose of this chapter.

(f) The term ‘‘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, (1) any dog or 

other animal whether alive or dead for research, teaching, exhibition, or use 

as a pet, or (2) any dog for hunting, security, or breeding purposes. Such term 

does not include a retail pet store (other than a retail pet store which sells any 

animals to a research facility, an exhibitor, or another dealer).

(g)The term “

(h) The term “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, and such term includes 

carnivals, circuses, and zoos exhibiting such animals whether operated for 

profit or not; but such term excludes retail pet stores, an owner of a common, 

domesticated household pet who derives less than a substantial portion 

§ 2132 9 CFR AWA (1-1-18 Edition)
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AWA

Animal Welfare Act, USDA § 2133

of income from a nonprimary source (as determined by the Secretary) for 

exhibiting an animal that exclusively resides at the residence of the pet 

owner, organizations sponsoring and all persons participating in State and 

country fairs, livestock shows, rodeos, purebred dog and cat shows, and any 

other fairs or exhibitions intended to advance agricultural arts and sciences, 

as may be determined by the Secretary.

(i) The term “intermediate handler” means any person including a 

department, agency, or instrumentality of the United States or of any State or 

local government (other than a dealer, research facility, exhibitor, any person 

excluded from the 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.

(j) The term “carrier” means the operator of any airline, railroad, motor 

carrier, shipping line, or other enterprise, which is engaged in the business of 

transporting any animals for hire.

(k) The term “Federal agency” means an Executive agency as such term 

is defined in section 105 of title 5, and with respect to any research facility 

means the agency from which the research facility receives a Federal award 

for the conduct of research, experimentation, or testing, involving the use of 

animals.

(l) The term “Federal award for the conduct of research, 

experimentation, or testing, involving the use of animals” means 

any mechanism (including a grant, award, loan, contract, or cooperative 

agreement) under which Federal funds are provided to support the conduct of 

such research.

The term “

(n) The term “

(o) The term “

§ 2133 - Licensing of dealers and exhibitors

The Secretary shall issue licenses to dealers and exhibitors upon 

application therefor in such form and manner as he may prescribe and upon 

payment of such fee established pursuant to 2153 of this title: Provided, 

That no such license shall be issued until the dealer or exhibitor shall have 

demonstrated that his facilities comply with the standards promulgated by 

the Secretary pursuant to section 2143 of this title: Provided, however, That 

a dealer or exhibitor shall not be required to obtain a license as a dealer or 

exhibitor under this chapter if the size of the business is determined by the 
8

AWA

Secretary to be de minimis. The Secretary is further authorized to license, 

as dealers or exhibitors, persons who do not qualify as dealers or exhibitors 

within the meaning of this chapter upon such persons’ complying with the 

requirements specified above and agreeing, in writing, to comply with all the 

requirements of this chapter and the regulations promulgated by the Secretary 

hereunder.

§ 2134 - Valid license for dealers and exhibitors required

 No dealer or exhibitor shall sell or offer to sell or transport or offer for 

§ 2135 - Time period for disposal of dogs or cats by dealers or exhibitors

 No dealer or exhibitor shall sell or otherwise dispose of any dog or cat 

§ 2136 - Registration of research facilities, handlers, carriers and 

unlicensed exhibitors

 Every research facility, every intermediate handler, every carrier, and 

§ 2137 - Purchase of dogs or cats by research facilities prohibited except 

from authorized operators of auction sales and licensed dealers or 

exhibitors

 It shall be unlawful for any research facility to purchase any dog or cat 

§ 2134 9 CFR AWA (1-1-18 Edition)
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AWA

§ 2138 - Purchase of dogs or cats by United States Government facilities 

prohibited except from authorized operators of auction sales and 

licensed dealers or exhibitors

 No department, agency, or instrumentality of the United States which 

§ 2139 - Principal-agent relationship established

 When construing or enforcing the provisions of this chapter, the act, 

§ 2140 - Recordkeeping by dealers, exhibitors, research facilities, 

intermediate handlers, and carriers

 Dealers and exhibitors shall make and retain for such reasonable period 

Animal Welfare Act, USDA § 2140
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AWA

Such records shall be made available at all reasonable times for inspection 

and copying by the Secretary.

§ 2141 - Marking and identification of animals

 All animals delivered for transportation, transported, purchased, or sold, in 

§ 2142 - Humane standards and recordkeeping requirements at auction 

sales

 The Secretary is authorized to promulgate humane standards and 

§ 2143 - Standards and certification process for humane handling, care, 

treatment, and transportation of animals

(a) Promulgation of standards, rules, regulations, and orders; 

requirements; research facilities; State authority 

(1) The Secretary shall promulgate standards to govern the humane 

(2) The standards described in paragraph 

 (A) for handling, housing, feeding, watering, sanitation, ventilation, 

 (B) for exercise of dogs, as determined by an attending veterinarian 

(3) In addition to the requirements under paragraph (2), the standards 

 (A) for animal care, treatment, and practices in experimental 

§ 2141 9 CFR AWA (1-1-18 Edition)
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AWA

adequate veterinary care with the appropriate use of anesthetic, analgesic, 

tranquilizing drugs, or euthanasia;

 (B) that the principal investigator considers alternatives to any 

 (C) in any practice which could cause pain to animals –

 (i) that a doctor of veterinary medicine is consulted in the 

 (ii) for the use of tranquilizers, analgesics, and anesthetics;

 (iii) for pre-surgical and post-surgical care by laboratory workers, 

 against the use of paralytics without anesthesia; and 

 that the withholding of tranquilizers, anesthesia, analgesia, or 

 (D) that no animal is used in more than one major operative 

 (i)

 (ii) other special circumstances as determined by the Secretary; 

and

 (E) that exceptions to such standards may be made only when 

(4) The Secretary shall also promulgate standards to govern the 

(5) In promulgating and enforcing standards established pursuant to this 

(6)(A) Nothing in this chapter –

 (i) except as provided in paragraphs1 (7) of this subsection, shall 

1 So in original. Probably should be ‘‘paragraph’’.

Animal Welfare Act, USDA § 2143
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AWA

orders with regard to the design, outlines, or guidelines of actual research or 

experimentation by a research facility as determined by such research facility;

 (ii) except as provided2 subparagraphs (A) and (C)(ii) through 

 (iii) shall authorize the Secretary, during inspection, to interrupt 

 (B) No rule, regulation, order, or part of this chapter shall be 

(7)(A) The Secretary shall require each research facility to show upon 

 (B) In complying with subparagraph (A), such research facilities 

 (i) information on procedures likely to produce pain or distress 

 (ii) assurances satisfactory to the Secretary that such facility is 

 (iii) an explanation for any deviation from the standards 

(8) Paragraph (1) shall not prohibit any State (or a political subdivision 

(b) Research facility Committee; establishment, membership, 

functions, etc.

 (1) The Secretary shall require that each research facility establish 

at least one Committee. Each Committee shall be appointed by the chief 

executive officer of each such research facility and shall be composed of 

not fewer than three members. Such members shall possess sufficient ability 

to assess animal care, treatment, and practices in experimental research as 

determined by the needs of the research facility and shall represent society’s 

concerns regarding the welfare of animal subjects used at such facility. Of the 

members of the Committee –

2 So in original. Probably should be followed by ‘‘in’’.

§ 2143 9 CFR AWA (1-1-18 Edition)
13

AWA

 (A) at least one member shall be a doctor of veterinary medicine;

 at least one member –

 (i)

 (ii) shall not be a member of the immediate family of a person 

 (iii) is intended to provide representation for general community 

 (C) in those cases where the Committee consists of more than three 

(2) A quorum shall be required for all formal actions of the Committee, 

(3) The Committee shall inspect at least semiannually all animal study 

 (A) practices involving pain to animals, and

 (B) the condition of animals, to ensure compliance with the 

 (4)(A) The Committee shall file an inspection certification report of 

each inspection at the research facility. Such report shall – 

 (i) be signed by a majority of the Committee members involved 

in the inspection;

 (ii) include reports of any violation of the standards promulgated, 

or assurances required, by the Secretary, including any deficient conditions of 

animal care or treatment, any deviations of research practices from originally 

approved proposals that adversely affect animal welfare, any notification to 

the facility regarding such conditions, and any corrections made thereafter;

 (iii) include any minority views of the Committee; and 

 include any other information pertinent to the activities of the 

 (B)

 (C) In order to give the research facility an opportunity to correct 

Animal Welfare Act, USDA § 2143
14

AWA

deviations remain uncorrected, the Committee shall notify (in writing) the 

Animal and Plant Health Inspection Service and the funding Federal agency 

of such deficiencies or deviations.

(5) The inspection results shall be available to Department of 

(c) Federal research facilities; establishment, composition, and 

responsibilities of Federal Committee 

 In the case of Federal research facilities, a Federal Committee shall be 

(1) all corrective action to be taken at the facility; and 

(2) the granting of all exceptions to inspection protocol. 

 Each research facility shall provide for the training of scientists, animal 

(1) the humane practice of animal maintenance and experimentation; 

 research or testing methods that minimize or eliminate the use of 

 (3) utilization of the information service at the National Agricultural 

Library, established under subsection (e) of this section; and

(4)

(e) Establishment of information service at National Agricultural 

Library; service functions 

The Secretary shall establish an information service at the National 

Agricultural Library. Such service shall, in cooperation with the National 

Library of Medicine, provide information –

(1) pertinent to employee training; 

 which could prevent unintended duplication of animal 

experimentation as determined by the needs of the research facility; and

§ 2143 9 CFR AWA (1-1-18 Edition)
15

AWA

 (3) on improved methods of animal experimentation, including 

methods which could –

 (A) reduce or replace animal use; and 

 (B) minimize pain and distress to animals, such as anesthetic and 

(f) 3 Suspension or revocation of Federal support for research 

projects; prerequisites; appeal procedure 

 In any case in which a Federal agency funding a research project 

3

in accordance with section 2140 of this title.

 No dogs or cats, or additional kinds or classes of animals designated 

3 So in original. Two subsecs. (f) have been enacted.

Animal Welfare Act, USDA § 2143
16

AWA

registered research facilities if they are less than such age as the Secretary 

may by regulation prescribe. The Secretary shall designate additional kinds 

and classes of animals and may prescribe different ages for particular kinds or 

classes of dogs, cats, or designated animals, for the purposes of this section, 

when he determines that such action is necessary or adequate to assure their 

humane treatment in connection with their transportation in commerce.

 No intermediate handler or carrier involved in the transportation of any 

§ 2144 - Humane standards for animals by United States Government 

facilities

 Any department, agency, or instrumentality of the United States having 

1 2143(a),(f),(g) 

1 So in original. Probably should be ‘‘section’’.

§ 2145 - Consultation and cooperation with Federal, State, and local 

governmental bodies by Secretary of Agriculture

(a)The Secretary shall consult and cooperate with other Federal 

§ 2144 9 CFR AWA (1-1-18 Edition)
17

AWA

within 30 days after such consultation, that changes in its provisions are 

necessary in the interest of flight safety. The Surface Transportation Board, 

the Secretary of Transportation, and the Federal Maritime Commission, to 

the extent of their respective lawful authorities, shall take such action as is 

appropriate to implement any standard established by the Secretary with 

respect to a person subject to regulation by it.

 (b) The Secretary is authorized to cooperate with the officials of the 

various States or political subdivisions thereof in carrying out the purposes of 

this chapter and of any State, local, or municipal legislation or ordinance on 

the same subject.

§ 2146 - Administration and enforcement by Secretary

 The Secretary shall make such investigations or inspections as he deems 

 Any person who forcibly assaults, resists, opposes, impedes, intimidates, 

Animal Welfare Act, USDA § 2146
18

AWA

fined not more than $10,000, or imprisoned not more than ten years, or both. 

Whoever kills any person while engaged in or on account of the performance 

of his official duties under this chapter shall be punished as provided under 

sections 1111 and 1114 of title 18.

(c) Procedures 

§ 2147 - Inspection by legally constituted law enforcement agencies

 The Secretary shall promulgate rules and regulations requiring dealers, 

§ 2148 - Importation of live dogs

 In this section: 

 The term “

 (2) Resale 

 The term “

§ 2147 9 CFR AWA (1-1-18 Edition)
19

AWA

(b) Requirements

 (1) In general 

 Except as provided in paragraph (2), no person shall import a dog into the 

 (A) is in good health; 

 (B) has received all necessary vaccinations; and 

 (C) is at least 6 months of age, if imported for resale.

(2) Exception 

(A) In general 

The Secretary, by regulation, shall provide an exception to any 

requirement under paragraph (1) in any case in which a dog is imported for – 

(i) research purposes; or 

 (ii) veterinary treatment. 

(B) Lawful importation into Hawaii 

 Paragraph (1)(C) shall not apply to the lawful importation of a dog into 

the State of Hawaii from the British Isles, Australia, Guam, or New Zealand 

in compliance with the applicable regulations of the State of Hawaii and the 

other requirements of this section, if the dog is not transported out of the 

State of Hawaii for purposes of resale at less than 6 months of age.

(c) Implementation and regulations 

The Secretary, the Secretary of Health and Human Services, the Secretary 

of Commerce, and the Secretary of Homeland Security shall promulgate such 

regulations as the Secretaries determine to be necessary to implement and 

enforce this section.

 An importer that fails to comply with this section shall – 

(1) be subject to penalties under section 2149 of this title; and 

(2) provide for the care (including appropriate veterinary care), 

forfeiture, and adoption of each applicable dog, at the expense of the 

importer.

§ 2149 - Violations by licensees

(a) Temporary license suspension; notice and hearing; revocation 

 If the Secretary has reason to believe that any person licensed as a dealer, 

exhibitor, or operator of an auction sale subject to section 2142 of this title, 

has violated or is violating any provision of this chapter, or any of the rules 

or regulations or standards promulgated by the Secretary hereunder, he may 

suspend such person’s license temporarily, but not to exceed 21 days, and 

after notice and opportunity for hearing, may suspend for such additional 

period as he may specify, or revoke such license, if such violation is 

determined to have occurred.

Animal Welfare Act, USDA § 2149
20

AWA

 Any dealer, exhibitor, research facility, intermediate handler, carrier, or 

 Any dealer, exhibitor, research facility, intermediate handler, carrier, or 

§ 2149 9 CFR AWA (1-1-18 Edition)
21

AWA Any dealer, exhibitor, or operator of an auction sale subject to section 

§ 2150 - Repealed

§ 2151 - Rules and regulations

 The Secretary is authorized to promulgate such rules, regulations, and 

§ 2152 - Separability

 If any provision of this chapter or the application of any such provision 

§ 2153 - Fees and authorization of appropriations

 The Secretary shall charge, assess, and cause to be collected reasonable 

§ 2154 - Effective dates

 The regulations referred to in sections 2140 and 2143 of this title shall 

Animal Welfare Act, USDA § 2154
22

AWA

prescribed from time to time as may be necessary or advisable. Compliance 

by dealers with the provisions of this chapter and such regulations shall 

commence ninety days after the promulgation of such regulations. 

Compliance by research facilities with the provisions of this chapter and 

such regulations shall commence six months after the promulgation of 

such regulations, except that the Secretary may grant extensions of time to 

research facilities which do not comply with the standards prescribed by the 

Secretary pursuant to section 2143 of this title provided that the Secretary 

determines that there is evidence that the research facilities will meet such 

standards within a reasonable time. Notwithstanding the other provisions of 

this section, compliance by intermediate handlers, and carriers, and other 

persons with those provisions of this chapter, as amended by the Animal 

Welfare Act Amendments of 1976, and those regulations promulgated 

thereunder, which relate to actions of intermediate handlers and carriers, shall 

commence 90 days after promulgation of regulations under section 2143 of 

this title, as amended, with respect to intermediate handlers and carriers, and 

such regulations shall be promulgated no later than 9 months after April 22, 

1976; and compliance by dealers, exhibitors, operators of auction sales, and 

research facilities with other provisions of this chapter, as so amended, and 

the regulations thereunder, shall commence upon the expiration of 90 days 

after April 22, 1976: Provided, however, That compliance by all persons with 

subsections (b), (c), and (d) of section 2143 and with section 2156 of this 

title, as so amended, shall commence upon the expiration of said ninety-day 

period. In all other respects, said amendments shall become effective on April 

22, 1976.

§ 2155 – Omitted

§ 2156 - Animal fighting venture prohibition

(a) Sponsoring or exhibiting an animal in, attending, or causing an 

individual who has not attained the age of 16 to attend an animal fighting 

venture

 (1) In general Sponsoring or Exhibiting

 Except as provided in paragraph (3), it shall be unlawful for any person to 

(2)

knowingly attend an animal fighting venture; or

knowingly cause an individual who has not attained the age of 16 to attend 

an animal fighting venture.

§ 2155 9 CFR AWA (1-1-18 Edition)
23

AWA

1

1 So in original. Probably should be ‘‘States’’.

(b) Buying, selling, delivering, possessing, training, or transporting 

animals for participation in animal fighting venture 

 It shall be unlawful for any person to knowingly sell, buy, possess, train, 

(c) Use of Postal Service or other interstate instrumentality for 

promoting or furthering animal fighting venture 

 It shall be unlawful for any person to knowingly use the mail service 

2

2 So in original. Probably should be preceded by ‘‘or’’.

(d) Violation of State law 

 Notwithstanding the provisions of subsection (c) of this section, the 

(e) Buying, selling, delivering, or transporting sharp instruments for 

use in animal fighting venture 

 It shall be unlawful for any person to knowingly sell, buy, transport, or 

(f) Investigation of violations by Secretary; assistance by other Federal 

agencies; issuance of search warrant; forfeiture; costs recoverable in 

forfeiture or civil action 

 The Secretary or any other person authorized by him shall make such 

Animal Welfare Act, USDA § 2156
24

AWA

warrant to search for and seize any animal which there is probable cause to 

believe was involved in any violation of this section may be issued by any 

judge of the United States or of a State court of record or by a United States 

magistrate judge within the district wherein the animal sought is located. 

Any United States marshal or any person authorized under this section to 

conduct investigations may apply for and execute any such warrant, and 

any animal seized under such a warrant shall be held by the United States 

marshal or other authorized person pending disposition thereof by the court 

in accordance with this subsection. Necessary care including veterinary 

treatment shall be provided while the animals are so held in custody. Any 

animal involved in any violation of this section shall be liable to be proceeded 

against and forfeited to the United States at any time on complaint filed in 

any United States district court or other court of the United States for any 

jurisdiction in which the animal is found and upon a judgment of forfeiture 

shall be disposed of by sale for lawful purposes or by other humane means, as 

the court may direct. Costs incurred for care of animals seized and forfeited 

under this section shall be recoverable from the owner of the animals (1) if he 

appears in such forfeiture proceeding, or (2) in a separate civil action brought 

in the jurisdiction in which the owner is found, resides, or transacts business.

(g) Definitions 

 In this section –

(1) the term “

 (2) the term “instrumentality of interstate commerce” means any 

written, wire, radio, television or other form of communication in, or using a 

facility of, interstate commerce;

 (3) the term “State” means any State of the United States, the District 

of Columbia, the Commonwealth of Puerto Rico, and any territory or 

possession of the United States;

(4) the term “

(h) Relationship to other provisions 

 The conduct by any person of any activity prohibited by this section shall 

 (1) In general 

§ 2156 9 CFR AWA (1-1-18 Edition)
25

AWA

 The provisions of this chapter shall not supersede or otherwise invalidate 

(j) Criminal penalties 

 The criminal penalties for violations of subsection (a), (b), (c), or (e) are 

§ 2157 - Release of trade secrets

 It shall be unlawful for any member of an Institutional Animal Committee 

 (1) the trade secrets, processes, operations, style of work, or apparatus; 

or 

(2)

 It shall be unlawful for any member of such Committee – 

(1) to use or attempt to use to his advantages; or 

(2) to reveal to any other person, 

any information which is entitled to protection as confidential information 

under subsection (a) of this section.

(c) Penalties 

 A violation of subsection (a) or (b) of this section is punishable by – 

(1) removal from such Committee; and 

(2)(A)

 (B) if such violation is willful, a fine of not more than $10,000 and 

imprisonment of not more than three years.

 Any person, including any research facility, injured in its business or 

 Nothing in this section shall be construed to affect any other rights 

Animal Welfare Act, USDA § 2157
26

AWA

the exercise of any such rights arising out of or relating to a violation of 

subsections (a) and (b) of this section.

§ 2158 - Protection of pets

 (a) Holding period 

 In the case of each dog or cat acquired by an entity described in paragraph 

 (2) Entities described 

 An entity subject to paragraph (1) is –

 (A) each State, county, or city owned and operated pound or shelter; 

 (B) each private entity established for the purpose of caring for 

animals, such as a humane society, or other organization that is under contract 

with a State, county, or city that operates as a pound or shelter and that 

releases animals on a voluntary basis; and

 (C) each research facility licensed by the Department of Agriculture. 

(b) Certification 

 (1) In general 

 A dealer may not sell, provide, or make available to any individual or 

 (A) the name, address, and Department of Agriculture license or 

 (B) the name, address, Department of Agriculture license or 

registration number (if such number exists), and the signature of the recipient 

of the dog or cat;

 (C) a description of the dog or cat being provided that shall include 

 (i) the species and breed or type of such; 

 (ii) the sex of such; 

 (iii) the date of birth (if known) of such; 

 the color and any distinctive marking of such; and 

 any other information that the Secretary by regulation shall 

 (D) the name and address of the person, pound, or shelter from 

which the dog or cat was purchased or otherwise acquired by the dealer, and 

§ 2158 9 CFR AWA (1-1-18 Edition)
27

AWA

an assurance that such person, pound, or shelter was notified that such dog or 

cat may be used for research or educational purposes;

 (E) the date of the purchase or acquisition referred to in 

subparagraph (D); 

 (F) a statement by the pound or shelter (if the dealer acquired the 

 (G) any other information that the Secretary of Agriculture by 

regulation shall determine appropriate.

(3) Records 

 In instances where one research facility transfers animals to another 

Certification requirements may be modified to reflect technological 

advances in identification techniques, such as microchip technology, if 

the Secretary determines that adequate information such as described in 

this section, will be collected, transferred, and maintained through such 

technology.

(c) Enforcement 

 (1) In general 

 Dealers who fail to act according to the requirements of this section or 

 Any dealer who violates this section more than one time shall be subject to 

 Any dealer who violates this section three or more times shall have such 

(d) Regulation 

 Not later than 180 days after November 28, 1990, the Secretary shall 

Animal Welfare Act, USDA § 2158
28

AWA

§ 2159 - Authority to apply for injunctions

(a) Request 

 Whenever the Secretary has reason to believe that any dealer, carrier, 

(b) Issuance 

The court shall, upon a proper showing, issue a temporary restraining 

order or injunction under subsection (a) of this section without bond. Such 

injunction or order shall remain in effect until a complaint pursuant to section 

2149 of this title is issued and dismissed by the Secretary or until an order 

to cease and desist made thereon by the Secretary has become final and 

effective or is set aside on appellate review. Attorneys of the Department of 

Agriculture may, with the approval of the Attorney General, appear in the 

United States district court representing the Secretary in any action brought 

under this section.

§ 2159 9 CFR AWA (1-1-18 Edition)
29

Animal Welfare 

Regulations

As of Jan. 1, 2018

As found in the Code of Federal Regulations

Title 9 – Animals and Animal Products

Chapter 1 – Animal and Plant Health Inspection Service, 

Department of Agriculture

Subchapter A – Animal Welfare

Parts 1 - 4

NOTE: This copy of the Animal Welfare Regulations as it appears in the Code of Federal 

Regulations is provided for informational purposes only. Before relying on any portion of the 

regulations as they appear here, reference should be made to the official Code of Federal 

Regulations, 9 C.F.R. Parts 1-4. 

These parts can be found at the U.S. Government Printing Office website: 

http://www.gpo.gov/fdsys/browse/collectionCfr.action?collectionCode=CFR.

29
30
31

PART 1

Definitions

ANIMAL WELFARE REGULATIONS

PART 1 – DEFINITION OF TERMS 

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

§ 1.1 - Definitions.

 For the purposes of this subchapter, unless the context otherwise requires, 

AC Regional Director means a veterinarian or his designee, employed 

by APHIS, who is assigned by the Administrator to supervise and perform 

the official work of APHIS in a given State or States. As used in part 2 of 

this subchapter, the AC Regional Director shall be deemed to be the person 

in charge of the official work of APHIS in the State in which the dealer, 

exhibitor, research facility, intermediate handler, carrier, or operator of an 

auction sale has his principal place of business.

Act

Activity

Administrative unit

Administrator

Ambient temperature

Animal
32

PART 1

Definitions

respect to a dog, the term means all dogs, including those used for hunting, 

security, or breeding purposes.

Animal act

Attending veterinarian

Buffer area

Business hours

Business year

Carrier

Cat

Class “A” licensee

Class “B” licensee

§ 1.1 9 CFR AWR (1-1-18 Edition)
33

PART 1

Definitions

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

Commerce

(1) Between a place in a State and any place outside of such State, 

(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 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 use as 

a pet; or any dog at the wholesale level for hunting, security, or breeding 

purposes.

This term does not include: A retail pet store, as defined in this section; 

and any retail outlet where dogs are sold for hunting, breeding, or security 

purposes.

Department means the U.S. Department of Agriculture.

Deputy Administrator means the Deputy Administrator for Animal Care 

(AC) or any other official of AC to whom authority has been delegated to act 

in his stead.

Dog means any live or dead dog (Canis familiaris) or any dog-hybrid 

cross.

Animal Welfare Regulations, USDA § 1.1
34

PART 1

Definitions

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, an owner of a common, domesticated household pet who derives 

less than a substantial portion of income from a nonprimary source (as 

determined by the Secretary) for exhibiting an animal that exclusively 

resides at the residence of the pet owner, organizations sponsoring and all 

persons participating in State and country fairs, livestock shows, rodeos, 

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.

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 

§ 1.1 9 CFR AWR (1-1-18 Edition)
35

PART 1

Definitions

the use of animals. The permit system established under the authorities of 

the Endangered Species Act, the Marine Mammal Protection Act, and the 

Migratory Bird Treaty Act, are not considered to be Federal awards under the 

Animal Welfare Act.

Federal research facility means each department, agency, or 

instrumentality of the United States which uses live animals for research or 

experimentation.

Field study means a study conducted on free-living wild animals in their 

natural habitat. However, this term excludes any study that involves an 

invasive procedure, harms, or materially alters the behavior of an animal 

under study.

Handling means petting, feeding, watering, cleaning, manipulating, 

loading, crating, shifting, transferring, immobilizing, restraining, treating, 

training, working and moving, or any similar activity with respect to any 

animal.

Housing facility means any land, premises, shed, barn, building, trailer, or 

other structure or area housing or intended to house animals.

Hybrid cross means an animal resulting from the crossbreeding between 

two different species or types of animals. Crosses between wild animal 

species, such as lions and tigers, are considered to be wild animals. Crosses 

between wild animal species and domestic animals, such as dogs and wolves 

or buffalo and domestic cattle, are considered to be domestic animals.

Impervious surface means a surface that does not permit the absorption of 

fluids. Such surfaces are those that can be thoroughly and repeatedly cleaned 

and disinfected, will not retain odors, and from which fluids bead up and run 

off or can be removed without their being absorbed into the surface material.

Indoor housing facility means any structure or building with 

environmental controls housing or intended to house animals and meeting the 

following three requirements:

 (1) It must be capable of controlling the temperature within the 

building or structure within the limits set forth for that species of animal, of 

maintaining humidity levels of 30 to 70 percent and of rapidly eliminating 

odors from within the building; and

 (2) It must be an enclosure created by the continuous connection of a 

roof, floor, and walls (a shed or barn set on top of the ground does not have a 

continuous connection between the walls and the ground unless a foundation 

and floor are provided); and

 (3) It must have at least one door for entry and exit that can be opened 

and closed (any windows or openings which provide natural light must be 

covered with a transparent material such as glass or hard plastic).

Interactive area means that area in a primary enclosure for a swim-withthe-dolphin program where an interactive session takes place.

Animal Welfare Regulations, USDA § 1.1
36

PART 1

Definitions

Interactive session means a swim-with-the-dolphin program session 

where members of the public enter a primary enclosure to interact with 

cetaceans.

Intermediate handler means any person, including a department, agency, 

or instrumentality of the United States or of any State or local government 

(other than a dealer, research facility, exhibitor, any person excluded from the 

definition of a dealer, research facility, or exhibitor, an operator of an auction 

sale, or a carrier), who is engaged in any business in which he receives 

custody of animals in connection with their transportation in commerce.

Inspector means any person employed by the Department who is 

authorized to perform a function under the Act and the regulations in 9 CFR 

parts 1, 2, and 3.

Institutional official means the individual at a research facility who 

is authorized to legally commit on behalf of the research facility that the 

requirements of 9 CFR parts 1, 2, and 3 will be met.

Isolation in regard to marine mammals means the physical separation of 

animals to prevent contact and a separate, noncommon, water circulation and 

filtration system for the isolated animals.

Licensed veterinarian means a person who has graduated from an 

accredited school of veterinary medicine or has received equivalent formal 

education as determined by the Administrator, and who has a valid license to 

practice veterinary medicine in some State.

Licensee means any person licensed according to the provisions of the Act 

and the regulations in part 2 of this subchapter.

Major operative procedure means any surgical intervention that penetrates 

and exposes a body cavity or any procedure which produces permanent 

impairment of physical or physiological functions.

Minimum horizontal dimension (MHD) means the diameter of a circular 

pool of water, or in the case of a square, rectangle, oblong, or other shape 

pool, the diameter of the largest circle that can be inserted within the confines 

of such a pool of water.

Mobile or traveling housing facility means a transporting vehicle such 

as a truck, trailer, or railway car, used to house animals while traveling for 

exhibition or public education purposes.

Non-conditioned 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.

§ 1.1 9 CFR AWR (1-1-18 Edition)
37

PART 1

Definitions

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 

Animal Welfare Regulations, USDA § 1.1
38

PART 1

Definitions

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 a place of business or residence at which the

seller, buyer, and the animal available for sale are physically present so 

that every buyer may personally observe the animal prior to purchasing 

and/or taking custody of that animal after purchase, and where only the 

following animals are sold or offered for sale, at retail, for use as pets: Dogs, 

cats, rabbits, guinea pigs, hamsters, gerbils, rats, mice, gophers, chinchillas, 

domesticated ferrets, domesticated farm-type animals, birds, and coldblooded 

species. Such 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 non-pet species of warm-blooded animals 

(except birds), such as skunks, raccoons, nonhuman primates, squirrels, 

ocelots, foxes, coyotes, etc.;

 (3) Any establishment or person selling warm-blooded animals (except 

birds, and laboratory rats and mice) for research or exhibition purposes;

 (4) Any establishment wholesaling any animals (except birds, rats and 

mice); and

 (5) Any establishment exhibiting pet animals in a room that is separate 

from or adjacent to the retail pet store, or in an outside area, or anywhere off 

the retail pet store premises.

Sanctuary area means that area in a primary enclosure for a swim-withthe-dolphin program that is off-limits to the public and that directly abuts the 

buffer area.

Sanitize means to make physically clean and to remove and destroy, to the 

maximum degree that is practical, agents injurious to health.

Secretary means the Secretary of Agriculture of the United States or his 

representative who shall be an employee of the Department.

§ 1.1 9 CFR AWR (1-1-18 Edition)
39

PART 1

Definitions

Sheltered housing facility means a housing facility which provides the 

animals with shelter; protection from the elements; and protection from 

temperature extremes at all times. A sheltered housing facility may consist of 

runs or pens totally enclosed in a barn or building, or of connecting inside/

outside runs or pens with the inside pens in a totally enclosed building.

Standards means the requirements with respect to the humane housing, 

exhibition, handling, care, treatment, temperature, and transportation of 

animals by dealers, exhibitors research facilities, carriers, intermediate 

handlers, and operators of auction sales as set forth in part 3 of this 

subchapter.

State means a State of the United States, the District of Columbia, 

Commonwealth of Puerto Rico, the Virgin Islands, Guam, American Samoa, 

or any other territory or possession of the United States.

Study area means any building room, area, enclosure, or other 

containment outside of a core facility or centrally designated or managed area 

in which animals are housed for more than 12 hours.

Swim-with-the-dolphin (SWTD) program means any human-cetacean 

interactive program in which a member of the public enters the primary 

enclosure in which an SWTD designated cetacean is housed to interact with 

the animal. This interaction includes, but such inclusions are not limited 

to, wading, swimming, snorkeling, or scuba diving in the enclosure. This 

interaction excludes, but such exclusions are not limited to, feeding and 

petting pools, and the participation of any member(s) of the public audience 

as a minor segment of an educational presentation or performance of a show.

Transporting device means an interim vehicle or device, other than man, 

used to transport an animal between the primary conveyance and the terminal 

facility or in and around the terminal facility of a carrier or intermediate 

handler.

Transporting vehicle means any truck, car, trailer, airplane, ship, or 

railroad car used for transporting animals.

Weaned means that an animal has become accustomed to take solid food 

and has so done, without nursing, for a period of at least 5 days.

Wild animal means any animal which is now or historically has been 

found in the wild, or in the wild state, within the boundaries of the United 

States, its territories, or possessions. This term includes, but is not limited 

to, animals such as: deer, skunk, opossum, raccoon, mink, armadillo, coyote, 

squirrel, fox, wolf, etc.

Wild state means living in its original, natural condition; not domesticated.

Zoo means any park, building, cage, enclosure, or other structure or 

premise in which a live animal or animals are kept for public exhibition or 

viewing, regardless of compensation.

Animal Welfare Regulations, USDA § 1.1
40

PART 1

Definitions

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

58 FR 39129, July 22, 1993; 62 FR 43275, Aug. 13, 1997; 63 FR 47148, 

Sept. 4, 1998; 63 FR 62926, Nov. 10, 1998; 65 FR 6314, Feb. 9, 2000; 68 

FR 12285, Mar. 14, 2003; 69 FR 31514, June 4, 2004; 69 FR 42099, July 14, 

2004; 78 FR 57227, Sept. 18, 2013]

Effective Date Note: At 64 FR 15920, Apr. 2, 1999, the definitions of 

buffer area, interactive area, interactive session, sanctuary area, and swimwith-the-dolphin (SWTD) program were suspended, effective Apr. 2, 1999. 

§ 1.1 9 CFR AWR (1-1-18 Edition)
41

PART 2

Table of 

Contents

PART 2 – REGULATIONS

Subpart A – Licensing

§ 2.1 Requirements and application.

§ 2.2 Acknowledgement of regulations and standards.

§ 2.3 Demonstration of compliance with standards and regulations.

§ 2.4 Non-interference with APHIS 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.

§ 2.12 Termination of a license.

Subpart B – Registration

§ 2.25 Requirements and procedures.

§ 2.26 Acknowledgment 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.
42

PART 2

Table of 

Contents

§ 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; submission of itineraries.

§ 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 dogs, cats, and other animals; dealers.

§ 2.133 Certification for random source dogs and cats.

§ 2.134 Contingency planning.

Subpart J – Importation of Live Dogs

§ 2.150 Import Permit

§ 2.151 Certifications

§ 2.152 Notification of arrival

§ 2.153 Dogs refused entry

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

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

 9 CFR AWR (1-1-18 Edition)
PART 2

Subpart A

43

Subpart A – Licensing

§ 2.1 - Requirements and application.

(a)(1) Any person operating or intending 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 AC Regional Director 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 

AC Regional Director.

 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 (c) of this section, and the 

annual license fee indicated in table 1 or 2 of § 2.6 shall be filed with the AC 

Regional Director.

(2)

(3) The following persons are exempt from the licensing requirements 

under section 2 or section 3 of the Act:

(i) Retail pet stores as defined in part 1 of this subchapter;

 (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 during any calendar 

year and is not otherwise required to obtain a license;

 (iii) Any person who maintains a total of four or fewer breeding 

female pet animals as defined in part 1 of this subchapter, small exotic or 

wild mammals (such as hedgehogs, degus, spiny mice, prairie dogs, flying 

squirrels, jerboas, domesticated ferrets, chinchillas, and gerbils), and/or 

domesticated farm-type animals (such as cows, goats, pigs, sheep, llamas, 

and alpacas) and sells only the offspring of these animals, which were born 

and raised on his or her premises, for pets or exhibition, and is not otherwise 

required to obtain a license. This exemption does not extend to any person 

residing in a household that collectively maintains a total of more than four 

of these breeding female animals, regardless of ownership, or to any person 

maintaining such breeding female animals on premises on which more than 

four of these breeding female animals are maintained, or to any person acting 

Animal Welfare Regulations, USDA §2.1
44

PART 2

Subpart A

in concert with others where they collectively maintain a total of more than 

four of these breeding female animals, regardless of ownership;

 (iv) Any person who sells fewer than 25 dogs and/or cats per year, 

which were born and raised on his or her premises, for research, teaching, 

or testing purposes or to any research facility and is not otherwise required 

to obtain a license. This exemption does not extend to any person residing 

in a household that collectively sells 25 or more dogs and/or cats, regardless 

of ownership, nor to any person acting in concert with others where they 

collectively sell 25 or more dogs and/or cats, regardless of ownership. 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 maintains a total of eight or fewer pet animals 

as defined in part 1 of this subchapter, small exotic or wild mammals (such 

as hedgehogs, degus, spiny mice, prairie dogs, flying squirrels, jerboas, 

domesticated ferrets, chinchillas, and gerbils), and/or domesticated farm-type 

animals (such as cows, goats, pigs, sheep, llamas, and alpacas) for exhibition, 

and is not otherwise required to obtain a license. This exemption does not 

extend to any person acting in concert with others where they collectively 

maintain a total of more than eight of these animals for exhibition, regardless 

of possession and/or ownership;

 (viii) Any person who 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) No person shall have more than one license.

(c) A license will be issued to any applicant, except as provided in §§ 2.10 

and 2.11, when:

 (1) The applicant has met the requirements of this section and §§ 2.2 

and 2.3; and

§ 2.1 9 CFR AWR (1-1-18 Edition)
PART 2

Subpart A

45

 (2) The applicant has paid the application fee of $10 and the annual 

license fee indicated in § 2.6 to the appropriate Animal Care regional office 

for an initial license.

(d)(1) A licensee who wishes a renewal must submit to the appropriate 

Animal Care regional office a completed application form and the annual 

license fee indicated in § 2.6 by certified check, cashier’s check, personal 

check, money order, or credit card. The application form and the annual 

license fee must be received by the appropriate Animal Care regional office 

on or before the expiration date of the license. An applicant whose check is 

returned by the bank will be charged a fee of $20 for each returned check. A 

returned check will be deemed nonpayment of fee and will result in the denial 

of the license. If an applicant’s check is returned, subsequent fees must be 

paid by certified check, cashier’s check, or money order.

(2) A license fee indicated in § 2.6 must also be paid if an applicant 

is applying for a changed class of license. The applicant may pay the fee by 

certified check, cashier’s check, personal check, money order, or credit card. 

An applicant whose check is returned by a bank will be charged a fee of $20 

for each returned check. If an applicant’s check is returned, subsequent fees 

must be paid by certified check, cashier’s check, or money order.

(e) 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.

(Approved by the Office of Management and Budget under control numbers 

0579-0254 and 0579-0392)

[54 FR 36147, Aug. 31, 1989, as amended at 63 FR 62926, Nov. 10, 1998; 69 

FR 42099, July 14, 2004; 78 FR 57227, Sept. 18, 2013]

§ 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 renew a license after 

the applicant certifies by signing the application 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 

Animal Welfare Regulations, USDA § 2.2
46

PART 2

Subpart A

regulations and standards. APHIS will supply a copy of the applicable 

regulations and standards to the applicant upon request.

(Approved by the Office of Management and Budget under control number 

0579-0254)

[60 FR 13895, Mar. 15, 1995, as amended at 69 FR 42100, July 14, 2004]

§ 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) Each applicant for an initial license must be inspected by APHIS and 

demonstrate compliance with the regulations and standards, as required in 

paragraph (a) of this section, before APHIS will issue a license. If the first 

inspection reveals that 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. An applicant who fails the first inspection 

will have two additional chances to demonstrate his or her compliance with 

the regulations and standards through a second inspection by APHIS. The 

applicant must request the second inspection, and if applicable, the third 

inspection, within 90 days following the first inspection. If the applicant 

fails inspection or fails to request re-inspections within the 90-day period, 

he or she will forfeit the application fee and cannot reapply for a license 

for a period of 6 months from the date of the failed third inspection or the 

expiration of the time to request a third inspection. Issuance of a 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.

(Approved by the Office of Management and Budget under control number 

0579-0254)

[54 FR 36147, Aug. 31, 1989, as amended at 69 FR 42100, July 14, 2004]

§ 2.3 9 CFR AWR (1-1-18 Edition)
PART 2

Subpart A

47

§ 2.4 - Non-interference with APHIS officials.

 A licensee or applicant for an initial license shall not interfere with, 

§ 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 

(2) The license is voluntarily terminated upon request of the licensee, in 

writing, to the AC Regional Director.

(3) The license has expired or been terminated under this part.

(4) The annual license fee has not been paid to the appropriate Animal 

(b)

(c) Any person who seeks the reinstatement of a license that has been 

(d)

(e) A license which is invalid under this part shall be surrendered to the 

[54 FR 36147, Aug. 31, 1989, as amended at 60 FR 13895, Mar. 15, 1995; 63 

FR 62926, Nov. 10, 1998; 69 FR 42100, July 14, 2004]

§ 2.6 - Annual license fees.

(a) For an initial license, the applicant must submit a $10 application 

fee in addition to the initial license fee prescribed in this section. Licensees 

applying for license renewal or changed class of license must submit only 

the license fee prescribed in this section. The license fee for an initial license, 

Animal Welfare Regulations, USDA § 2.6
48

PART 2

Subpart A

license renewal, or changed class of license is determined from table 1 or 2 

in paragraph (c) of this section. Paragraph (b) of this section indicates the 

method used to calculate the license fee. All initial license and changed class 

of license fees must be submitted to the appropriate Animal Care regional 

office, and, in the case of license renewals, all fees must be received by the 

appropriate Animal Care regional office on or before the expiration date of 

the license.

(b)(1) Class “A” license. The annual license renewal fee for a Class “A” 

(2) Class “B” license. The annual license renewal fee for a Class “B” 

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.

§ 2.6 9 CFR AWR (1-1-18 Edition)
PART 2

Subpart A

49

(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

Over But not 

over

Initial 

license fee

Annual or 

changed class 

of license fee

$0 $500 $30 $40

500 2,000 60 70

2,000 10,000 120 130

10,000 25,000 225 235

25,000 50,000 350 360

50,000 100,000 475 485

100,000 750 760

TABLE 2 – EXHIBITORS – CLASS “C” LICENSE

Number of animals Initial license fee Annual or changed 

class of license

1 to 5 $30 $40

6 to 25 75 85

26 to 50 175 185

51 to 500 225 235

501 and up 300 310

(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 

Animal Welfare Regulations, USDA § 2.6
50

PART 2

Subpart A

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 

[54 FR 36147, Aug. 31, 1989, as amended at 63 FR 62926, Nov. 10, 1998; 69 

FR 42101, July 14, 2004]

§ 2.7 - Annual report by licensees.

(a) Each year, within 30 days prior to the expiration date of his or her 

(b) A person licensed as a dealer shall set forth in his or her license 

(c) A licensed dealer who operates as a broker or an operator of an auction 

(d) A person licensed as an exhibitor shall set forth in his or her license 

[54 FR 36147, Aug. 31, 1989, as amended at 63 FR 62926, Nov. 10, 1998]

§ 2.7 9 CFR AWR (1-1-18 Edition)
PART 2

Subpart A

51

§ 2.8 - Notification of change of name, address, control, or ownership of 

business.

[54 FR 36147, Aug. 31, 1989, as amended at 63 FR 62926, Nov. 10, 1998]

§ 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.

(a) Any person whose license has been suspended for any reason shall 

(b) Any person whose license has been revoked shall not be licensed in 

(c) Any person whose license has been suspended or revoked shall not 

[54 FR 36147, Aug. 31, 1989, as amended at 63 FR 62926, Nov. 10, 1998; 69 

FR 42101, July 14, 2004]

§ 2.11 - Denial of initial license application.

(a) A license will not be issued to any applicant who:

Animal Welfare Regulations, USDA § 2.11
52

PART 2

Subpart A

(1) Has not complied with the requirements of §§ 2.1, 2.2, 2.3, and 2.4 

(2) Is not in compliance with any of the regulations or standards in this 

(3) Has had a license revoked or whose license is suspended, as set 

(4) Has pled 

(5) Is or would be operating in violation or circumvention of any 

(6) Has made any false or fraudulent statements or provided any false 

(b) An applicant whose license application has been denied may request 

(c)

(d) No license will be issued under circumstances that the Administrator 

[54 FR 36147, Aug. 31, 1989, as amended at 69 FR 42101, July 14, 2004]

§ 2.12 - Termination of a license.

 A license may be terminated during the license renewal process or at any 

[69 FR 42101, July 14, 2004]

§ 2.12 9 CFR AWR (1-1-18 Edition)
53

PART 2

Subpart B

Subpart B – Registration

§ 2.25 - Requirements and procedures.

(a) Each carrier and intermediate handler, and each exhibitor not 

(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.

(c) No registrant or person required to be registered shall interfere with, 

[54 FR 36147, Aug. 31, 1989, as amended at 63 FR 62926, Nov. 10, 1998; 69

FR 42101, July 14, 2004]

§ 2.26 - Acknowledgment of regulations and standards.

 APHIS will supply a copy of the regulations and standards in this 

[54 FR 36147, Aug. 31, 1989, as amended at 63 FR 62926, Nov. 10, 1998]

§ 2.27 - Notification of change of operation.

(a)

(b)(1) A registrant which has not used, handled, or transported animals 

Animal Welfare Regulations, USDA § 2.27
54

PART 2

Subpart B

(2) A registrant which goes out of business or which ceases to function 

[54 FR 36147, Aug. 31, 1989, as amended at 63 FR 62926, Nov. 10, 1998]

§ 2.27 9 CFR AWR (1-1-18 Edition)
55

PART 2

Subpart C

Subpart C – Research Facilities

§ 2.30 - Registration.

(a) Requirements and procedures.

(1) Each research facility other than a Federal research facility, shall 

(2) In any situation in which a school or department of a university or 

(3) A subsidiary of a business corporation, rather than the parent 

(b) Acknowledgment of regulations and standards.

(c)

(1)

(2) A research facility which has not used, handled, or transported 

Animal Welfare Regulations, USDA § 2.30
56

PART 

Subpart 

(3) A research facility which goes out of business or which ceases to 

(d) No research facility shall interfere with, threaten, abuse (including 

[54 FR 36147, Aug. 31, 1989, as amended at 63 FR 62926, Nov. 10, 1998; 69 

FR 42101, July 14, 2004]

§ 2.31 - Institutional Animal Care and Use Committee (IACUC).

(a)

(b) IACUC membership.

(1) The members of each Committee shall be appointed by the Chief 

(2) The Committee shall be composed of a Chairman and at least two 

(3) Of the members of the Committee:

 (i) At least one shall be a Doctor of Veterinary Medicine, with 

 (ii)

(4) If the Committee consists of more than three members, not more 

§ 2.31 9 CFR AWR (1-1-18 Edition)
57

PART 2

Subpart C

(c) IACUC functions.

(1) Review, at least once every six months, the research facility’s 

(2) Inspect, at least once every six months, all of the research facility’s 

(3) Prepare reports of its evaluations conducted as required by 

(4) Review, and, if warranted, investigate concerns involving the care 

Animal Welfare Regulations, USDA § 2.31
58

PART 

Subpart 

received and from reports of noncompliance received from laboratory or 

research facility personnel or employees;

(5)

(6)

(7)

(8) Be authorized to suspend an activity involving animals in 

(d) IACUC review of activities involving animals. 

(1)

 (i) Procedures involving animals will avoid or minimize discomfort, 

 (ii) The principal investigator has considered alternatives to 

 (iii) The principal investigator has provided written assurance that 

 Procedures that may cause more than momentary or slight pain 

 (A) Be performed with appropriate sedatives, analgesics or 

 (B) Involve, in their planning, consultation with the attending 

 (C) Not include the use of paralytics without anesthesia;

§ 2.31 9 CFR AWR (1-1-18 Edition)
59

PART 2

Subpart C

 Animals that would otherwise experience severe or chronic pain 

 The animals’ living conditions will be appropriate for their 

 Medical care for animals will be available and provided as 

 Personnel conducting procedures on the species being 

 (ix) Activities that involve surgery include appropriate provision 

 (x) No animal will be used in more than one major operative 

 (A)

 (B) Required as routine veterinary procedure or to protect 

 (C) In other special circumstances as determined by the 

 (xi) Methods of euthanasia used must be in accordance with the 

(2) Prior to IACUC review, each member of the Committee shall 

Animal Welfare Regulations, USDA § 2.31
60

PART 

Subpart 

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 

(4) The IACUC shall notify principal investigators and the research 

(5) The IACUC shall conduct continuing reviews of activities covered 

(6) The IACUC may suspend an activity that it previously approved 

(7) If the IACUC suspends an activity involving animals, the 

§ 2.31 9 CFR AWR (1-1-18 Edition)
61

PART 2

Subpart C

(8)

(e) A proposal to conduct an activity involving animals, or to make a 

(1)

(2) A rationale for involving animals, and for the appropriateness of the 

(3) A complete description of the proposed use of the animals;

(4) A description of procedures designed to assure that discomfort and 

(5) A description of any euthanasia method to be used.

[54 FR 36147, Aug. 31, 1989, as amended at 59 FR 67611, Dec. 30, 1994; 63 

FR 62926, Nov. 10, 1998]

§ 2.32 - Personnel qualifications.

(a) It shall be the responsibility of the research facility to ensure that all 

(b)

(c) Training and instruction of personnel must include guidance in at least 

(1) Humane methods of animal maintenance and experimentation, 

 (i) The basic needs of each species of animal;

 (ii) Proper handling and care for the various species of animals used 

(iii) Proper pre-procedural and post-procedural care of animals; and

 Aseptic surgical methods and procedures;

Animal Welfare Regulations, USDA § 2.32
62

PART 

Subpart 

(2) The concept, availability, and use of research or testing methods 

(3) Proper use of anesthetics, analgesics, and tranquilizers for any 

(4)

(5) Utilization of services (e.g., National Agricultural Library, National 

 (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 

Regarding the intent and requirements of the Act.

§ 2.33 - Attending veterinarian and adequate veterinary care.

(a) Each research facility shall have an attending veterinarian who shall 

(1) Each research facility shall employ an attending veterinarian under 

(2) Each research facility shall assure that the attending veterinarian has 

(3) The attending veterinarian shall be a voting member of the IACUC; 

(b) Each research facility shall establish and maintain programs of 

(1) The availability of appropriate facilities, personnel, equipment, and 

(2) The use of appropriate methods to prevent, control, diagnose, and 

§ 2.33 9 CFR AWR (1-1-18 Edition)
63

PART 2

Subpart C

(3) Daily observation of all animals to assess their health and 

(4) Guidance to principal investigators and other personnel involved in 

(5) Adequate pre-procedural and post-procedural care in accordance 

§ 2.34 - [Reserved]

§ 2.35 - Recordkeeping requirements.

(a) The research facility shall maintain the following IACUC records:

(1) Minutes of IACUC meetings, including records of attendance, 

(2) Records of proposed activities involving animals and proposed 

(3) Records of semiannual IACUC reports and recommendations 

(b) Every research facility shall make, keep, and maintain records or forms 

(1) The name and address of the person from whom a dog or cat was 

(2) The USDA license or registration number of the person if he or she 

(3) The vehicle license number and State, and the driver’s license 

(4) The date of acquisition of each dog or cat;

Animal Welfare Regulations, USDA § 2.35
64

PART 

Subpart 

(5)

(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

 The color and any distinctive markings;

(7)

(8) If dogs or cats are acquired from any person not licensed or 

(c) In addition to the information required to be kept and maintained by 

(1) The name and address of the person to whom a live dog or cat is 

(2) The date of transportation, sale, euthanasia, or other disposition of 

(3) The method of transportation, including the name of the initial 

(d)(1)

(2)

(e) One copy of the record containing the information required by 

§ 2.35 9 CFR AWR (1-1-18 Edition)
65

PART 2

Subpart C

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.

All records and reports shall be maintained for at least three years. 

(Approved by the Office of Management and Budget under control number 

0579-0254)

[54 FR 36147, Aug. 31, 1989, as amended at 58 FR 39129, July 22, 1993; 60 

FR 13895, Mar. 15, 1995; 69 FR 42101, July 14, 2004]

§ 2.36 - Annual report.

(a) The reporting facility shall be that segment of the research facility, or 

(b) The annual report shall:

(1) Assure that professionally acceptable standards governing the 

Animal Welfare Regulations, USDA § 2.36
66

PART 

Subpart 

research, teaching, testing, surgery, or experimentation were followed by the 

research facility;

 (2) Assure that each principal investigator has considered alternatives to 

 (3) Assure that the facility is adhering to the standards and regulations 

 (4) State the location of all facilities where animals were housed or 

 (5) State the common names and the numbers of animals upon which 

 (6) State the common names and the numbers of animals upon which 

 (7) State the common names and the numbers of animals upon which 

 (8) State the common names and the numbers of animals being bred, 

[54 FR 36147, Aug. 31, 1989, as amended at 63 FR 62926, Nov. 10, 1998]

§ 2.37 - Federal research facilities.

 Each Federal research facility shall establish an Institutional Animal Care 

§ 2.37 9 CFR AWR (1-1-18 Edition)
67

PART 2

Subpart C

(a)

(b) The head of the Federal agency conducting the research shall be 

§ 2.38 - Miscellaneous.

(a) Information as to business: furnishing of same by research facilities.

(b) Access and inspection of records and property.

 (1) Each research facility shall, during business hours, allow APHIS 

 (i) To enter its place of business;

 (ii) To examine records required to be kept by the Act and the 

 (iii) To make copies of the records;

 To inspect the facilities, property, and animals, as the APHIS 

 To document, by the taking of photographs and other means, 

 (2) The use of a room, table or other facilities necessary for the proper 

(c) Publication of names of research facilities subject to the provisions 

(d) Inspection for missing animals.

 (1)

Animal Welfare Regulations, USDA § 2.38
68

PART 

Subpart 

 (2)

(e)

 (1) If an animal being held by a research facility is not being used to 

 (2)

 (3)

Handling.

 (1) Handling of all animals shall be done as expeditiously and carefully 

 (2)(i) Physical abuse shall not be used to train, work, or otherwise 

 (ii) Deprivation of food or water shall not be used to train, work, 

§ 2.38 9 CFR AWR (1-1-18 Edition)
69

PART 2

Subpart C

(g)

 (1) All live dogs or cats, including those from any exempt source, 

 (i)

 (ii) By a tag, tattoo, or collar, applied to the live dog or cat by the 

 (2)

 (3)

 (4)

 (5) Each tag shall have the following information embossed or stamped 

(i) The letters “USDA”;

 (ii) Numbers identifying the State and dealer, exhibitor, or research 

 (iii) Numbers identifying the animal (e.g., 82488).

 (6)

 (7) 1 At the time the research facility is 

1 A list of the commercial manufacturers who produce these tags and are known to the Department may be 

obtained from the AC Regional Director. Any manufacturer who desires to be included in the list should 

notify the Administrator.

 (8)

Animal Welfare Regulations, USDA § 2.38
70

PART 

Subpart 

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)

(10)

(11)

(12)

(h)

(1) No research facility, including a Federal research facility, shall 

 (i) The licensed veterinarian inspected the dog, cat, or nonhuman 

 (ii) When so inspected, the dog, cat, or nonhuman primate appeared 

(2)

(3)

§ 2.38 9 CFR AWR (1-1-18 Edition)
71

PART 2

Subpart C

(i) Holding of animals.

(1) The other person agrees, in writing, to comply with the regulations 

(2) The animals remain under the total control and responsibility of the 

(3)

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

(j) Holding period.

(k) Compliance with standards and prohibitions.

(1) Each research facility shall comply in all respects with the 

(2) No person shall obtain live dogs or cats by use of false pretenses, 

(3) No person shall acquire, buy, sell, exhibit, use for research, 

(4) Each research facility shall comply with the regulations set forth in 

(l) Contingency planning.

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

Animal Welfare Regulations, USDA § 2.38
72

PART 

Subpart 

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

 (ii)

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

 Address how response and recovery will be handled in terms of 

(2) For current registrants, the contingency plan must be in place 

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

§ 2.38 9 CFR AWR (1-1-18 Edition)
73

PART 2

Subpart C

[54 FR 36147, Aug. 31, 1989, as amended at 58 FR 39129, July 22, 1993; 59 

FR 67612, Dec. 30, 1994; 60 FR 13895, Mar. 15, 1995; 63 FR 62926, Nov. 

10, 1998; 69 FR 42101, July 14, 2004; 77 FR 76823, Dec. 31, 2012]

Effective Date Note: At 78 FR 46255, July 31, 2013, in § 2.38, paragraph (l) 

was stayed indefinitely, effective July 31, 2013.

Animal Welfare Regulations, USDA § 2.38
74

 9 CFR AWR (1-1-18 Edition)

Intentionally left blank
75

PART 2

Subpart D

Subpart D – Attending Veterinarian and Adequate Veterinary Care

§ 2.40 - Attending veterinarian and adequate veterinary care (dealers 

and exhibitors).

(a) Each dealer or exhibitor shall have an attending veterinarian who 

(1) Each dealer and exhibitor shall employ an attending veterinarian 

(2) Each dealer and exhibitor shall assure that the attending veterinarian 

(b) Each dealer or exhibitor shall establish and maintain programs of 

(1) The availability of appropriate facilities, personnel, equipment, and 

(2) The use of appropriate methods to prevent, control, diagnose, and 

(3) Daily observation of all animals to assess their health and 

(4) Adequate guidance to personnel involved in the care and use 

(5) Adequate pre-procedural and post-procedural care in accordance 

Animal Welfare Regulations, USDA § 2.40
76

 9 CFR AWR (1-1-18 Edition)

Intentionally left blank
77

PART 2

Subpart E

Subpart E – Identification of Animals

§ 2.50 - Time and method of identification.

(a) A class “A” dealer (breeder) shall identify all live dogs and cats on the 

(1) All live dogs and cats held on the premises, purchased, or otherwise 

2

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.

(2) Live puppies or kittens, less than 16 weeks of age, shall be 

 (i)

 (ii) A distinctive and legible tattoo marking approved by the 

 (iii) A plastic-type collar acceptable to the Administrator which has 

(b) A class “B” dealer shall identify all live dogs and cats under his or her 

(1) When live dogs or cats are held, purchased, or otherwise acquired, 

 (i)

3

; or

3 See footnote 2 in § 2.50(a)(1).

 (ii) By a distinctive and legible tattoo marking approved by the 

(2)

Animal Welfare Regulations, USDA § 2.50
78

PART 2

Subpart E

official tag numbers or tattoos in his or her records of purchase which shall 

be maintained in accordance with §§ 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)

 (i)

 (ii) A distinctive and legible tattoo marking approved by the 

 (iii) A plastic-type collar acceptable to the Administrator which has 

(4)

(c) A class “C” exhibitor shall identify all live dogs and cats under his or 

(1) As set forth in paragraph (b)(1) or (b)(3) of this section, or

(2) By identifying each dog or cat with:

 (i)

 (ii) A record book containing each animal’s tag number, a written 

 (iii) A duplicate tag that accompanies each dog or cat whenever it 

(d)

(e)(1) All animals, except dogs and cats, delivered for transportation, 

§ 2.50 9 CFR AWR (1-1-18 Edition)
79

PART 2

Subpart E

(2)

 (i) A label attached to the primary enclosure which shall bear a 

 (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 

 (ii) Marking the primary enclosure with a painted or stenciled 

 (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 

(3)

§ 2.51 - Form of official tag.

(a)

(1) Circular in shape and not less than 11⁄4 inches in diameter, or

(2)

(b) Each tag shall have the following information embossed or stamped on 

(1) The letters “USDA”;

(2) Numbers identifying the State and dealer, exhibitor, or research 

(3) Numbers identifying the animal (e.g., 82488).

(c)

Animal Welfare Regulations, USDA § 2.51
80

PART 2

Subpart E

§ 2.52 - How to obtain tags.

4

 At the time the dealer or exhibitor is issued 

4 A list of the commercial manufacturers who produce these tags and are known to the Department may be 

obtained from the AC Regional Director. Any manufacturer who desires to be included in the list should 

notify the Administrator.

[54 FR 36147, Aug. 31, 1989, as amended at 63 FR 62927, Nov. 10, 1998]

§ 2.53 - Use of tags.

§ 2.54 - Lost tags.

§ 2.55 - Removal and disposal of tags.

(a)

(b)

(c)

§ 2.52 9 CFR AWR (1-1-18 Edition)
81

PART 2

Subpart F

Subpart F – Stolen Animals

§ 2.60 - Prohibition on the purchase, sale, use, or transportation of stolen 

animals.

 No person shall buy, sell, exhibit, use for research, transport, or offer for 

Animal Welfare Regulations, USDA § 2.60
82

 9 CFR AWR (1-1-18 Edition)

Intentionally left blank
83

PART 2

Subpart G

Subpart G – Records

§ 2.75 - Records: Dealers and exhibitors.

(a)(1) Each dealer, other than operators of auction sales and brokers to 

 (i) The name and address of the person from whom a dog or cat was 

 (ii) The USDA license or registration number of the person if he or 

 (iii) The vehicle license number and State, and the driver’s license 

 The name and address of the person to whom a dog or cat was 

 The date a dog or cat was acquired or disposed of, including by 

 

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;

 The method of transportation including the name of the initial 

 (ix) The date and method of disposition of a dog or cat, e.g., sale, 

(2) Each dealer and exhibitor shall use Record of Acquisition and Dogs 

Animal Welfare Regulations, USDA § 2.75
84

PART 2

Subpart G

APHIS Form 7005 and APHIS Form 7006 are unsuitable for him or her to 

make, keep, and maintain the information required by paragraph (a)(1) of this 

section, the dealer or exhibitor may request a variance from the requirement 

to use APHIS Form 7005 and APHIS Form 7006.

 (i) The request for a variance must consist of a written statement 

 (ii) A dealer or exhibitor whose request for a variance has been 

(3)

(4) One copy of the record containing the information required by 

(b)(1) Every dealer other than operators of auction sales and brokers to 

§ 2.75 9 CFR AWR (1-1-18 Edition)
85

PART 2

Subpart G

 (i) The name and address of the person from whom the animals were 

 (ii) The USDA license or registration number of the person if he or 

 (iii) The vehicle license number and State, and the driver’s license 

 The name and address of the person to whom an animal was 

 The date of purchase, acquisition, sale, or disposal of the 

The species of the animal(s); and

 The number of animals in the shipment.

(2) Record of Animals on Hand (other than dogs and cats) (APHIS 

(3) One copy of the record containing the information required by 

[54 FR 36147, Aug. 31, 1989, as amended at 58 FR 39129, July 22, 1993; 58 

FR 45041, Aug. 26, 1993; 60 FR 13895, Mar. 15, 1995; 69 FR 42102, July 

14, 2004]

§ 2.76 - Records: Operators of auction sales and brokers.

(a) Every operator of an auction sale or broker shall make, keep, and 

Animal Welfare Regulations, USDA § 2.76
86

PART 2

Subpart G

(1) The name and address of the person who owned or consigned the 

(2) The name and address of the buyer or consignee who received the 

(3) The USDA license or registration number of the person(s) selling, 

(4) The vehicle license number and State, and the driver’s license 

(5) The date of the consignment;

(6)

(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

 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 

[54 FR 36147, Aug. 31, 1989, as amended at 69 FR 42102, July 14, 2004]

§ 2.77 - Records: Carriers and intermediate handlers.

(a) In connection with all live animals accepted for shipment on a C.O.D. 

§ 2.77 9 CFR AWR (1-1-18 Edition)
87

PART 2

Subpart G

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 § 2.80.

(b) In connection with all live dogs, cats, or nonhuman primates delivered 

§ 2.78 - Health certification and identification.

(a) No dealer, exhibitor, operator of an auction sale, broker, or 

(1) The licensed veterinarian inspected the dog, cat, or nonhuman 

(2) when so inspected, the dog, cat, or nonhuman primate appeared 

(b)

(c) No intermediate handler or carrier to whom any live dog, cat, or 

Animal Welfare Regulations, USDA § 2.78
88

PART 2

Subpart G

(d)

[54 FR 36147, Aug. 31, 1989, as amended at 59 FR 67612, Dec. 30, 1994; 60 

FR 13896, Mar. 15, 1995; 63 FR 62927, Nov. 10, 1998; 69 FR 42102, July 

14, 2004]

§ 2.79 - C.O.D. shipments.

(a) No carrier or intermediate handler shall accept any animal for 

(b) Any carrier or intermediate handler receiving an animal at a destination 

(c) It is the responsibility of any carrier or intermediate handler to hold, 

§ 2.79 9 CFR AWR (1-1-18 Edition)
89

PART 2

Subpart G

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 

§ 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, 

(b)

maintained under this part shall be held for 1 year after an animal is 

Animal Welfare Regulations, USDA § 2.80
90

 9 CFR AWR (1-1-18 Edition)

Intentionally left blank
91

PART 2

Subpart H – Compliance With Standards and Holding Period Subpart H

§ 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 

(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 

§ 2.101 - Holding period.

(a) Any live dog or cat acquired by a dealer5 or exhibitor shall be held 

by him or her, under his or her supervision and control, for a period of not 

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 

(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 

 Any dog or cat suffering from disease, emaciation, or injury may 

be destroyed by euthanasia prior to the completion of the holding period 

 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 

(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 

Animal Welfare Regulations, USDA § 2.101
92

PART 2

Subpart H for, and treated in accordance with the standards set forth in part 3, subpart A, 

of this subchapter and § 2.131.

§ 2.102 - Holding facility.

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

Director, he may arrange to have another person hold animals for the required 

(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 

(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 § 2.1 to have animals held for purposes of this section 

(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 

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

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

(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 

(2) The animals remain under the total control and responsibility of the 

research facility or intermediate handler.

 The other person or premises must either be directly included in 

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

 

[54 FR 36147, Aug. 31, 1989, as amended at 60 FR 13896, Mar. 15, 1995; 63 

FR 62927, Nov. 10, 1998; 69 FR 42102, July 14, 2004; 77 FR 76823, Dec. 

31, 2012]

§ 2.102 9 CFR AWR (1-1-18 Edition)
93

PART 2

Subpart I

Subpart I – Miscellaneous

§ 2.125 - Information as to business; furnishing of same by dealers, 

exhibitors, operators of auction sales, intermediate handlers, and 

carriers.

 Each dealer, exhibitor, operator of an auction sale, intermediate handler, 

§ 2.126 - Access and inspection of records and property; submission of 

itineraries.

(a) Each dealer, exhibitor, intermediate handler, or carrier, shall, during 

(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 

(5) To document, by the taking of photographs and other means, 

(b) The use of a room, table, or other facilities necessary for the proper 

(c) Any person who is subject to the Animal Welfare regulations and 

Animal Welfare Regulations, USDA § 2.126
94

PART 2

Subpart I

with the required information. APHIS expects such situations to occur 

infrequently, and exhibitors who repeatedly provide less than 48 hours’ notice 

will, after notice by APHIS, be subject to increased scrutiny under the Act.

(1) The itinerary shall include the following:

 (i) The name of the person who intends to exhibit the animal and 

 (ii)

 (iii) The names, dates, and locations (with addresses) where the 

(2) The itinerary shall be revised as necessary, and the AC Regional 

(Approved by the Office of Management and Budget under control number 

0579-0361)

[54 FR 36147, Aug. 31, 1989, as amended at 69 FR 42102, July 14, 2004; 77 

FR 76814, Dec. 31, 2012]

§ 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 

[54 FR 36147, Aug. 31, 1989, as amended at 63 FR 62927, Nov. 10, 1998]

§ 2.127 9 CFR AWR (1-1-18 Edition)
95

PART 2

Subpart I

§ 2.128 - Inspection for missing animals.

 Each dealer, exhibitor, intermediate handler and carrier shall allow, upon 

(a)

(b)

§ 2.129 - Confiscation and destruction of animals.

(a) If an animal being held by a dealer, exhibitor, intermediate handler, or 

(b)

(c)

(1) Placed, by sale or donation, with other licensees or registrants that 

 Placed with persons or facilities that can offer a level of care equal 

Animal Welfare Regulations, USDA § 2.129
96

PART 2

Subpart I

(3) Euthanized.

(d) The dealer, exhibitor, intermediate handler, or carrier from whom 

[54 FR 36147, Aug. 31, 1989, as amended at 66 FR 239, Jan. 3, 2001]

§ 2.130 - Minimum age requirements.

 No dog or cat shall be delivered by any person to any carrier or 

§ 2.131 - Handling of animals.

(a) All licensees who maintain wild or exotic animals must demonstrate 

(b)(1) Handling of all animals shall be done as expeditiously and carefully 

 (i) Physical abuse shall not be used to train, work, or otherwise 

 Deprivation of food or water shall not be used to train, work, 

(c)(1) During public exhibition, any animal must be handled so there is 

(2) Performing animals shall be allowed a rest period between 

(3) Young or immature animals shall not be exposed to rough or 

(4) Drugs, such as tranquilizers, shall not be used to facilitate, allow, or 

(d)(1) Animals shall be exhibited only for periods of time and under 

(2)

§ 2.130 9 CFR AWR (1-1-18 Edition)
97

PART 2

Subpart I

(3) During public exhibition, dangerous animals such as lions, tigers, 

(4) If public feeding of animals is allowed, the food must be provided 

(e) When climatic conditions present a threat to an animal’s health or 

[54 FR 36147, Aug. 31, 1989, as amended at 63 FR 10498, Mar. 4, 1998; 69 

FR 42102, July 14, 2004]

§ 2.132 - Procurement of dogs, cats, and other animals; dealers.

(a) A class “B” dealer may obtain live random source dogs and cats only 

(1) Other dealers who are licensed under the Act and in accordance 

(2) State, county, or city owned and operated animal pounds or shelters; 

(3) A legal entity organized and operated under the laws of the State in 

(b) No person shall obtain live dogs, cats, or other animals by use of false 

(c) Any dealer, exhibitor, research facility, carrier, or intermediate handler 

(1) The animal pound or shelter shall be located on premises that are 

(2) Accurate and complete records shall be separately maintained by 

(i) An accurate description of the animal;

 (ii)

Animal Welfare Regulations, USDA § 2.132
98

PART 2

Subpart I

 (iii) How long the dog or cat was held by the pound or shelter before 

 The date the dog or cat was transferred to the dealer.

(3) Any dealer who obtains or acquires a live dog or cat from a private 

or contract pound or shelter, including a pound or shelter he or she operates, 

shall hold the dog or cat for a period of at least 10 full days, not including the 

day of acquisition, excluding time in transit, after acquiring the animal, and 

otherwise in accordance with § 2.101.

(d) No dealer or exhibitor shall knowingly obtain any dog, cat, or other 

(Approved by the Office of Management and Budget under control number 

0579-0254)

[54 FR 36147, Aug. 31, 1989, as amended at 69 FR 42102, July 14, 2004; 80 

FR 3463, Jan. 23, 2015]

§ 2.133 - Certification for random source dogs and cats.

(a) Each of the entities listed in paragraphs (a)(1) through (a)(3) of this 

(1) Each pound or shelter owned and operated by a State, county, or 

(2) Each private pound or shelter established for the purpose of caring 

(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 

§ 2.133 9 CFR AWR (1-1-18 Edition)
99

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(1) The name, address, USDA license number, and signature of the 

(2) The name, address, USDA license or registration number, if such 

(3) A description of each dog or cat being sold, provided, or made 

 (i) The species and breed or type (for mixed breeds, estimate the two 

(ii) The sex;

 (iii) The date of birth or, if unknown, then the approximate age;

 The color and any distinctive markings; and

 

(4) The name and address of the person, pound, or shelter from which 

(5) The date the dealer acquired the dog or cat from the person, pound, 

(6) If the dealer acquired the dog or cat from a pound or shelter, a 

(c)

(d) A dealer who acquires a live dog or cat from another dealer must 

(e)

Animal Welfare Regulations, USDA § 2.133
100

PART 2

Subpart I

for APHIS inspection a copy of the certification for at least 1 year following 

disposition.

 A research facility which acquires any live random source dog or 

(g) In instances where a research facility transfers ownership of a 

[58 FR 39129, July 22, 1993]

§ 2.134 - Contingency planning.

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

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

(2)

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

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

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

§ 2.134 9 CFR AWR (1-1-18 Edition)
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Subpart I

at least an annual basis to ensure that it adequately addresses the criteria 

listed in paragraph (a) of this section. Each licensee and registrant must 

maintain documentation of their annual reviews, including documenting any 

amendments or changes made to their plan since the previous year’s review, 

such as changes made as a result of recently predicted, but historically 

unforeseen, circumstances (e.g., weather extremes). Contingency plans, as 

well as all annual review documentation and training records, must be made 

available to APHIS upon request. Traveling entities must carry a copy of 

their contingency plan with them at all times and make it available for APHIS 

inspection while in travel status. Dealers, exhibitors, intermediate handlers, 

and carriers maintaining or otherwise handling marine mammals in captivity 

must also comply with the requirements of § 3.101(b) of this subchapter.

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

[77 FR 76823, Dec. 31, 2012]

Effective Date Note: At 78 FR 46255, July 31, 2013, §2.134 was stayed 

indefinitely, effective July 31, 2013.

Animal Welfare Regulations, USDA § 2.134
102

 9 CFR AWR (1-1-18 Edition)

Intentionally left blank
103

PART 2

Subpart J

Subpart J—Importation of Live Dogs

§ 2.150 Import Permit

 (a) No person shall import a live dog from any part of the world into 

the continental United States or Hawaii for purposes of resale, research or 

veterinary treatment unless the dog is accompanied by an import permit 

issued by APHIS and is imported into the continental United States or Hawaii 

within 30 days after the proposed date of arrival stated in the import permit.

(b) An application for an import permit must be submitted to the Animal 

and Plant Health Inspection Service, Animal Care, 4700 River Road Unit 84, 

Riverdale, MD 20737–1234 or though Animal Care’s Web site (http://www.

aphis.usda.gov/animal_welfare/). Application forms for import permits may 

be obtained from Animal Care at the address listed above.

(c) The completed application must include the following information:

(1) The name and address of the person intending to export the dog(s) 

 (2) The name and address of the person intending to import the dog(s) 

into the continental United States or Hawaii;

 (3) The number of dogs to be imported and the breed, sex, age, color, 

markings, and other identifying information of each dog;

 (4) The purpose of the importation;

 (5) The port of embarkation and the mode of transportation;

 (6) The port of entry in the United States;

 (7) The proposed date of arrival in the continental United States or 

Hawaii; and

(8) The name and address of the person to whom the dog(s) will 

 (d) After receipt and review of the application by APHIS, an import 

permit indicating the applicable conditions for importation under this subpart 

may be issued for the importation of the dog(s) described in the application 

if such dog(s) appears to be eligible to be imported. Even though an import 

permit has been issued for the importation of a dog, the dog may only 

be imported if all applicable requirements of this subpart and any other 

applicable regulations of this subchapter and any other statute or regulation of 

any State or of the United States are met.

(Approved by the Office of Management and Budget under control number 

0579–0379)

Animal Welfare Regulations, USDA § 2.150
104

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Subpart J

§ 2.151 Certifications.

(a) Required certificates. Except as provided in paragraph (b) of this 

section, no person shall import a live dog from any part of the world into 

the continental United States or Hawaii for purposes of resale, research, or 

veterinary treatment unless the following conditions are met:

 (1) Health certificate. Each dog is accompanied by an original health 

certificate issued in English by a licensed veterinarian with a valid license to 

practice veterinary medicine in the country of export that:

 (i)

 (ii)

 (iii) States that the dog is at least 6 months of age;

States that the dog was vaccinated, not more than 12 

States that the dog is in good health (i.e., free of any infectious 

Bears the signature and the license number of the veterinarian 

 (2) Rabies vaccination certificate. Each dog is accompanied by a 

valid rabies vaccination certificate that was issued in English by a licensed 

veterinarian with a valid license to practice veterinary medicine in the country 

of export for the dog not less than 3 months of age at the time of vaccination 

that:6

6 

 (i)

 (ii)

 (iii)

§ 2.151 9 CFR AWR (1-1-18 Edition)
105

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specified, then the date of vaccination shall be no more than 12 months before 

the date of arrival at a U.S. port; and

 (v) Bears the signature and the license number of the veterinarian 

issuing the certificate.

(b) Exceptions.

 (1) Research. The provisions of paragraphs (a)(1)(iii), (a)(1)(iv), (a)(1)

(v), and/or (a)(2) of this section do not apply to any person who imports a live

dog from any part of the world into the continental United States or Hawaii 

for use in research, tests, or experiments at a research facility, provided 

that: Such person submits satisfactory evidence to Animal Care at the time 

of his or her application for an import permit that the specific provision(s) 

would interfere with the dog’s use in such research, tests, or experiments in 

accordance with a research proposal and the proposal has been approved by 

the research facility IACUC.

 (2) Veterinary care. The provisions of paragraphs (a)(1)(iii) through (a)

(1)(v) and (a)(2) of this section do not apply to any person who imports a live 

dog from any part of the world into the continental United States or Hawaii 

for veterinary treatment by a licensed veterinarian, provided that:

 (i)

 (ii) The person who imports the dog completes a veterinary 

 (3) Dogs imported into Hawaii from the British Isles, Australia, 

Guam, or New Zealand. The provisions of paragraph (a)(1)(iii) of this 

section do not apply to any person who lawfully imports a live dog into the 

State of Hawaii from the British Isles, Australia, Guam, or New Zealand in 

compliance with the applicable regulations of the State of Hawaii, provided 

that the dog is not transported out of the State of Hawaii for purposes of 

resale at less than 6 months of age.

(Approved by the Office of Management and Budget under control number 

0579–0379)

Animal Welfare Regulations, USDA § 2.151
106

PART 2

Subpart J

§ 2.152 Notification of arrival.

Upon the arrival of a dog at the port of first arrival in the continental 

United States or Hawaii, the person intending to import the dog, or his or her 

agent, must present the import permit and any applicable certifications and 

veterinary treatment agreement required by this subpart to the collector of 

customs for use at that port.

(Approved by the Office of Management and Budget under control number 

0579–0379)

§ 2.153 Dogs refused entry.

Any dog refused entry into the continental United States or Hawaii for 

noncompliance with the requirements of this subpart may be removed from 

the continental United States or Hawaii or may be seized and the person 

intending to import the dog shall provide for the care (including appropriate 

veterinary care), forfeiture, and adoption of the dog, at his or her expense. 

§ 2.152 9 CFR AWR (1-1-18 Edition)
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Table of able of 

ContentsContents

PART 3 – STANDARDS

Subpart A – Specifications for the Humane Handling, Care, Treatment, 

and Transportation of Dogs and Cats

FACILITIES AND OPERATING STANDARDS

§ 3.1 Housing facilities, general.

§ 3.2 Indoor housing facilities.

§ 3.3 Sheltered housing facilities.

§ 3.4 Outdoor housing facilities.

§ 3.5 Mobile or traveling housing facilities.

§ 3.6 Primary enclosures.

ANIMAL HEALTH AND HUSBANDRY STANDARDS

§ 3.7 Compatible grouping.

§ 3.8 Exercise for dogs.

§ 3.9 Feeding.

§ 3.10 Watering.

§ 3.11 Cleaning, sanitization, housekeeping, and pest control.

§ 3.12 Employees.

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.
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Contents

§ 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

 9 CFR AWR (1-1-18 Edition)
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Table of able of 

ContentsContents

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 Swim-with-the-dolphin programs.

Animal Welfare Regulations, USDA
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Contents

TRANSPORTATION STANDARDS

§ 3.112 Consignments to carriers and intermediate handlers.

§ 3.113 Primary enclosures used to transport marine mammals.

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

§ 3.115 Food and drinking water requirements.

§ 3.116 Care in transit.

§ 3.117 Terminal facilities.

§ 3.118 Handling.

Subpart F – Specifications for the Humane Handling, Care, Treatment, 

and Transportation of Warm-blooded 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 371.7. 

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

 9 CFR AWR (1-1-18 Edition)
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gs & Cats

Subpart A – Specifications for the Humane Handling, Care, Treatment, 

and Transportation of Dogs and Cats1

1 These minimum standards apply only to live dogs and cats, unless stated 

otherwise.

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

FACILITIES AND OPERATING STANDARDS

§ 3.1 - Housing facilities, general.

(a) Structure; construction.

(b) Condition and site.

(c) Surfaces.

(1)

 (i) Be free of excessive rust that prevents the required cleaning and 

 (ii) Be free of jagged edges or sharp points that might injure the 

(2) Maintenance and replacement of surfaces.

Animal Welfare Regulations, USDA § 3.1
112

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Dogs & Cats

– that cannot be readily cleaned and sanitized, must be replaced when worn 

or soiled.

(3) Cleaning.

(d) Water and electric power.

(e) Storage.

Drainage and waste disposal.

§ 3.1 9 CFR AWR (1-1-18 Edition)
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gs & Cats

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 leak-proof 

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.

§ 3.2 - Indoor housing facilities.

(a) Heating, cooling, and temperature.

(b) Ventilation.

Animal Welfare Regulations, USDA § 3.2
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Dogs & Cats

(c) Lighting.

(d) Interior surfaces.

[56 FR 6486, Feb. 15, 1991, as amended at 63 FR 10498, Mar. 4, 1998]

§ 3.3 - Sheltered housing facilities.

(a) Heating, cooling, and temperature.

(b) Ventilation.

(c) Lighting.

§ 3.3 9 CFR AWR (1-1-18 Edition)
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gs & Cats

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.

(e) Surfaces.

(1) The following areas in sheltered housing facilities must be 

(i)

 (ii)

 (iii) All walls, boxes, houses, dens, and other surfaces in contact Do

(2)

[56 FR 6486, Feb. 15, 1991, as amended at 63 FR 10498, Mar. 4, 1998]

§ 3.4 - Outdoor housing facilities.

(a) Restrictions.

(1) The following categories of dogs or cats must not be kept in outdoor 

 (i) Dogs or cats that are not acclimated to the temperatures prevalent 

 (ii) Breeds of dogs or cats that cannot tolerate the prevalent 

 (iii)

(2) When their acclimation status is unknown, dogs and cats must not 

(b) Shelter from the elements.

Animal Welfare Regulations, USDA § 3.4
116

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Dogs & Cats

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 

(2) Provide the dogs and cats with protection from the direct rays of the 

(3) Be provided with a wind break and rain break at the entrance; and

(4) Contain clean, dry, bedding material if the ambient temperature 

(c) Construction.

§ 3.5 - Mobile or traveling housing facilities.

(a) Heating, cooling, and temperature.

(b) Ventilation.

§ 3.5 9 CFR AWR (1-1-18 Edition)
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gs & Cats

to provide for the health and well-being of the animals, and to minimize 

odors, drafts, ammonia levels, moisture condensation, and exhaust fumes. 

Ventilation must be provided by means of windows, doors, vents, fans, or air 

conditioning. Auxiliary ventilation, such as fans, blowers, or air conditioning, 

must be provided when the ambient temperature within the animal housing 

area is 85 °F (29.5 °C) or higher.

(c) Lighting.

[32 FR 3273, Feb. 24, 1967, as amended at 63 FR 10498, Mar. 4, 1998]

§ 3.6 - Primary enclosures.

 Primary enclosures for dogs and cats must meet the following minimum 

(a) General requirements.

(1) Primary enclosures must be designed and constructed of suitable 

(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;

Keep other animals from entering the enclosure;

 Enable the dogs and cats to remain dry and clean;

 Provide shelter and protection from extreme temperatures and 

 

 Provide all the dogs and cats with easy and convenient access 

 (ix) Enable all surfaces in contact with the dogs and cats to be 

 (x)

Animal Welfare Regulations, USDA § 3.6
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Dogs & Cats

construction, do not allow the dogs’ and cats’ feet to pass through any 

openings in the floor;

 (xi)

 (xii)

(b) Additional requirements for cats.

(1) Space.

 (i) Each primary enclosure housing cats must be at least 24 in. high 

 (ii) Cats up to and including 8.8 lbs (4 kg) must be provided with at 

 (iii) Cats over 8.8 lbs (4 kg) must be provided with at least 4.0 ft

 Each queen with nursing kittens must be provided with 

 

(2) Compatibility.

§ 3.6 9 CFR AWR (1-1-18 Edition)
119

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gs & Cats

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.

(4) Resting surfaces.

(5) Cats in mobile or traveling shows or acts.

(c) Additional requirements for dogs.

(1) Space.

 (i) Each dog housed in a primary enclosure (including weaned 

 (ii) Each bitch with nursing puppies must be provided with 

 (iii) The interior height of a primary enclosure must be at least 6 

Animal Welfare Regulations, USDA § 3.6
120

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Dogs & Cats

(2) Compatibility.

(3) Dogs in mobile or traveling shows or acts.

(4) Prohibited means of primary enclosure.

(d)

(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; 63 

FR 3023, Jan. 21, 1998; 63 FR 37482, July 13, 1998]

ANIMAL HEALTH AND HUSBANDRY STANDARDS

§ 3.7 - Compatible grouping.

 Dogs and cats that are housed in the same primary enclosure must be 

(a) Females in heat (estrus) may not be housed in the same primary 

§ 3.7 9 CFR AWR (1-1-18 Edition)
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gs & Cats

(b) Any dog or cat exhibiting a vicious or overly aggressive disposition 

(c) Puppies or kittens 4 months of age or less may not be housed in the 

(d) Dogs or cats may not be housed in the same primary enclosure with 

(e) Dogs and cats that have or are suspected of having a contagious 

§ 3.8 - Exercise for dogs.

 Dealers, exhibitors, and research facilities must develop, document, and 

(a) Dogs housed individually.

(b) Dogs housed in groups.

(1) Housing in compatible groups is not in accordance with a research 

(2) In the opinion of the attending veterinarian, such housing would 

(3) Any dog exhibits aggressive or vicious behavior.

Animal Welfare Regulations, USDA § 3.8
122

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Dogs & Cats

(c) Methods and period of providing exercise opportunity. 

(1) The frequency, method, and duration of the opportunity for exercise 

(2) Dealers, exhibitors, and research facilities, in developing their 

(3) The opportunity for exercise may be provided in a number of ways, 

 (i) Group housing in cages, pens or runs that provide at least 100 

 (ii) Maintaining individually housed dogs in cages, pens, or runs that 

 (iii) Providing access to a run or open area at the frequency and 

 Other similar activities.

(4) Forced exercise methods or devices such as swimming, treadmills, 

(d) Exemptions.

(1) If, in the opinion of the attending veterinarian, it is inappropriate 

(2)

(3) Records of any exemptions must be maintained and made available 

(Approved by the Office of Management and Budget under control number 

0579-0093)

§ 3.8 9 CFR AWR (1-1-18 Edition)
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gs & Cats

§ 3.9 - Feeding.

(a) Dogs and cats must be fed at least once each day, except as otherwise 

(b) Food receptacles must be used for dogs and cats, must be readily 

§ 3.10 - Watering.

 If potable water is not continually available to the dogs and cats, it must be 

§ 3.11 - Cleaning, sanitization, housekeeping, and pest control.

(a) Cleaning of primary enclosures.

Animal Welfare Regulations, USDA § 3.11
124

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Dogs & Cats

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)

(2)

(3) Hard surfaces of primary enclosures and food and water receptacles 

 (i) Live steam under pressure;

 (ii) Washing with hot water (at least 180 °F (82.2 °C)) and soap or 

 (iii) Washing all soiled surfaces with appropriate detergent solutions 

(4) Pens, runs, and outdoor housing areas using material that cannot 

(c) Housekeeping for premises.

(d) Pest control.

[56 FR 6486, Feb. 15, 1991, as amended at 63 FR 3023, Jan. 21, 1998]

§ 3.11 9 CFR AWR (1-1-18 Edition)
125

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gs & Cats

§ 3.12 - Employees.

 Each person subject to the Animal Welfare regulations (9 CFR parts 1, 

TRANSPORTATION STANDARDS

§ 3.13 - Consignments to carriers and intermediate handlers.

(a) Carriers and intermediate handlers must not accept a dog or cat for 

(b) Carriers and intermediate handlers must not accept a dog or cat for 

(c) Carriers and intermediate handlers must not accept a dog or cat for 

(1) The consignor’s name and address;

(2) The tag number or tattoo assigned to each dog or cat under §§ 2.38 

(3) The time and date the animal was last fed and watered and the 

(4)

(d) Carriers and intermediate handlers must not accept a dog or cat for 

Animal Welfare Regulations, USDA § 3.13
126

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Dogs & Cats

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 

(1) The consignor’s name and address;

(2) The tag number or tattoo assigned to each dog or cat under §§ 2.38 

(3) A statement by a veterinarian, dated no more than 10 days before 

(4)

When a primary enclosure containing a dog or cat has arrived at 

§ 3.13 9 CFR AWR (1-1-18 Edition)
127

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Subpart A

gs & Cats

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)

§ 3.14 - Primary enclosures used to transport live dogs and cats.

 Any person subject to the Animal Welfare regulations (9 CFR parts 1, 2, 

(a) Construction of primary enclosures.

(1) The primary enclosure is strong enough to contain the dogs 

(2) The interior of the primary enclosure has no sharp points or edges 

(3) The dog or cat is at all times securely contained within the enclosure 

(4) The dog or cat can be easily and quickly removed from the 

(5)

(6)

Animal Welfare Regulations, USDA § 3.14
128

PART 3

Subpart A

Dogs & Cats

(7) Any material, treatment, paint, preservative, or other chemical used 

(8) Proper ventilation is provided to the animal in accordance with 

(9) The primary enclosure has a solid, leak-proof bottom or a 

(b) Cleaning of primary enclosures.

(c) Ventilation.

(1)

 (i) Ventilation openings located on two opposing walls of the 

 (ii) Ventilation openings on three walls of the primary enclosure, 

 (iii) Ventilation openings located on all four walls of the primary 

§ 3.14 9 CFR AWR (1-1-18 Edition)
129

PART 3

Subpart A

gs & Cats

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

 At least one-third of the ventilation area must be located on the 

(2)

(3)

(d) Compatibility.

(1) Live dogs or cats transported in the same primary enclosure must be 

(2) Puppies or kittens 4 months of age or less may not be transported in 

(3) Dogs or cats that are overly aggressive or exhibit a vicious 

(4) Any female dog or cat in heat (estrus) may not be transported in the 

(e) Space and placement.

(1) Primary enclosures used to transport live dogs and cats must be 

(2) Primary enclosures used to transport dogs and cats must be 

Transportation by air.

(1) No more than one live dog or cat, 6 months of age or older, may be 

Animal Welfare Regulations, USDA § 3.14
130

PART 3

Subpart A

Dogs & Cats

(2) No more than one live puppy, 8 weeks to 6 months of age, and 

(3) No more than two live puppies or kittens, 8 weeks to 6 months of 

(4) Weaned live puppies or kittens less than 8 weeks of age and of 

(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 

(2) Weaned live puppies or kittens less than 8 weeks of age and of 

(h) Accompanying documents and records.

(Approved by the Office of Management and Budget under control number 

0579-0093)

[56 FR 6486, Feb. 15, 1991, as amended at 63 FR 3023, Jan. 21, 1998]

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

(a) The animal cargo space of primary conveyances used to transport dogs 

§ 3.15 9 CFR AWR (1-1-18 Edition)
131

PART 3

Subpart A

gs & Cats

ensures their safety and comfort, and prevents the entry of engine exhaust 

from the primary conveyance during transportation.

(b)

(c) Each primary enclosure containing dogs or cats must be positioned 

(d) During air transportation, dogs and cats must be held in cargo areas 

(e) During surface transportation, auxiliary ventilation, such as fans, 

Primary enclosures must be positioned in the primary conveyance in a 

(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 

[56 FR 6486, Feb. 15, 1991, as amended at 63 FR 10498, 10499, Mar. 4, 

1998]

§ 3.16 - Food and water requirements.

(a) Each dog and cat that is 16 weeks of age or more must be offered food 

Animal Welfare Regulations, USDA § 3.16
132

PART 3

Subpart A

Dogs & Cats

provided under § 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 § 

3.13(c) of this subpart.

(b) Any dealer, research facility, including a Federal research facility, 

(c) Food and water receptacles must be securely attached inside the 

(Approved by the Office of Management and Budget under control number 

0579-0093)

§ 3.17 - Care in transit.

(a) Surface transportation (ground and water).

(b) Air transportation.

§ 3.17 9 CFR AWR (1-1-18 Edition)
133

PART 3

Subpart A

gs & Cats

accessible to make sure they have sufficient air for normal breathing, that the 

animal cargo area meets the heating and cooling requirements of § 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 

(d) Except during the cleaning of primary enclosures, as required in § 

(e) The transportation regulations contained in this subpart must be 

§ 3.18 - Terminal facilities.

(a) Placement

(b) Cleaning, sanitization, and pest control.

(c) Ventilation.

(d) Temperature.

Animal Welfare Regulations, USDA § 3.18
134

PART 3

Subpart A

Dogs & Cats

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. The preceding 

requirements are in addition to, not in place of, all other requirements 

pertaining to climatic conditions in parts 2 and 3 of this chapter.

(e) Shelter. Any person subject to the Animal Welfare regulations (9 CFR 

parts 1, 2, and 3) holding a live dog or cat in an animal holding area of a 

terminal facility must provide the following:

(1) Shelter from sunlight and extreme heat.

(2) Shelter from rain or snow.

Duration.

[56 FR 6486, Feb. 15, 1991, as amended at 63 FR 10499, Mar. 4, 1998]

§ 3.19 - Handling.

(a) Any person subject to the Animal Welfare regulations (9 CFR parts 

(1) Shelter from sunlight and extreme heat.

(2) Shelter from rain and snow.

(3) Shelter from cold temperatures.

§ 3.19 9 CFR AWR (1-1-18 Edition)
135

PART 3

Subpart A

gs & Cats

°C) for a period of more than 45 minutes, unless they are accompanied by a 

certificate of acclimation to lower temperatures as provided in § 3.13(e). The 

temperature must be measured in the manner provided in § 3.18(d) of this 

subpart. The preceding requirements are in addition to, not in place of, all 

other requirements pertaining to climatic conditions in parts 2 and 3 of this 

chapter.

(b) Any person handling a primary enclosure containing a dog or cat must 

(1) A primary enclosure containing a live dog or cat must not be placed 

(2) A primary enclosure containing a dog or cat must not be tossed, 

(c) This section applies to movement of a dog or cat from primary 

(Approved by the Office of Management and Budget under control number 

0579-0093)

[56 FR 6486, Feb. 15, 1991, as amended at 63 FR 10499, Mar. 4, 1998]

Animal Welfare Regulations, USDA § 3.19
136

 9 CFR AWR (1-1-18 Edition)

Intentionally left blank
137

PART 3

Subpart B

Guinea Pigs/

Hamsters

Subpart B – Specifications for the Humane Handling, Care, Treatment, 

and Transportation of Guinea Pigs and Hamsters

FACILITIES AND OPERATING STANDARDS

§ 3.25 - Facilities, general.

(a) Structural strength.

(b) Water and electric power.

(c) Storage.

(d) Waste disposal.

(e) Washroom and sinks.

[32 FR 3273, Feb. 24, 1967, as amended at 44 FR 63492, Nov. 2, 1979]

§ 3.26 - Facilities, indoor.

(a) Heating.

(b) Ventilation.

(c) Lighting.

Animal Welfare Regulations, USDA § 3.26
138

PART 3

Subpart B

Guinea Pigs/

Hamsters

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.

§ 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 

§ 3.28 - Primary enclosures.

 All primary enclosures for guinea pigs and hamsters shall conform to the 

(a) General.

(1) Primary enclosures shall be structurally sound and maintained 

(2) Primary enclosures shall be constructed and maintained so that the 

(3)

(4)

(b) Space requirements for primary enclosures acquired before August 

(1) Guinea pigs and hamsters.

(2)

 (i)

§ 3.27 9 CFR AWR (1-1-18 Edition)
139

PART 3

Subpart B

Guinea Pigs/

Hamsters

 (ii) Each guinea pig housed in a primary enclosure shall be provided 

Weight or stage of maturity Minimum space per guinea pig 

(square inches)

Weaning to 350 grams 60

350 grams or more 90

Breeders 180

(3) Hamsters

 (i)

 (ii) A nursing female hamster, together with her litter, shall be 

 (iii)

Age

Minimum space per hamster 

(square inches) Maximum 

population per 

enclosure Dwarf Other

Weaning to 5 wks 5.0 10.0 20

5 to 10 wks

10 wks or more

7.5 12.5 16

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 

Animal Welfare Regulations, USDA § 3.28
140

PART 3

Subpart B

Guinea Pigs/

Hamsters

 (ii)

 (iii)

Weight or stage of 

maturity

Minimum floor space

in2 cm2

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 

 (ii)

 Except as provided in paragraph (c)(2)(iv) of this section, each 

Weight Minimum floor space per hamster

G ozs in2 cm2

< 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

A nursing female hamster, together with her litter, shall be 

(3) Innovative primary enclosures that do not precisely meet the space 

§ 3.28 9 CFR AWR (1-1-18 Edition)
141

PART 3

Subpart B

Guinea Pigs/

Hamsters

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

§ 3.29 - Feeding.

(a) Guinea pigs and hamsters shall be fed each day except as otherwise 

(b) Food comprising the basic diet shall be at least equivalent in quality 

(c) The basic diet of guinea pigs and hamsters may be supplemented with 

(d) Food receptacles, if used, shall be accessible to all guinea pigs or 

(e) Fruit or vegetable food supplements may be placed upon the bedding 

§ 3.30 - Watering.

 Unless food supplements consumed by guinea pigs or hamsters supply 

Animal Welfare Regulations, USDA § 3.30
142

PART 3

Subpart B

Guinea Pigs/

Hamsters

contamination from excreta. All watering receptacles shall be sanitized when 

dirty: Provided, however, That such receptacles shall be sanitized at least 

once every 2 weeks.

§ 3.31 - Sanitation.

(a) Cleaning and sanitation of primary enclosures.

(1) Primary enclosures shall be cleaned and sanitized often enough 

(2) In the event a primary enclosure becomes soiled or wet to a degree 

(3) Prior to the introduction of guinea pigs or hamsters into empty 

(4) Primary enclosures for guinea pigs or hamsters shall be sanitized 

(b) Housekeeping.

(c) Pest control.

§ 3.32 - Employees.

§ 3.33 - Classification and separation.

 Animals housed in the same primary enclosure shall be maintained in 

§ 3.31 9 CFR AWR (1-1-18 Edition)
143

PART 3

Subpart B

Guinea Pigs/

Hamsters

(a) Except where harem breeding is practiced, preweanling guinea pigs 

(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 

§ 3.34 - [Reserved]

TRANSPORTATION STANDARDS

Authority: Sections 3.35 through 3.41 issued under secs. 3, 5, 6, 10, 11, 14, 

16, 17, 21; 80 Stat. 353; 84 Stat. 1561, 1562, 1563, 1564; 90 Stat. 418, 419, 

420, 423; (7 U.S.C. 2133, 2135, 2136, 2140, 2141, 2144, 2146, 2147, 2151); 

37 FR 28464, 28477, 38 FR 19141. 

§ 3.35 - Consignments to carriers and intermediate handlers.

(a) Carriers and intermediate handlers shall not accept any live guinea pig 

(b) Any carrier or intermediate handler shall only accept for transportation 

Animal Welfare Regulations, USDA § 3.35
144

PART 3

Subpart B

Guinea Pigs/

Hamsters

a certificate, signed by the consignor, stating that the primary enclosure 

complies with § 3.36 of the standards, unless such primary enclosure is 

obviously defective or damaged and it is 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)

(4) The signature of the consignor, and date.

(c) Carriers or intermediate handlers whose facilities fail to meet the 

(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) 

(4)

(d) Carriers and intermediate handlers shall attempt to notify the 

§ 3.35 9 CFR AWR (1-1-18 Edition)
145

PART 3

Subpart B

Guinea Pigs/

Hamsters

[42 FR 31563, June 21, 1977, as amended at 43 FR 22163, May 16, 1978; 44 

FR 63492, Nov. 2, 1979]

§ 3.36 - Primary enclosures used to transport live guinea pigs and 

hamsters.

 No person subject to the Animal Welfare regulations shall offer for 

(a) Primary enclosures, such as compartments, transport cages, cartons, 

(b) Live guinea pigs or hamsters transported in the same primary 

Animal Welfare Regulations, USDA § 3.36
146

PART 3

Subpart B

Guinea Pigs/

Hamsters

(c) Primary enclosures used to transport live guinea pigs or hamsters shall 

(d) Not more than 15 live guinea pigs shall be transported in the same 

(e) In addition to the other provisions of this section, the following 

(1) Guinea pigs.

 (i) The interior height of primary enclosures used to transport live 

 (ii) Each live guinea pig transported in a primary enclosure shall be 

MINIMUM SPACE PER LIVE GUINEA PIG

Weight (grams) Square centimeters Square inches

Up to 350 193.6 30

350 to 600 290.3 45

Over 600 354.8 55

(2) Hamsters.

 (i) The interior height of primary enclosures used to transport live 

§ 3.36 9 CFR AWR (1-1-18 Edition)
147

PART 3

Subpart B

Guinea Pigs/

Hamsters

 (ii) Each live hamster transported in a primary enclosure shall be 

MINIMUM SPACE PER LIVE HAMSTER

Age

Dwarf Other

Square 

centimeters

Square 

inches

Square 

centimeters

Square 

inches

Weaning 

to 5 wks 32.2 5.0 45.2 7

5 to 10 wks 48.3 7.5 71.0 11

Over 10 wks 58.1 9.0 96.8 15

(f) Primary enclosures used to transport live guinea pigs or hamsters 

as provided in this section shall have solid bottoms to prevent leakage in 

shipment and shall be cleaned and sanitized in a manner prescribed in § 3.31 

of the standards, if previously used. Such primary enclosures shall contain 

clean litter of a suitable absorbent material, which is safe and nontoxic to the 

guinea pigs or hamsters, in 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, 

(h) Documents accompanying the shipment shall be attached in an easily 

(i)

[42 FR 31563, June 21, 1977, as amended at 43 FR 21163, May 16, 1978; 55 

FR 28882, July 16, 1990]

Animal Welfare Regulations, USDA § 3.37
148

PART 3

Subpart B

Guinea Pigs/

Hamsters

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

(a) The animal cargo space of primary conveyances used in transporting 

(b) The animal cargo space shall be constructed and maintained in a 

(c) No live guinea pig or hamster shall be placed in an animal cargo space 

(d) Primary enclosures shall be positioned in the primary conveyance in 

(e) The interior of the animal cargo space shall be kept clean.

 Live guinea pigs and hamsters shall not be transported with any 

(g) The animal cargo space of primary conveyances used to transport 

[42 FR 31563, June 21, 1977, as amended at 55 FR 28882, July 16, 1990]

§ 3.38 - Food and water requirements.

(a) If live guinea pigs or hamsters are to be transported for a period of 

(b) Any dealer, research facility, exhibitor or operator of an auction sale 

§ 3.38 9 CFR AWR (1-1-18 Edition)
149

PART 3

Subpart B

Guinea Pigs/

Hamsters

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 

[42 FR 31563, June 21, 1977]

§ 3.39 - Care in transit.

(a) During surface transportation, it shall be the responsibility of the driver 

(b) During the course of transportation, in commerce, live guinea pigs or 

[42 FR 31563, June 21, 1977]

§ 3.40 - Terminal facilities.

 No person subject to the Animal Welfare regulations shall commingle 

Animal Welfare Regulations, USDA § 3.40
150

PART 3

Subpart B

Guinea Pigs/

Hamsters

hamsters are maintained shall be cleaned and sanitized as prescribed in § 3.31 

of the standards often enough to prevent an accumulation of debris or excreta, 

to minimize vermin infestation, and to prevent a disease hazard. An 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 °C. (75. °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 °C. (45 °F.) nor be allowed to exceed 29.5 °C. 

(85 °F.) at any time. To ascertain compliance with the provisions of this 

paragraph, the air temperature around any live guinea pig or hamster shall be 

measured and read outside the primary enclosure which contains such guinea 

pig or hamster at a distance not to exceed .91 meters (3 feet) from any one of 

the external walls of the primary enclosure and measured on a level parallel 

to the bottom of such primary enclosure at a point which approximates half 

the distance between the top and bottom of such primary enclosure.

[43 FR 56215, Dec. 1, 1978, as amended at 55 FR 28883, July 16, 1990]

§ 3.41 - Handling.

(a) Any person who is subject to the Animal Welfare regulations and who 

(1) Shelter from sunlight.

(2)

§ 3.41 9 CFR AWR (1-1-18 Edition)
151

PART 3

Subpart B

Guinea Pigs/

Hamsters

 (3) Shelter from cold weather. Transporting devices shall be covered 

to provide protection for live guinea pigs and hamsters when the outdoor 

air temperature falls below 10 °C. (50 °F.), and such live guinea pigs and 

hamsters shall not be subjected to surrounding air temperatures which fall 

below 7.2 °C. (45 °F.), and which shall be measured and read in the manner 

prescribed in § 3.40 of this part, for a period of more than 45 minutes.

(b) Care shall be exercised to avoid handling of the primary enclosure in 

(c) Primary enclosures used to transport any live guinea pig or hamster 

[43 FR 21163, May 16, 1978, as amended at 43 FR 56216, Dec. 1, 1978; 55 

FR 28883, July 16, 1990]

Animal Welfare Regulations, USDA § 3.41
152

 9 CFR AWR (1-1-18 Edition)

Intentionally left blank
153

PART 3

Subpart C

Nonhuman

Primates

Subpart C – Specifications for the Humane Handling, Care, Treatment 

and Transportation of Rabbits

FACILITIES AND OPERATING STANDARDS

§ 3.50 - Facilities, general.

(a) Structural strength.

(b) Water and electric power.

(c) Storage.

(d) Waste disposal.

(e) Washroom and sinks.

[32 FR 3273, Feb. 24, 1967, as amended at 44 FR 63492, Nov. 2, 1979]

§ 3.51 - Facilities, indoor.

(a) Heating.

(b) Ventilation.

(c) Lighting.

Animal Welfare Regulations, USDA § 3.51
154

PART 3

Subpart C

Nonhuman

Primates

(d) Interior surfaces.

§ 3.52 - Facilities, outdoor.

(a) Shelter from sunlight.

(b) Shelter from rain or snow.

(c) Shelter from cold weather.

(d) Protection from predators.

(e) Drainage.

§ 3.53 - Primary enclosures.

 All primary enclosures for rabbits shall conform to the following 

(a) General.

(1) Primary enclosures shall be structurally sound and maintained in 

(2) Primary enclosures shall be constructed and maintained so as to 

(3) Primary enclosures shall be constructed and maintained so that the 

(4)

(5) A suitable nest box containing clean nesting material shall be 

(b) Space requirements for primary enclosures acquired before August 

§ 3.52 9 CFR AWR (1-1-18 Edition)
PART 3

Subpart C

Nonhuman

Primates

the space taken up by food and water receptacles, in accordance with the 

following table:

Category Individual weights (pounds) Minimum space per rabbit 

(square inches)

Groups 3 through 5 144

6 through 8 288

9 or more 432

Individual adults 3 through 5 180

6 through 8 360

9 through 11 540

12 or more 720

Nursing females 3 through 5 576

6 through 8 720

9 through 11

12 or more

864

1080

(c) Space requirements for primary enclosures acquired on or after 

(1) Primary enclosures shall be constructed and maintained so as to 

(2) Each rabbit housed in a primary enclosure shall be provided a 

Individual weights Minimum floor 

space

Minimum interior

 height

kg lbs m2 ft2 cm in

Individual 

rabbits 

(weaned)

< 2

2-4

4-5.4

> 5.4

< 4.4

4.4-8.8

8.8-11.9

> 11.9

0.14

0.28

0.37

0.46

1.5

3.0

4.0

5.0

35.56

35.56

35.56

35.56

14

14

14

14

Weight of nursing 

female

Minimum floor 

space / female & 

litter

Minimum interior 

height

kg lbs m2 ft2 cm in

Females 

with litters

< 2

2-4

4-5.4

> 5.4

< 4.4

4.4-8.8

8.8-11.9

> 11.9

0.37

0.46

0.56

0.70 155

4.0

5.0

6.0

7.5

35.56

35.56

35.56

35.56

14

14

14

14

Animal Welfare Regulations, USDA § 3.53
156

PART 3

Subpart C

Nonhuman

Primates

(3) Innovative primary enclosures that do not precisely meet the space 

[32 FR 3273, Feb. 24, 1967, as amended at 55 FR 28883, July 16, 1990]

ANIMAL HEALTH AND HUSBANDRY STANDARDS

§ 3.54 - Feeding.

(a) Rabbits shall be fed at least once each day except as otherwise might 

(b) Food receptacles shall be accessible to all rabbits in a primary 

§ 3.55 - Watering.

§ 3.56 - Sanitation.

(a) Cleaning of primary enclosures.

(1) Primary enclosures shall be kept reasonably free of excreta, hair, 

(2)

(3)

(b) Sanitization of primary enclosures.

§ 3.54 9 CFR AWR (1-1-18 Edition)
157

PART 3

Subpart C

Nonhuman

Primates

(1) Primary enclosures for rabbits shall be sanitized at least once every 

(2) Prior to the introduction of rabbits into empty primary enclosures 

(3) Primary enclosures for rabbits shall be sanitized by washing them 

(c) Housekeeping.

(d) Pest control.

§ 3.57 - Employees.

§ 3.58 - Classification and separation.

 Animals housed in the same primary enclosure shall be maintained in 

(a) Rabbits shall not be housed in the same primary enclosure with any 

(b) Rabbits under quarantine or treatment for a communicable disease 

§ 3.59 - [Reserved]

TRANSPORTATION STANDARDS

Authority: Sections 3.60 through 3.66 issued under secs. 3, 5, 6, 10, 11, 14, 

16, 17, 21; 80 Stat. 353; 84 Stat. 1561, 1562, 1563, 1564; 90 Stat. 418, 420, 

423 (7 U.S.C. 2133, 2135, 2136, 2140, 2141, 2144, 2146, 2147, 2151); 37 FR 

28464, 28477, 38 FR 19141. 

Animal Welfare Regulations, USDA § 3.59
158

PART 3

Subpart C

Nonhuman

Primates

Source: Sections 3.60 through 3.66 appear at 42 FR 31565, June 21, 1977, 

unless otherwise noted. 

§ 3.60 - Consignments to carriers and intermediate handlers.

(a) Carriers and intermediate handlers shall not accept any live rabbit 

(b) Any carrier or intermediate handler shall only accept for transportation 

(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) 

(4) The signature of the consignor, and date.

(c) Carriers or intermediate handlers whose facilities fail to meet the 

§ 3.60 9 CFR AWR (1-1-18 Edition)
159

PART 3

Subpart C

Nonhuman

Primates

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 §§ 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) 

(4) The signature of the USDA accredited veterinarian, assigned 

(d) Carriers and intermediate handlers shall attempt to notify the 

[42 FR 31565, June 21, 1977, as amended at 43 FR 21164, May 16, 1978; 44

FR 63493, Nov. 2, 1979]

§ 3.61 - Primary enclosures used to transport live rabbits.

 No person subject to the Animal Welfare regulations shall offer for 

(a) Primary enclosures, such as compartments, transport cages, cartons, 

(1)

(2) The interior of the enclosure shall be free from any protrusions that 

(3) The openings of such enclosures are easily accessible at all times 

(4) Except as provided in paragraph (h) of this section, there are 

Animal Welfare Regulations, USDA § 3.61
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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 

(6) Except as provided in paragraph (h) of this section, adequate 

(b) Live rabbits transported in the same primary enclosure shall be 

(c) Primary enclosures used to transport live rabbits shall be large enough 

(d) Not more than 15 live rabbits shall be transported in the same primary 

(e) Primary enclosures used to transport live rabbits as provided in this 

Primary enclosures used to transport live rabbits, except where such 

§ 3.61 9 CFR AWR (1-1-18 Edition)
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(g) Documents accompanying the shipment shall be attached in an easily 

(h)

[42 FR 31565, June 21, 1977, as amended at 43 FR 21164, May 16, 1978; 55 

FR 28883, July 16, 1990]

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

(a) The animal cargo space of primary conveyances used in transporting 

(b) The animal cargo space shall be constructed and maintained in a 

(c) No live rabbit shall be placed in an animal cargo space that does not 

(d) Primary enclosures shall be positioned in the primary conveyance in 

(e) The interior of the animal cargo space shall be kept clean.

Live rabbits shall not be transported with any material, substance (e.g., 

(g) The animal cargo space of primary conveyances used to transport 

Animal Welfare Regulations, USDA § 3.62
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temperature in the cargo space may be below 45 °F (7.2 °C) if the rabbits 

are accompanied by a certificate of acclimation to lower temperatures, as 

provided in § 3.60(c) of this part.

[42 FR 31565, June 21, 1977, as amended at 55 FR 28883, July 16, 1990]

§ 3.63 - Food and water requirements.

(a) If live rabbits are to be transported for a period of more than 6 hours, 

(b) Any dealer, research facility, exhibitor or operator of an auction 

(c) No carrier or intermediate handler shall accept for transportation, in 

§ 3.64 - Care in transit.

(a) During surface transportation, it shall be the responsibility of the 

(b) During the course of transportation, in commerce, live rabbits shall 

§ 3.63 9 CFR AWR (1-1-18 Edition)
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enclosures or facilities conforming to the requirements provided in this 

subpart.

§ 3.65 - Terminal facilities.

 No person subject to the Animal Welfare regulations shall commingle 

[43 FR 56216, Dec. 1, 1978, as amended at 55 FR 28883, July 16, 1990]]

§ 3.66 - Handling.

(a) Any person who is subject to the Animal Welfare regulations and who 

(1) Shelter from sunlight.

Animal Welfare Regulations, USDA § 3.66
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be measured and read in the manner prescribed in § 3.65 of this part, for a 

period of more than 45 minutes.

(2) Shelter from rain or snow.

(3 Shelter from cold weather.

(b) Care shall be exercised to avoid handling of the primary enclosure in 

(c) Primary enclosures used to transport any live rabbit shall not be tossed, 

[43 FR 21164, May 16, 1978, as amended at 43 FR 56216, Dec. 1, 1978; 55 

FR 28883, July 16, 1990]

§ 3.66 9 CFR AWR (1-1-18 Edition)
165

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Nonhuman

Primates

Subpart D – Specifications for the Humane Handling, Care, Treatment, 

and Transportation of Nonhuman Primates2

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.

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

FACILITIES AND OPERATING STANDARDS

§ 3.75 - Housing facilities, general.

(a) Structure: construction.

(b) Condition and site.

(c) Surfaces.

(1) General requirements.

Animal Welfare Regulations, USDA § 3.75
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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 

 (ii) Be free of jagged edges or sharp points that might injure the 

(2) All surfaces must Maintenance and replacement of surfaces.

(3) Cleaning.

(d) Water and electric power.

(e) Storage.

§ 3.75 9 CFR AWR (1-1-18 Edition)
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for normal husbandry practices must not be stored in food storage and 

preparation areas, but may be stored in cabinets in the animal areas.

Drainage and waste disposal.

(g) Washrooms and sinks.

§ 3.76 - Indoor housing facilities.

(a) Heating, cooling, and temperature.

(b) Ventilation.

Animal Welfare Regulations, USDA § 3.76
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and well-being and to minimize odors, drafts, ammonia levels, and moisture 

condensation. Ventilation must be provided by windows, doors, vents, 

fans, or air conditioning. Auxiliary ventilation, such as fans, blowers, or 

air conditioning, must be provided when the ambient temperature is 85 °F 

(29.5 °C) or higher. 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.

§ 3.77 - Sheltered housing facilities.

(a) Heating, cooling, and temperature.

(b) Ventilation.

§ 3.77 9 CFR AWR (1-1-18 Edition)
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(c) Lighting.

(d) Shelter from the elements.

(e) Capacity: multiple shelters.

Perimeter fence.

(1) The outside walls of the primary enclosure are made of a sturdy, 

(2) The housing facility is surrounded by a natural barrier that restricts 

(g) Public barriers.

Animal Welfare Regulations, USDA § 3.77
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animal acts or in uncaged public exhibits must be under the direct control and 

supervision of an experienced handler or trainer at all times when the public 

is present. Trained nonhuman primates may be permitted physical contact 

with the public, as allowed under § 2.131, but only if they are under the 

direct control and supervision of an experienced handler or trainer at all times 

during the contact.

(Approved by the Office of Management and Budget under control number 

0579-0093)

§ 3.78 - Outdoor housing facilities.

(a) Acclimation.

(b) Shelter from the elements.

(c) Capacity: multiple shelters.

(d) Perimeter fence.

(1) The outside walls of the primary enclosure are made of a sturdy, 

§ 3.78 9 CFR AWR (1-1-18 Edition)
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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 

(e) Public barriers.

(Approved by the Office of Management and Budget under control number 

0579-0093)

§ 3.79 - Mobile or traveling housing facilities.

(a) Heating, cooling, and temperature.

(b) Ventilation.

(c) Lighting.

Animal Welfare Regulations, USDA § 3.79
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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.

§ 3.80 - Primary enclosures.

 Primary enclosures for nonhuman primates must meet the following 

(a) General requirements.

(1) Primary enclosures must be designed and constructed of suitable 

(2) Primary enclosures must be constructed and maintained so that 

 (i) Have no sharp points or edges that could injure the nonhuman 

 (ii) Protect the nonhuman primates from injury;

 (iii) Contain the nonhuman primates securely and prevent accidental 

 Keep other unwanted animals from entering the enclosure or 

 Enable the nonhuman primates to remain dry and clean;

 Provide shelter and protection from extreme temperatures and 

 

 Provide the nonhuman primates with easy and convenient 

§ 3.80 9 CFR AWR (1-1-18 Edition)
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 (ix) Enable all surfaces in contact with nonhuman primates to be 

 (x)

 (xi)

(b) Minimum space requirements.

(1) The minimum space that must be provided to each nonhuman 

3 and will be calculated by using the 4

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.

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) of this section, and 

brachiating species.

(2) Dealers. exhibitors, and research facilities, including Federal 

Animal Welfare Regulations, USDA § 3.80
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Primates

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)

(3) In the case of research facilities, any exemption from these 

(4) When more than one nonhuman primate is housed in a primary 

(c)

(Approved by the Office of Management and Budget under control number 

0579-0093)

§ 3.80 9 CFR AWR (1-1-18 Edition)
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§ 3.81 - Environment enhancement to promote psychological well-being.

 Dealers, exhibitors, and research facilities must develop, document, 

(a) Social grouping.

(1) If a nonhuman primate exhibits vicious or overly aggressive 

(2) Nonhuman primates that have or are suspected of having a 

(3) Nonhuman primates may not be housed with other species of 

(b) Environmental enrichment.

Animal Welfare Regulations, USDA § 3.81
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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.

(1) Infants and young juveniles;

(2) Those that show signs of being in psychological distress through 

(3) Those used in research for which the Committee-approved protocol 

(4) Individually housed nonhuman primates that are unable to see and 

(5) Great apes weighing over 110 lbs. (50 kg). Dealers, exhibitors, and 

(d) Restraint devices.

(e) Exemptions.

(1) The attending veterinarian may exempt an individual nonhuman 

(2) For a research facility, the Committee may exempt an individual 

§ 3.81 9 CFR AWR (1-1-18 Edition)
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(3) Records of any exemptions must be maintained by the dealer, 

ANIMAL HEALTH AND HUSBANDRY STANDARDS

§ 3.82 - Feeding.

(a) The diet for nonhuman primates must be appropriate for the species, 

(b) Nonhuman primates must be fed at least once each day except as 

(c) Food and food receptacles, if used, must be readily accessible to all the 

(d) Food and food receptacles, if used, must be located so as to minimize 

§ 3.83 - Watering.

Animal Welfare Regulations, USDA § 3.83
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or as required by the research proposal approved by the Committee at 

research facilities. Water receptacles must be kept clean and sanitized in 

accordance with methods provided in § 3.84(b)(3) of this subpart at least 

once every 2 weeks or as often as necessary to keep them clean and free from 

contamination. Used water receptacles must be sanitized before they can be 

used to provide water to a different nonhuman primate or social grouping of 

nonhuman primates.

(Approved by the Office of Management and Budget under control number 

0579-0093)

§ 3.84 - Cleaning, sanitization, housekeeping, and pest control.

(a) Cleaning of primary enclosures.

(b)

(1) A used primary enclosure must be sanitized in accordance with this 

Sanitization of primary enclosures and food and water receptacles.

fore it can be used to house another nonhuman primate or group of 

(2) Indoor primary enclosures must be sanitized at least once every 

(3) Hard surfaces of primary enclosures and food and water receptacles 

 (i) Live steam under pressure;

§ 3.84 9 CFR AWR (1-1-18 Edition)
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 (ii) Washing with hot water (at least 180 °F (82.2 °C)) and soap or 

 (iii) Washing all soiled surfaces with appropriate detergent solutions 

(4) Primary enclosures containing material that cannot be sanitized 

(c) Housekeeping for premises.

(d) Pest control.

§ 3.85 - Employees.

 Every person subject to the Animal Welfare regulations (9 CFR parts 1, 2, 

TRANSPORTATION STANDARDS

§ 3.86 - Consignments to carriers and intermediate handlers.

(a) Carriers and intermediate handlers must not accept a nonhuman 

Animal Welfare Regulations, USDA § 3.86
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Primates

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 

(c) Carriers and intermediate handlers must not accept a nonhuman 

(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 

(4)

(d) Carriers and intermediate handlers must not accept a nonhuman 

(e) Carriers and intermediate handlers must not accept a nonhuman 

§ 3.86 9 CFR AWR (1-1-18 Edition)
181

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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 

(3) The species of nonhuman primate contained in the primary 

(4) A statement by a veterinarian that to the best of his or her 

(5)

When a primary enclosure containing a nonhuman primate has arrived 

(Approved by the Office of Management and Budget under control number 

0579-0093)

Animal Welfare Regulations, USDA § 3.86
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Primates

§ 3.87 - Primary enclosures used to transport nonhuman primates.

 Any person subject to the Animal Welfare regulations (9 CFR parts 1, 2, 

(a) Construction of primary enclosures.

(1)

(2) The interior of the enclosure has no sharp points or edges and no 

(3) The nonhuman primate is at all times securely contained within the 

(4) The nonhuman primate can be easily and quickly removed from the 

(5) The doors or other closures that provide access into the enclosure 

(6)

(7) Any material, treatment, paint, preservative, or other chemical used 

(8) Proper ventilation is provided to the nonhuman primate in 

(9) Ventilation openings are covered with bars, wire mesh, or smooth 

(10) The primary enclosure has a solid, leak-proof bottom, or a 

§ 3.87 9 CFR AWR (1-1-18 Edition)
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primate and is appropriate for the species transported in the primary 

enclosure.

(b) Cleaning of primary enclosures.

(c) Ventilation.

(1) If the primary enclosure is movable, ventilation openings must be 

 (i) If ventilation openings are located on two opposite walls of the

 (ii) If ventilation openings are located on all four walls of the 

(2)

(3)

(d) Compatibility.

(1) Only one live nonhuman primate may be transported in a primary 

(i) A mother and her nursing infant may be transported together;

 (ii) An established male-female pair or family group may be 

 (iii) A compatible pair of juveniles of the same species that have not 

Animal Welfare Regulations, USDA § 3.87
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(2) Nonhuman primates of different species must not be transported in 

(e) Space requirements.

Marking and labeling.

(g) Accompanying documents and records.

subpart.

(Approved by the Office of Management and Budget under control number 

0579-0093)

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

(a) The animal cargo space of primary conveyances used to transport 

(b)

(c) Each primary enclosure containing nonhuman primates must be 

§ 3.88 9 CFR AWR (1-1-18 Edition)
185

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Nonhuman

Primates

from the elements and that allows each nonhuman primate enough air for 

normal breathing.

(d) During air transportation, the ambient temperature inside a primary 

(e) During surface transportation, the ambient temperature inside 

A primary enclosure containing a nonhuman primate must be placed 

(g) Primary enclosures must be positioned in the primary conveyance in a 

(h) The interior of the animal cargo space must be kept clean

(i) Nonhuman primates must not be transported with any material, 

§ 3.89 - Food and water requirements.

(a) Each nonhuman primate that is 1 year of age or more must be offered 

5

 at least once every 24 hours. Each nonhuman primate that is less 

5 Proper food for purposes of this section is described in § 3.82 of this subpart, with the necessities and 

circumstances of the mode of travel taken into account.

Animal Welfare Regulations, USDA § 3.89
186

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Nonhuman

Primates

date and time the food and potable water was offered, in accordance with § 

3.86(c) of this subpart.

(b) Any dealer, exhibitor, or research facility, including a Federal research 

(c) Food and water receptacles must be securely attached inside the 

(Approved by the Office of Management and Budget under control number 

0579-0093)

§ 3.90 - Care in transit.

(a) Surface transportation (ground and water).

(b) Air transportation.

§ 3.90 9 CFR AWR (1-1-18 Edition)
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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, 

(d) During transportation in commerce, a nonhuman primate must not be 

(e) The transportation regulations contained in this subpart must be 

§ 3.91 - Terminal facilities.

(a) Placement.

(b) Cleaning, sanitization, and pest control.

(c) Ventilation.

Animal Welfare Regulations, USDA § 3.91
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(d) Temperature.

(e) Shelter.

(1)

(2)

Duration.

§ 3.92 - Handling.

(a) Any person subject to the Animal Welfare regulations (9 CFR parts 1, 

(1) Shelter from sunlight and extreme heat.

(2) Shelter from rain or snow.

(3) Shelter from cold temperatures.

§ 3.92 9 CFR AWR (1-1-18 Edition)
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nonhuman primate must not be exposed to an ambient air temperature below 

45 °F (7.2 °C) for a period of more than 45 minutes, unless it is accompanied 

by a certificate of acclimation to lower temperatures as provided in § 3.86(e) 

of this subpart. The ambient temperature must be measured in the manner 

provided in § 3.91(d) of this subpart.

(b) Any person handling a primary enclosure containing a nonhuman 

(1) A primary enclosure containing a nonhuman primate must not be 

(2) A primary enclosure containing a nonhuman primate must not be 

(c) This section applies to movement of a nonhuman primate from primary 

(Approved by the Office of Management and Budget under control number 

0579-0093)

Animal Welfare Regulations, USDA § 3.92
190

 9 CFR AWR (1-1-18 Edition)

Intentionally left blank
191

PART 3

Subpart E

Marine 

Mammals

Subpart E – Specifications for the Humane Handling, Care, Treatment, 

and Transportation of Marine Mammals

Source: 44 FR 36874, June 22, 1979, unless otherwise noted. 

FACILITIES AND OPERATING STANDARDS

§ 3.100 - Special considerations regarding compliance and/or variance.

(a) All persons subject to the Animal Welfare Act who maintain or 

6

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 § 3.104.

(b) An application for a variance must be made to the Deputy 

(1) The species and number of animals involved,

(2) A statement from the attending veterinarian concerning the age and 

(3) Each provision of the regulations that is not met,

(4) The time period requested for a variance,

(5)

(6) The estimated cost of coming into compliance, if construction is 

(c) After receipt of an application for a variance, the Deputy 

(d)

Animal Welfare Regulations, USDA § 3.100
192

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Subpart E

Marine 

Mammals

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 

 Any facility housing marine mammals that does not meet all of the 

(g)

[49 FR 26681, June 28, 1984; 63 FR 2, Jan. 2, 1998]

§ 3.101 - Facilities, general.

(a) Construction requirements.

(1) Indoor and outdoor housing facilities for marine mammals must 

(2) All marine mammals must be provided with protection from abuse 

§ 3.101 9 CFR AWR (1-1-18 Edition)
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Marine 

Mammals

(3) All surfaces in a primary enclosure must be constructed of durable, 

(4) Facilities that utilize natural water areas, such as tidal basins, 

(b) Water and power supply.

(c) Drainage.

(1) Adequate drainage must be provided for all primary enclosure pools 

contained in such pools may be effectively eliminated when necessary 

for cleaning the pool or for other purposes. Drainage effluent from primary 

enclosure pools must be disposed of in a manner that complies with all 

applicable Federal, State, and local pollution control laws.

(2) Drainage must be provided for primary enclosures and areas 

(d) Storage.

Animal Welfare Regulations, USDA § 3.101
194

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Subpart E

Marine 

Mammals

marine mammals may be stored or maintained in the marine mammal food 

storage or preparation areas, except that cleaning agents may be kept in 

secured cabinets designed and located to prevent food contamination. Food, 

supplements, and medications may not be used beyond commonly accepted 

shelf life or date listed on the label.

(e) Waste disposal.

Employee washroom facilities.

(g) Enclosure or pool environmental enhancements.

[66 FR 251, Jan. 3, 2001, as amended at 77 FR 76824, Dec. 31, 2012]

Effective Date Note: At 78 FR 46255, July 31, 2013, §2.134 was stayed 

indefinitely, effective July 31, 2013.

§ 3.102 - Facilities, indoor.

(a) Ambient temperature.

(b) Ventilation.

(c) Lighting.

§ 3.102 9 CFR AWR (1-1-18 Edition)
195

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Marine 

Mammals

distribution, and duration which is appropriate for the species involved. 

Sufficient lighting must be available to provide uniformly distributed 

illumination which is adequate to permit routine inspections, observations, 

and cleaning of all parts of the primary enclosure including any den areas. 

The lighting shall be designed so as to prevent overexposure of the marine 

mammals contained therein to excessive illumination.7

7 Lighting intensity and duration must be consistent with the general well-being and comfort of the animal 

involved. When possible, it should approximate the lighting conditions encountered by the animal in its 

natural environment. At no time shall the lighting be such that it will cause the animal discomfort or trauma.

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

§ 3.103 - Facilities, outdoor.

(a) Environmental temperatures.

(1) The water surface of pools in outdoor primary enclosures housing 

(2) The water surface of pools in outdoor primary enclosures housing 

(3) No sirenian or warm water dwelling species of pinnipeds or 

(b) Shelter.

(c) Perimeter fence.

Animal Welfare Regulations, USDA § 3.103
196

PART 

Subpart E

Marine 

Mammals

primary enclosure to prevent physical contact between animals inside the 

enclosure and animals or persons outside the perimeter fence. Such fences 

less than 3 feet in distance from the primary enclosure must be approved in 

writing by the Administrator. For natural seawater facilities, such as lagoons, 

the perimeter fence must prevent access by animals and unauthorized persons 

to the natural seawater facility from the abutting land, and must encompass 

the land portion of the facility from one end of the natural seawater facility 

shoreline as defined by low tide to the other end of the natural seawater 

facility shoreline defined by low tide. A perimeter fence is not required:

(1) Where the outside walls of the primary enclosure are made of 

(2) Where the outdoor housing facility is protected by an effective 

(3) Where appropriate alternative security measures are employed and 

(4) For traveling facilities where appropriate alternative security 

[44 FR 36874, June 22, 1979, as amended at 64 FR 56147, Oct. 18, 1999]

§ 3.104 - Space requirements.

(a) General.

§ 3.104 9 CFR AWR (1-1-18 Edition)
197

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Marine 

Mammals

pools or enclosures, holding pools or enclosures, and gated side pools smaller 

than the minimum space requirements) may not be used for permanent 

housing purposes. Rotating animals between enclosures that meet the 

minimum space requirements and enclosures that do not is not an acceptable 

means of complying with the minimum space requirements for primary 

enclosures.

(b) Cetaceans.

(1)(i) The required minimum horizontal dimension (MHD)

8

), whichever is greater; except that such MHD 

8 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 

 (iii) In a pool housing a mixture of Group I and Group II cetaceans, 

 

Animal Welfare Regulations, USDA § 3.104
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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 CETACEANS1

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.

Representative 

average adult 

lengths

Minimum 

horizontal 

dimension (MHD)

Minimum 

required depth

Volume of water 

required for 

each additional 

cetacean in 

excess of two

Meters Feet Meters Feet Meters Feet Cubic 

meters

Cubic

feet

1.68 5.5 7.32 24 1.83 6 8.11 284.95

2.29 7.5 7.32 24 1.83 6 15.07 529.87

2.74 9.0 7.32 24 1.83 6 21.57 763.02

3.05 10.0 7.32 24 1.83 6 26.73 942.00

3.51 11.5 7.32 24 1.83 6 35.40 1,245.79

3.66 12.0 7.32 24 1.83 6 38.49 1,356.48

4.27 14.0 8.53 28 2.13 7 60.97 2,154.04

5.49 18.0 10.97 36 2.74 9 129.65 4,578.12

5.64 18.5 11.28 37 2.82 9.25 140.83 4,970.33

5.79 19.0 11.58 38 2.90 9.50 152.64 5,384.32

6.71 22.0 13.41 44 3.36 11 237.50 8,358.68

6.86 22.5 13.72 45 3.43 11.25 253.42 8,941.64

7.32 24.0 14.63 48 3.66 12 307.89 10,851.84

8.53 28.0 17.07 56 4.27 14 487.78 17,232.32

§ 3.104 9 CFR AWR (1-1-18 Edition)
199

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Mammals

TABLE II – GROUP II CETACEANS1

1 Converting cubic feet to cubic meters is based on: 1 cubic foot=0.0283 of a cubic meter.

Representative 

average adult 

lengths

Minimum 

horizontal 

dimension 

(MHD)

Minimum 

required depth

Volume of water 

required for each 

additional 

cetacean in 

excess of four

Meters Feet Meters Feet Meters Feet Cubic 

meters1

Cubic

feet

1.52 5.0 7.32 24 1.83 6 13.28 471.00

1.68 5.5 7.32 24 1.83 6 16.22 569.91

1.83 6.0 7.32 24 1.83 6 19.24 678.24

2.13 7.0 8.53 28 1.83 6 26.07 923.16

2.29 7.5 9.14 30 1.83 6 30.13 1,059.75

2.44 8.0 9.75 32 1.83 6 34.21 1,205.76

2.59 8.5 10.36 34 1.83 6 38.55 1,361.19

2.74 9.0 10.97 36 1.83 6 43.14 1,526.04

Animal Welfare Regulations, USDA § 3.104
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Mammals

TABLE III – AVERAGE ADULT LENGTHS OF MARINE MAMMALS 

MAINTAINED IN CAPTIVITY1

Species Common name Average 

adult length

Group 1 Cetaceans: In meters In feet

Balaenoptera acutorostrata Minke whale 8.50 27.9

Cephalorhynchus 

commersonii

Commerson’s dolphin 1.52 5.0

Delphinapterus leucas Beluga whale 4.27 14.0

Monodon monoceros Narwhale 3.96 13.0

Globicephala melaena Long-finned pilot whale 5.79 19.0

Globicephala macrorhynchus Short-finned pilot whale 5.49 18.0

Grampus griseus Risso’s dolphin 3.66 12.0

Orcinus orca Killer whale 7.32 24.0

Pseudorca carassidens False killer whale 4.35 14.3

Tursiops truncatus (Atlantic) Bottlenose dolphin 2.74 9.0

Tursiops truncatus (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

TABLE III – continued

Group II Cetaceans: In meters In feet

Delphinus delphis Common dolphin 2.59 8.5

Feresa attenuate Pygmy killer whale 2.44 8.0

Kogia breviceps Pygmy sperm whale 3.96 13.0

§ 3.104 9 CFR AWR (1-1-18 Edition)
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Mammals

Kogia simus Dwarf sperm whale 2.90 9.5

Lagenorhynchus acutus Atlantic white-sided dolphin 2.90 9.5

Lagenorhynchus cruciger Hourglass dolphin 1.70 5.6

Lagenorhynchus obliquidens Pacific white-sided dolphin 2.29 7.5

Lagenorhynchus albirostris White-beaked dolphin 2.74 9.0

Lagenorhynchus obscurus Duskey dolphin 2.13 7.0

Lissodelphis borealis Northern right whale dolphin 2.74 9.0

Neophocaena phocaenoides Finless porpoise 1.83 6.0

Peponocephala electra Melon-headed whale 2.74 9.0

Phocoenoides dalli Dall’s porpoise 2.00 6.5

Stenella longirostris Spinner dolphin 2.13 7.0

Stenella coeruleoalba Striped dolphin 2.29 7.5

Stenella attenuate Spotted dolphin 2.29 7.5

Stenella plagiodon Spotted dolphin 2.29 7.5

Steno bredanensis Rough-toothed dolphin 2.44 8.0

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.

TABLE III – continued

Species Common name

 Average adult length

In meters In feet

Group 1 Pinnipeds: Male Female Male Female

Arctocephalus 

gazella**

Antarctic Fur Seal 1.80 1.20 5.9 3.9

Arctocephalus 

tropicalis**

Amsterdam Island 

Fur Seal

1.80 1.45 5.9 4.75

Arctocephalus 

australis**

South American Fur 

Seal

1.88 1.42 6.2 4.7

Animal Welfare Regulations, USDA § 3.104
202

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Mammals

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

TABLE III – continued

Group II Pinnipeds: Male Female Male Female

Erignathus barbatus Bearded Seal 2.33 2.33 7.6 7.6

Phoca hispida Ringed Seal 1.35 1.30 4.4 4.3

Cystophora cristata Hooded Seal 2.60 2.00 8.5 6.6

Note. **Any Group I animals maintained together will be considered as Group II when 

the animals maintained together include two or more sexually mature males from species 

marked with a double asterisk (**) regardless of whether the sexually mature males from 

the same species.

§ 3.104 9 CFR AWR (1-1-18 Edition)
203

PART 3

Subpart E

Marine 

Mammals

TABLE III – continued

Species Common name Average 

adult length

In meters In feet

Sirenia:

Dugong dugong Dugong 3.35 11.0

Trichechus manatus West Indian Manatee 3.51 11.5

Trichechus inunguis Amazon Manatee 2.44 8.0

Mustelidae:

Enhydra lutris Sea Otter 1.25 4.1

(2) The minimum depth requirement

(3) Pool volume.

 (i) The minimum volume of water required for up to two Group I 

 MHD 2

Volume = × 3.14 × depth 2

 When there are more than two Group I cetaceans housed in a primary 

( )

 Average Adult Length 2

Volume = × 3.14 × depth

 ( 2 )

See Table I for required volumes.

Animal Welfare Regulations, USDA § 3.104
204

PART 

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Mammals

 (ii) The minimum volume of water required for up to four Group II 

( ) MHD 2

Volume = × 3.14 × depth 2

When there are more than four Group II cetaceans housed in a primary 

enclosure pool, the additional volume of water required for each additional 

Group II cetacean in excess of four is based on the following formula:

 Volume = (Avg. Adult Length)2 × 3.14 × depth

See Table II for required volumes.

 (iii) When a mixture of both Group I and Group II cetaceans are 

 MHD 2

Volume = × 3.14 × depth 2

 Then the volume necessary for the cetaceans to be housed in the pool 

(4)(i) The minimum surface area requirements

 Average Adult Body Length 2

Surface Area = × 3.14 × 1.5 2

or: SA=(L/2)2 x 3.14 x 1.5

In a pool containing more than two Group I cetaceans or more than four 

Group II cetaceans,9 the additional surface area which may be required when 

animals are added must be calculated for each such animal.

9 A pool containing up to two Group I cetaceans or up to four Group II cetaceans which meets the required 

MHD and depth will have the necessary surface area and volume required for the animals contained therein.

( ) 

( )

§ 3.104 9 CFR AWR (1-1-18 Edition)
205

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Marine 

Mammals

 (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.10 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.

10 Since the MHD represents the diameter of a circle, the surface area based on the MHD is calculated by use 

of the following formula: SA = π × (MHD / 2)2

.

 (iii) Surface area requirements are given in Table IV.

TABLE IV – MINIMUM SURFACE AREA REQUIRED 

FOR EACH CETACEAN

Average adult length 

of each cetacean

Surface area required 

for each cetacean

Meters Feet Sq. meters* Sq. feet

1.68 5.5 3.31 33.62

2.13 7.0 5.36 57.70

2.29 7.5 6.15 66.23

2.59 8.5 7.90 85.07

2.74 9.0 8.86 95.38

3.05 10.0 10.94 117.75

3.51 11.5 14.47 155.72

3.66 12.0 15.75 169.56

4.27 14.0 21.44 230.79

5.49 18.0 35.44 381.51

5.64 18.5 37.43 403.00

5.79 19.0 39.49 425.08

6.71 22.0 52.94 569.91

6.86 22.5 55.38 596.11

7.32 24.0 63.01 678.24

8.53 28.0 85.76 923.16

* Square meter=square feet/9×0.8361.

(c) Sirenians.

(1) The required MHD of a primary enclosure pool for sirenians shall 

Animal Welfare Regulations, USDA § 3.104
206

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 

(3)

(d) Pinnipeds.

(1) Primary enclosures housing pinnipeds shall contain a pool of water 

(2) The minimum size of the dry resting or social activity area of the 

 (i) Group I pinnipeds.

Examples:

(average adult length)2 of 1st Group I pinniped+(average adult length)2 of 

2nd Group I pinniped=Total DRA for two pinnipeds

DRA for one pinniped=2×(average adult length of Group I pinniped)2 

§ 3.104 9 CFR AWR (1-1-18 Edition)
207

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Marine 

Mammals

 (ii) Group II pinnipeds.

Examples: DRA for 1 Group II Pinniped = [(Average adult length)2 × 1.5] + 

[(Average adult length)2 × 1.4]

1st pinniped (avg. adult length)2×1.5=social and DRA required

2nd pinniped (avg. adult length)2

×1.4=social and DRA required

3rd pinniped (avg. adult length)1×1.3=social and DRA required

4th pinniped (avg. adult length)2×1.2=social and DRA required

5th pinniped (avg. adult length)2

×1.1=social and DRA required

Each pinniped over 5 (avg. adult length)2=social and DRA required

Total minimum social activity and dry resting area required 

for all pinnipeds housed in a primary enclosure.

If all the pinnipeds in the primary enclosure are of the same species, the 

same descending order of calculation shall apply. Example: Hooded seal—

average adult length of male=8.5 feet and female=6.6 feet. In a primary 

enclosure containing 2 males and 2 females, the social or DRA required 

would be the sum of [(8.5)2 ×1.5] + [(8.5)2 ×1.4] +[(6.6)2 ×1.3] + [(6.6)2

×1.2].

 If two or more sexually mature males are maintained together in a primary 

 (iii) Mixture of Group I and Group II pinnipeds.

Animal Welfare Regulations, USDA § 3.104
208

PART 

Subpart E

Marine 

Mammals

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 

 (ii) The MHD of the pool shall be at least one and one-half (1.5) 

 (iii) The pool of water shall be at least 0.91 meters (3.0 feet) deep or 

(e) Polar bears.

Sea otters.

(1) Primary enclosures for sea otters shall consist of a pool of water 

§ 3.104 9 CFR AWR (1-1-18 Edition)
209

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Subpart E

Marine 

Mammals

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 

(3) The minimum dry resting area required for one or two sea otters 

TABLE V – ADDITIONAL SPACE REQUIRED FOR EACH SEA 

OTTER WHEN MORE THAN TWO IN A PRIMARY ENCLOSURE

Average adult length of 

sea otter Resting area Pool Volume

Meters Feet Square 

meters

Square 

Feet

Cubic 

meters Cubic feet

1.25 4.1 1.96 6.44 2.23 79.17

[44 FR 36874, June 22, 1979, as amended at 45 FR 63261, Sept. 24, 1980; 49 

FR 26682, 26685, June 28, 1984; 49 FR 27922, July 9, 1984; 63 FR 2, Jan. 2, 

1998; 63 FR 47148, Sept. 4, 1998; 66 FR 252, Jan. 3, 2001]

ANIMAL HEALTH AND HUSBANDRY STANDARDS

§ 3.105 - Feeding.

(a) The food for marine mammals must be wholesome, palatable, and free 

Animal Welfare Regulations, USDA § 3.105
210

PART 

Subpart E

Marine 

Mammals

prepared with consideration for factors such as age, species, condition, and 

size of the marine mammal being fed. Marine mammals must be offered food 

at least once a day, except as directed by the attending veterinarian.

(b) Food receptacles, if used, must be located so as to be accessible to all 

(c) Food, when given to each marine mammal individually, must be 

(d) Food preparation and handling must be conducted so as to assure 

[66 FR 252, Jan. 3, 2001]

§ 3.105 9 CFR AWR (1-1-18 Edition)
211

PART 3

Subpart E

Marine 

Mammals

§ 3.106 - Water quality.

(a) General.

(b) Bacterial standards.

(1) The coliform bacteria count of the primary enclosure pool shall not 

(2) When the water is chemically treated, the chemicals shall be added 

(3) Water samples shall be taken and tested at least weekly for coliform 

(c) Salinity.

(d)

§ 3.107 - Sanitation.

(a) Primary enclosures.

(1) Animal and food waste in areas other than the pool of water must 

(2) Particulate animal and food waste, trash, or debris that enters the 

(3) The wall and bottom surfaces of the primary enclosure pools 

Animal Welfare Regulations, USDA § 3.107
212

PART 

Subpart E

Marine 

Mammals

example) that do not degrade water quality as defined in § 3.106, prevent 

proper maintenance, or pose a health or disease hazard to the animals are not 

considered contaminants.

(b) Food preparation.

(c) Housekeeping.

(d) Pest control.

[66 FR 253, Jan. 3, 2001]

§ 3.108 - Employees or attendants.

(a)

(b) The facility will provide and document participation in and successful 

(c) Any training of marine mammals must be done by or under the direct 

§ 3.108 9 CFR AWR (1-1-18 Edition)
213

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Subpart E

Marine 

Mammals

(d) Trainers and handlers must meet professionally recognized standards 

[66 FR 253, Jan. 3, 2001]

§ 3.109 - Separation.

 Marine mammals, whenever known to be primarily social in the wild, 

[66 FR 253, Jan. 3, 2001]

§ 3.110 - Veterinary care.

(a) Newly acquired marine mammals must be isolated from resident 

marine mammals. Animals with a known medical history must be isolated 

unless or until the newly acquired animals can be reasonably determined to 

be in good health by the attending veterinarian. Animals without a known 

medical history must be isolated until it is determined that the newly acquired 

animals are determined to be in good health by the attending veterinarian. 

Any communicable disease condition in a newly acquired marine mammal 

must be remedied before it is placed with resident marine mammals, unless, 

in the judgment of the attending veterinarian, the potential benefits of a 

resident animal as a companion to the newly acquired animal outweigh the 

risks to the resident animal.

(b) Holding facilities must be in place and available to meet the needs 

for isolation, separation, medical treatment, and medical training of marine 

mammals. Marine mammals that are isolated or separated for nonmedical 

purposes must be held in facilities that meet minimum space requirements 

as outlined in § 3.104. Holding facilities used only for medical treatment 

Animal Welfare Regulations, USDA § 3.110
214

PART 

Subpart E

Marine 

Mammals

and medical training need not meet the minimum space requirements as 

outlined in § 3.104. Holding of a marine mammal in a medical treatment or 

medical training enclosure that does not meet minimum space requirements 

for periods longer than 2 weeks must be noted in the animal’s medical record 

and the attending veterinarian must provide a justification in the animal’s 

medical record. If holding in such enclosures for medical treatment and/

or medical training is to last longer than 2 weeks, such extension must be 

justified in writing by the attending veterinarian on a weekly basis. In natural 

lagoon or coastal enclosures where isolation cannot be accomplished, since 

water circulation cannot be controlled or isolated, separation of newly 

acquired marine mammals must be accomplished using separate enclosures 

situated within the facility to prevent direct contact and to minimize the risk 

of potential airborne and water cross-contamination between newly acquired 

and resident animals.

(c) Any holding facility used for medical purposes that has contained a 

(d) Individual animal medical records must be kept and made available for 

(1)

(2) Physical examination information, including but not limited to 

(e) A copy of the individual animal medical record must accompany any 

All marine mammals must be visually examined by the attending 

§ 3.110 9 CFR AWR (1-1-18 Edition)
215

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Marine 

Mammals

blood chemistry, and other diagnostic tests as determined by the attending 

veterinarian.

(g)(1) A complete necropsy, including histopathology samples, 

(2) Necropsy records will be maintained at the marine mammal’s home 

[66 FR 253, Jan. 3, 2001]

§ 3.111 - Swim-with-the-dolphin programs.

 Swim-with-the-dolphin (SWTD) programs shall comply with the 

(a) Space requirements.

 (1) The horizontal dimension for each area must be at least three times 

the average adult body length of the species of cetacean used in the program;

 (2) The minimum surface area required for each area is calculated as 

follows:

 (i) Up to two cetaceans:

Surface Area (SA) = 3 × average adult body length (L) 2

× 3.14 2 ( ) (ii) Three cetaceans:

 (iii) Additional SA for each animal in excess of three

SA = 3 × L 2 × 3.14 × 2 2 ( ) 

SA = 2 × L 2 × 3.14 2 ( ) 

Animal Welfare Regulations, USDA § 3.111
216

(3) The average depth for sea pens, lagoons, and similar natural 

(4) The minimum volume required for each animal is calculated as 

Volume = SA × 9

(b) Water clarity.

(c) Employees and attendants.

(1) Licensee or manager – at least one full-time staff member with at 

(2) Head trainer/behaviorist – at least one full-time staff member with 

(3) Trainer/supervising attendant – at least one full-time staff member 

(4) Attendant – an adequate number of staff members who are 

(5) Attending veterinarian – at least one staff or consultant veterinarian 

(d) Program animals.

§ 3.111 9 CFR AWR (1-1-18 Edition)
217

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Marine 

Mammals

(e) Handling.

(1) Interaction time (i.e., designated interactive swim sessions) for each 

(2) All cetaceans used in an interactive session shall be adequately 

(3) All cetaceans used in interactive sessions shall be in good health, 

(4) The ratio of human participants to cetaceans shall not exceed 3:1. 

(5) Prior to participating in an SWTD interactive session, members of 

(6) All interactive sessions shall have at least two attendants or 

(7) All SWTD programs shall limit interaction between cetaceans 

Animal Welfare Regulations, USDA § 3.111
218

PART 

Subpart E

Marine 

Mammals

specific cetacean behavior, and shall prevent the chasing or other harassment 

of the cetaceans.

(8) In cases where cetaceans used in an interactive session exhibit 

11 regarding conditions 

11 Send to Administrator, c/o Animal and Plant Health Inspection Service, Animal Care, 4700 River Road Unit 

84, Riverdale, Maryland 20737-1234.

Recordkeeping.

(1) Each facility shall provide APHIS12 12 with a description of its 

12 See footnote 1 in § 3.111(e)(8).

 (i)

 (ii) A description of the educational content and agenda of planned 

 (iii) The content and method of pre-encounter orientation, rules, 

 A description of the SWTD facility, including the primary 

 A description of the training, including actual or expected 

§ 3.111 9 CFR AWR (1-1-18 Edition)
219

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Marine 

Mammals

 The resume of the licensee and/or manager, the head trainer/

 The current behavior patterns and health of each cetacean, to be 

 For facilities that employ a part-time attending veterinarian or 

 (ix) A detailed description of the monitoring program to be used to 

(2) All SWTD programs shall comply in all respects with the 

(3) Individual animal veterinary records, including all examinations, 

(4) The following records shall be kept at the SWTD site for at least 3 

(i) Individual cetacean feeding records; and

 (ii) Individual cetacean behavioral records.

(5) The following reports shall be kept at the SWTD site for at least 3 

 (i) Statistical summaries of the number of minutes per day that each 

 (ii) A statistical summary of the number of human participants per 

(6) A description of any changes made in the SWTD program, which 13 on a semi-annual basis. 

13 See footnote 1 in § 3.111(e)(8). 

(7) All incidents resulting in injury to either cetaceans or humans 

14 Within 7 days of any such incident, a 15 The report shall 

14 Eastern Regional Office: (919) 855-7100. Western Regional Office: (970) 494-7478. 

15 See footnote 1 in § 3.111(e)(8).

(g) Veterinary care.

(1) The attending veterinarian shall conduct on-site evaluations of 

Animal Welfare Regulations, USDA § 3.111
220

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Marine 

Mammals

records of the animal; and a discussion of each animal with an animal care 

staff member familiar with the animal.

(2) The attending veterinarian shall observe an interactive swim session 

(3) The attending veterinarian shall conduct a complete physical 

16 length, axillary girth, appetite, 

16 Weight may be measured either by scale or calculated using the following formulae: 

Females: Natural log of body mass = -8.44 + 1.34(natural log of girth) + 1.28(natural log of standard length).

Males: Natural log of body mass = -10.3 + 1.62(natural log of girth) + 1.38(natural log of standard length).

(4) The attending veterinarian, during the monthly site visit, shall 

(5) The attending veterinarian shall examine water quality records and 

(6) In the event that a cetacean dies, complete necropsy results, 

(Approved by the Office of Management and Budget under control numbers 

0579-0036 and 0579-0115)

[63 FR 47148, Sept. 4, 1998]

Effective Date Note: At 64 FR 15920, Apr. 2, 1999, § 3.111 was suspended, 

effective Apr. 2, 1999. 

§ 3.111 9 CFR AWR (1-1-18 Edition)
221

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Marine 

Mammals

TRANSPORTATION STANDARDS

§ 3.112 - Consignments to carriers and intermediate handlers.

(a) Carriers and intermediate handlers shall not accept any marine 

(b) Any carrier or intermediate handler shall only accept for transportation 

(1) Name and address of the consignor;

(2) The number, age, and sex of animals in the primary transport 

(3)

(4) The signature of the consignor, and date.

Animal Welfare Regulations, USDA § 3.112
222

PART 

Subpart E

Marine 

Mammals

(c) Carriers or intermediate handlers whose facilities fail to maintain a 

(1) Name and address of the consignor;

(2) The number, age, and sex of animals in the shipment;

(3) A certifying statement (e.g., “I hereby certify that the animal(s) 

(4) The signature of the attending veterinarian and the date.

(d) Carriers and intermediate handlers must attempt to notify the 

[66 FR 254, Jan. 3, 2001]

§ 3.113 - Primary enclosures used to transport marine mammals.

 No dealer, research facility, exhibitor, or operator of an auction sale shall 

(a) Primary enclosures that are used to transport marine mammals other 

(1)

(2) Be constructed from material that is durable, nontoxic, and cannot 

(3) Be able to withstand the normal rigors of transportation;

§ 3.113 9 CFR AWR (1-1-18 Edition)
223

PART 3

Subpart E

Marine 

Mammals

(4) Have interiors that are free from any protrusions or hazardous 

(5) Be constructed so that no parts of the contained marine mammals 

(6) Have openings that provide access into the enclosures and are 

(7) Have such openings located in a manner that makes them easily 

(8) Have air inlets at heights that will provide cross ventilation at all 

(9) Have projecting rims or other devices placed on any ends and sides 

(10)

(11) Be equipped with adequate handholds or other devices on the 

(b) Straps, slings, harnesses, or other devices used for body support or 

(1) Be designed so as not to prevent access to the marine mammals by 

(2) Be equipped with special padding to prevent trauma or injury at 

(3) Be capable of keeping the animals from thrashing about and causing 

(c) Primary enclosures used to transport marine mammals must be large 

(1) In the case of pinnipeds, polar bears, and sea otters, each animal 

(2)

Animal Welfare Regulations, USDA § 3.113
224

PART 

Subpart E

Marine 

Mammals

causing injury to such cetaceans or sirenians due to contact with the primary 

transport enclosure: Provided, however, That animals may be restricted 

in their movements according to professionally accepted standards when 

such freedom of movement would constitute a danger to the animals, their 

handlers, or other persons.

(d) Marine mammals transported in the same primary enclosure must be 

(e) Primary enclosures used to transport marine mammals as provided in 

Primary enclosures used to transport marine mammals, except where 

(g) Documents accompanying the shipment must be attached in an easily 

(h)

[66 FR 255, Jan. 3, 2001]

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

(a) The animal cargo space of primary conveyances used in transporting 

§ 3.114 9 CFR AWR (1-1-18 Edition)
225

PART 3

Subpart E

Marine 

Mammals

health and assure the safety and comfort of the marine mammals contained 

within at all times. All primary conveyances used must be sufficiently 

temperature-controlled to provide an appropriate environmental temperature 

for the species involved and to provide for the safety and comfort of the 

marine mammal, or other appropriate safeguards (such as, but not limited 

to, cooling the animal with cold water, adding ice to water-filled enclosures, 

and use of fans) must be employed to maintain the animal at an appropriate 

temperature.

(b) The animal cargo space must be constructed and maintained in a 

(c) Marine mammals must only be placed in animal cargo spaces that 

(d) Primary transport enclosures must be positioned in primary 

(e) The interiors of animal cargo spaces in primary conveyances must be 

Live marine mammals must not knowingly be transported with any 

(g) Adequate lighting must be available for marine mammal attendants to 

[66 FR 255, Jan. 3, 2001]

§ 3.115 - Food and drinking water requirements.

(a) Those marine mammals that require drinking water must be offered 

(b) Marine mammals being transported in commerce must be offered 

[66 FR 256, Jan. 3, 2001]

Animal Welfare Regulations, USDA § 3.115
226

PART 

Subpart E

Marine 

Mammals

§ 3.116 - Care in transit.

(a) A licensed veterinarian, employee, and/or attendant of the shipper 

d 

(b) The following marine mammals may be transported in commerce 

(1) A pregnant animal in the last half of pregnancy;

(2) A dependent unweaned young animal;

(3) A nursing mother with young; or

(4) An animal with a medical condition requiring veterinary care, 

(c) Carriers must inform the crew as to the presence of the marine 

(d)

(1) Keeping the skin moist or preventing the drying of the skin by 

(2)

(3) Making adjustments in the position of the marine mammals when 

§ 3.116 9 CFR AWR (1-1-18 Edition)
227

PART 3

Subpart E

Marine 

Mammals

(4)

(5) Calming the marine mammals to avoid struggling, thrashing, and 

(e)

(1)

(2) Calming the marine mammals to avoid struggling, thrashing, and 

Sea otters must be transported in primary enclosures that contain false 

(g) Marine mammals may be removed from their primary transport 

[66 FR 256, Jan. 3, 2001]

§ 3.117 - Terminal facilities.

 Carriers and intermediate handlers must not commingle marine mammal 

Animal Welfare Regulations, USDA § 3.117
228

PART 

Subpart E

Marine 

Mammals

carrier, or intermediate handler. The ambient temperature must be measured 

halfway up the outside of the primary transport enclosure at a distance from 

the external wall of the primary transport enclosure not to exceed 0.91 meters 

(3 feet).

[66 FR 256, Jan. 3, 2001]

§ 3.118 - Handling.

(a) Carriers and intermediate handlers moving marine mammals from 

(1)

 (2) Shelter from overheating and direct sunlight. When sunlight is 

likely to cause overheating, sunburn, or discomfort, sufficient shade must 

be provided to protect the marine mammals. Marine mammals must not be 

subjected to surrounding air temperatures that exceed 23.9 °C (75 °F) unless 

accompanied by an acclimation certificate in accordance with § 3.112 of this 

subpart. The temperature must be measured and read within or immediately 

adjacent to the primary transport enclosure.

(3) Shelter from cold weather.

(b) Care must be exercised to avoid handling of the primary transport 

(c) Enclosures used to transport any marine mammal must not be tossed, 

[66 FR 257, Jan. 3, 2001]

§ 3.118 9 CFR AWR (1-1-18 Edition)
229

PART 3

Subpart E

Marine 

Mammals

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

§ 3.125 - Facilities, general.

(a) Structural strength.

(b) Water and power.

(c) Storage.

(d) Waste disposal.

(e) Washroom and sinks. Facilities, such as washrooms, basins, showers, 

or sinks, shall be provided to maintain cleanliness among animal caretakers.

[36 FR 24925, Dec. 24, 1971. Redesignated at 44 FR 36874, June 22, 1979, 

and amended at 44 FR 63492, Nov. 2, 1979]

§ 3.126 - Facilities, indoor.

(a) Ambient temperatures.

Animal Welfare Regulations, USDA § 3.126
230

PART 

Subpart E

Marine 

Mammals

(b) Ventilation.

(c) Lighting.

(d) Drainage.

§ 3.127 - Facilities, outdoor.

(a) Shelter from sunlight.

(b) Shelter from inclement weather.

(c) Drainage.

(d) Perimeter fence.

§ 3.127 9 CFR AWR (1-1-18 Edition)
231

PART 3

Subpart F

Other Species

having contact with the animals in the facility, and so that it can function as 

a secondary containment system for the animals in the facility. It must be 

of sufficient distance from the outside of the primary enclosure to prevent 

physical contact between animals inside the enclosure and animals or persons 

outside the perimeter fence. Such fences less than 3 feet in distance from 

the primary enclosure must be approved in writing by the Administrator. A 

perimeter fence is not required:

(1) Where the outside walls of the primary enclosure are made of 

(2) Where the outdoor housing facility is protected by an effective 

(3) Where appropriate alternative security measures are employed and 

(4) For traveling facilities where appropriate alternative security 

(5) Where the outdoor housing facility houses only domesticated farm-

[36 FR 24925, Dec. 24, 1971. Redesignated at 44 FR 36874, July 22, 1979, 

as amended at 64 FR 56147, Oct. 18, 1999; 65 FR 70770, Nov. 28, 2000]

§ 3.128 - Space requirements.

ANIMAL HEALTH AND HUSBANDRY STANDARDS

§ 3.129 - Feeding.

(a) The food shall be wholesome, palatable, and free from contamination 

Animal Welfare Regulations, USDA § 3.129
232

PART 3

Subpart F

Other Species

day except as dictated by hibernation, veterinary treatment, normal fasts, or 

other professionally accepted practices.

(b)

§ 3.130 - Watering.

 If potable water is not accessible to the animals at all times, it must be 

§ 3.131 - Sanitation.

(a) Cleaning of enclosures.

(b) Sanitation of enclosures.

(c) Housekeeping.

(d) Pest control.

§ 3.132 - Employees.

§ 3.130 9 CFR AWR (1-1-18 Edition)
233

PART 3

Subpart F

Other Species

forth in this subpart. Such practices shall be under a supervisor who has a 

background in animal care.

§ 3.133 - Separation.

 Animals housed in the same primary enclosure must be compatible. 

§§ 3.134-3.135 - [Reserved]

TRANSPORTATION STANDARDS

Source: Sections 3.136 through 3.142 appear at 42 FR 31569, June 21, 1977, 

unless otherwise noted. Redesignated at 44 FR 36874, July 22, 1979. 

§ 3.136 - Consignments to carriers and intermediate handlers.

(a) Carriers and intermediate handlers shall not accept any live animals 

(b) Any carrier or intermediate handler shall only accept for transportation 

Animal Welfare Regulations, USDA § 3.136
234

PART 3

Subpart F

Other Species

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) 

(4) The signature of the consignor, and date.

(c) Carriers or intermediate handlers whose facilities fail to meet the 

(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) 

(4) The signature of the USDA accredited veterinarian, assigned 

(d) Carriers and intermediate handlers shall attempt to notify the consignee 

[42 FR 31569, June 21, 1977, as amended at 43 FR 21166, May 16, 1978. 

Redesignated at 44 FR 36874, July 22, 1979, and amended at 44 FR 63493, 

Nov. 2, 1979]

§ 3.136 9 CFR AWR (1-1-18 Edition)
235

PART 3

Subpart F

Other Species

§ 3.137 - Primary enclosures used to transport live animals.

 No dealer, research facility, exhibitor, or operator of an auction sale 

(a) Primary enclosures, such as compartments, transport cages, cartons, or 

(b) Live animals transported in the same primary enclosure shall be of the 

(c) Primary enclosures used to transport live animals shall be large enough 

Animal Welfare Regulations, USDA § 3.137
236

PART 3

Subpart F

Other Species

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 

(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.

Documents accompanying the shipment shall be attached in an easily 

(g)

[42 FR 31569, June 21, 1977, as amended at 43 FR 21166, May 16, 1978. 

Redesignated at 44 FR 36874, July 22, 1979]

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

(a) The animal cargo space of primary conveyances used in transporting 

(b) The animal cargo space shall be constructed and maintained in a 

(c) No live animal shall be placed in an animal cargo space that does 

§ 3.138 9 CFR AWR (1-1-18 Edition)
237

PART 3

Subpart F

Other Species

(d) Primary enclosures shall be positioned in the primary conveyance in 

(e) The interior of the animal cargo space shall be kept clean.

Live animals shall not be transported with any material, substance 

§ 3.139 - Food and water requirements.

(a) All live animals shall be offered potable water within 4 hours prior 

(b) Each live animal shall be fed at least once in each 24 hour period, 

(c)

(d) Any dealer, research facility, exhibitor or operator of an auction 

(e) No carrier or intermediate handler shall accept any live animals for 

§ 3.140 - Care in transit.

(a) During surface transportation, it shall be the responsibility of the 

Animal Welfare Regulations, USDA § 3.140
238

PART 3

Subpart F

Other Species

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 

§ 3.141 - Terminal facilities.

 Carriers and intermediate handlers shall not commingle live animal 

§ 3.141 9 CFR AWR (1-1-18 Edition)
239

PART 3

Subpart F

Other Species

animal holding area shall not be allowed to fall below 7.2 °C. (45 °F.) nor be 

allowed to exceed 29.5 °C. (85 °F.) at any time: Provided, however, That no 

live animal shall be subjected to surrounding air temperatures which exceed 

23.9 °C. (75 °F.) for more than 4 hours at any time. To ascertain compliance 

with the provisions of this paragraph, the air temperature around any live 

animal shall be measured and read outside the primary enclosure which 

contains such animal at a distance not to exceed .91 meters (3 feet) from any 

one of the external walls of the primary enclosure and on a level parallel to 

the bottom of such primary enclosure at a point which approximates half the 

distance between the top and bottom of such primary enclosure.

[43 FR 56217, Dec. 1, 1978. Redesignated at 44 FR 36874, July 22, 1979]

§ 3.142 - Handling.

(a) Carriers and intermediate handlers shall move live animals from the 

(1) Shelter from sunlight.

(2) Shelter from rain or snow.

(3) Shelter from cold weather.

(b) Care shall be exercised to avoid handling of the primary enclosure in 

Animal Welfare Regulations, USDA § 3.142
240

PART 3

Subpart F

Other Species

(c) Primary enclosures used to transport any live animal shall not be 

[43 FR 21167, May 16, 1978, as amended at 43 FR 56217, Dec. 1, 1978. 

Redesignated at 44 FR 36874, July 22, 1979]

§ 3.142 9 CFR AWR (1-1-18 Edition)
241

PART 4

PART 4 – RULES OF PRACTICE GOVERNING PROCEEDINGS 

UNDER THE ANIMAL WELFARE ACT

Subpart A – General

§ 4.1 Scope and applicability of rules of practice.

Subpart B – Supplemental Rules of Practice

§ 4.10 Summary action.

§ 4.11 Stipulations.

Authority: 7 U.S.C. 2149 and 2151; 7 CFR 2.22, 2.80, and 371.7. 

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

Subpart A – General

§ 4.1 - Scope and applicability of rules of practice.

The Uniform Rules of Practice for the Department of Agriculture 

Subpart B – Supplemental Rules of Practice

§ 4.10 - Summary action.

(a) In any situation where the Administrator has reason to believe that 

(b) In any case of actual or threatened physical harm to animals in 

Animal Welfare Regulations, USDA § 4.10
242

PART 4

or written notification, whichever is earlier. In the event of oral notification, 

a written confirmation thereof shall be given to such person pursuant to § 

1.147(b) of the Uniform Rules of Practice (7 CFR 1.147(b)) as promptly as 

circumstances permit.

(c) The temporary suspension of a license shall be in addition to any 

§ 4.11 - Stipulations.

(a) At any time prior to the issuance of a complaint seeking a civil 

(1) The Administrator gives notice of an apparent violation of the Act, 

(2)

(3)

(b)

§ 4.11 9 CFR AWR (1-1-18 Edition)
243

PART 4 INDEX

INDEX

A

access, 93–94

acclimation (see also temperature) 97, 113, 114, 115, 

116, 126, 135, 144, 148, 159, 162, 164, 170, 

180–181, 189, 195, 222, 228, 230, 234, 239

cats and dogs, 115, 135

hamsters, 144, 148

rabbits, 162, 164

nonhuman primates, 170, 189

marine mammals, 228

AC Regional Directors, 31, 43, 47, 50–51, 53–56, 65, 

67, 69, 71, 80, 93

activity, definition of, 31

administration, 17–18

administrative units, 13, 31, 56

administrators, 31

age requirements, 15–16, 22, 43, 96

cats and dogs, 96, 97, 99, 103–105, 119–120, 121, 

123, 129–131

hamsters, 139, 147

guinea pigs, 139–140

rabbits, 154

nonhuman primates, 173–175, 185

polar bears, 208

aggressive behavior, 119–120, 121, 129, 169, 170, 175, 

207, 208

alternatives

annual report, 66

pain or distress, 12, 58

principal investigators, 11–12, 58, 66

training, 62

ambient temperature, 31, 113, 114, 115, 194, 229

ammonia, 113, 114, 117, 168, 171

animal acts, 34, 93

cats and dogs, 119–120

definition of, 32

handling, 96–97

nonhuman primates, 170–172

traveling shows, 119–120

See also exhibitions

animal fighting, 22–25

animals

cats, 32, 111–135

definition of, 6, 31–32

dogs, 33, 111–135

endangered species, 34

exotic animals, 34, 38, 43–44, 96

guinea pigs, 137–151

hamsters, 137–151

nonhuman primates, 165–189

other animals, 229–240

rabbits, 153–164

warm-blooded animals, 38, 229–240

wild animals, 43–44, 57, 96, 184, 224, 236, 238

animal shelters. See shelters and pounds

Animal Welfare Act (AWA), 5–28

act, definition of, 31

definitions in, 5–7

Rules of Practice governing proceedings, 

241–242

Animal Welfare Information Center, 58

annual reports

licensing, 47, 50

research facilities, 55, 65–66

APHIS officials, 32, 47, 53, 56, 67–68, 70, 71, 80, 92, 

93, 95, 219, 220

appeals, 15, 20

appropriations, 21

attending veterinarians, 10, 32, 33, 58, 59, 62–63, 75

cats and dogs, 113, 114, 115, 118–119, 121, 122, 123, 

125–126,

nonhuman primates, 166–168, 170, 171, 174, 

175–176, 177, 180

marine mammals, 191, 196, 210, 212, 213–214, 

215, 216, 217, 219, 220, 221, 222, 225, 

226, 232

auction sales, 8–10, 32, 36, 37, 48, 49–50, 77, 85–86, 

87, 89, 91, 93

authority

APHIS officials, 32, 47

attending veterinarian, 32, 62, 75

governmental bodies, 10, 16–17

law enforcement, 18, 23, 67, 95

research facilities, 55, 60

Secretary (Secretary of Agriculture), 10–18, 28

authorization, 21

B

barriers

physical, 96, 169–172, 192, 196, 231

visual, 192, 208

bedding, 111–116, 124, 137, 138, 141, 153, 165–167, 

178–179, 229

breeders. See Class “A” licensees (breeders)

brokers. See Class “B” licensees (brokers)

buffer areas, 32, 38, 40, 215, 216

business hours, 32, 46, 67, 71, 92, 93–94, 95

business years, 32, 48, 50

C

caging. See housing

care. See handling; housing; humane standards; 

transportation; veterinary care

caretakers. See employees

cargo space, 130–131, 132, 147, 148–149, 160, 161–162, 

184–185, 186, 224–225, 236–237, 238

carriers

definition of, 7, 32

recordkeeping, 9–10, 86–87

registration, 8
244

INDEX

transportation standards, 125–127, 143–144, 

158–159, 179–181, 221–222, 233–234

See also transportation

cats, 111–135

definition of, 32

facilities and operating standards, 111–120

health and husbandry standards, 120–125

identification, 10, 69–70

procurement of animals, 8, 9, 97–98

transportation standards, 125–135

certifications

health certifications, 70, 87–88, 104

humane standards, 10–16

inspections, 13

protection of pets, 25–26, 27, 64, 98–99

transportation standards, 125–127, 180–181, 185

veterinary certificate, 15

cetaceans. See marine mammals

Class “A” licensees (breeders), 32, 48–49, 77

Class “B” licensees (brokers), 32–33, 48–49, 77–78, 97

Class “C” licensees (exhibitors), 33, 49–50, 78–79

See also exhibitors

cleaning and sanitization

housekeeping, 123–124, 142, 157, 178–179, 212, 232

litter, 118, 119, 128, 147, 154, 156, 160, 182, 236

pest control, 112–113, 116, 123, 124, 133, 137, 142, 

149–150, 153, 157, 163, 166–167, 

177, 178–179, 187, 193–194, 212, 227, 

229, 232, 238

primary enclosures, 123–124, 128, 133, 142, 

156–157, 178, 183, 211–212, 232

sanitization, 123–124, 166, 178–179, 232

surfaces, 21, 111–112, 115, 165–166

terminal facilities, 133, 187

collars, 69, 77–78

See also identification

commerce

definition in Animal Welfare Act, 5

definition in Regulations, 33

See also transportation

Committees

definition of, 7, 33

Federal research facilities, 14

research facilities, 12–14

See also Institutional Animal Care and Use 

Committee (IACUC)

compatible groups, 118–121, 129, 142, 145, 157, 160, 

175, 183–184, 213, 224, 233, 235

confidential information, 12, 25–26, 65

confiscation, 17, 68, 95–96

Congressional statement of policy, 5

construction, 111, 116, 127–128, 137, 153, 165, 182–183, 

191, 192–193, 229

consultations, 11, 16–17, 57, 58, 60, 62, 75, 77, 122,

201, 213, 216, 217, 219

contingency planning, 71–72, 92, 100–101, 193

cooling, 112, 113–114, 116, 133–134, 137, 153–154, 

166–168, 171, 188, 194, 225, 229

cooperation and consultation, 16–17

D

daily observation, 63, 75

dead animals, 112–113, 137, 153, 167, 194, 229

dealers

Class “A” licensees, 32, 48–50, 77

Class “B” licensees, 32–33, 48–49, 77–78, 97

definition of, 6, 33

licensing, 7–8, 43–44, 49–50

procurement of animals, 97–98

recordkeeping, 9–10, 17, 27, 83–85, 89

retail pet stores, 33, 38, 43, 48, 50

definitions

in Animal Welfare Act, 5–7

in Regulations, 31–40

departments, definition of, 33

deprivation of food or water, 68, 96

See also food and water requirements

Deputy Administrators, 33

destruction of animals, 11, 34, 59, 68, 70, 80, 91, 95–96

See also euthanasia

diet and nutrition. See feeding; food and water 

requirements

disaster plans. See contingency planning; 

emergencies

disposal facilities, 112, 137, 153, 167, 194, 229

disposal of animals, 8, 17, 68–70, 78, 85, 95–96

disposal of waste, 112–113, 137, 153, 167, 194, 229

diurnal lighting cycle, 114, 115, 117, 168, 169, 172

dogs, 111–135

definition of, 33

exercise for, 121–122

facilities and operating standards, 111–120

health and husbandry standards, 120–125

identification, 69–70

importation of live dogs, 18–19, 103–106

procurement of animals, 97–98

transportation standards, 125–135

dolphins. See marine mammals; swim-with-thedolphin (SWTD) programs

drainage, 112–113, 154, 167, 193, 224, 230

drinking needs. See water

dwarf hamsters, 34, 139, 140, 146–147

E

effective dates, 21–22, 40, 73, 101, 194, 220

electric power, 112, 137, 153, 166, 193, 229

emergencies, 62, 71–72, 75, 94, 100–101, 127, 131, 145, 

148, 159, 161, 182, 185, 191, 193, 223, 225, 

235, 237–238 

employees, 51, 72, 96, 101, 125, 142, 157, 179, 192, 210, 

212–213, 216, 226–227, 232–233

endangered species, 34, 35

enforcement

importation of live dogs, 19

protection of pets, 27, 67, 95

by Secretary, 17–18

environmental enhancements

marine mammals, 194
245

PART 4 INDEX

nonhuman primates, 175–177

environmental enrichment, 175–176

exemptions, 176–177

plans for, 175

psychological well-being, 10, 175

restraint devices, 176

social grouping, 175

special considerations, 176

euthanasia, 11, 34, 59, 61, 64, 68, 70, 75, 80, 83, 91, 

95–96

exemptions, 6, 8, 9, 38, 43–44, 58, 87, 91, 122, 174, 

176–177, 193, 211

exercise for dogs, 121–122

exemptions, 122

housed individually, 121

housed in groups, 121

method and duration, 121–122

exhibitions

animal acts, 32, 34, 93, 96, 119–120, 170, 171–172, 

208

animal fighting, 22–25

attending veterinarian and care, 10, 32, 75

public barriers, 96, 169–172, 192

public contact, 169–172, 195–196, 218, 231

public feeding, 97, 210

public handling, 96–97

traveling shows, 119–120

exhibitors

Class “C” licensees, 33, 49–50, 77–78

definition of, 6–7, 34

licensing, 7–8, 43, 49–50, 79, 83–85, 89, 93, 

210, 211, 212, 214, 215, 218–222

procurement of animals, 97–98

recordkeeping, 9–10

registration, 8

exotic animals, 33, 34, 37, 38, 43–44, 96

F

facilities. See housing; research facilities

farm animals, 6, 31, 34, 35, 38, 231

Federal agencies

authority of, 16–17

definition of, 7, 34

investigation of violations, 23

suspension of support, 15

Federal awards, 7, 34–35

Federal research facilities, 66–67

Committees, 14

definition of, 7, 35

exercise for dogs, 121

food and water requirements (dogs/cats), 

131–132

health certification, 70

housing facilities, general (dogs/cats), 111

minimum space requirements (nonhuman 

primates), 174

nonhuman primates, 165, 185, 186

transportation by air (dogs/cats), 129

transportation by surface vehicle or privately 

owned aircraft (dogs/cats), 130

See also research facilities

feeding

cats and dogs, 123

C.O.D. shipments, 88

consignments to carriers and intermediate 

handlers, 125, 127, 180

deprivation of food or water, 68, 96

guinea pigs, 141

hamsters, 141

handling, 35

IACUC review of activities involving animals, 59

marine mammals, 209–210

nonhuman primates, 175 (discussed as 

method of enrichment), 177

other animals, 231–232

prohibition of C.O.D. arrangements, 16

promulgation of standards, 10

public feeding, 97, 210

rabbits, 156

records: carriers and intermediate handlers, 86

swim-with-the-dolphin (SWTD) program, 39

fees, 21, 45, 47–48, 50, 52

fences, 169, 170–171, 192, 195–196, 207–208, 230–231

field study(ies), 35, 58

fighting, animal, 22–25

floor(s), 35, 112, 113–116, 117–118, 123, 128, 138, 147, 

154, 156, 160, 165–166, 173, 178, 182, 183, 

223–224, 227, 236

floor space, 118–120, 121–122, 139–140, 154–156, 

173–174

food and water requirements

cats and dogs, 123, 131–132

guinea pigs, 141–142, 148–149

hamsters, 141–142, 148–149

marine mammals, 209–210, 225

nonhuman primates, 177–178, 185–186

other animals, 231–232, 237

rabbits, 156, 162

food preparation, 112, 113, 167, 194, 210, 212

food storage, 111–113, 137, 153, 165–167, 193–194, 210, 

212, 229

G

governing proceedings, 241–242

governmental bodies, 16–17

guinea pigs, 6, 31, 37, 38, 137–151

facilities and operating standards, 137–141

health and husbandry standards, 141–143

transportation standards, 143–151

H

hamsters, 6, 31, 37, 38, 137–151

dwarf hamsters, 34, 139, 140, 146–147

facilities and operating standards, 137–141

health and husbandry standards, 141–143

transportation standards, 143–151
246

INDEX

handling, 5, 9, 10, 53–54, 55–56, 59, 63

cats and dogs, 134–135

contingency planning, 71–72, 100–101

definition of, 35

deprivation of food or water, 68, 96

exhibition

performing animals, 96

public barriers, 169–172

public contact, 169–172

public feeding, 97, 210

public handling, 96

exotic animals, 96

guinea pigs, 150–151

hamsters, 150–151

humane standards, 10–16, 39, 96–97

marine mammals, 228

nonhuman primates, 188–189

other animals, 239–240

physical abuse, 68, 96

rabbits, 163–164

shelter, 150–151, 188–189

swim-with-the-dolphin (SWTD) programs, 

217–218

training, 14, 61–62, 96

wild animals, 96

health certificate, 70, 87, 104–105, 221, 226

health certifications, 70, 87–88, 104

heating, 112, 113, 114, 116, 133–134, 137, 153, 166, 167, 

168, 171, 188, 194, 229

certification for random source dogs and 

cats, 98

holding period

compliance with standards, 91–92

holding facility, 92

protection of pets, 26

research facilities, 71

housekeeping, 114, 115, 117, 123–124, 142, 157, 168, 169, 

172, 178–179, 212, 232

housing

ambient temperature, 31, 194, 229

cats and dogs, 111–120

cleaning, 35, 111–112, 123–124, 128, 133, 142, 

156–157, 166, 178, 183, 211–212

construction, 111, 116, 127–128, 137, 153, 165, 

182–183, 191, 192–193, 229

definition of, 35

drainage, 112–113, 154, 167, 193, 224, 230

electric power, 112, 137, 153, 166, 193, 229

environmental enhancements, 165, 175–177, 194

general requirements, 111–113, 117, 137, 153, 

165–167, 192–194, 229

guinea pigs, 137–141

hamsters, 137–141

heating and cooling, 113–114, 116, 133–134, 137, 

153, 167–168, 171, 188, 194, 229

humidity, 97, 113, 114, 116, 131, 168, 170

indoor facilities, 113–114, 153–154, 167–168, 

229–230

ambient temperature, 194, 229

drainage, 230

interior surfaces, 114, 138, 154

lighting, 114, 137–138, 153, 168, 194–195, 230

temperature, 113, 137, 153, 167, 194, 229

ventilation, 113, 137, 153, 167–168, 194, 230

marine mammals, 191–209

mobile or traveling facilities, 116–117, 171–172

heating, cooling and temperature, 116, 171

lighting, 117, 171–172

public barriers, 172

ventilation, 116–117, 171

nonhuman primates, 165–177

outdoor facilities, 115–116, 138, 154, 170–171, 

195–196, 230–231

acclimation, 170

capacity: multiple shelters, 170

drainage, 154, 230

environmental temperature, 195

perimeter fences, 170–171, 195–196, 230–231

public barriers, 171

restrictions, 115

shelter from elements, 115–116, 154, 170, 

195, 230

pens and runs, 39, 121–124, 232

pest control, 112–113, 116, 124, 133, 137, 142, 

149–150, 153, 157, 163, 166–167, 179, 

187, 193–194, 212, 229, 232, 238

primary enclosures, 117–120, 138–141, 154–156, 

172–174

rabbits, 153–156

runs and pens, 39, 121–124, 232

sanitization, 111–112, 123–124, 128, 142, 156–157, 

166, 178, 183, 211–212

sheltered facilities, 114–115, 168–170

capacity: multiple shelters, 169

lighting, 114–115, 169

perimeter fences, 169

public barriers, 169–170

shelter from elements element, 115, 169

temperature, 114, 168

ventilation, 114, 168

storage, 112–113, 137, 153, 166–167, 193, 229

structures, 111, 127–128, 137, 153, 165, 182–183, 

192–193, 229

surfaces, 21, 111–112, 114–116, 119, 138, 154, 165–166

temperature, 113–114, 116, 133–134, 137, 153, 

167–168, 171, 188, 194, 229

ventilation, 10, 113–114, 116–117, 128–129, 137, 153, 

167–168, 171, 194, 230

vermin, 112–113, 116, 124, 133, 137, 149–150, 153, 163, 

166–167, 179, 187, 193–194, 229, 238

washrooms, 113, 137, 153, 167, 194, 229

waste disposal, 112–113, 137, 153, 167, 194, 229

water, 112, 117, 123, 137, 153, 166, 193, 229

humane societies, 26, 98

humane standards

handling and care, 1, 5, 10–15, 16–17, 34, 54, 

61, 71, 77, 96–97, 100, 137, 153, 165, 

191, 229
247

PART 4 INDEX

shelter, 10

transportation, 10–16

See also specific topics

humidity, 35, 97, 113, 114, 116, 131, 168, 170

hybrid crosses, 32, 33, 35

I

IACUC. See Institutional Animal Care and Use 

Committee

identification, 71, 77–80, 94

cats and dogs, 26, 64, 69–70, 83, 86, 99

marine mammals, 214, 218, 220

markings, 10, 26, 64, 83,86

microchips, 27

tags

disposal of, 80

lost tags, 80

obtaining, 80

official tags, 64, 79–80

use of, 80

tattoos, 64, 69, 77–79, 83, 86

time and method of identification, 77–79

impervious surfaces, 35, 114–116, 119, 138, 154

importation of live dogs, 18–19, 103–106

certifications, 104–105

dogs refused entry, 106

import permit, 103

notification of arrival, 106

importers, 18, 19

indoor housing facilities

ambient temperature, 194, 229

cats and dogs, 113–114

definition of, 35

drainage, 230

guinea pigs, 137–138

hamsters, 137–138

interior surfaces, 114, 138, 154

lighting, 114, 137–138, 153, 168, 194–195, 230

marine mammals, 194

nonhuman primates, 167–168

other animals, 229–230

rabbits, 153–154

temperature, 113, 137, 153, 167, 194, 229

ventilation, 113, 137, 153, 167–168, 194, 230

infectious disease, 15, 70, 87, 104, 143, 157, 175, 

213–214, 232

information services, 14, 58, 62

initial license, 45, 47–49, 51–52

injunctions, 28

inspections for missing animals 

access, 93–94

law enforcement, 18, 23, 67, 95

missing animals, 67–68, 95

procedures for, 17–18

records and property, 67, 93–94

inspectors, 14, 17, 36, 65, 215

Institutional Animal Care and Use Committee 

(IACUC), 7, 11–13, 33, 56–61, 63, 66, 68, 71, 

105, 120, 121–122, 140–141, 156, 174, 176, 178

definition of, 7, 33

IACUC functions, 57–58

deficiencies, 13–14, 62

minority views, 13, 57, 63

reviews, 58–61

membership, 12–14, 56, 62

release of trade secrets, 25

training, 14

Institutional Officials, 36, 57–58, 60, 63, 65, 71

interactive areas, 32, 35, 40, 215, 216

interactive sessions, 35, 36, 40, 216–219, 220

interior surfaces, 111, 114, 138, 154

See also surfaces

intermediate handlers, 9, 11, 15–16, 17, 20, 22, 28, 31, 

39, 53–55, 64, 70, 83, 86–87, 88–89, 91, 

92, 93, 95, 96, 97, 100–101

C.O.D. Shipments, 88–89

definition of, 7, 36, 37

recordkeeping, 9–10, 86–87

records, 86–87, 89

registration, 8, 53–54

transportation standards, 125–127, 143–144, 

157–158, 179–181, 221–222, 233–234

isolation, 36, 196, 213, 214

itineraries, 93–94

K

kittens, 69, 77, 78, 118–119, 121, 129–130, 131

L

law enforcement, 18, 23, 37, 67, 95

licensed veterinarians, 36, 70, 87–88, 104–105, 226

licensees

definition of, 36

violations by, 19–21

licensing, 7–8, 43–52

age requirements, 43

annual report, 47, 50

compliance, 46–47

dealers, 7–8, 49–50

denial of initial license, 51–52

duration, 47

exhibitors, 7–8, 49–50

fees, 47–50

initial license, 45–52

non-interference, 47

ownership, 43–44, 51, 52

regulations and standards, 45–46

renewal, 45–46

requirements, 43–45

suspended or revoked licenses, 47, 51

termination, 47, 52

lighting

diurnal lighting cycle, 114, 115, 117, 168, 169, 172

indoor housing facilities, 114, 137–138, 153, 168, 

194–195, 230

mobile or traveling housing facilities, 117, 

171–172

sheltered housing facilities, 114–115, 169
248

INDEX

litter (as in litter pan), 118, 119, 128, 147, 154, 156, 160,

182, 236

litter (as in animals), 120, 121, 130, 139, 140, 154–155

live animals, 235–236

living conditions. See housing

local government, 16–17

M

maintenance, 111–112, 166

See also cleaning and sanitization; housing

major operative procedures, 11, 36, 59

marine mammals

facilities and operating standards, 191–209

health and husbandry standards, 209–220

space requirements, 196–209

special considerations for, 191–192

transportation standards, 221–228

marking and labeling, 10, 184

medical care. See veterinary care

minimum age requirements, 15–16, 22, 43, 96

minimum horizontal dimension (MHD), 36, 197–199

203–208, 215

, 

minimum space. See space requirements

missing animals, 67–68, 95

mobile or traveling animal acts, 119–120

mobile or traveling housing facilities

cats and dogs, 116–117

definition of, 36

lighting, 117, 171–172

nonhuman primates, 171–172

public barriers, 172

temperature, 116, 171

ventilation, 116–117, 171

N

National Agricultural Library, 14, 62

non-conditioned animals, 36, 118, 120

nonhuman primates, 38, 87, 165–189

definition of, 36

environmental enhancements, 175–177

facilities and operating standards, 165–177

health and husbandry standards, 177–179

transportation standards, 179–181

O

operators of auction sales, 8, 9, 10, 18, 22, 36, 39, 

83–84, 85–86, 87, 89, 91, 93, 143, 148, 

158, 167, 221, 222, 233, 235, 237

other animals, 15, 70, 87, 97, 104, 111, 117, 137, 153, 165, 

169, 170, 185, 187, 213, 229–240

facilities and operating standards, 229–231

health and husbandry standards, 231–233

transportation standards, 233–240

outdoor housing facilities

acclimation, 170

cats and dogs, 115–116

definition of, 37

drainage, 154, 230

environmental temperature, 195

guinea pigs, 138

hamsters, 138

marine mammals, 195–196

nonhuman primates, 170–171

other animals, 230–231

perimeter fences, 170–171, 195–196, 230–231

public barriers, 171

rabbits, 154

restrictions, 115

shelter from elements, 115–116, 154, 170, 195, 230

P

painful procedures, 37, 66

paralytic drugs, 11, 37, 58

penalties, 17–21, 25

pens, 37, 39, 121–122, 124, 232

performing animals. See animal acts

perimeter fences, 169, 170–171, 195–196, 230–231

person, definition of, 5, 37

pest control, 112–113, 116, 123, 124, 133, 137, 142, 

149–150, 153, 157, 163, 166–167, 177, 178, 

179, 187, 193–194, 212, 229, 232, 238

pet animals

definition of, 37

protection of pets, 5, 26–27, 98

retail pet stores, 33, 38, 43, 44, 48, 50

physical abuse, 68, 96

pinnipeds. See marine mammals

polar bears. See marine mammals

positive physical contact, 37, 122

pounds. See shelters and pounds

power supplies, 112, 137, 153, 166, 193, 229

primary conveyances, 130–131, 147–148, 150, 158, 

160–163, 179, 183–185, 188–189, 221, 

224–225, 228, 233, 236–239

primary enclosures

cats and dogs, 117–120, 127–130

cleaning and sanitization, 123–124, 128, 142, 

156–157, 183, 211–212

compatible groups, 120, 129, 183–184

construction, 127–128, 182–183

definition of, 37

guinea pigs, 138–141

hamsters, 138–141

marine mammals, 222–224

nonhuman primates, 172–174, 182–184

rabbits, 154–156, 159–161

space requirements, 129, 154–156, 184

for transport, 127–130, 145–147, 159–161, 

182–184, 222–224, 235–236

traveling shows, 119–120

ventilation, 10, 128–129, 183

primates. See nonhuman primates

principal agents, 9

principal investigators, 11–12, 37, 58–60, 66, 122

procurement of animals, 97–98

protection of pets, 26–27

See pet animals
249

PART 4 INDEX

psychological well-being, 10, 175

See also environmental enhancements

publication of names, 67, 94

public barriers, 169–172

public exhibitions. See animal acts; exhibitions

public feeding, 97, 210

puppies, 18, 69, 77, 78, 119–120, 121, 129–130, 131

purchase of animals, 8–9

See also auction sales; dealers; retail pet stores

Q

quorums, 7, 13, 37, 60

R

rabbits, 34, 37, 38, 153–164

facilities and operating standards, 153–156

feeding and watering, 156

health and husbandry standards, 156–157

transportation standards, 157–164

rabies vaccination certificate, 104–105

random source cats or dogs, 26, 37, 97, 98–100

recordkeeping

auction sales, 10

carriers and intermediate handlers, 9–10

dealers, 9–10

exhibitors, 9–10

intermediate handlers, 9–10

primary enclosures for transport, 184

procurement of animals, 97–98

protection of pets, 27

research facilities, 9–10, 63–65, 67

swim-with-the-dolphin (SWTD) programs, 

218–219

records, 83–89, 93–94

auction sales and brokers, 85–86

carriers and intermediate handlers, 86–87

C.O.D. shipments, 88–89

dealers and exhibitors, 83–85

disposition of, 89

health certification and identification, 87–88

registrants, 1, 37, 53–54, 68, 72, 95, 97, 100–101, 144, 

158, 222, 234

registration

acknowledgment, 53

change of operation, 53–54

procedures, 53

requirements, 53

research facilities, 8, 55–56

relative humidity, 113, 168

resale, 18–19, 32, 103, 104–105

research facilities, 5, 55–74

age of animals, 15–16

annual report, 65–66

attending veterinarians, 32, 62–63, 75, 216

Committees, 12–14, 56–61

compliance with standards, 71

confiscation or destruction of animals, 68

contingency planning, 71–72, 100–101

definition of, 6–7, 31–39

Federal research facilities, 7, 14, 35, 66–67, 111, 

121, 130, 131, 165, 174, 185

health certification, 70, 87–88, 104

holding of animals, 71

Institutional Animal Care and Use Committee 

(IACUC), 33, 56–61, 141, 156

IACUC functions, 7, 11–13, 57–58

deficiencies, 13–14

minority views, 13, 57, 63

reviews, 58–61

membership, 56

training, 14

missing animals, 67–68, 95

personnel qualifications, 14, 58–63, 72, 101

publication of names, 67

recordkeeping, 9–10, 63–65

records, 67

registration, 8, 55–56

resting surfaces, 119

retail pet stores, 6, 33, 34, 38, 43, 48, 50

rules and regulations, 21

Rules of Practice, 52, 84, 241–242

runs, 39, 121–122, 123–124, 232

rust, 111, 166

S

sanctuary areas, 38, 40, 215–217

sanitization

definition of, 38

See also cleaning and sanitization; housing

sea otters. See marine mammals

Secretary (Secretary of Agriculture)

administration by, 6–24, 26–28, 32, 45–47, 

50–54

carrier, handler, 53

cooperation with agencies, 14, 16–17

dealers, exhibitors, handlers, 6–10, 15, 34, 

70, 87

definition of, 5, 38

humane standards, 10–16

importation, 19

information service, 14

inspections, 17, 18

licensing, 242

recordkeeping, 9–10

research, 6, 8, 12–16, 55–56, 70

separability, 21

separation, 10, 36, 142–143, 157, 196, 213–214, 233

shade, 116, 117, 134, 150, 154, 163, 172, 188, 208, 228, 

230, 239

sharp points or edges, 23, 77, 111, 117, 127, 166, 172, 

182, 212

sheltered housing facilities

capacity: multiple shelters, 169, 170–171

cats and dogs, 114–116

definition of, 39

lighting, 114–115, 169

nonhuman primates, 168–170

perimeter fences, 169, 170, 195–196, 230–231
250

INDEX

public barriers, 169–170, 171–172

shelter from elements, 39, 115, 129, 169, 170, 185

temperature, 114, 168

ventilation, 112, 114

shelter from elements, 10, 150–151, 163–164, 

188–189, 228, 239–240

outdoor housing facilities, 115–116, 154, 170, 

195, 230

sheltered housing facilities, 115, 169

terminal facilities, 133–134, 149, 163, 187–188, 

227, 238

shelters and pounds

definition of, 37

procurement of animals, 97–98

protection of pets, 26–27

random source cats and dogs, 26, 37, 97, 

98–100

space requirements

cargo space, 130–132, 147–149, 160–162, 184–186, 

224–225, 236–238

cats and dogs, 118–120, 129

guinea pigs, 138–141

hamsters, 138–141

marine mammals, 192, 196–209

adult length, 197–209, 215, 224

minimum horizontal dimension (MHD), 

36, 197–199, 203–208, 215

minimum required depth, 198–199, 

203–208

minimum surface area, 204–209

pool volume, 198–199, 203–204, 209

separated, 213–214

nonhuman primates, 173–174, 184

other animals, 231

primary enclosures, 129, 154–156, 184

rabbits, 154–156

swim-with-the-dolphin (SWTD) programs, 

215–216

special considerations, 176, 191–192

standards, definition of, 39

state, definition of, 6, 39

state government, 16–17

stipulations, 242

stolen animals, 5, 28, 71, 81

storage, 16, 86, 88, 112–113, 137, 153, 166–167, 193, 194,

210, 212, 229

study areas, 13, 37, 39, 57

summary actions, 241

surfaces, 21, 111–112, 114–119, 124, 142, 165–166, 173, 

178, 179, 211, 212, 232

impervious surfaces, 35, 114–116, 119, 124, 138, 

154, 157

interior surfaces, 114, 138, 142, 145, 154

resting surfaces, 119

swim-with-the-dolphin (SWTD) programs, 

215–220

definition of, 36, 39

employees and attendants, 216

handling, 217–218

program animals, 216

recordkeeping, 218–219

space requirements, 215–216

veterinary care, 219–220

water clarity, 216, 220

T

tattoos, 64, 69, 77–79, 83, 86

See also identification

temperature, 10–11, 35, 37, 39, 97, 113, 114, 115, 116, 117, 

126, 133, 134–135, 144, 150, 153, 158, 161, 

162, 163–164, 167, 168, 171–172, 180–181, 

188–189, 195, 210, 222, 223, 225, 227, 228, 

229, 234, 238, 239

acclimate 97, 113–116, 126, 135, 144, 148, 159, 162, 

164, 170, 180, 181, 189, 195, 222, 228, 

230, 234,239

air and water, 113–114, 116, 137, 150, 153, 154, 159, 

163, 167–168, 171, 181, 194, 222, 228, 

229, 238, 239

ambient temperature, 31, 113, 116–117, 131, 132, 

133, 134, 137, 148, 149, 153, 158, 161, 

162, 164, 167–168, 170, 171, 185, 186, 

187–189, 194, 227–228, 229, 238, 

194, 229

environmental temperature, 195, 225

humidity, 97, 113, 114, 116, 168, 170

terminal facilities, 126, 149–150, 163, 187–188, 

227–228, 238–239

cleaning and sanitization, 133, 187

duration, 134, 188

placement, 133, 187

shelter from elements, 133–134, 188

temperature, 133–134, 188

ventilation, 133, 187

tethering, 77, 120

trade secrets, 12, 25–26, 65

training for animals

animal fighting, 23

marine mammals, 212–213, 216–217

nonhuman primates, 169, 170, 171, 172

trainers/behaviorists, 216–217

See also handling

training for employees

annual reports, 65–66

handling, 96

marine mammals, 196, 212–213, 214, 216, 218

personnel qualifications, 14, 32, 56, 58, 61–62

research facilities, 14, 61–62, 72, 100–101

swim-with-the-dolphin (SWTD) programs, 216

transportation

air or aircraft, 129–130, 131, 132, 186–187

animal fighting, 23

care in transit, 131–132, 149, 162–163, 186–187, 

226–227, 237–238

cargo space, 130–131, 148–149, 161–162, 184–185, 

224–225, 236–237
251

PART 4 INDEX

carriers and intermediate handlers, 36, 43, 64, 

83, 87, 88, 125–127, 132, 143–144, 

158–159, 179–181, 221–222, 233–234

cats and dogs, 83, 111, 125–135, 182–184

commerce 5, 6–7, 8, 10, 44

food and water requirements, 131–132, 141, 

148–149, 162, 185–186, 225, 237

guinea pigs, 137, 143–151

hamsters, 143–151

health certification, 87

humane standards, 5, 10, 11, 12–16, 17, 71, 78, 81, 

88, 91, 96, 100

licensing and certifications, 44, 51, 52, 70

marine mammals, 221–228

nonhuman primates, 165–186

other animals, 233–240

primary conveyances, 37, 130–131, 148–149, 

161–162, 184–185, 224–225, 236–237

primary enclosures for, 127–130, 145–147, 159–

161, 182–184, 222–224, 235–236

rabbits, 153–164

recordkeeping, 64, 79

surface transportation, 130–131, 132, 186

terminal facilities, 149–150, 163, 187–188, 227–

228, 238–239

transporting devices

definition of, 39

shelter from cold temperatures, 134, 150, 164, 

180, 188, 223, 239

transporting vehicles, 39, 130–131, 148–149, 161–162, 

184–185, 224–225, 236–237

traveling housing facilities. See mobile or traveling 

housing facilities

U

United States Court of Appeals, 20

United States Government, 9, 16–17

V

ventilation

auxiliary 113, 114, 117, 131, 133, 148, 150, 153, 161, 

163, 168, 171, 187, 227, 238

indoor housing facilities, 113, 137, 153, 166–168, 

194, 230

mobile or traveling housing facilities, 116–117, 

131, 171, 223, 224, 235–236

primary enclosures, 10, 128–129, 145, 147–148, 

159–161, 182, 183, 235, 236, 238

sheltered housing facilities, 114, 168

terminal facilities, 133, 163, 187, 227, 238

vermin, 112–113, 116, 124, 133, 137, 149–150, 153, 163, 

166–167, 179, 187, 193–194, 229, 238

See Pest Control

veterinary care, 10–11, 19, 62, 72, 75, 100, 105–106, 

123, 132–133, 141, 149, 156, 162, 177, 

186–187, 213, 219, 226, 238

daily observation, 62, 63, 75

importation of live dogs, 103–106

licensed veterinarians, 36, 70, 87–88, 104–105, 

226

major operative procedures, 11, 36, 59

marine mammals, 213–215

swim-with-the-dolphin (SWTD) programs, 

219–220

veterinary or health certificates, 15, 64, 70, 84, 

87–88, 104–105, 126, 159, 180, 221–222, 

226, 234

violations

by licensees, 13, 18, 19–21, 28, 51–52

penalties for, 17–21, 24–26

protection of pets, 27

research, 62, 65

state law, 23

W

washrooms, 113, 137, 153, 167, 194, 229

waste disposal, 112–113, 137, 153, 167, 194, 229

water

deprivation of food or water, 68, 96

potable water, 112, 123, 131–132, 137, 141–142, 153, 

156, 166, 177–178, 185–186, 225, 229, 

232, 237

requirements

cats and dogs, 123

guinea pigs, 141–142

hamsters, 141–142

nonhuman primates, 177–178

other animals, 232

rabbits, 156

in transport, 131–132, 148–149, 162, 185–186, 

225, 237

sanitization, 111–112, 123–124, 128, 142, 156–157, 

166, 183, 194, 195, 211–212

standing water, 113, 123, 167, 210

water quality (marine mammals), 193, 211–212, 220

weaned, 39, 69, 78, 96, 118–119, 130, 139–140, 142, 

147, 155, 226

wild or exotic animals, 33–35, 37–38, 43–44, 57, 96, 

104, 184, 224, 236, 238

wild state, 39

Z

zoos

definition of, 39

See also exhibitions
United States 

Department of 

Agriculture