USDA Animal Care

United States 

Department of 

Agriculture

Animal Welfare Act AND

Animal Welfare Regulations

Animal and Plant Health Inspection Service

APHIS 41-35-076
In accordance with Federal civil rights law and U.S. 

Department of Agriculture (USDA) civil rights regulations and 

policies, the USDA, its Agencies, 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-usda-customer) 

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 January 2017
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Table of 

Contents

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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Table of 

Contents § 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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Contents § 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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Table of 

Contents 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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Table of 

Contents 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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Contents § 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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Table of 

Contents § 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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Table of 

Contents Subpart D – Specifications for the Humane Handling, 

Care, Treatment, and Transportation of Nonhuman Primates

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

§ 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

§ 3.81 Environment enhancement to promote 

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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Contents § 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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Table of 

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, click “PLACE YOUR ORDER HERE,” and then choose 

“ANIMAL WELFARE” in the dropdown box. Click “Search This View,” 

and then type “Animal Welfare Act and Animal Welfare Regulations” in the 

Keyword box. Click “Perform Search,” and then click on the AC-AWA&R 

link. Type the quantity you are requesting, and then click “Add to Cart.” 

When ready, click “View Cart,” and fill out the contact and shipping 

information on the order form. Once all is completed, click “Submit Order.” 

If you do not have access to the Internet, you may call APHIS’ 

Publication and Distribution Management office to order copies 

at (301) 851-2633.

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, 2017

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.

3
4
5

AWA

ANIMAL WELFARE ACT

§ 2131 - Congressional statement of policy

The Congress finds that animals and activities which are regulated under 

this chapter are either in interstate or foreign commerce or substantially affect 

such commerce or the free flow thereof, and that regulation of animals and 

activities as provided in this chapter is necessary to prevent and eliminate 

burdens upon such commerce and to effectively regulate such commerce, in 

order – 

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

for exhibition purposes or for use as pets are provided humane care and 

treatment;

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

commerce; and

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

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

The Congress further finds that it is essential to regulate, as provided in 

this chapter, the transportation, purchase, sale, housing, care, handling, and 

treatment of animals by carriers or by persons or organizations engaged in 

using them for research or experimental purposes or for exhibition purposes 

or holding them for sale as pets or for any such purpose or use.

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

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

§ 2132 - Definitions

In this chapter:

(a) The term “person” includes any individual, partnership, firm, joint 

stock company, corporation, association, trust, estate, or other legal entity.

(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 “commerce” means trade, traffic, transportation, or other 

commerce –

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

between points within the same State but through any place outside thereof, 

or within any territory, possession, or the District of Columbia;

 (2) which affects trade, traffic, transportation, or other commerce 

described in paragraph (1).
6

AWA

(d) The term “State” means a State of the United States, the District of 

Columbia, the Commonwealth of Puerto Rico, the Virgin Islands, Guam, 

American Samoa, or any other territory or possession of the United States.

(e) 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 “animal” means any live or dead dog, cat, monkey 

(nonhuman primate mammal), guinea pig, hamster, rabbit, or such other 

warm-blooded animal, as the Secretary may determine is being used, or 

is intended for use, for research, testing, experimentation, or exhibition 

purposes, or as a pet; but such term excludes (1) birds, rats of the genus 

Rattus, and mice of the genus Mus, bred for use in research, (2) horses not 

used for research purposes, and (3) other farm animals, such as, but not 

limited to livestock or poultry, used or intended for use as food or fiber, or 

livestock or poultry used or intended for use for improving animal nutrition, 

breeding, management, or production efficiency, or for improving the quality 

of food or fiber. With respect to a dog, the term means all dogs including 

those used for hunting, security, or breeding purposes.

(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 (1-1-16 Edition)
7

AWA

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.

(m) The term “quorum” means a majority of the Committee members. 

(n) The term “Committee” means the Institutional Animal Committee 

established under section 2143(b) of this title.

(o) The term “Federal research facility” means each department, agency, 

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

experimentation.

§ 2133 - Licensing of dealers and exhibitors

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 

Animal Welfare Act, USDA § 2133
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 

transportation, in commerce, to any research facility or for exhibition or for 

use as a pet any animal, or buy, sell, offer to buy or sell, transport or offer 

for transportation, in commerce, to or from another dealer or exhibitor under 

this chapter any animals, unless and until such dealer or exhibitor shall have 

obtained a license from the Secretary and such license shall not have been 

suspended or revoked.

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

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

within a period of five business days after the acquisition of such animal or 

within such other period as may be specified by the Secretary: Provided, That 

operators of auction sales subject to section 2142 of this title shall not be 

required to comply with the provisions of this section.

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

unlicensed exhibitors

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

every exhibitor not licensed under section 2133 of this title shall register 

with the Secretary in accordance with such rules and regulations as he may 

prescribe.

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

from authorized operators of auction sales and licensed dealers or 

exhibitors

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

from any person except an operator of an auction sale subject to section 2142 

of this title or a person holding a valid license as a dealer or exhibitor issued 

by the Secretary pursuant to this chapter unless such person is exempted from 

obtaining such license under section 2133 of this title.

§ 2134 9 CFR AWA (1-1-16 Edition)
9

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 

uses animals for research or experimentation or exhibition shall purchase or 

otherwise acquire any dog or cat for such purposes from any person except 

an operator of an auction sale subject to section 2142 of this title or a person 

holding a valid license as a dealer or exhibitor issued by the Secretary 

pursuant to this chapter unless such person is exempted from obtaining such 

license under section 2133 of this title.

§ 2139 - Principal-agent relationship established

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

omission, or failure of any person acting for or employed by a research 

facility, a dealer, or an exhibitor or a person licensed as a dealer or an 

exhibitor pursuant to the second sentence of section 2133 of this title, or 

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

intermediate handler, or a carrier, within the scope of his employment or 

office, shall be deemed the act, omission, or failure of such research facility, 

dealer, exhibitor, licensee, operator of an auction sale, intermediate handler, 

or carrier, as well as of such person.

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

intermediate handlers, and carriers

Dealers and exhibitors shall make and retain for such reasonable period 

of time as the Secretary may prescribe, such records with respect to the 

purchase, sale, transportation, identification, and previous ownership of 

animals as the Secretary may prescribe. Research facilities shall make and 

retain such records only with respect to the purchase, sale, transportation, 

identification, and previous ownership of live dogs and cats. At the request 

of the Secretary, any regulatory agency of the Federal Government which 

requires records to be maintained by intermediate handlers and carriers with 

respect to the transportation, receiving, handling, and delivery of animals 

on forms prescribed by the agency, shall require there to be included in such 

forms, and intermediate handlers and carriers shall include in such forms, 

such information as the Secretary may require for the effective administration 

of this chapter. Such information shall be retained for such reasonable period 

of time as the Secretary may prescribe. If regulatory agencies of the Federal 

Government do not prescribe requirements for any such forms, intermediate 

handlers and carriers shall make and retain for such reasonable period as 

the Secretary may prescribe such records with respect to the transportation, 

receiving, handling, and delivery of animals as the Secretary may prescribe. 

Animal Welfare Act, USDA § 2140
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Such records shall be made available at all reasonable times for inspection 

and copying by the Secretary.

§ 2141 - Marking and identification of animals

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

commerce, by a dealer or exhibitor shall be marked or identified at such time 

and in such humane manner as the Secretary may prescribe: Provided, That 

only live dogs and cats need be so marked or identified by a research facility.

§ 2142 - Humane standards and recordkeeping requirements at auction 

sales

The Secretary is authorized to promulgate humane standards and 

recordkeeping requirements governing the purchase, handling, or sale of 

animals, in commerce, by dealers, research facilities, and exhibitors at 

auction sales and by the operators of such auction sales. The Secretary is 

also authorized to require the licensing of operators of auction sales where 

any dogs or cats are sold, in commerce, under such conditions as he may 

prescribe, and upon payment of such fee as prescribed by the Secretary under 

section 2153 of this title.

§ 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 

handling, care, treatment, and transportation of animals by dealers, research 

facilities, and exhibitors.

 (2) The standards described in paragraph (1) shall include minimum 

requirements – 

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

shelter from extremes of weather and temperatures, adequate veterinary care, 

and separation by species where the Secretary finds necessary for humane 

handling, care, or treatment of animals; and

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

in accordance with general standards promulgated by the Secretary, and for 

a physical environment adequate to promote the psychological well-being of 

primates.

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

described in paragraph (1) shall, with respect to animals in research facilities, 

include requirements – 

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

procedures to ensure that animal pain and distress are minimized, including 

§ 2141 9 CFR AWA (1-1-16 Edition)
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adequate veterinary care with the appropriate use of anesthetic, analgesic, 

tranquilizing drugs, or euthanasia;

 (B) that the principal investigator considers alternatives to any 

procedure likely to produce pain to or distress in an experimental animal;

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

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

planning of such procedures;

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

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

in accordance with established veterinary medical and nursing procedures;

 (iv) against the use of paralytics without anesthesia; and 

 (v) that the withholding of tranquilizers, anesthesia, analgesia, or 

euthanasia when scientifically necessary shall continue for only the necessary 

period of time;

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

experiment from which it is allowed to recover except in cases of –

 (i) scientific necessity; or 

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

and

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

specified by research protocol and that any such exception shall be detailed 

and explained in a report outlined under paragraph (7) and filed with the 

Institutional Animal Committee.

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

transportation in commerce, and the handling, care, and treatment in 

connection therewith, by intermediate handlers, air carriers, or other carriers, 

of animals consigned by any dealer, research facility, exhibitor, operator of an 

auction sale, or other person, or any department, agency, or instrumentality 

of the United States or of any State or local government, for transportation in 

commerce. The Secretary shall have authority to promulgate such rules and 

regulations as he determines necessary to assure humane treatment of animals 

in the course of their transportation in commerce including requirements such 

as those with respect to containers, feed, water, rest, ventilation, temperature, 

and handling.

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

section, the Secretary is authorized and directed to consult experts, including 

outside consultants where indicated.

 (6)(A) Nothing in this chapter –

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

be construed as authorizing the Secretary to promulgate rules, regulations, or 

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

Animal Welfare Act, USDA § 2143
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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 

(v) of paragraph (3) and paragraph (7) of this subsection, shall be construed 

as authorizing the Secretary to promulgate rules, regulations, or orders with 

regard to the performance of actual research or experimentation by a research 

facility as determined by such research facility; and

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

the conduct of actual research or experimentation.

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

construed to require a research facility to disclose publicly or to the 

Institutional Animal Committee during its inspection, trade secrets or 

commercial or financial information which is privileged or confidential.

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

inspection, and to report at least annually, that the provisions of this chapter 

are being followed and that professionally acceptable standards governing the 

care, treatment, and use of animals are being followed by the research facility 

during actual research or experimentation.

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

shall provide –

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

in any animal and assurances demonstrating that the principal investigator 

considered alternatives to those procedures;

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

adhering to the standards described in this section; and

 (iii) an explanation for any deviation from the standards 

promulgated under this section.

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

of such State) from promulgating standards in addition to those standards 

promulgated by the Secretary under paragraph (1).

(b) Research facility Committee; establishment, membership, 

functions, etc.

 (1) 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 (1-1-16 Edition)
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 (A) at least one member shall be a doctor of veterinary medicine;

 (B) at least one member –

 (i) shall not be affiliated in any way with such facility other than 

as a member of the Committee;

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

who is affiliated with such facility; and

 (iii) is intended to provide representation for general community 

interests in the proper care and treatment of animals; and

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

members, not more than three members shall be from the same administrative 

unit of such facility.

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

including inspections under paragraph (3).

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

areas and animal facilities of such research facility and review as part of the 

inspection –

 (A) practices involving pain to animals, and

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

provisions of this chapter to minimize pain and distress to animals. 

Exceptions to the requirement of inspection of such study areas may be made 

by the Secretary if animals are studied in their natural environment and the 

study area is prohibitive to easy access.

 (4)(A) 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 

 (iv) include any other information pertinent to the activities of the 

Committee.

 (B) Such report shall remain on file for at least three years at the 

research facility and shall be available for inspection by the Animal and Plant 

Health Inspection Service and any funding Federal agency.

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

any deficiencies or deviations discovered by reason of paragraph (3), the 

Committee shall notify the administrative representative of the research 

facility of any deficiencies or deviations from the provisions of this chapter. 

If, after notification and an opportunity for correction, such deficiencies or 

Animal Welfare Act, USDA § 2143
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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 

Agriculture inspectors for review during inspections. Department of 

Agriculture inspectors shall forward any Committee inspection records 

which include reports of uncorrected deficiencies or deviations to the Animal 

and Plant Health Inspection Service and any funding Federal agency of the 

project with respect to which such uncorrected deficiencies and deviations 

occurred.

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

responsibilities of Federal Committee 

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

established and shall have the same composition and responsibilities provided 

in subsection (b) of this section, except that the Federal Committee shall 

report deficiencies or deviations to the head of the Federal agency conducting 

the research rather than to the Animal and Plant Health Inspection Service. 

The head of the Federal agency conducting the research shall be responsible 

for –

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

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

(d) Training of scientists, animal technicians, and other personnel 

involved with animal care and treatment at research facilities 

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

technicians, and other personnel involved with animal care and treatment 

in such facility as required by the Secretary. Such training shall include 

instruction on –

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

 (2) research or testing methods that minimize or eliminate the use of 

animals or limit animal pain or distress;

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

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

 (4) methods whereby deficiencies in animal care and treatment should 

be reported.

(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; 

 (2) which could prevent unintended duplication of animal 

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

§ 2143 9 CFR AWA (1-1-16 Edition)
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 (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 

analgesic procedures.

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

projects; prerequisites; appeal procedure 

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

determines that conditions of animal care, treatment, or practice in a 

particular project have not been in compliance with standards promulgated 

under this chapter, despite notification by the Secretary or such Federal 

agency to the research facility and an opportunity for correction, such agency 

shall suspend or revoke Federal support for the project. Any research facility 

losing Federal support as a result of actions taken under the preceding 

sentence shall have the right of appeal as provided in sections 701 through 

706 of title 5.

(f) 3 Veterinary certificate; contents; exceptions 

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

by regulation of the Secretary, shall be delivered by any dealer, research 

facility, exhibitor, operator of an auction sale, or department, agency, or 

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

any intermediate handler or carrier for transportation in commerce, or received 

by any such handler or carrier for such transportation from any such person, 

department, agency, or instrumentality, unless the animal is accompanied by 

a certificate issued by a veterinarian licensed to practice veterinary medicine, 

certifying that he inspected the animal on a specified date, which shall not be 

more than ten days before such delivery, and, when so inspected, the animal 

appeared free of any infectious disease or physical abnormality which would 

endanger the animal or animals or other animals or endanger public health: 

Provided, however, That the Secretary may by regulation provide exceptions 

to this certification requirement, under such conditions as he may prescribe 

in the regulations, for animals shipped to research facilities for purposes of 

research, testing or experimentation requiring animals not eligible for such 

certification. Such certificates received by the intermediate handlers and the 

carriers shall be retained by them, as provided by regulations of the Secretary, 

in accordance with section 2140 of this title.

(g) Age of animals delivered to registered research facilities; power of 

Secretary to designate additional classes of animals and age limits 

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

by regulation of the Secretary, shall be delivered by any person to any 

intermediate handler or carrier for transportation in commerce except to 

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

Animal Welfare Act, USDA § 2143
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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.

(h) Prohibition of C.O.D. arrangements for transportation of animals 

in commerce; exceptions 

No intermediate handler or carrier involved in the transportation of any 

animal in commerce shall participate in any arrangement or engage in any 

practice under which the cost of such animal or the cost of the transportation 

of such animal is to be paid and collected upon delivery of the animal to 

the consignee, unless the consignor guarantees in writing the payment of 

transportation charges for any animal not claimed within a period of 48 

hours after notice to the consignee of arrival of the animal, including, where 

necessary, both the return transportation charges and an amount sufficient 

to reimburse the carrier for all out-of-pocket expenses incurred for the care, 

feeding, and storage of such animals.

§ 2144 - Humane standards for animals by United States Government 

facilities

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

laboratory animal facilities shall comply with the standards and other 

requirements promulgated by the Secretary under sections1 2143(a),(f),(g) 

and (h) of this title. Any department, agency, or instrumentality of the United 

States exhibiting animals shall comply with the standards promulgated by the 

Secretary under sections 2143(a), (f), (g), and (h) of this title.

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

governmental bodies by Secretary of Agriculture

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

departments, agencies, or instrumentalities concerned with the welfare of 

animals used for research, experimentation or exhibition, or administration of 

statutes regulating the transportation in commerce or handling in connection 

therewith of any animals when establishing standards pursuant to section 

2143 of this title and in carrying out the purposes of this chapter. The 

Secretary shall consult with the Secretary of Health and Human Services 

prior to issuance of regulations. Before promulgating any standard governing 

the air transportation and handling in connection therewith, of animals, the 

Secretary shall consult with the Secretary of Transportation who shall have 

the authority to disapprove any such standard if he notifies the Secretary, 

§ 2144 9 CFR AWA (1-1-16 Edition)

1 So in original. Probably should be ‘‘section’’.
17

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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

(a) Investigations and inspections 

The Secretary shall make such investigations or inspections as he deems 

necessary to determine whether any dealer, exhibitor, intermediate handler, 

carrier, research facility, or operator of an auction sale subject to section 

2142 of this title, has violated or is violating any provision of this chapter 

or any regulation or standard issued thereunder, and for such purposes, the 

Secretary shall, at all reasonable times, have access to the places of business 

and the facilities, animals, and those records required to be kept pursuant to 

section 2140 of this title of any such dealer, exhibitor, intermediate handler, 

carrier, research facility, or operator of an auction sale. The Secretary shall 

inspect each research facility at least once each year and, in the case of 

deficiencies or deviations from the standards promulgated under this chapter, 

shall conduct such follow-up inspections as may be necessary until all 

deficiencies or deviations from such standards are corrected. The Secretary 

shall promulgate such rules and regulations as he deems necessary to permit 

inspectors to confiscate or destroy in a humane manner any animal found 

to be suffering as a result of a failure to comply with any provision of this 

chapter or any regulation or standard issued thereunder if (1) such animal is 

held by a dealer, (2) such animal is held by an exhibitor, (3) such animal is 

held by a research facility and is no longer required by such research facility 

to carry out the research, test, or experiment for which such animal has been 

utilized, (4) such animal is held by an operator of an auction sale, or (5) such 

animal is held by an intermediate handler or a carrier. 

(b) Penalties for interfering with official duties 

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

or interferes with any person while engaged in or on account of the 

performance of his official duties under this chapter shall be fined not more 

than $5,000, or imprisoned not more than three years, or both. Whoever, in 

the commission of such acts, uses a deadly or dangerous weapon shall be 

Animal Welfare Act, USDA § 2146
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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 

For the efficient administration and enforcement of this chapter and the 

regulations and standards promulgated under this chapter, the provisions 

(including penalties) of sections 46, 48, 49 and 50 of title 15 (except 

paragraph (c) through (h) of section 46 and the last paragraph of section 49 

of title 15), and the provisions of Title II of the Organized Crime Control Act 

of 1970, are made applicable to the jurisdiction, powers, and duties of the 

Secretary in administering and enforcing the provisions of this chapter and 

to any person, firm, or corporation with respect to whom such authority is 

exercised. The Secretary may prosecute any inquiry necessary to his duties 

under this chapter in any part of the United States, including any territory, or 

possession thereof, the District of Columbia, or the Commonwealth of Puerto 

Rico. The powers conferred by said sections 49 and 50 of title 15 on the 

district courts of the United States may be exercised for the purposes of this 

chapter by any district court of the United States. The United States district 

courts, the District Court of Guam, the District Court of the Virgin Islands, 

the highest court of American Samoa, and the United States courts of the 

other territories, are vested with jurisdiction specifically to enforce, and to 

prevent and restrain violations of this chapter, and shall have jurisdiction in all 

other kinds of cases arising under this chapter, except as provided in section 

2149(c) of this title.

§ 2147 - Inspection by legally constituted law enforcement agencies

The Secretary shall promulgate rules and regulations requiring dealers, 

exhibitors, research facilities, and operators of auction sales subject to 

section 2142 of this title to permit inspection of their animals and records 

at reasonable hours upon request by legally constituted law enforcement 

agencies in search of lost animals.

§ 2148 - Importation of live dogs

(a) Definitions 

In this section: 

(1) Importer

The term “importer” means any person who, for purposes of resale, 

transports into the United States puppies from a foreign country.

 (2) Resale 

The term “resale” includes any transfer of ownership or control of an 

imported dog of less than 6 months of age to another person, for more than de 

minimis consideration.

§ 2147 9 CFR AWA (1-1-16 Edition)
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(b) Requirements

 (1) In general 

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

United States for purposes of resale unless, as determined by the Secretary, 

the dog –

 (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.

(d) Enforcement 

An importer that fails to comply with this section shall – 

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

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

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

importer.

§ 2149 - Violations by licensees

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

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

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

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

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

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

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

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

determined to have occurred.

Animal Welfare Act, USDA § 2149
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(b) Civil penalties for violation of any section, etc.; separate offenses; 

notice and hearing; appeal; considerations in assessing penalty; 

compromise of penalty; civil action by Attorney General for failure to 

pay penalty; district court jurisdiction; failure to obey cease and desist 

order 

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

operator of an auction sale subject to section 2142 of this title, that violates 

any provision of this chapter, or any rule, regulation, or standard promulgated 

by the Secretary thereunder, may be assessed a civil penalty by the Secretary 

of not more than $10,000 for each such violation, and the Secretary may also 

make an order that such person shall cease and desist from continuing such 

violation. Each violation and each day during which a violation continues 

shall be a separate offense. No penalty shall be assessed or cease and desist 

order issued unless such person is given notice and opportunity for a hearing 

with respect to the alleged violation, and the order of the Secretary assessing 

a penalty and making a cease and desist order shall be final and conclusive 

unless the affected person files an appeal from the Secretary’s order with the 

appropriate United States Court of Appeals. The Secretary shall give due 

consideration to the appropriateness of the penalty with respect to the size of 

the business of the person involved, the gravity of the violation, the person’s 

good faith, and the history of previous violations. Any such civil penalty 

may be compromised by the Secretary. Upon any failure to pay the penalty 

assessed by a final order under this section, the Secretary shall request the 

Attorney General to institute a civil action in a district court of the United 

States or other United States court for any district in which such person is 

found or resides or transacts business, to collect the penalty, and such court 

shall have jurisdiction to hear and decide any such action. Any person who 

knowingly fails to obey a cease and desist order made by the Secretary under 

this section shall be subject to a civil penalty of $1,500 for each offense, and 

each day during which such failure continues shall be deemed a separate 

offense.

(c) Appeal of final order by aggrieved person; limitations; exclusive 

jurisdiction of United States Courts of Appeals 

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

operator of an auction sale subject to section 2142 of this title, aggrieved by 

a final order of the Secretary issued pursuant to this section may, within 60 

days after entry of such an order, seek review of such order in the appropriate 

United States Court of Appeals in accordance with the provisions of sections 

2341, 2343 through 2350 of title 28, and such court shall have exclusive 

jurisdiction to enjoin, set aside, suspend (in whole or in part), or to determine 

the validity of the Secretary’s order.

§ 2149 9 CFR AWA (1-1-16 Edition)
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(d) Criminal penalties for violation; initial prosecution brought before 

United States magistrate judges; conduct of prosecution by attorneys of 

United States Department of Agriculture 

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

2142 of this title, who knowingly violates any provision of this chapter shall, 

on conviction thereof, be subject to imprisonment for not more than 1 year, or 

a fine of not more than $2,500, or both. Prosecution of such violations shall, 

to the maximum extent practicable, be brought initially before United States 

magistrate judges as provided in section 636 of title 28, and sections 3401 

and 3402 of title 18, and, with the consent of the Attorney General, may be 

conducted, at both trial and upon appeal to district court, by attorneys of the 

United States Department of Agriculture.

§ 2150 - Repealed

§ 2151 - Rules and regulations

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

orders as he may deem necessary in order to effectuate the purposes of this 

chapter. 

§ 2152 - Separability

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

to any person or circumstances shall be held invalid, the remainder of this 

chapter and the application of any such provision to persons or circumstances 

other than those as to which it is held invalid shall not be affected thereby.

§ 2153 - Fees and authorization of appropriations

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

fees for licenses issued. Such fees shall be adjusted on an equitable basis 

taking into consideration the type and nature of the operations to be licensed 

and shall be deposited and covered into the Treasury as miscellaneous 

receipts. There are hereby authorized to be appropriated such funds as 

Congress may from time to time provide: Provided, That there is authorized 

to be appropriated to the Secretary of Agriculture for enforcement by the 

Department of Agriculture of the provisions of section 2156 of this title an 

amount not to exceed $100,000 for the transition quarter ending September 

30, 1976, and not to exceed $400,000 for each fiscal year thereafter.

§ 2154 - Effective dates

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

be prescribed by the Secretary as soon as reasonable but not later than six 

months from August 24, 1966. Additions and amendments thereto may be 

Animal Welfare Act, USDA § 2154
22

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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 

knowingly sponsor or exhibit an animal in an animal fighting venture.

 (2) Attending or causing an individual who has not attained the age 

of 16 to attend – It shall be unlawful for any person to – 

knowingly attend an animal 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 (1-1-16 Edition)
23

AWA

(3) Special rule for certain States1

With respect to fighting ventures involving live birds in a State where it 

would not be in violation of the law, it shall be unlawful under this subsection 

for a person to sponsor or exhibit a bird in the fighting venture only if the 

person knew that any bird in the fighting venture was knowingly bought, 

sold, delivered, transported, or received in interstate or foreign commerce for 

the purpose of participation in the fighting venture.

(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, 

transport, deliver, or receive any animal for purposes of having the animal 

participate in an animal fighting venture.

(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 

of the United States Postal Service or any instrumentality of interstate 

commerce for commercial speech for purposes of advertising an animal, or an 

instrument described in subsection (e), for use in an animal fighting venture, 

promoting2 or in any other manner furthering an animal fighting venture 

except as performed outside the limits of the States of the United States.

(d) Violation of State law 

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

activities prohibited by such subsection shall be unlawful with respect to 

fighting ventures involving live birds only if the fight is to take place in a 

State where it would be in violation of the laws thereof.

(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 

deliver in interstate or foreign commerce a knife, a gaff, or any other sharp 

instrument attached, or designed or intended to be attached, to the leg of a 

bird for use in an animal fighting venture.

(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 

investigations as the Secretary deems necessary to determine whether any 

person has violated or is violating any provision of this section, and the 

Secretary may obtain the assistance of the Federal Bureau of Investigation, 

the Department of the Treasury, or other law enforcement agencies of the 

United States, and State and local governmental agencies, in the conduct of 

such investigations, under cooperative agreements with such agencies. A 

Animal Welfare Act, USDA § 2156

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

2 So in original. Probably should be preceded by ‘‘or’’.
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 “animal fighting venture” means any event, in or 

affecting interstate or foreign commerce, that involves a fight conducted or 

to be conducted between at least 2 animals for purposes of sport, wagering, 

or entertainment, except that the term “animal fighting venture” shall not be 

deemed to include any activity the primary purpose of which involves the use 

of one or more animals in hunting another animal;

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

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

facility of, interstate commerce;

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

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

possession of the United States;

 (4) the term “animal” means any live bird, or any live mammal, except 

man. 

(h) Relationship to other provisions 

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

not render such person subject to the other sections of this chapter as a dealer, 

exhibitor, or otherwise.

(i) Conflict with State law

 (1) In general 

§ 2156 9 CFR AWA (1-1-16 Edition)
25

AWA

The provisions of this chapter shall not supersede or otherwise invalidate 

any such State, local, or municipal legislation or ordinance relating to animal 

fighting ventures except in case of a direct and irreconcilable conflict between 

any requirements thereunder and this chapter or any rule, regulation, or 

standard hereunder.

(2) Omitted

(j) Criminal penalties 

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

provided in section 49 of title 18.

§ 2157 - Release of trade secrets

(a) Release of confidential information prohibited 

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

to release any confidential information of the research facility including any 

information that concerns or relates to – 

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

or 

 (2) the identity, confidential statistical data, amount or source of any 

income, profits, losses, or expenditures, of the research facility. 

(b) Wrongful use of confidential information prohibited 

It shall be unlawful for any member of such Committee – 

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

 (2) to reveal to any other person, 

any information which is entitled to protection as 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) a fine of not more than $1,000 and imprisonment of not more 

than one year; or

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

imprisonment of not more than three years.

(d) Recovery of damages by injured person; costs; attorney’s fee 

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

property by reason of a violation of this section may recover all actual and 

consequential damages sustained by such person and the cost of the suit 

including a reasonable attorney’s fee.

(e) Other rights and remedies 

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

of a person injured in its business or property by reason of a violation of 

this section. Subsection (d) of this section shall not be construed to limit 

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 

(1) Requirement 

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

(2), such entity shall hold and care for such dog or cat for a period of not less 

than five days to enable such dog or cat to be recovered by its original owner 

or adopted by other individuals before such entity sells such dog or cat to a 

dealer.

 (2) Entities described 

An entity subject to paragraph (1) is –

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

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

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

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

releases animals on a voluntary basis; and

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

(b) Certification 

 (1) In general 

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

entity a random source dog or cat unless such dealer provides the recipient 

with a valid certification that meets the requirements of paragraph (2) and 

indicates compliance with subsection (a) of this section.

(2) Requirements 

A valid certification shall contain – 

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

registration number (if such number exists) of the dealer;

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

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

of the dog or cat;

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

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

 (ii) the sex of such; 

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

 (iv) the color and any distinctive marking of such; and 

 (v) any other information that the Secretary by regulation shall 

determine to be appropriate;

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

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

§ 2158 9 CFR AWA (1-1-16 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 

dog or cat from such) that it satisfied the requirements of subsection (a) of 

this section; and

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

regulation shall determine appropriate.

 (3) Records 

The original certification required under paragraph (1) shall accompany 

the shipment of a dog or cat to be sold, provided, or otherwise made available 

by the dealer, and shall be kept and maintained by the research facility for a 

period of at least one year for enforcement purposes. The dealer shall retain 

one copy of the certification provided under this paragraph for a period of at 

least one year for enforcement purposes.

(4) Transfers 

In instances where one research facility transfers animals to another 

research facility a copy of the certificate must accompany such transfer.

 (5) Modification

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 

who include false information in the certification required under subsection 

(b) of this section, shall be subject to the penalties provided for under section 

2149 of this title.

(2) Subsequent violations 

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

a fine of $5,000 per dog or cat acquired or sold in violation of this section.

(3) Permanent revocations 

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

dealers license permanently revoked.

(d) Regulation 

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

promulgate regulations to carry out this section.

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, 

exhibitor, or intermediate handler is dealing in stolen animals, or is placing 

the health of any animal in serious danger in violation of this chapter or the 

regulations or standards promulgated thereunder, the Secretary shall notify 

the Attorney General, who may apply to the United States district court 

in which such dealer, carrier, exhibitor, or intermediate handler resides or 

conducts business for a temporary restraining order or injunction to prevent 

any such person from operating in violation of this chapter or the regulations 

and standards prescribed under this chapter.

(b) Issuance 

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 (1-1-16 Edition)
29

Animal Welfare 

Regulations

As of Jan. 1, 2017

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, 

the following terms shall have the meanings assigned to them in this section. 

The singular form shall also signify the plural and the masculine form shall 

also signify the feminine. Words undefined in the following paragraphs 

shall have the meaning attributed to them in general usage as reflected by 

definitions in a standard dictionary.

AC Regional Director means a veterinarian or his designee, employed 

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

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

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

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

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

auction sale has his principal place of business.

Act means the Act of August 24, 1966 (Pub. L. 89-544), (commonly 

known as the Laboratory Animal Welfare Act), as amended by the Act of 

December 24, 1970 (Pub. L. 91-579), (the Animal Welfare Act of 1970), the 

Act of April 22, 1976 (Pub. L. 94-279), (the Animal Welfare Act of 1976), 

and the Act of December 23, 1985 (Pub. L. 99-198), (the Food Security Act 

of 1985), and as it may be subsequently amended.

Activity means, for purposes of part 2, subpart C of this subchapter, those 

elements of research, testing, or teaching procedures that involve the care and 

use of animals.

Administrative unit means the organizational or management unit at the 

departmental level of a research facility.

Administrator The Administrator, Animal and Plant Health Inspection 

Service, or any person authorized to act for the Administrator.

Ambient temperature means the air temperature surrounding the animal.

Animal means any live or dead dog, cat, nonhuman primate, guinea pig, 

hamster, rabbit, or any other warm-blooded animal, which is being used, or is 

intended for use for research, teaching, testing, experimentation, or exhibition 

purposes, or as a pet. This term excludes birds, rats of the genus Rattus, and 

mice of the genus Mus, bred for use in research; horses not used for research 

purposes; and other farm animals, such as, but not limited to, livestock or 

poultry used or intended for use as food or fiber, or livestock or poultry used 

or intended for use for improving animal nutrition, breeding, management, 

or production efficiency, or for improving the quality of food or fiber. With 
32

PART 1

Definitions

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

security, or breeding purposes.

Animal act means any performance of animals where such animals 

are trained to perform some behavior or action or are part of a show, 

performance, or exhibition.

APHIS official means any person employed by the Department who is 

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

parts 1, 2, and 3.

Attending veterinarian means a person who has graduated from 

a veterinary school accredited by the American Veterinary Medical 

Association’s Council on Education, or has a certificate issued by the 

American Veterinary Medical Association’s Education Commission for 

Foreign Veterinary Graduates, or has received equivalent formal education as 

determined by the Administrator; has received training and/or experience in 

the care and management of the species being attended; and who has direct or 

delegated authority for activities involving animals at a facility subject to the 

jurisdiction of the Secretary.

Buffer area means that area in a primary enclosure for a swim-with-thedolphin program that is off-limits to members of the public and that directly 

abuts the interactive area.

Business hours means a reasonable number of hours between 7 a.m. and 7 

p.m., Monday through Friday, except for legal Federal holidays, each week of 

the year, during which inspections by APHIS may be made.

Business year means the 12-month period during which business is 

conducted, and may be either on a calendar or fiscal-year basis.

Carrier means the operator of any airline, railroad, motor carrier, shipping 

line, or other enterprise which is engaged in the business of transporting any 

animals for hire.

Cat means any live or dead cat (Felis catus) or any cat-hybrid cross.

Class “A” licensee (breeder) means a person subject to the licensing 

requirements under part 2 and meeting the definition of a “dealer” (§ 1.1), 

and whose business involving animals consists only of animals that are bred 

and raised on the premises in a closed or stable colony and those animals 

acquired for the sole purpose of maintaining or enhancing the breeding 

colony.

Class “B” licensee means a person subject to the licensing requirements 

under part 2 and meeting the definition of a “dealer” (§ 1.1), and whose 

business includes the purchase and/or resale of any animal. This term 

includes brokers, and operators of an auction sale, as such individuals 

negotiate or arrange for the purchase, sale, or transport of animals in 

commerce. Such individuals do not usually take actual physical possession 

§ 1.1 9 CFR AWR (1-1-16 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 (exhibitor) means a person subject to the licensing 

requirements under part 2 and meeting the definition of an “exhibitor” (§ 

1.1), and whose business involves the showing or displaying of animals to the 

public. A class “C” licensee may buy and sell animals as a minor part of the 

business in order to maintain or add to his animal collection.

Commerce means trade, traffic, transportation, or other commerce:

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

including any foreign country, or between points within the same State but 

through any place outside thereof, or within any territory, possession, or the 

District of Columbia; or

 (2) Which affects the commerce described in this part.

Committee means the Institutional Animal Care and Use Committee 

(IACUC) established under section 13(b) of the Act. It shall consist of at 

least three (3) members, one of whom is the attending veterinarian of the 

research facility and one of whom is not affiliated in any way with the facility 

other than as a member of the committee, however, if the research facility 

has more than one Doctor of Veterinary Medicine (DVM), another DVM 

with delegated program responsibility may serve. The research facility shall 

establish the Committee for the purpose of evaluating the care, treatment, 

housing, and use of animals, and for certifying compliance with the Act by 

the research facility.

Dealer means any person who, in commerce, for compensation or profit, 

delivers for transportation, or transports, except as a carrier, buys, or sells, or 

negotiates the purchase or sale of: Any dog or other animal whether alive or 

dead (including unborn animals, organs, limbs, blood, serum, or other parts) 

for research, teaching, testing, experimentation, exhibition, or for use as a pet; 

or any dog at the wholesale level for hunting, security, or breeding purposes. 

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

retail outlet where dogs are sold for hunting, breeding, or security purposes; 

or any person who does not sell or negotiate the purchase or sale of any 

wild or exotic animal, dog, or cat and who derives no more than $500 gross 

income from the sale of animals other than wild or exotic animals, dogs, or 

cats during any calendar year.

Department means the U.S. Department of Agriculture.

Deputy Administrator means the Deputy Administrator for Animal Care 

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

in his stead.

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, organizations sponsoring and all persons participating in State and 

county fairs, livestock shows, rodeos, field trials, coursing events, purebred 

dog and cat shows and any other fairs or exhibitions intended to advance 

agricultural arts and sciences as may be determined by the Secretary.

Exotic animal means any animal not identified in the definition of 

“animal” provided in this part that is native to a foreign country or of foreign 

origin or character, is not native to the United States, or was introduced from 

abroad. This term specifically includes animals such as, but not limited to, 

lions, tigers, leopards, elephants, camels, antelope, anteaters, kangaroos, and 

water buffalo, and species of foreign domestic cattle, such as Ankole, Gayal, 

and Yak.

Farm animal means any domestic species of cattle, sheep, swine, goats, 

llamas, or horses, which are normally and have historically, been kept and 

raised on farms in the United States, and used or intended for use as food or 

fiber, or for improving animal nutrition, breeding, management, or production 

efficiency, or for improving the quality of food or fiber. This term also 

includes animals such as rabbits, mink, and chinchilla, when they are used 

solely for purposes of meat or fur, and animals such as horses and llamas 

when used solely as work and pack animals.

Federal agency means an Executive agency as such term is defined in 

section 105 of title 5, United States Code, and with respect to any research 

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

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

use of animals.

Federal award means any mechanism (including a grant, award, loan, 

contract, or cooperative agreement) under which Federal funds are used 

to support the conduct of research, experimentation, or testing, involving 

§ 1.1 9 CFR AWR (1-1-16 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 (1-1-16 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, chinchilla, domestic 

ferrets, domestic farm animals, birds, and coldblooded species. In addition 

to persons that meet these criteria, retail pet store also includes any person 

who meets the criteria in § 2.1(a)(3)(vii) of this subchapter. Such definition 

excludes – 

 (1) Establishments or persons who deal in dogs used for hunting, 

security, or breeding purposes;

 (2) Establishments or persons, except those that meet the criteria in § 

2.1(a)(3)(vii), 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 (1-1-16 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 (1-1-16 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.

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 (1-1-16 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.

 (2) If an applicant for a license or license renewal operates in more 

than one State, he or she shall apply in the State in which he or she has his or 

her principal place of business. All premises, facilities, or sites where such 

person operates or keeps animals shall be indicated on the application form 

or on a separate sheet attached to it. The completed application form, along 

with the application fee indicated in paragraph (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.

 (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 dogs, cats, and/or small exotic or wild mammals, such as hedgehogs, 

degus, spiny mice, prairie dogs, flying squirrels, and jerboas, and who sells, 

at wholesale, only the offspring of these dogs, cats, and/or small exotic or 

wild mammals, 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 breeding female dogs, cats, and/or 

small exotic or wild mammals, regardless of ownership, nor to any person 

maintaining breeding female dogs, cats, and/or small exotic or wild mammals 

on premises on which more than four breeding female dogs, cats, and/or 

small exotic or wild mammals are maintained, nor to any person acting in 

Animal Welfare Regulations, USDA §2.1
44

PART 2

Subpart A

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

breeding female dogs, cats, and/or small exotic or wild mammals 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 including, but not limited to, purebred dog or cat 

fanciers, who maintains a total of four or fewer breeding female dogs, cats, 

and/or small exotic or wild mammals, such as hedgehogs, degus, spiny mice, 

prairie dogs, flying squirrels, and jerboas, and who sells, at retail, only the 

offspring of these dogs, cats, and/or small exotic or wild mammals, 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 breeding female dogs, cats, and/or small exotic or wild mammals, 

regardless of ownership, nor to any person maintaining breeding female 

dogs, cats, and/or small exotic or wild mammals on premises on which more 

than four breeding female dogs, cats, and/or small exotic or wild mammals 

are maintained, nor to any person acting in concert with others where they 

collectively maintain a total of more than four breeding female dogs, cats, 

and/or small exotic or wild mammals regardless of 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 (1-1-16 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, and, in the case of a license renewal, the annual license 

fee has been received by the appropriate Animal Care regional office on or 

before the expiration date of the 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 (1-1-16 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, 

threaten, abuse (including verbally abuse), or harass any APHIS official in the 

course of carrying out his or her duties.

§ 2.5 - Duration of license and termination of license.

(a) A license issued under this part shall be valid and effective unless:

 (1) The license has been revoked or suspended pursuant to section 19 of 

the Act.

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

writing, to the 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 

Care regional office as required. There will not be a refund of the annual 

license fee if a license is terminated prior to its expiration date.

(b) Any person who is licensed must file an application for a license 

renewal and an annual report form (APHIS Form 7003), as required by 

§ 2.7 of this part, and pay the required annual license fee. The required 

annual license fee must be received in the appropriate Animal Care regional 

office on or before the expiration date of the license or the license will 

expire and automatically terminate. Failure to comply with the annual 

reporting requirements or pay the required annual license fee on or before 

the expiration date of the license will result in automatic termination of the 

license.

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

automatically terminated must follow the procedure applicable to new 

applicants for a license set forth in § 2.1.

(d) Licenses are issued to specific persons for specific premises and do not 

transfer upon change of ownership, nor are they valid at a different location.

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

AC Regional Director. If the license cannot be found, the licensee shall 

provide a written statement so stating to the AC Regional Director.

[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” 

dealer shall be based on 50 percent of the total gross amount, expressed 

in dollars, derived from the sale of animals to research facilities, dealers, 

exhibitors, retail pet stores, and persons for use as pets, directly or through an 

auction sale, by the dealer or applicant during his or her preceding business 

year (calendar or fiscal) in the case of a person who operated during such a 

year. If animals are leased, the lessor shall pay a fee based on 50 percent of 

any compensation received from the leased animals and the lessee shall pay 

a fee based upon the net compensation received from the leased animals, as 

indicated for dealers in Table 1 in paragraph (c) of this section.

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

dealer shall be established by calculating the total amount received from the 

sale of animals to research facilities, dealers, exhibitors, retail pet stores, 

and persons for use as pets, directly or through an auction sale, during the 

preceding business year (calendar or fiscal) less the amount paid for the 

animals by the dealer or applicant. This net difference, exclusive of other 

costs, shall be the figure used to determine the license fee of a Class “B” 

dealer. 

If animals are leased, the lessor and lessee shall each pay a fee based on 

the net compensation received from the leased animals calculated from Table 

1 in paragraph (c) of this section.

(3) The annual license renewal fee for a broker or operator of an auction 

sale shall be that of a class “B” dealer and shall be based on the total gross 

amount, expressed in dollars, derived from commissions or fees charged for 

the sale of animals, or for negotiating the sale of animals, by brokers or by 

the operator of an auction sale, to research facilities, dealers, exhibitors, retail 

pet stores, and persons for use as pets, during the preceding business year 

(calendar or fiscal).

(4) In the case of a new applicant for a license as a dealer, broker or 

operator of an auction sale who did not operate during a preceding business 

year, the annual license fee will be based on the anticipated yearly dollar 

amount of business, as provided in paragraphs (b)(1), (2), and (3) of this 

section, derived from the sale of animals to research facilities, dealers, 

exhibitors, retail pet stores, and persons for use as pets, directly or through an 

auction sale.

§ 2.6 9 CFR AWR (1-1-16 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 

to the satisfaction of the Secretary that he or she has good reason to believe 

that the dollar amount of his or her business for the forthcoming business 

year will be less than the previous business year, then his or her estimated 

dollar amount of business shall be used for computing the license fee for 

the forthcoming business year: Provided, however, That if the dollar amount 

upon which the license fee is based for that year does in fact exceed the 

amount estimated, the difference in amount of the fee paid and that which 

was due under paragraphs (b) and (c) of this section based upon the actual 

dollar business upon which the license fee is based, shall be payable in 

addition to the required annual license fee for the next subsequent year, on 

the anniversary date of his or her license as prescribed in this section.

[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 

license, a licensee shall file with the AC Regional Director an application 

for license renewal and annual report upon a form which the AC Regional 

Director will furnish to him or her upon request.

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

renewal application and annual report the dollar amount of business, from 

the sale of animals, upon which the license fee is based, directly or through 

an auction sale, to research facilities, dealers, exhibitors, retail pet stores, and 

persons for use as pets, by the licensee during the preceding business year 

(calendar or fiscal), and any other information as may be required thereon.

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

sale shall set forth in his or her license renewal application and annual report 

the total gross amount, expressed in dollars, derived from commissions or 

fees charged for the sale of animals by the licensee to research facilities, 

dealers, exhibitors, retail pet stores, and persons for use as pets, during the 

preceding business year (calendar or fiscal), and any other information as 

may be required thereon.

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

renewal application and annual report the number of animals owned, held, or 

exhibited by him or her, including those which are leased, during the previous 

year or at the time he signs and dates the report, whichever is greater.

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

§ 2.7 9 CFR AWR (1-1-16 Edition)
PART 2

Subpart A

51

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

business.

A licensee shall promptly notify the AC Regional Director by certified 

mail of any change in the name, address, management, or substantial control 

or ownership of his business or operation, or of any additional sites, within 10 

days of any change.

[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.

Any person who has been or is an officer, agent, or employee of a licensee 

whose license has been suspended or revoked and who was responsible for or 

participated in the violation upon which the order of suspension or revocation 

was based will not be licensed within the period during which the order of 

suspension or revocation is in effect.

§ 2.10 - Licensees whose licenses have been suspended or revoked.

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

not be licensed in his or her own name or in any other manner within the 

period during which the order of suspension is in effect. No partnership, firm, 

corporation, or other legal entity in which any such person has a substantial 

interest, financial or otherwise, will be licensed during that period. Any 

person whose license has been suspended for any reason may apply to the 

AC Regional Director, in writing, for reinstatement of his or her license. No 

license will be renewed during the period that it is suspended. Renewal of the 

license may be initiated during the suspension in accordance with §§ 2.2(b) 

and 2.12.

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

his or her own name or in any other manner; nor will any partnership, firm, 

corporation, or other legal entity in which any such person has a substantial 

interest, financial or otherwise, be licensed.

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

buy, sell, transport, exhibit, or deliver for transportation, any animal during 

the period of suspension or revocation.

[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 

and has not paid the fees indicated in § 2.6;

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

subchapter;

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

forth in § 2.10;

 (4) Has pled nolo contendere (no contest) or has been found to have 

violated any Federal, State, or local laws or regulations pertaining to animal 

cruelty within 1 year of application, or after 1 year if the Administrator 

determines that the circumstances render the applicant unfit to be licensed;

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

Federal, State, or local laws; or

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

or fraudulent records to the Department or other government agencies, or 

has pled nolo contendere (no contest) or has been found to have violated any 

Federal, State, or local laws or regulations pertaining to the transportation, 

ownership, neglect, or welfare of animals, or is otherwise unfit to be licensed 

and the Administrator determines that the issuance of a license would be 

contrary to the purposes of the Act.

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

a hearing in accordance with the applicable rules of practice for the purpose 

of showing why the application for license should not be denied. The license 

denial shall remain in effect until the final legal decision has been rendered. 

Should the license denial be upheld, the applicant may again apply for a 

license 1 year from the date of the final order denying the application, unless 

the order provides otherwise.

(c) No partnership, firm, corporation, or other legal entity in which a 

person whose license application has been denied has a substantial interest, 

financial or otherwise, will be licensed within 1 year of the license denial.

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

determines would circumvent any order suspending, revoking, terminating, or 

denying a license under the Act.

[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 

other time for any reason that an initial license application may be denied 

pursuant to § 2.11 after a hearing in accordance with the applicable rules of 

practice.

[69 FR 42101, July 14, 2004]

§ 2.12 9 CFR AWR (1-1-16 Edition)
53

PART 2

Subpart B

Subpart B – Registration

§ 2.25 - Requirements and procedures.

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

required to be licensed under section 3 of the Act and the regulations of 

this subchapter, shall register with the Secretary by completing and filing a 

properly executed form which will be furnished, upon request, by the AC 

Regional Director. The registration form shall be filed with the AC Regional 

Director for the State in which the registrant has his or her principal place of 

business, and shall be updated every 3 years by the completion and filing of a 

new registration form which will be provided by the AC Regional Director

(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, 

threaten, abuse (including verbally abuse), or harass any APHIS official who 

is in the course of carrying out his or her duties.

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

FR 42101, July 14, 2004]

§ 2.26 - Acknowledgment of regulations and standards.

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

subchapter with each registration form. The registrant shall acknowledge 

receipt of and shall agree to comply with the regulations and standards by 

signing a form provided for this purpose by APHIS, and by filing it with the 

AC Regional Director.

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

§ 2.27 - Notification of change of operation.

(a) A registrant shall notify the AC Regional Director by certified mail of 

any change in the name, address, or ownership, or other change in operations 

affecting its status as an exhibitor, carrier, or intermediate handler, within 10 

days after making such change.

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

for a period of at least 2 years may be placed in an inactive status by making 

a written request to the AC Regional Director a registrant shall notify the 

AC Regional Director in writing at least 10 days before using, handling, or 

transporting animals again after being in an inactive status.

Animal Welfare Regulations, USDA § 2.27
54

PART 2

Subpart B

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

as a carrier, intermediate handler, or exhibitor, or which changes its method of 

operation so that it no longer uses, handles, or transports animals, and which 

does not plan to use, handle, or transport animals again at any time in the 

future, may have its registration canceled by making a written request to the 

AC Regional Director. The former registrant is responsible for reregistering 

and demonstrating its compliance with the Act and regulations should it start 

using, handling, or transporting animals at any time after its registration is 

canceled.

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

§ 2.27 9 CFR AWR (1-1-16 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 

register with the Secretary by completing and filing a properly executed form 

which will be furnished, upon request, by the AC Regional Director. The 

registration form shall be filed with the AC Regional Director for the State 

in which the research facility has its principal place of business, and shall be 

updated every 3 years by the completion and filing of a new registration form 

which will be provided by the AC Regional Director. Except as provided in 

paragraph (a)(2) of this section, where a school or department of a university 

or college uses or intends to use live animals for research, tests, experiments, 

or teaching, the university or college rather than the school or department 

will be considered the research facility and will be required to register with 

the Secretary. An official who has the legal authority to bind the parent 

organization shall sign the registration form.

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

college demonstrates to the Secretary that it is a separate legal entity and its 

operations and administration are independent of those of the university or 

college, the school or department will be registered rather than the university 

or college.

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

corporation, will be registered as a research facility unless the subsidiary 

is under such direct control of the parent corporation that the Secretary 

determines that it is necessary that the parent corporation be registered to 

effectuate the purposes of the Act.

(b) Acknowledgment of regulations and standards. APHIS will supply a 

copy of the regulations and standards in this subchapter with each registration 

form. The research facility shall acknowledge receipt of and shall agree to 

comply with the regulations and standards by signing a form provided for this 

purpose by APHIS, and by filing it with the AC Regional Director.

(c) Notification of change of operation.

 (1) A research facility shall notify the AC Regional Director by certified 

mail of any change in the name, address, or ownership, or other change in 

operations affecting its status as a research facility, within 10 days after 

making such change.

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

animals for a period of at least 2 years may be placed in an inactive status 

by making a written request to the AC Regional Director. A research facility 

shall file an annual report of its status (active or inactive). A research facility 

shall notify the AC Regional Director in writing at least 10 days before using, 

handling, or transporting animals again after being in an inactive status.

Animal Welfare Regulations, USDA § 2.30
56

PART 2

Subpart C

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

function as a research facility, or which changes its method of operation 

so that it no longer uses, handles, or transports animals, and which does 

not plan to use, handle, or transport animals at any time in the future, 

may have its registration canceled by making a written request to the AC 

Regional Director. The research facility is responsible for reregistering and 

demonstrating its compliance with the Act and regulations should it start 

using, handling, or transporting animals at any time after its registration is 

canceled.

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

verbally abuse), or harass any APHIS official who is in the course of carrying 

out his or her duties.

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

FR 42101, July 14, 2004]

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

(a) The Chief Executive Officer of the research facility shall appoint an 

Institutional Animal Care and Use Committee (IACUC), qualified through 

the experience and expertise of its members to assess the research facility’s 

animal program, facilities, and procedures. Except as specifically authorized 

by law or these regulations, nothing in this part shall be deemed to permit the 

Committee or IACUC to prescribe methods or set standards for the design, 

performance, or conduct of actual research or experimentation by a research 

facility.

(b) IACUC membership.

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

Executive Officer of the research facility;

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

additional members;

 (3) Of the members of the Committee:

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

training or experience in laboratory animal science and medicine, who has 

direct or delegated program responsibility for activities involving animals at 

the research facility;

 (ii) At least one shall not be affiliated in any way with the facility 

other than as a member of the Committee, and shall not be a member of the 

immediate family of a person who is affiliated with the facility. The Secretary 

intends that such person will provide representation for general community 

interests in the proper care and treatment of animals;

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

than three members shall be from the same administrative unit of the facility.

§ 2.31 9 CFR AWR (1-1-16 Edition)
57

PART 2

Subpart C

(c) IACUC functions. With respect to activities involving animals, the 

IACUC, as an agent of the research facility, shall:

 (1) Review, at least once every six months, the research facility’s 

program for humane care and use of animals, using title 9, chapter I, 

subchapter A – Animal Welfare, as a basis for evaluation;

 (2) Inspect, at least once every six months, all of the research facility’s 

animal facilities, including animal study areas, using title 9, chapter I, 

subchapter A-Animal Welfare, as a basis for evaluation; Provided, however,

That animal areas containing free-living wild animals in their natural habitat 

need not be included in such inspection;

 (3) Prepare reports of its evaluations conducted as required by 

paragraphs (c)(1) and (2) of this section, and submit the reports to the 

Institutional Official of the research facility; Provided, however, That the 

IACUC may determine the best means of conducting evaluations of the 

research facility’s programs and facilities; and Provided, further, That no 

Committee member wishing to participate in any evaluation conducted 

under this subpart may be excluded. The IACUC may use subcommittees 

composed of at least two Committee members and may invite ad hoc 

consultants to assist in conducting the evaluations, however, the IACUC 

remains responsible for the evaluations and reports as required by the Act 

and regulations. The reports shall be reviewed and signed by a majority of 

the IACUC members and must include any minority views. The reports 

shall be updated at least once every six months upon completion of the 

required semiannual evaluations and shall be maintained by the research 

facility and made available to APHIS and to officials of funding Federal 

agencies for inspection and copying upon request. The reports must contain 

a description of the nature and extent of the research facility’s adherence 

to this subchapter, must identify specifically any departures from the 

provisions of title 9, chapter I, subchapter A – Animal Welfare, and must 

state the reasons for each departure. The reports must distinguish significant 

deficiencies from minor deficiencies. A significant deficiency is one which, 

with reference to Subchapter A, and, in the judgment of the IACUC and 

the Institutional Official, is or may be a threat to the health or safety of the 

animals. If program or facility deficiencies are noted, the reports must contain 

a reasonable and specific plan and schedule with dates for correcting each 

deficiency. Any failure to adhere to the plan and schedule that results in a 

significant deficiency remaining uncorrected shall be reported in writing 

within 15 business days by the IACUC, through the Institutional Official, to 

APHIS and any Federal agency funding that activity;

 (4) Review, and, if warranted, investigate concerns involving the care 

and use of animals at the research facility resulting from public complaints 

Animal Welfare Regulations, USDA § 2.31
58

PART 2

Subpart C

received and from reports of noncompliance received from laboratory or 

research facility personnel or employees;

 (5) Make recommendations to the Institutional Official regarding 

any aspect of the research facility’s animal program, facilities, or personnel 

training;

 (6) Review and approve, require modifications in (to secure approval), 

or withhold approval of those components of proposed activities related to 

the care and use of animals, as specified in paragraph (d) of this section;

 (7) Review and approve, require modifications in (to secure approval), 

or withhold approval of proposed significant changes regarding the care and 

use of animals in ongoing activities; and

 (8) Be authorized to suspend an activity involving animals in 

accordance with the specifications set forth in paragraph (d)(6) of this section.

(d) IACUC review of activities involving animals. 

 (1) In order to approve proposed activities or proposed significant 

changes in ongoing activities, the IACUC shall conduct a review of those 

components of the activities related to the care and use of animals and 

determine that the proposed activities are in accordance with this subchapter 

unless acceptable justification for a departure is presented in writing; 

Provided, however, That field studies as defined in part 1 of this subchapter 

are exempt from this requirement. Further, the IACUC shall determine that 

the proposed activities or significant changes in ongoing activities meet the 

following requirements:

 (i) Procedures involving animals will avoid or minimize discomfort, 

distress, and pain to the animals;

 (ii) The principal investigator has considered alternatives to 

procedures that may cause more than momentary or slight pain or distress to 

the animals, and has provided a written narrative description of the methods 

and sources, e.g., the Animal Welfare Information Center, used to determine 

that alternatives were not available;

 (iii) The principal investigator has provided written assurance that 

the activities do not unnecessarily duplicate previous experiments;

 (iv) Procedures that may cause more than momentary or slight pain 

or distress to the animals will:

 (A) Be performed with appropriate sedatives, analgesics or 

anesthetics, unless withholding such agents is justified for scientific reasons, 

in writing, by the principal investigator and will continue for only the 

necessary period of time;

 (B) Involve, in their planning, consultation with the attending 

veterinarian or his or her designee;

 (C) Not include the use of paralytics without anesthesia;

§ 2.31 9 CFR AWR (1-1-16 Edition)
59

PART 2

Subpart C

 (v) Animals that would otherwise experience severe or chronic pain 

or distress that cannot be relieved will be painlessly euthanized at the end of 

the procedure or, if appropriate, during the procedure;

 (vi) The animals’ living conditions will be appropriate for their 

species in accordance with part 3 of this subchapter, and contribute to their 

health and comfort. The housing, feeding, and nonmedical care of the animals 

will be directed by the attending veterinarian or other scientist trained 

and experienced in the proper care, handling, and use of the species being 

maintained or studied;

 (vii) Medical care for animals will be available and provided as 

necessary by a qualified veterinarian;

 (viii) Personnel conducting procedures on the species being 

maintained or studied will be appropriately qualified and trained in those 

procedures;

 (ix) Activities that involve surgery include appropriate provision 

for pre-operative and post-operative care of the animals in accordance with 

established veterinary medical and nursing practices. All survival surgery 

will be performed using aseptic procedures, including surgical gloves, masks, 

sterile instruments, and aseptic techniques. Major operative procedures on 

non-rodents will be conducted only in facilities intended for that purpose 

which shall be operated and maintained under aseptic conditions. Nonmajor operative procedures and all surgery on rodents do not require a 

dedicated facility, but must be performed using aseptic procedures. Operative 

procedures conducted at field sites need not be performed in dedicated 

facilities, but must be performed using aseptic procedures;

 (x) No animal will be used in more than one major operative 

procedure from which it is allowed to recover, unless:

 (A) Justified for scientific reasons by the principal investigator, in 

writing;

 (B) Required as routine veterinary procedure or to protect 

the health or well-being of the animal as determined by the attending 

veterinarian; or

 (C) In other special circumstances as determined by the 

Administrator on an individual basis. Written requests and supporting data 

should be sent to the Animal and Plant Health Inspection Service, Animal 

Care, 4700 River Road, Unit 84, Riverdale, Maryland 20737-1234;

 (xi) Methods of euthanasia used must be in accordance with the 

definition of the term set forth in 9 CFR part 1, § 1.1 of this subchapter, 

unless a deviation is justified for scientific reasons, in writing, by the 

investigator.

 (2) Prior to IACUC review, each member of the Committee shall 

be provided with a list of proposed activities to be reviewed. Written 

Animal Welfare Regulations, USDA § 2.31
60

PART 2

Subpart C

descriptions of all proposed activities that involve the care and use of animals 

shall be available to all IACUC members, and any member of the IACUC 

may obtain, upon request, full Committee review of those activities. If full 

Committee review is not requested, at least one member of the IACUC, 

designated by the chairman and qualified to conduct the review, shall review 

those activities, and shall have the authority to approve, require modifications 

in (to secure approval), or request full Committee review of any of those 

activities. If full Committee review is requested for a proposed activity, 

approval of that activity may be granted only after review, at a convened 

meeting of a quorum of the IACUC, and with the approval vote of a majority 

of the quorum present. No member may participate in the IACUC review or 

approval of an activity in which that member has a conflicting interest (e.g., is 

personally involved in the activity), except to provide information requested 

by the IACUC, nor may a member who has a conflicting interest contribute to 

the constitution of a quorum;

 (3) The IACUC may invite consultants to assist in the review of 

complex issues arising out of its review of proposed activities. Consultants 

may not approve or withhold approval of an activity, and may not vote with 

the IACUC unless they are also members of the IACUC;

 (4) The IACUC shall notify principal investigators and the research 

facility in writing of its decision to approve or withhold approval of those 

activities related to the care and use of animals, or of modifications required 

to secure IACUC approval. If the IACUC decides to withhold approval 

of an activity, it shall include in its written notification a statement of the 

reasons for its decision and give the principal investigator an opportunity to 

respond in person or in writing. The IACUC may reconsider its decision, with 

documentation in Committee minutes, in light of the information provided by 

the principal investigator;

 (5) The IACUC shall conduct continuing reviews of activities covered 

by this subchapter at appropriate intervals as determined by the IACUC, but 

not less than annually;

 (6) The IACUC may suspend an activity that it previously approved 

if it determines that the activity is not being conducted in accordance with 

the description of that activity provided by the principal investigator and 

approved by the Committee. The IACUC may suspend an activity only after 

review of the matter at a convened meeting of a quorum of the IACUC and 

with the suspension vote of a majority of the quorum present;

 (7) If the IACUC suspends an activity involving animals, the 

Institutional Official, in consultation with the IACUC, shall review the 

reasons for suspension, take appropriate corrective action, and report that 

action with a full explanation to APHIS and any Federal agency funding that 

activity; and

§ 2.31 9 CFR AWR (1-1-16 Edition)
61

PART 2

Subpart C

 (8) Proposed activities and proposed significant changes in ongoing 

activities that have been approved by the IACUC may be subject to further 

appropriate review and approval by officials of the research facility. However, 

those officials may not approve an activity involving the care and use of 

animals if it has not been approved by the IACUC.

(e) A proposal to conduct an activity involving animals, or to make a 

significant change in an ongoing activity involving animals, must contain the 

following:

 (1) Identification of the species and the approximate number of animals 

to be used;

 (2) A rationale for involving animals, and for the appropriateness of the 

species and numbers of animals to be used;

 (3) A complete description of the proposed use of the animals;

 (4) A description of procedures designed to assure that discomfort and 

pain to animals will be limited to that which is unavoidable for the conduct of 

scientifically valuable research, including provision for the use of analgesic, 

anesthetic, and tranquilizing drugs where indicated and appropriate to 

minimize discomfort and pain to animals; and

 (5) A description of any euthanasia method to be used.

[54 FR 36147, 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 

scientists, research technicians, animal technicians, and other personnel 

involved in animal care, treatment, and use are qualified to perform their 

duties. This responsibility shall be fulfilled in part through the provision of 

training and instruction to those personnel.

(b) Training and instruction shall be made available, and the qualifications 

of personnel reviewed, with sufficient frequency to fulfill the research 

facility’s responsibilities under this section and § 2.31.

(c) Training and instruction of personnel must include guidance in at least 

the following areas:

 (1) Humane methods of animal maintenance and experimentation, 

including:

 (i) The basic needs of each species of animal;

 (ii) Proper handling and care for the various species of animals used 

by the facility;

 (iii) Proper pre-procedural and post-procedural care of animals; and

 (iv) Aseptic surgical methods and procedures;

Animal Welfare Regulations, USDA § 2.32
62

PART 2

Subpart C

 (2) The concept, availability, and use of research or testing methods 

that limit the use of animals or minimize animal distress;

 (3) Proper use of anesthetics, analgesics, and tranquilizers for any 

species of animals used by the facility;

 (4) Methods whereby deficiencies in animal care and treatment are 

reported, including deficiencies in animal care and treatment reported by 

any employee of the facility. No facility employee, Committee member, 

or laboratory personnel shall be discriminated against or be subject to any 

reprisal for reporting violations of any regulation or standards under the Act;

 (5) Utilization of services (e.g., National Agricultural Library, National 

Library of Medicine) available to provide information:

 (i) On appropriate methods of animal care and use;

 (ii) On alternatives to the use of live animals in research;

 (iii) That could prevent unintended and unnecessary duplication of 

research involving animals; and

 (iv) Regarding the intent and requirements of the Act.

§ 2.33 - Attending veterinarian and adequate veterinary care.

(a) Each research facility shall have an attending veterinarian who shall 

provide adequate veterinary care to its animals in compliance with this 

section:

 (1) Each research facility shall employ an attending veterinarian under 

formal arrangements. In the case of a part-time attending veterinarian or 

consultant arrangements, the formal arrangements shall include a written 

program of veterinary care and regularly scheduled visits to the research 

facility;

 (2) Each research facility shall assure that the attending veterinarian has 

appropriate authority to ensure the provision of adequate veterinary care and 

to oversee the adequacy of other aspects of animal care and use; and

 (3) The attending veterinarian shall be a voting member of the IACUC; 

Provided, however, That a research facility with more than one Doctor of 

Veterinary Medicine (DVM) may appoint to the IACUC another DVM 

with delegated program responsibility for activities involving animals at the 

research facility.

(b) Each research facility shall establish and maintain programs of 

adequate veterinary care that include:

 (1) The availability of appropriate facilities, personnel, equipment, and 

services to comply with the provisions of this subchapter;

 (2) The use of appropriate methods to prevent, control, diagnose, and 

treat diseases and injuries, and the availability of emergency, weekend, and 

holiday care;

§ 2.33 9 CFR AWR (1-1-16 Edition)
63

PART 2

Subpart C

 (3) Daily observation of all animals to assess their health and 

well-being; Provided, however, That daily observation of animals may 

be accomplished by someone other than the attending veterinarian; and 

Provided, further, That a mechanism of direct and frequent communication 

is required so that timely and accurate information on problems of animal 

health, behavior, and well-being is conveyed to the attending veterinarian;

 (4) Guidance to principal investigators and other personnel involved in 

the care and use of animals regarding handling, immobilization, anesthesia, 

analgesia, tranquilization, and euthanasia; and

 (5) Adequate pre-procedural and post-procedural care in accordance 

with current established veterinary medical and nursing procedures.

§ 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, 

activities of the Committee, and Committee deliberations;

 (2) Records of proposed activities involving animals and proposed 

significant changes in activities involving animals, and whether IACUC 

approval was given or withheld; and

 (3) Records of semiannual IACUC reports and recommendations 

(including minority views), prepared in accordance with the requirements of 

§ 2.31(c)(3) of this subpart, and forwarded to the Institutional Official.

(b) Every research facility shall make, keep, and maintain records or forms 

which fully and correctly disclose the following information concerning each 

live dog or cat purchased or otherwise acquired, owned, held, or otherwise 

in their possession or under their control, transported, euthanized, sold, or 

otherwise disposed of by the research facility. The records shall include any 

offspring born of any animal while in the research facility’s possession or 

under its control:

 (1) The name and address of the person from whom a dog or cat was 

purchased or otherwise acquired, whether or not the person is required to be 

licensed or registered under the Act;

 (2) The USDA license or registration number of the person if he or she 

is licensed or registered under the Act;

 (3) The vehicle license number and State, and the driver’s license 

number (or photographic identification card for non-drivers issued by a State) 

and State of the person, if he or she is not licensed or registered under the 

Act;

 (4) The date of acquisition of each dog or cat;

Animal Welfare Regulations, USDA § 2.35
64

PART 2

Subpart C

 (5) The official USDA tag number or tattoo assigned to each dog or cat 

under § 2.38(g) of this subpart;

 (6) A description of each dog or cat which shall include:

 (i) The species and breed or type of animal;

 (ii) The sex;

 (iii) The date of birth or approximate age; and

 (iv) The color and any distinctive markings;

 (7) Any identification number or mark assigned to each dog or cat by 

the research facility;

 (8) If dogs or cats are acquired from any person not licensed or 

registered under the Act and not a pound or shelter, the research facility must 

obtain a certification that the animals were born and raised on the person’s 

premises and that the person has sold fewer than 25 dogs and/or cats that 

year.

(c) In addition to the information required to be kept and maintained by 

every research facility concerning each live dog or cat under paragraph (a) 

of this section, every research facility transporting, selling, or otherwise 

disposing of any live dog or cat to another person, shall make and 

maintain records or forms which fully and correctly disclose the following 

information:

 (1) The name and address of the person to whom a live dog or cat is 

transported, sold, or otherwise disposed of;

 (2) The date of transportation, sale, euthanasia, or other disposition of 

the animal; and

 (3) The method of transportation, including the name of the initial 

carrier or intermediate handler, or if a privately owned vehicle is used to 

transport the dog or cat, the name of the owner of the privately owned 

vehicle.

(d)(1) The USDA Interstate and International Certificate of Health 

Examination for Small Animals (APHIS Form 7001) and Record of 

Acquisition and Dogs and Cats on Hand (APHIS Form 7005) are forms 

which may be used by research facilities to keep and maintain the 

information required by paragraph (b) of this section.

 (2) The USDA Interstate and International Certificate of Health 

Examination for Small Animals (APHIS Form 7001) and Record of 

Disposition of Dogs and Cats (APHIS Form 7006) are forms which may be 

used by research facilities to keep and maintain the information required by 

paragraph (c) of this section.

(e) One copy of the record containing the information required by 

paragraphs (b) and (c) of this section shall accompany each shipment of any 

live dog or cat sold or otherwise disposed of by a research facility; Provided, 

however, That, except as provided in § 2.133 of this part, information that 

§ 2.35 9 CFR AWR (1-1-16 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.

(f) All records and reports shall be maintained for at least three years. 

Records that relate directly to proposed activities and proposed significant 

changes in ongoing activities reviewed and approved by the IACUC shall be 

maintained for the duration of the activity and for an additional three years 

after completion of the activity. All records shall be available for inspection 

and copying by authorized APHIS or funding Federal agency representatives 

at reasonable times. APHIS inspectors will maintain the confidentiality of the 

information and will not remove the materials from the research facilities’ 

premises unless there has been an alleged violation, they are needed to 

investigate a possible violation, or for other enforcement purposes. Release 

of any such materials, including reports, summaries, and photographs that 

contain trade secrets or commercial or financial information that is privileged 

or confidential will be governed by applicable sections of the Freedom of 

Information Act. Whenever the Administrator notifies a research facility 

in writing that specified records shall be retained pending completion of 

an investigation or proceeding under the Act, the research facility shall 

hold those records until their disposition is authorized in writing by the 

Administrator.

(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 

that department, agency, or instrumentality of the United States, that uses or 

intends to use live animals in research, tests, experiments, or for teaching. 

Each reporting facility shall submit an annual report to the AC Regional 

Director for the State where the facility is located on or before December 1 

of each calendar year. The report shall be signed and certified by the CEO or 

Institutional Official, and shall cover the previous Federal fiscal year.

(b) The annual report shall:

 (1) Assure that professionally acceptable standards governing the 

care, treatment, and use of animals, including appropriate use of anesthetic, 

analgesic, and tranquilizing drugs, prior to, during, and following actual 

Animal Welfare Regulations, USDA § 2.36
66

PART 2

Subpart C

research, teaching, testing, surgery, or experimentation were followed by the 

research facility;

 (2) Assure that each principal investigator has considered alternatives to 

painful procedures;

 (3) Assure that the facility is adhering to the standards and regulations 

under the Act, and that it has required that exceptions to the standards and 

regulations be specified and explained by the principal investigator and 

approved by the IACUC. A summary of all such exceptions must be attached 

to the facility’s annual report. In addition to identifying the IACUC-approved 

exceptions, this summary must include a brief explanation of the exceptions, 

as well as the species and number of animals affected;

 (4) State the location of all facilities where animals were housed or 

used in actual research, testing, teaching, or experimentation, or held for 

these purposes;

 (5) State the common names and the numbers of animals upon which 

teaching, research, experiments, or tests were conducted involving no pain, 

distress, or use of pain-relieving drugs. Routine procedures (e.g., injections, 

tattooing, blood sampling) should be reported with this group;

 (6) State the common names and the numbers of animals upon which 

experiments, teaching, research, surgery, or tests were conducted involving 

accompanying pain or distress to the animals and for which appropriate 

anesthetic, analgesic, or tranquilizing drugs were used;

 (7) State the common names and the numbers of animals upon which 

teaching, experiments, research, surgery, or tests were conducted involving 

accompanying pain or distress to the animals and for which the use of 

appropriate anesthetic, analgesic, or tranquilizing drugs would have adversely 

affected the procedures, results, or interpretation of the teaching, research, 

experiments, surgery, or tests. An explanation of the procedures producing 

pain or distress in these animals and the reasons such drugs were not used 

shall be attached to the annual report;

 (8) State the common names and the numbers of animals being bred, 

conditioned, or held for use in teaching, testing, experiments, research, or 

surgery but not yet used for such purposes.

[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 

and Use Committee which shall have the same composition, duties, and 

responsibilities required of nonfederal research facilities by § 2.31 with the 

following exceptions:

§ 2.37 9 CFR AWR (1-1-16 Edition)
67

PART 2

Subpart C

(a) The Committee shall report deficiencies to the head of the Federal 

agency conducting the research rather than to APHIS; and

(b) The head of the Federal agency conducting the research shall be 

responsible for all corrective action to be taken at the facility and for the 

granting of all exceptions to inspection protocol.

§ 2.38 - Miscellaneous.

(a) Information as to business: furnishing of same by research facilities.

Each research facility shall furnish to any APHIS official any information 

concerning the business of the research facility which the APHIS official may 

request in connection with the enforcement of the provisions of the Act, the 

regulations, and the standards in this subchapter. The information shall be 

furnished within a reasonable time and as may be specified in the request for 

information.

(b) Access and inspection of records and property.

 (1) Each research facility shall, during business hours, allow APHIS 

officials:

 (i) To enter its place of business;

 (ii) To examine records required to be kept by the Act and the 

regulations in this part;

 (iii) To make copies of the records;

 (iv) To inspect the facilities, property, and animals, as the APHIS 

officials consider necessary to enforce the provisions of the Act, the 

regulations, and the standards in this subchapter; and

 (v) To document, by the taking of photographs and other means, 

conditions and areas of noncompliance.

 (2) The use of a room, table or other facilities necessary for the proper 

examination of the records and for inspection of the property or animals shall 

be extended to APHIS officials by the research facility.

(c) Publication of names of research facilities subject to the provisions 

of this part. APHIS will publish lists of research facilities registered in 

accordance with the provisions of this subpart in the FEDERAL REGISTER. 

The lists may be obtained upon request from the AC Regional Director.

(d) Inspection for missing animals. Each research facility shall allow, 

upon request and during business hours, police or officers of other law 

enforcement agencies with general law enforcement authority (not those 

agencies whose duties are limited to enforcement of local animal regulations) 

to enter its place of business to inspect animals and records for the purpose of 

seeking animals that are missing, under the following conditions:

 (1) The police or other law officer shall furnish to the research facility 

a written description of the missing animal and the name and address of its 

owner before making a search;

Animal Welfare Regulations, USDA § 2.38
68

PART 2

Subpart C

 (2) The police or other law officer shall abide by all security measures 

required by the research facility to prevent the spread of disease, including 

the use of sterile clothing, footwear, and masks where required, or to prevent 

the escape of an animal.

(e) Confiscation and destruction of animals.

 (1) If an animal being held by a research facility is not being used to 

carry out research, testing, or experimentation, and is found by an APHIS 

official to be suffering as a result of the failure of the research facility to 

comply with any provision of the regulations or the standards set forth 

in this subchapter, the APHIS official shall make a reasonable effort to 

notify the research facility of the condition of the animal(s) and request 

that the condition be corrected and that adequate care be given to alleviate 

the animal’s suffering or distress, or that the animal(s) be destroyed by 

euthanasia. In the event that the research facility refuses to comply with this 

request, the APHIS official may confiscate the animal(s) for care, treatment, 

or disposal as indicated in paragraph (e)(2) of this section, if, in the opinion 

of the Administrator, the circumstances indicate the animal’s health is in 

danger.

 (2) In the event that the APHIS official is unable to locate or notify 

the research facility as required in this section, the APHIS official shall 

contact a local police or other law officer to accompany him or her to the 

premises and shall provide for adequate care when necessary to alleviate the 

animal’s suffering. If, in the opinion of the Administrator, the condition of the 

animal(s) cannot be corrected by this temporary care, the APHIS official shall 

confiscate the animal(s).

 (3) Confiscated animals may be placed, by sale or donation, with other 

registrants or licensees that comply with the standards and regulations and 

can provide proper care, or they may be euthanized. The research facility 

from which the animals were confiscated shall bear all costs incurred in 

performing the placement or euthanasia activities authorized by this section.

(f) Handling.

 (1) Handling of all animals shall be done as expeditiously and carefully 

as possible in a manner that does not cause trauma, overheating, excessive 

cooling, behavioral stress, physical harm, or unnecessary discomfort.

 (2)(i) Physical abuse shall not be used to train, work, or otherwise 

handle animals.

 (ii) Deprivation of food or water shall not be used to train, work, 

or otherwise handle animals; Provided, however: That the short-term 

withholding of food or water from animals, when specified in an IACUCapproved activity that includes a description of monitoring procedures, is 

allowed by these regulations.

§ 2.38 9 CFR AWR (1-1-16 Edition)
69

PART 2

Subpart C

(g) Identification of dogs and cats.

 (1) All live dogs or cats, including those from any exempt source, 

delivered for transportation, transported, purchased or otherwise acquired. 

sold, or disposed of by a research facility, shall be identified at the time of 

such delivery for transportation, purchase, sale, disposal, or acquisition in one 

of the following ways:

 (i) By the official tag or tattoo which was affixed to the animal at the 

time it was acquired by the research facility, as required by this section; or

 (ii) By a tag, tattoo, or collar, applied to the live dog or cat by the 

research facility and which individually identifies the dog or cat by number.

 (2) All official tag or tattoo numbers shall be correctly listed in the 

records of purchase, acquisition, disposal, or sale which shall be maintained 

in accordance with § 2.35.

 (3) Unweaned puppies or kittens need not be individually identified 

while they are maintained as a litter with their dam in the same primary 

enclosure, provided the dam has been individually identified.

 (4) The official tag shall be made of a durable alloy such as brass, 

bronze, or steel, or of a durable plastic. Aluminum of a sufficient thickness 

to assure the tag is durable and legible may also be used. The tag may be 

circular in shape and not less than 11⁄4 inches in diameter, or oblong and flat 

in shape and not less than 2 inches by 3⁄4 inch, and riveted to an acceptable 

collar.

 (5) Each tag shall have the following information embossed or stamped 

on so that it is easily readable:

 (i) The letters “USDA”;

 (ii) Numbers identifying the State and dealer, exhibitor, or research 

facility (e.g., 39-AB); and

 (iii) Numbers identifying the animal (e.g., 82488).

 (6) Official tags shall be serially numbered and shall be applied to 

dogs or cats in the manner set forth in this section in as close to consecutive 

numerical order as possible. No tag number shall be used to identify more 

than one animal or shall be reused within a 5-year period.

 (7) Research facilities may obtain, at their own expense, official tags 

from commercial tag manufacturers.1 At the time the research facility is 

registered, the Department will assign identification letters and numbers to be 

used on the official tags.

 (8) Each research facility shall be held accountable for all official tags 

acquired. In the event an official tag is lost from a dog or cat while in the 

possession of a research facility, the facility shall make a diligent effort to 

locate and reapply the tag to the proper animal. If the lost tag is not located, 

Animal Welfare Regulations, USDA § 2.38

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.
70

PART 2

Subpart C

the research facility shall affix another official tag to the animal in the manner 

prescribed in this section and record the tag number on the official records.

 (9) When a dog or cat wearing or identified by an official tag arrives 

at a research facility, the facility may continue to use that tag to identify the 

dog or cat or the tag may be replaced as indicated in paragraph (g)(1) of this 

section. All tags removed by a research facility shall be retained and disposed 

of as indicated in this section.

 (10) Where a dog or cat to which is affixed or which is identified by an 

official tag is euthanized, or dies from other causes, the research facility shall 

remove and retain the tag for the required period, as set forth in paragraph (g)

(11) of this section.

 (11) All official tags removed and retained by a research facility shall 

be held until called for by an APHIS official or for a period of 1 year.

 (12) When official tags are removed from animals for disposal, the tags 

must be disposed of so as to preclude their reuse for animal identification. No 

animal identification number shall be used within any 5-year period following 

its previous use.

(h) Health certification.

 (1) No research facility, including a Federal research facility, shall 

deliver to any intermediate handler or carrier for transportation, in commerce, 

or shall transport in commerce any dog, cat, or nonhuman primate unless 

the dog, cat, or nonhuman primate is accompanied by a health certificate 

executed and issued by a licensed veterinarian. The health certificate shall 

state that:

 (i) The licensed veterinarian inspected the dog, cat, or nonhuman 

primate on a specified date which shall not be more than 10 days prior to the 

delivery of the dog, cat, or nonhuman primate for transportation; and

 (ii) When so inspected, the dog, cat, or nonhuman primate appeared 

to the licensed veterinarian to be free of any infectious disease or physical 

abnormality which would endanger the animal(s) or other animals or 

endanger public health.

 (2) The Secretary may provide exceptions to the health certification 

requirement on an individual basis for animals shipped to a research facility 

for purposes of research, testing, or experimentation when the research 

facility requires animals not eligible for certification. Requests should be 

addressed to the Animal and Plant Health Inspection Service, Animal Care, 

4700 River Road, Unit 84, Riverdale, Maryland 20737-1234.

 (3) The U.S. Interstate and International Certificate of Health 

Examination for Small Animals (APHIS Form 7001) may be used for health 

certification by a licensed veterinarian as required by this section.

§ 2.38 9 CFR AWR (1-1-16 Edition)
71

PART 2

Subpart C

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

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

animals: Provided, That:

 (1) The other person agrees, in writing, to comply with the regulations 

in this part and the standards in part 3 of this subchapter, and to allow 

inspection of the premises by an APHIS official during business hours;

 (2) The animals remain under the total control and responsibility of the 

research facility; and

 (3) The Institutional Official agrees, in writing, that the other person or 

premises is a recognized animal site under its research facility registration. 

APHIS Form 7009 shall be used for approval.

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

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

this section or must develop its own contingency plan in accordance with 

paragraph (l) of this section.

(j) Holding period. Research facilities that obtain dogs and cats from 

sources other than dealers, exhibitors, and exempt persons shall hold the 

animals for 5 full days, not including the day of acquisition, after acquiring 

the animal, excluding time in transit, before they may be used by the 

facility. Research facilities shall comply with the identification of animals 

requirements set forth in § 2.38(g) during this period.

(k) Compliance with standards and prohibitions.

 (1) Each research facility shall comply in all respects with the 

regulations set forth in subpart C of this part and the standards set forth in 

part 3 of this subchapter for the humane handling, care, treatment, housing, 

and transportation of animals; Provided, however, That exceptions to the 

standards in part 3 and the provisions of subpart C of this part may be made 

only when such exceptions are specified and justified in the proposal to 

conduct the activity and are approved by the IACUC.

 (2) No person shall obtain live dogs or cats by use of false pretenses, 

misrepresentation, or deception.

 (3) No person shall acquire, buy, sell, exhibit, use for research, 

transport, or offer for transportation, any stolen animal.

 (4) Each research facility shall comply with the regulations set forth in 

§ 2.133 of subpart I of this part.

(l) Contingency planning.

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

an appropriate plan to provide for the humane handling, treatment, 

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

emergency or disaster (one which could reasonably be anticipated and 

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

their possession). Such contingency plans must:

Animal Welfare Regulations, USDA § 2.38
72

PART 2

Subpart C

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

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

action including, but not limited to, emergencies such as electrical outages, 

faulty HVAC systems, fires, and animal escapes, as well as natural disasters 

the facility is most likely to experience.

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

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

animal evacuation instructions or shelter-in-place instructions and provisions 

for providing backup sources of food and water as well as sanitation, 

ventilation, bedding, veterinary care, etc.;

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

title) will be responsible for fulfilling these tasks; and

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

materials, resources, and training needed.

 (2) For current registrants, the contingency plan must be in place 

by July 29, 2013. For research facilities registered after this date, the 

contingency plan must be in place prior to conducting regulated activities. 

The plan must be reviewed by the research facility on at least an annual basis 

to ensure that it adequately addresses the criteria listed in paragraph (l)(1) 

of this section. Each registrant must maintain documentation of their annual 

reviews, including documenting any amendments or changes made to their 

plan since the previous year’s review, such as changes made as a result of 

recently predicted, but historically unforeseen, circumstances (e.g., weather 

extremes). Contingency plans, as well as all annual review documentation 

and training records, must be made available to APHIS and any funding 

Federal agency representatives upon request. Facilities maintaining or 

otherwise handling marine mammals in captivity must also comply with the 

requirements of § 3.101(b) of this subchapter.

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

successful completion of training for its personnel regarding their roles and 

responsibilities as outlined in the plan. For current registrants, training of 

facility personnel must be completed by September 27, 2013; for research 

facilities registered after July 29, 2013, training of facility personnel must 

be completed within 60 days of the facility putting its contingency plan in 

place. Employees hired 30 days or more before the contingency plan is put 

in place must also be trained by that date. For employees hired less than 30 

days before that date or after that date, training must be conducted within 

30 days of their start date. Any changes to the plan as a result of the annual 

review must be communicated to employees through training which must be 

conducted within 30 days of making the changes.

§ 2.38 9 CFR AWR (1-1-16 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 (1-1-16 Edition)
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 

shall provide adequate veterinary care to its animals in compliance with this 

section.

 (1) Each dealer and exhibitor shall employ an attending veterinarian 

under formal arrangements. In the case of a part-time attending veterinarian 

or consultant arrangements, the formal arrangements shall include a written 

program of veterinary care and regularly scheduled visits to the premises of 

the dealer or exhibitor; and

 (2) Each dealer and exhibitor shall assure that the attending veterinarian 

has appropriate authority to ensure the provision of adequate veterinary care 

and to oversee the adequacy of other aspects of animal care and use.

(b) Each dealer or exhibitor shall establish and maintain programs of 

adequate veterinary care that include:

 (1) The availability of appropriate facilities, personnel, equipment, and 

services to comply with the provisions of this subchapter;

 (2) The use of appropriate methods to prevent, control, diagnose, and 

treat diseases and injuries, and the availability of emergency, weekend, and 

holiday care;

 (3) Daily observation of all animals to assess their health and 

well-being; Provided, however, That daily observation of animals may 

be accomplished by someone other than the attending veterinarian; and 

Provided, further, That a mechanism of direct and frequent communication 

is required so that timely and accurate information on problems of animal 

health, behavior, and well-being is conveyed to the attending veterinarian;

 (4) Adequate guidance to personnel involved in the care and use 

of animals regarding handling, immobilization, anesthesia, analgesia, 

tranquilization, and euthanasia; and

 (5) Adequate pre-procedural and post-procedural care in accordance 

with established veterinary medical and nursing procedures.

Animal Welfare Regulations, USDA § 2.40
76

 9 CFR AWR (1-1-16 Edition)
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 

premises as follows:

 (1) All live dogs and cats held on the premises, purchased, or otherwise 

acquired, sold or otherwise disposed of, or removed from the premises for 

delivery to a research facility or exhibitor or to another dealer, or for sale, 

through an auction sale or to any person for use as a pet, shall be identified 

by an official tag of the type described in § 2.51 affixed to the animal’s neck 

by means of a collar made of material generally considered acceptable to pet 

owners as a means of identifying their pet dogs or cats2

, or shall be identified 

by a distinctive and legible tattoo marking acceptable to and approved by the 

Administrator.

 (2) Live puppies or kittens, less than 16 weeks of age, shall be 

identified by:

 (i) An official tag as described in § 2.51;

 (ii) A distinctive and legible tattoo marking approved by the 

Administrator; or

 (iii) A plastic-type collar acceptable to the Administrator which has 

legibly placed thereon the information required for an official tag pursuant to 

§ 2.51.

(b) A class “B” dealer shall identify all live dogs and cats under his or her 

control or on his or her premises as follows:

 (1) When live dogs or cats are held, purchased, or otherwise acquired, 

they shall be immediately identified:

 (i) By affixing to the animal’s neck an official tag as set forth in § 

2.51 by means of a collar made of material generally acceptable to pet owners 

as a means of identifying their pet dogs or cats3; or

 (ii) By a distinctive and legible tattoo marking approved by the 

Administrator.

 (2) If any live dog or cat is already identified by an official tag or tattoo 

which has been applied by another dealer or exhibitor, the dealer or exhibitor 

who purchases or otherwise acquires the animal may continue identifying 

the dog or cat by the previous identification number, or may replace the 

previous tag with his own official tag or approved tattoo. In either case, 

the class B dealer or class C exhibitor shall correctly list all old and new 

Animal Welfare Regulations, USDA § 2.50

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.

3 See footnote 2 in § 2.50(a)(1).
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) Live puppies or kittens less than 16 weeks of age, shall be identified 

by:

 (i) An official tag as described in § 2.51;

 (ii) A distinctive and legible tattoo marking approved by the 

Administrator; or

 (iii) A plastic-type collar acceptable to the Administrator which has 

legibly placed thereon the information required for an official tag pursuant to 

§ 2.51.

 (4) When any dealer has made a reasonable effort to affix an official 

tag to a cat, as set forth in paragraphs (a) and (b) of this section, and has been 

unable to do so, or when the cat exhibits serious distress from the attachment 

of a collar and tag, the dealer shall attach the collar and tag to the door of the 

primary enclosure containing the cat and take measures adequate to maintain 

the identity of the cat in relation to the tag. Each primary enclosure shall 

contain no more than one weaned cat without an affixed collar and official 

tag, unless the cats are identified by a distinctive and legible tattoo or plastictype collar approved by the Administrator.

(c) A class “C” exhibitor shall identify all live dogs and cats under his or 

her control or on his or her premises, whether held, purchased, or otherwise 

acquired:

 (1) As set forth in paragraph (b)(1) or (b)(3) of this section, or

 (2) By identifying each dog or cat with:

 (i) An official USDA sequentially numbered tag that is kept on the 

door of the animal’s cage or run;

 (ii) A record book containing each animal’s tag number, a written 

description of each animal, the data required by § 2.75(a), and a clear 

photograph of each animal; and

 (iii) A duplicate tag that accompanies each dog or cat whenever it 

leaves the compound or premises.

(d) Unweaned puppies or kittens need not be individually identified as 

required by paragraphs (a) and (b) of this section while they are maintained 

as a litter with their dam in the same primary enclosure, provided the dam has 

been individually identified.

(e)(1) All animals, except dogs and cats, delivered for transportation, 

transported, purchased, sold, or otherwise acquired or disposed of by any 

dealer or exhibitor shall be identified by the dealer or exhibitor at the time 

of delivery for transportation, purchase, sale, acquisition or disposal, as 

provided for in this paragraph and in records maintained as required in §§ 

2.75 and 2.77.

§ 2.50 9 CFR AWR (1-1-16 Edition)
79

PART 2

Subpart E

 (2) When one or more animals, other than dogs or cats, are confined in 

a primary enclosure, the animal(s) shall be identified by:

 (i) A label attached to the primary enclosure which shall bear a 

description of the animals in the primary enclosure, including:

 (A) The number of animals;

 (B) The species of the animals;

 (C) Any distinctive physical features of the animals; and

 (D) Any identifying marks, tattoos, or tags attached to the 

animals;

 (ii) Marking the primary enclosure with a painted or stenciled 

number which shall be recorded in the records of the dealer or exhibitor 

together with:

 (A) A description of the animal(s);

 (B) The species of the animal(s); and

 (C) Any distinctive physical features of the animal(s); or

 (iii) A tag or tattoo applied to each animal in the primary enclosure 

by the dealer or exhibitor which individually identifies each animal by 

description or number.

 (3) When any animal, other than a dog or cat, is not confined in 

a primary enclosure, it shall be identified on a record, as required by § 

2.75, which shall accompany the animal at the time it is delivered for 

transportation, transported, purchased, or sold, and shall be kept and 

maintained by the dealer or exhibitor as part of his or her records.

§ 2.51 - Form of official tag.

(a) The official tag shall be made of a durable alloy such as brass, bronze, 

or steel, or of a durable plastic. Aluminum of a sufficient thickness to assure 

the tag is durable and legible may also be used. The tag shall be one of the 

following shapes:

 (1) Circular in shape and not less than 11⁄4 inches in diameter, or

 (2) Oblong and flat in shape, not less than 2 inches by 3⁄4 inch and 

riveted to an acceptable collar.

(b) Each tag shall have the following information embossed or stamped on 

so that it is easily readable:

 (1) The letters “USDA”;

 (2) Numbers identifying the State and dealer, exhibitor, or research 

facility (e.g., 39-AB); and

 (3) Numbers identifying the animal (e.g., 82488).

(c) Official tags shall be serially numbered. No individual dealer or 

exhibitor shall use any identification tag number more than once within a 

5-year period.

Animal Welfare Regulations, USDA § 2.51
80

PART 2

Subpart E

§ 2.52 - How to obtain tags.

Dealers or exhibitors may obtain, at their own expense, official tags from 

commercial tag manufacturers.4 At the time the dealer or exhibitor is issued 

a license or is registered, the Department will assign identification letters and 

numbers and inform them of the identification letters and numbers to be used 

on the official tags.

[54 FR 36147, Aug. 31, 1989, as amended at 63 FR 62927, Nov. 10, 1998]

§ 2.53 - Use of tags.

Official tags obtained by a dealer, exhibitor, or research facility, shall 

be applied to dogs or cats in the manner set forth in § 2.50 and in as close 

to consecutive numerical order as possible. No tag number shall be used to 

identify more than one animal. No number shall be repeated within a 5-year 

period.

§ 2.54 - Lost tags.

Each dealer or exhibitor shall be held accountable for all official tags 

acquired. In the event an official tag is lost from a dog or cat while in the 

possession of a dealer or exhibitor, the dealer or exhibitor shall make a 

diligent effort to locate and reapply the tag to the proper animal. If the lost 

tag is not located, the dealer or exhibitor shall affix another official tag to the 

animal in the manner prescribed in § 2.50, and record the tag number on the 

official records.

§ 2.55 - Removal and disposal of tags.

(a) Where a dog or cat to which is affixed or which is identified by an 

official tag is euthanized, or dies from other causes, the dealer or exhibitor 

shall remove and retain the tag for the required period, as set forth in 

paragraph (b) of this section.

(b) All official tags removed and retained by a dealer or exhibitor shall be 

held until called for by an APHIS official or for a period of 1 year.

(c) When official tags are removed from animals for disposal, the tags 

must be disposed of so as to preclude their reuse for animal identification. No 

animal identification number shall be used within any 5-year period following 

its previous use.

§ 2.52 9 CFR AWR (1-1-16 Edition)

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.
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 

transportation, any stolen animal.

Animal Welfare Regulations, USDA § 2.60
82

 9 CFR AWR (1-1-16 Edition)
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 

whom animals are consigned, and each exhibitor shall make, keep, and 

maintain records or forms which fully and correctly disclose the following 

information concerning each dog or cat purchased or otherwise acquired, 

owned, held, or otherwise in his or her possession or under his or her control, 

or which is transported, euthanized, sold, or otherwise disposed of by that 

dealer or exhibitor. The records shall include any offspring born of any 

animal while in his or her possession or under his or her control.

 (i) The name and address of the person from whom a dog or cat was 

purchased or otherwise acquired whether or not the person is required to be 

licensed or registered under the Act;

 (ii) The USDA license or registration number of the person if he or 

she is licensed or registered under the Act;

 (iii) The vehicle license number and State, and the driver’s license 

number (or photographic identification card for non-drivers issued by a State) 

and State of the person, if he or she is not licensed or registered under the 

Act;

 (iv) The name and address of the person to whom a dog or cat was 

sold or given and that person’s license or registration number if he or she is 

licensed or registered under the Act;

 (v) The date a dog or cat was acquired or disposed of, including by 

euthanasia;

 (vi) The official USDA tag number or tattoo assigned to a dog or cat 

under §§ 2.50 and 2.54;

 (vii) A description of each dog or cat which shall include:

 (A) The species and breed or type;

 (B) The sex;

 (C) The date of birth or approximate age; and

 (D) The color and any distinctive markings;

 (viii) The method of transportation including the name of the initial 

carrier or intermediate handler or, if a privately owned vehicle is used to 

transport a dog or cat, the name of the owner of the privately owned vehicle;

 (ix) The date and method of disposition of a dog or cat, e.g., sale, 

death, euthanasia, or donation.

 (2) Each dealer and exhibitor shall use Record of Acquisition and Dogs 

and Cats on Hand (APHIS Form 7005) and Record of Disposition of Dogs 

and Cats (APHIS Form 7006) to make, keep, and maintain the information 

required by paragraph (a)(1) of this section: Provided, that if a dealer or 

exhibitor who uses a computerized recordkeeping system believes that 

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 

describing why APHIS Form 7005 and APHIS Form 7006 are unsuitable for 

the dealer or exhibitor to make, keep, and maintain the information required 

by paragraph (a)(1) of this section, and a description of the computerized 

recordkeeping system the person would use in lieu of APHIS Form 7005 and 

APHIS Form 7006 to make, keep, and maintain the information required 

by paragraph (a)(1) of this section. APHIS will advise the person as to the 

disposition of his or her request for a variance from the requirement to use 

APHIS Form 7005 and APHIS Form 7006.

 (ii) A dealer or exhibitor whose request for a variance has been 

denied may request a hearing in accordance with the applicable rules of 

practice for the purpose of showing why the request for a variance should 

not be denied. The denial of the variance shall remain in effect until the final 

legal decision has been rendered.

 (3) The USDA Interstate and International Certificate of Health 

Examination for Small Animals (APHIS Form 7001) may be used by dealers 

and exhibitors to make, keep, and maintain the information required by § 

2.79.

 (4) One copy of the record containing the information required by 

paragraph (a)(1) of this section shall accompany each shipment of any dog 

or cat purchased or otherwise acquired by a dealer or exhibitor. One copy 

of the record containing the information required by paragraph (a)(1) of this 

section shall accompany each shipment of any dog or cat sold or otherwise 

disposed of by a dealer or exhibitor: Provided, however, that, except as 

provided in § 2.133(b) of this part for dealers, information that indicates the 

source and date of acquisition of a dog or cat need not appear on the copy of 

the record accompanying the shipment. One copy of the record containing the 

information required by paragraph (a)(1) of this section shall be retained by 

the dealer or exhibitor.

(b)(1) Every dealer other than operators of auction sales and brokers to 

whom animals are consigned, and exhibitor shall make, keep, and maintain 

records or forms which fully and correctly disclose the following information 

concerning animals other than dogs and cats, purchased or otherwise 

acquired, owned, held, leased, or otherwise in his or her possession or under 

his or her control, or which is transported, sold, euthanized, or otherwise 

disposed of by that dealer or exhibitor. The records shall include any 

offspring born of any animal while in his or her possession or under his or her 

control.

§ 2.75 9 CFR AWR (1-1-16 Edition)
85

PART 2

Subpart G

 (i) The name and address of the person from whom the animals were 

purchased or otherwise acquired;

 (ii) The USDA license or registration number of the person if he or 

she is licensed or registered under the Act;

 (iii) The vehicle license number and State, and the driver’s license 

number (or photographic identification card for nondrivers issued by a State) 

and State of the person, if he or she is not licensed or registered under the 

Act;

 (iv) The name and address of the person to whom an animal was 

sold or given;

 (v) The date of purchase, acquisition, sale, or disposal of the 

animal(s);

 (vi) The species of the animal(s); and

 (vii) The number of animals in the shipment.

 (2) Record of Animals on Hand (other than dogs and cats) (APHIS 

Form 7019) and Record of Acquisition, Disposition, or Transport of Animals 

(other than dogs and cats) (APHIS Form 7020) are forms which may be used 

by dealers and exhibitors to keep and maintain the information required by 

paragraph (b)(1) of this section concerning animals other than dogs and cats 

except as provided in § 2.79.

 (3) One copy of the record containing the information required by 

paragraph (b)(1) of this section shall accompany each shipment of any 

animal(s) other than a dog or cat purchased or otherwise acquired by a dealer 

or exhibitor. One copy of the record containing the information required by 

paragraph (b)(1) of this section shall accompany each shipment of any animal 

other than a dog or cat sold or otherwise disposed of by a dealer or exhibitor; 

Provided, however, That information which indicates the source and date of 

acquisition of any animal other than a dog or cat need not appear on the copy 

of the record accompanying the shipment. The dealer or exhibitor shall retain 

one copy of the record containing the information required by paragraph (b)

(1) of this section.

[54 FR 36147, Aug. 31, 1989, as amended at 58 FR 39129, July 22, 1993; 58 

FR 45041, Aug. 26, 1993; 60 FR 13895, Mar. 15, 1995; 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 

maintain records or forms which fully and correctly disclose the following 

information concerning each animal consigned for auction or sold, whether or 

not a fee or commission is charged:

Animal Welfare Regulations, USDA § 2.76
86

PART 2

Subpart G

 (1) The name and address of the person who owned or consigned the 

animal(s) for sale;

 (2) The name and address of the buyer or consignee who received the 

animal;

 (3) The USDA license or registration number of the person(s) selling, 

consigning, buying, or receiving the animals if he or she is licensed or 

registered under the Act;

 (4) The vehicle license number and State, and the driver’s license 

number (or photographic identification card for non-drivers issued by a State) 

and State of the person, if he or she is not licensed or registered under the 

Act;

 (5) The date of the consignment;

 (6) The official USDA tag number or tattoo assigned to the animal 

under §§ 2.50 and 2.54;

 (7) A description of the animal which shall include:

 (i) The species and breed or type of animal;

 (ii) The sex of the animal; and

 (iii) The date of birth or approximate age; and

 (iv) The color and any distinctive markings;

 (8) The auction sales number or records number assigned to the animal.

(b) One copy of the record containing the information required by 

paragraph (a) of this section shall be given to the consignor of each animal, 

one copy of the record shall be given to the purchaser of each animal: 

Provided, however, That information which indicates the source and date 

of consignment of any animal need not appear on the copy of the record 

given the purchaser of any animal. One copy of the record containing the 

information required by paragraph (a) of this section shall be retained by the 

operator of such auction sale, or broker, for each animal sold by the auction 

sale or broker.

[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. 

basis or other arrangement or practice under which the cost of an animal or 

the transportation of an animal is to be paid and collected upon delivery of the 

animal to the consignee, the accepting carrier or intermediate handler, if any, 

shall keep and maintain a copy of the consignor’s written guarantee for the 

payment of transportation charged for any animal not claimed as provided in § 

2.80, including, where necessary, both the return transportation charges and an 

amount sufficient to reimburse the carrier for out-of-pocket expenses incurred 

for the care, feeding, and storage of the animal. The carrier or intermediate 

§ 2.77 9 CFR AWR (1-1-16 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 

for transportation, in commerce, to any carrier or intermediate handler, by 

any dealer, research facility, exhibitor, operator of an auction sale, broker, or 

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

local government, the accepting carrier or intermediate handler shall keep and 

maintain a copy of the health certification completed as required by § 2.79, 

tendered with each live dog, cat, or nonhuman primate.

§ 2.78 - Health certification and identification.

(a) No dealer, exhibitor, operator of an auction sale, broker, or 

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

or local government shall deliver to any intermediate handler or carrier for 

transportation, in commerce, or shall transport in commerce any dog, cat, or 

nonhuman primate unless the dog, cat, or nonhuman primate is accompanied 

by a health certificate executed and issued by a licensed veterinarian. The 

health certificate shall state that:

 (1) The licensed veterinarian inspected the dog, cat, or nonhuman 

primate on a specified date which shall not be more than 10 days prior to the 

delivery of the dog, cat, or nonhuman primate for transportation; and

 (2) when so inspected, the dog, cat, or nonhuman primate appeared 

to the licensed veterinarian to be free of any infectious disease or physical 

abnormality which would endanger the animal(s) or other animals or 

endanger public health.

(b) The Secretary may provide exceptions to the health certification 

requirement on an individual basis for animals shipped to a research facility 

for purposes of research, testing, or experimentation when the research 

facility requires animals not eligible for certification. Requests should be 

addressed to the Animal and Plant Health Inspection Service, Animal Care, 

4700 River Road, Unit 84, Riverdale, Maryland 20737-1234.

(c) No intermediate handler or carrier to whom any live dog, cat, or 

nonhuman primate is delivered for transportation by any dealer, research 

facility, exhibitor, broker, operator of an auction sale, or department, agency, 

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

receive a live dog, cat, or nonhuman primate for transportation, in commerce, 

unless and until it is accompanied by a health certificate issued by a licensed 

veterinarian in accordance with paragraph (a) of this section, or an exemption 

issued by the Secretary in accordance with paragraph (b) of this section.

Animal Welfare Regulations, USDA § 2.78
88

PART 2

Subpart G

(d) The U.S. Interstate and International Certificate of Health Examination 

for Small Animals (APHIS Form 7001) may be used for health certification 

by a licensed veterinarian as required by this section.

[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 

transportation, in commerce, upon any C.O.D. or other basis where any 

money is to be paid and collected upon delivery of the animal to the 

consignee, unless the consignor guarantees in writing the payment of 

all transportation, including any return transportation, if the shipment is 

unclaimed or the consignee cannot be notified in accordance with paragraphs 

(b) and (c) of this section, including reimbursing the carrier or intermediate 

handler for all out-of-pocket expenses incurred for the care, feeding, and 

storage or housing of the animal.

(b) Any carrier or intermediate handler receiving an animal at a destination 

on a C.O.D. or other basis any money is to be paid and collected upon 

delivery of the animal to the consignee shall attempt to notify the consignee 

at least once every 6 hours for a period of 24 hours after arrival of the 

animal at the animal holding area of the terminal cargo facility. The carrier 

or intermediate handler shall record the time, date, and method of each 

attempted notification and the final notification to the consignee, and the 

name of the person notifying the consignee, on the shipping document and 

on the copy of the shipping document accompanying the C.O.D. shipment. 

If the consignee cannot be notified of the C.O.D. shipment within 24 hours 

after its arrival, the carrier or intermediate handler shall return the animal 

to the consignor, or to whomever the consignor has designated, on the next 

practical available transportation, in accordance with the written agreement 

required in paragraph (a) of this section and shall notify the consignor. Any 

carrier or intermediate handler which has notified a consignee of the arrival of 

a C.O.D. or other shipment of an animal, where any money is to be paid and 

collected upon delivery of the animal to the consignee, which is not claimed 

by the consignee within 48 hours from the time of notification, shall return 

the animal to the consignor, or to whomever the consignor has designated, 

on the next practical available transportation, in accordance with the written 

agreement required in paragraph (a) of this section and shall notify the 

consignor.

(c) It is the responsibility of any carrier or intermediate handler to hold, 

feed, and care for any animal accepted for transportation, in commerce, 

§ 2.79 9 CFR AWR (1-1-16 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 

required in paragraph (a) of this section for the payment of the cost of any 

transportation or out-of-pocket or other incidental expenses incurred in the 

transportation of any animal.

§ 2.80 - Records, disposition.

(a) No dealer, exhibitor, broker, operator of an auction sale, carrier, or 

intermediate handler shall, for a period of 1 year, destroy or dispose of, 

without the consent in writing of the Administrator, any books, records, 

documents, or other papers required to be kept and maintained under this 

part.

(b) Unless otherwise specified, the records required to be kept and 

maintained under this part shall be held for 1 year after an animal is 

euthanized or disposed of and for any period in excess of one year as 

necessary to comply with any applicable Federal, State, or local law. 

Whenever the Administrator notifies a dealer, exhibitor, broker, operator of an 

auction sale, carrier, or intermediate handler in writing that specified records 

shall be retained pending completion of an investigation or proceeding under 

the Act, the dealer, exhibitor, broker, operator of an auction sale, carrier, 

or intermediate handler shall hold those records until their disposition is 

authorized by the Administrator.

Animal Welfare Regulations, USDA § 2.80
90

 9 CFR AWR (1-1-16 Edition)
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 

the standards set forth in part 3 of this subchapter for the humane handling, 

care, treatment, housing, and transportation of animals.

(b) Each carrier shall comply in all respects with the regulations in part 2 

and the standards in part 3 of this subchapter setting forth the conditions and 

requirements for the humane transportation of animals in commerce and their 

handling, care, and treatment in connection therewith.

§ 2.101 - Holding period.

(a) Any live dog or cat acquired by a dealer5 or exhibitor shall be held 

by him or her, under his or her supervision and control, for a period of not 

less than 5 full days, not including the day of acquisition, after acquiring the 

animal, excluding time in transit: Provided, however:

 (1) That any live dog or cat acquired by a dealer or exhibitor from any 

private or contract animal pound or shelter shall be held by that dealer or 

exhibitor under his or her supervision and control for a period of not less than 

10 full days, not including the day of acquisition, after acquiring the animal, 

excluding time in transit;

 (2) Live dogs or cats which have completed a 5-day holding period 

with another dealer or exhibitor, or a 10-day holding period with another 

dealer or exhibitor if obtained from a private or contract shelter or pound, 

may be sold or otherwise disposed of by subsequent dealers or exhibitors 

after a minimum holding period of 24 hours by each subsequent dealer or 

exhibitor excluding time in transit;

 (3) Any dog or cat suffering from disease, emaciation, or injury may 

be destroyed by euthanasia prior to the completion of the holding period 

required by this section; and

 (4) Any live dog or cat, 120 days of age or less, that was obtained from 

the person that bred and raised such dog or cat, may be exempted from the 

5-day holding requirement and may be disposed of by dealers or exhibitors 

after a minimum holding period of 24 hours, excluding time in transit. Each 

subsequent dealer or exhibitor must also hold each such dog or cat for a 24-

hour period excluding time in transit.

(b) During the period in which any dog or cat is being held as required by 

this section, the dog or cat shall be unloaded from any means of conveyance 

in which it was received, for food, water, and rest, and shall be handled, cared 

Animal Welfare Regulations, USDA § 2.101

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

auction sale.
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 

period provided for in paragraph (a) of § 2.101: Provided, That:

 (1) The other person agrees in writing to comply with the regulations in 

part 2 and the standards in part 3 of this subchapter and to allow inspection of 

his premises by an APHIS official during business hours; and

 (2) The animals remain under the total control and responsibility of the 

dealer or exhibitor.

 (3) Approval will not be given for a dealer or exhibitor holding a 

license as set forth in § 2.1 to have animals held for purposes of this section 

by another licensed dealer or exhibitor. APHIS Form 7009 shall be used for 

approval.

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

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

develop its own contingency plan in accordance with § 2.134.

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

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

 (1) The other person agrees in writing to comply with the regulations in 

part 2 and the standards in part 3 of this subchapter and to allow inspection of 

the premises by an APHIS official during business hours; and

 (2) The animals remain under the total control and responsibility of the 

research facility or intermediate handler.

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

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

develop its own contingency plan in accordance with § 2.134. 

 

[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 (1-1-16 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, 

and carrier shall furnish to any APHIS official any information concerning 

the business of the dealer, exhibitor, operator of an auction sale, intermediate 

handler or carrier which the APHIS official may request in connection 

with the enforcement of the provisions of the Act, the regulations and the 

standards in this subchapter. The information shall be furnished within a 

reasonable time and as may be specified in the request for information.

§ 2.126 - Access and inspection of records and property; submission of 

itineraries.

(a) Each dealer, exhibitor, intermediate handler, or carrier, shall, during 

business hours, allow APHIS officials:

 (1) To enter its place of business;

 (2) To examine records required to be kept by the Act and the 

regulations in this part;

 (3) To make copies of the records;

 (4) To inspect and photograph the facilities, property and animals, as 

the APHIS officials consider necessary to enforce the provisions of the Act, 

the regulations and the standards in this subchapter; and

 (5) To document, by the taking of photographs and other means, 

conditions and areas of noncompliance.

(b) The use of a room, table, or other facilities necessary for the proper 

examination of the records and inspection of the property or animals must be 

extended to APHIS officials by the dealer, exhibitor, intermediate handler or 

carrier, and a responsible adult shall be made available to accompany APHIS 

officials during the inspection process.

(c) Any person who is subject to the Animal Welfare regulations and 

who intends to exhibit any animal at any location other than the person’s 

approved site (including, but not limited to, circuses, traveling educational 

exhibits, animal acts, and petting zoos), except for travel that does not extend 

overnight, shall submit a written itinerary to the AC Regional Director. The 

itinerary shall be received by the AC Regional Director no fewer than 2 days 

in advance of any travel and shall contain complete and accurate information 

concerning the whereabouts of any animal intended for exhibition at any 

location other than the person’s approved site. If the exhibitor accepts an 

engagement for which travel will begin with less than 48 hours’ notice, the 

exhibitor shall immediately contact the AC Regional Director in writing 

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 

transport the animal for exhibition purposes, including any business name 

and current Act license or registration number and, in the event that any 

animal is leased, borrowed, loaned, or under some similar arrangement, the 

name of the person who owns such animal;

 (ii) The name, identification number or identifying characteristics, 

species (common or scientific name), sex and age of each animal; and

 (iii) The names, dates, and locations (with addresses) where the 

animals will travel, be housed, and be exhibited, including all anticipated 

dates and locations (with addresses) for any stops and layovers that allow or 

require removal of the animals from the transport enclosures. Unanticipated 

delays of such length shall be reported to the AC Regional Director the next 

APHIS business day. APHIS Regional offices are available each weekday, 

except on Federal holidays, from 8 a.m. to 5 p.m.

 (2) The itinerary shall be revised as necessary, and the AC Regional 

Director shall be notified of any changes. If initial notification of a change 

due to an emergency is made by a means other than email or facsimile, it 

shall be followed by written documentation at the earliest possible time. For 

changes that occur after normal APHIS business hours, the change shall be 

conveyed to the AC Regional Director no later than the following APHIS 

business day. APHIS Regional offices are available each weekday, except on 

Federal holidays, from 8 a.m. to 5 p.m.

(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 

with the provisions of this part in the FEDERAL REGISTER. The lists may 

be obtained upon request from the AC Regional Director.

[54 FR 36147, Aug. 31, 1989, as amended at 63 FR 62927, Nov. 10, 1998]

§ 2.127 9 CFR AWR (1-1-16 Edition)
95

PART 2

Subpart I

§ 2.128 - Inspection for missing animals.

Each dealer, exhibitor, intermediate handler and carrier shall allow, upon 

request and during business hours, police or officers of other law enforcement 

agencies with general law enforcement authority (not those agencies whose 

duties are limited to enforcement of local animal regulations) to enter his 

or her place of business to inspect animals and records for the purpose of 

seeking animals that are missing, under the following conditions:

(a) The police or other law officer shall furnish to the dealer, exhibitor, 

intermediate handler or carrier a written description of the missing animal 

and the name and address of its owner before making a search.

(b) The police or other law officer shall abide by all security measures 

required by the dealer, exhibitor, intermediate handler or carrier to prevent the 

spread of disease, including the use of sterile clothing, footwear, and masks 

where required, or to prevent the escape of an animal.

§ 2.129 - Confiscation and destruction of animals.

(a) If an animal being held by a dealer, exhibitor, intermediate handler, or 

by a carrier is found by an APHIS official to be suffering as a result of the 

failure of the dealer, exhibitor, intermediate handler, or carrier to comply with 

any provision of the regulations or the standards set forth in this subchapter, 

the APHIS official shall make a reasonable effort to notify the dealer, 

exhibitor, intermediate handler, or carrier of the condition of the animal(s) 

and request that the condition be corrected and that adequate care be given to 

alleviate the animal’s suffering or distress, or that the animal(s) be destroyed 

by euthanasia. In the event that the dealer, exhibitor, intermediate handler, or 

carrier refuses to comply with this request, the APHIS official may confiscate 

the animal(s) for care, treatment, or disposal as indicated in paragraph (b) of 

this section, if, in the opinion of the Administrator, the circumstances indicate 

the animal’s health is in danger.

(b) In the event that the APHIS official is unable to locate or notify 

the dealer, exhibitor, intermediate handler, or carrier as required in this 

section, the APHIS official shall contact a local police or other law officer 

to accompany him to the premises and shall provide for adequate care 

when necessary to alleviate the animal’s suffering. If in the opinion of the 

Administrator, the condition of the animal(s) cannot be corrected by this 

temporary care, the APHIS official shall confiscate the animals.

(c) Confiscated animals may be:

 (1) Placed, by sale or donation, with other licensees or registrants that 

comply with the standards and regulations and can provide proper care; or

 (2) Placed with persons or facilities that can offer a level of care equal 

to or exceeding the standards and regulations, as determined by APHIS, even 

if the persons or facilities are not licensed by or registered with APHIS; or

Animal Welfare Regulations, USDA § 2.129
96

PART 2

Subpart I

(3) Euthanized.

(d) The dealer, exhibitor, intermediate handler, or carrier from whom 

the animals were confiscated must bear all costs incurred in performing the 

placement or euthanasia activities authorized by this section.

[54 FR 36147, Aug. 31, 1989, as amended at 66 FR 239, Jan. 3, 2001]

§ 2.130 - Minimum age requirements.

No dog or cat shall be delivered by any person to any carrier or 

intermediate handler for transportation, in commerce, or shall be transported 

in commerce by any person, except to a registered research facility, unless 

such dog or cat is at least eight (8) weeks of age and has been weaned.

§ 2.131 - Handling of animals.

(a) All licensees who maintain wild or exotic animals must demonstrate 

adequate experience and knowledge of the species they maintain.

(b)(1) Handling of all animals shall be done as expeditiously and carefully 

as possible in a manner that does not cause trauma, overheating, excessive 

cooling, behavioral stress, physical harm, or unnecessary discomfort.

(2)(i) Physical abuse shall not be used to train, work, or otherwise 

handle animals.

 (ii) Deprivation of food or water shall not be used to train, work, 

or otherwise handle animals; Provided, however, That the short-term 

withholding of food or water from animals by exhibitors is allowed by these 

regulations as long as each of the animals affected receives its full dietary and 

nutrition requirements each day.

(c)(1) During public exhibition, any animal must be handled so there is 

minimal risk of harm to the animal and to the public, with sufficient distance 

and/or barriers between the animal and the general viewing public so as to 

assure the safety of animals and the public.

 (2) Performing animals shall be allowed a rest period between 

performances at least equal to the time for one performance.

 (3) Young or immature animals shall not be exposed to rough or 

excessive public handling or exhibited for periods of time which would be 

detrimental to their health or well-being.

 (4) Drugs, such as tranquilizers, shall not be used to facilitate, allow, or 

provide for public handling of the animals.

(d)(1) Animals shall be exhibited only for periods of time and under 

conditions consistent with their good health and well-being.

 (2) A responsible, knowledgeable, and readily identifiable employee or 

attendant must be present at all times during periods of public contact.

§ 2.130 9 CFR AWR (1-1-16 Edition)
97

PART 2

Subpart I

 (3) During public exhibition, dangerous animals such as lions, tigers, 

wolves, bears, or elephants must be under the direct control and supervision 

of a knowledgeable and experienced animal handler.

 (4) If public feeding of animals is allowed, the food must be provided 

by the animal facility and shall be appropriate to the type of animal and its 

nutritional needs and diet.

(e) When climatic conditions present a threat to an animal’s health or 

well-being, appropriate measures must be taken to alleviate the impact of 

those conditions. An animal may never be subjected to any combination of 

temperature, humidity, and time that is detrimental to the animal’s health 

or well-being, taking into consideration such factors as the animal’s age, 

species, breed, overall health status, and acclimation.

[54 FR 36147, Aug. 31, 1989, as amended at 63 FR 10498, Mar. 4, 1998; 69 

FR 42102, July 14, 2004]

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

(a) A class “B” dealer may obtain live random source dogs and cats only 

from:

 (1) Other dealers who are licensed under the Act and in accordance 

with the regulations in part 2;

 (2) State, county, or city owned and operated animal pounds or shelters; 

and

 (3) A legal entity organized and operated under the laws of the State in 

which it is located as an animal pound or shelter, such as a humane shelter or 

contract pound.

(b) No person shall obtain live dogs, cats, or other animals by use of false 

pretenses, misrepresentation, or deception.

(c) Any dealer, exhibitor, research facility, carrier, or intermediate handler 

who also operates a private or contract animal pound or shelter shall comply 

with the following:

 (1) The animal pound or shelter shall be located on premises that are 

physically separated from the licensed or registered facility. The animal 

housing facility of the pound or shelter shall not be adjacent to the licensed or 

registered facility.

 (2) Accurate and complete records shall be separately maintained by 

the licensee or registrant and by the pound or shelter. The records shall be in 

accordance with §§ 2.75 and 2.76, unless the animals are lost or stray. If the 

animals are lost or stray, the pound or shelter records shall provide:

 (i) An accurate description of the animal;

 (ii) How, where, from whom, and when the dog or cat was obtained;

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 

being transferred to the dealer; and

 (iv) The date the dog or cat was transferred to the dealer.

(3) Any dealer who obtains or acquires a live dog or cat from a private 

or contract pound or shelter, including a pound or shelter he or she operates, 

shall hold the dog or cat for a period of at least 10 full days, not including the 

day of acquisition, excluding time in transit, after acquiring the animal, and 

otherwise in accordance with § 2.101.

(d) No dealer or exhibitor shall knowingly obtain any dog, cat, or other 

animal from any person who is required to be licensed but who does not 

hold a current, valid, and unsuspended license. No dealer or exhibitor shall 

knowingly obtain any dog or cat from any person who is not licensed, other 

than a pound or shelter, without obtaining a certification that the animals were 

born and raised on that person’s premises and, if the animals are for research 

purposes, that the person has sold fewer than 25 dogs and/or cats that year, or, 

if the animals are for use as pets, that the person does not maintain more than 

four breeding female dogs and/or cats.

(Approved by the 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 

section that acquire any live dog or cat shall, before selling or providing the 

live dog or cat to a dealer, hold and care for the dog or cat for a period of 

not less than 5 full days after acquiring the animal, not including the date of 

acquisition and excluding time in transit. This holding period shall include at 

least one Saturday. The provisions of this paragraph apply to:

 (1) Each pound or shelter owned and operated by a State, county, or 

city;

 (2) Each private pound or shelter established for the purpose of caring 

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

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

that releases animals on a voluntary basis; and

 (3) Each research facility licensed by USDA as a dealer.

(b) A dealer shall not sell, provide, or make available to any person a live 

random source dog or cat unless the dealer provides the recipient of the dog 

or cat with certification that contains the following information:

§ 2.133 9 CFR AWR (1-1-16 Edition)
99

PART 2

Subpart I

 (1) The name, address, USDA license number, and signature of the 

dealer;

 (2) The name, address, USDA license or registration number, if such 

number exists, and signature of the recipient of the dog or cat;

 (3) A description of each dog or cat being sold, provided, or made 

available that shall include:

 (i) The species and breed or type (for mixed breeds, estimate the two 

dominant breeds or types);

 (ii) The sex;

 (iii) The date of birth or, if unknown, then the approximate age;

 (iv) The color and any distinctive markings; and

 (v) The Official USDA-approved identification number of the 

animal. However, if the certification is attached to a certificate provided by 

a prior dealer which contains the required description, then only the official 

identification numbers are required;

 (4) The name and address of the person, pound, or shelter from which 

the dog or cat was acquired by the dealer, and an assurance that the person, 

pound, or shelter was notified that the cat or dog might be used for research 

or educational purposes;

 (5) The date the dealer acquired the dog or cat from the person, pound, 

or shelter referred to in paragraph (b)(4) of this section; and

 (6) If the dealer acquired the dog or cat from a pound or shelter, a 

signed statement by the pound or shelter that it met the requirements of 

paragraph (a) of this section. This statement must at least describe the animals 

by their official USDA identification numbers. It may be incorporated within 

the certification if the dealer makes the certification at the time that the 

animals are acquired from the pound or shelter or it may be made separately 

and attached to the certification later. If made separately, it must include the 

same information describing each animal as is required in the certification. A 

photocopy of the statement will be regarded as a duplicate original.

(c) The original certification required under paragraph (b) of this section 

shall accompany the shipment of a live dog or cat to be sold, provided, or 

otherwise made available by the dealer.

(d) A dealer who acquires a live dog or cat from another dealer must 

obtain from that dealer the certification required by paragraph (b) of this 

section and must attach that certification (including any previously attached 

certification) to the certification which he or she provides pursuant to 

paragraph (b) of this section (a photocopy of the original certification will be 

deemed a duplicate original if the dealer does not dispose of all of the dogs or 

cats in a single transaction).

(e) A dealer who completes, provides, or receives a certification required 

under paragraph (b) of this section shall keep, maintain, and make available 

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.

(f) A research facility which acquires any live random source dog or 

cat from a dealer must obtain the certification required under paragraph 

(b) of this section and shall keep, maintain, and make available for APHIS 

inspection the original for at least 3 years following disposition.

(g) In instances where a research facility transfers ownership of a 

live random source dog or cat acquired from a dealer to another research 

facility, a copy of the certification required by paragraph (b) of this section 

must accompany the dog or cat transferred. The research facility to which 

the dog or cat is transferred shall keep, maintain, and make available for 

APHIS inspection the copy of the certification for at least 3 years following 

disposition.

[58 FR 39129, July 22, 1993]

§ 2.134 - Contingency planning.

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

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

handling, treatment, transportation, housing, and care of their animals in the 

event of an emergency or disaster (one which could reasonably be anticipated 

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

animals in their possession). Such contingency plans must:

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

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

put into action including, but not limited to, emergencies such as electrical 

outages, faulty HVAC systems, fires, mechanical breakdowns, and animal 

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

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

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

animal evacuation instructions or shelter-in-place instructions and provisions 

for providing backup sources of food and water as well as sanitation, 

ventilation, bedding, veterinary care, etc.;

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

will be responsible for fulfilling these tasks; and

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

materials, resources, and training needed.

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

place by July 29, 2013. For new dealers, exhibitors, intermediate handlers, 

and carriers licensed or registered after this date, the contingency plan 

must be in place prior to conducting regulated activities. The plan must 

be reviewed by the dealer, exhibitor, intermediate handler, or carrier on 

§ 2.134 9 CFR AWR (1-1-16 Edition)
101

PART 2

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 

and document participation in and successful completion of training for 

personnel regarding their roles and responsibilities as outlined in the plan. For 

current licensees and registrants, training of dealer, exhibitor, intermediate 

handler, and carrier personnel must be completed by September 27, 2013. 

For new dealers, exhibitors, intermediate handlers, or carriers licensed or 

registered after July 29, 2013, training of personnel must be completed within 

60 days of the dealer, exhibitor, intermediate handler, or carrier putting 

their contingency plan in place. Employees hired 30 days or more before 

their contingency plan is put in place must also be trained by that date. For 

employees hired less than 30 days before that date or after that date, training 

must be conducted within 30 days of their start date. Any changes to the plan 

as a result of the annual review must be communicated to employees through 

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

[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 (1-1-16 Edition)
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) 

to the continental United States or Hawaii;

 (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 

be delivered in the continental United States or Hawaii and, if the dog(s) 

is or are imported for research purposes, the USDA registration number 

of the research facility where the dog will be used for research, tests, or 

experiments.

 (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

PART 2

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) Specifies the name and address of the person intending to import 

the dog into the continental United States or Hawaii;

 (ii) Identifies the dog on the basis of breed, sex, age, color, 

markings, and other identifying information;

 (iii) States that the dog is at least 6 months of age;

(iv) States that the dog was vaccinated, not more than 12 

months before the date of arrival at the U.S. port, for distemper, hepatitis, 

leptospirosis, parvovirus, and parainfluenza virus (DHLPP) at a frequency 

that provides continuous protection of the dog from those diseases and is in 

accordance with currently accepted practices as cited in veterinary medicine 

reference guides;

(v) States that the dog is in good health (i.e., free of any infectious 

disease or physical abnormality which would endanger the dog or other 

animals or endanger public health, including, but not limited to, parasitic 

infection, emaciation, lesions of the skin, nervous system disturbances, 

jaundice, or diarrhea); and

(vi) Bears the signature and the license number of the veterinarian 

issuing the certificate.

 (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

 (i) Specifies the name and address of the person intending to import 

the dog into the continental United States or Hawaii;

 (ii) Identifies the dog on the basis of breed, sex, age, color markings 

and other identifying information;

 (iii) Specifies a date of rabies vaccination at least 30 days before the 

date of arrival of the dog at a U.S. port;

(iv) Specifies a date of expiration of the vaccination which is 

after the date of arrival of the dog at a U.S. port. If no date of expiration is 

§ 2.151 9 CFR AWR (1-1-16 Edition)

6 Alternatively, this requirement can be met by providing an exact copy of the rabies vaccination certificate if 

so required under the Public Health Service regulations in 42 CFR 71.51.
105

PART 2

Subpart J

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) The original health certificate required in paragraph (a)(1) of 

this section states that the dog is in need of veterinary treatment that cannot 

be obtained in the country of export and states the name and address of the 

licensed veterinarian in the United States who intends to provide the dog such 

veterinary treatment; and

 (ii) The person who imports the dog completes a veterinary 

treatment agreement with Animal Care at the time of application for an 

import permit and confines the animal until the conditions specified in the 

agreement are met. Such conditions may include determinations by the 

licensed veterinarian in the United States that the dog is in good health, 

has been adequately vaccinated against DHLPP and rabies, and is at least 

six months of age. The person importing the dog shall bear the expense of 

veterinary treatment and confinement.

 (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 (1-1-16 Edition)
107

PART 3

Table of 

Contents

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.
108

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Table of 

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 (1-1-16 Edition)
109

PART 3

Table of 

Contents

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
110

PART 3

Table of 

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 (1-1-16 Edition)
111

PART 3

Subpart A

Subpart A – Specifications for the Humane Handling, Care, Treatment, 

and Transportation of Dogs and Cats1

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

FACILITIES AND OPERATING STANDARDS

§ 3.1 - Housing facilities, general.

(a) Structure; construction. Housing facilities for dogs and cats must be 

designed and constructed so that they are structurally sound. They must be 

kept in good repair, and they must protect the animals from injury, contain the 

animals securely, and restrict other animals from entering.

(b) Condition and site. Housing facilities and areas used for storing 

animal food or bedding must be free of any accumulation of trash, waste 

material, junk, weeds, and other discarded materials. Animal areas inside of 

housing facilities must be kept neat and free of clutter, including equipment, 

furniture, and stored material, but may contain materials actually used and 

necessary for cleaning the area, and fixtures or equipment necessary for 

proper husbandry practices and research needs. Housing facilities other than 

those maintained by research facilities and Federal research facilities must be 

physically separated from any other business. If a housing facility is located 

on the same premises as another business, it must be physically separated 

from the other business so that animals the size of dogs, skunks, and raccoons 

are prevented from entering it.

(c) Surfaces.

 (1) General requirements. The surfaces of housing facilities – 

including houses, dens, and other furniture-type fixtures and objects within 

the facility – must be constructed in a manner and made of materials that 

allow them to be readily cleaned and sanitized, or removed or replaced when 

worn or soiled. Interior surfaces and any surfaces that come in contact with 

dogs or cats must:

 (i) Be free of excessive rust that prevents the required cleaning and 

sanitization, or that affects the structural strength of the surface; and

 (ii) Be free of jagged edges or sharp points that might injure the 

animals.

 (2) Maintenance and replacement of surfaces. All surfaces must be 

maintained on a regular basis. Surfaces of housing facilities – including 

houses, dens, and other furniture-type fixtures and objects within the facility 

1 These minimum standards apply only to live dogs and cats, unless stated 

otherwise.

Animal Welfare Regulations, USDA § 3.1
112

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Subpart A

– that cannot be readily cleaned and sanitized, must be replaced when worn 

or soiled.

(3) Cleaning. Hard surfaces with which the dogs or cats come in 

contact must be spot-cleaned daily and sanitized in accordance with § 3.11(b) 

of this subpart to prevent accumulation of excreta and reduce disease hazards. 

Floors made of dirt, absorbent bedding, sand, gravel, grass, or other similar 

material must be raked or spot-cleaned with sufficient frequency to ensure 

all animals the freedom to avoid contact with excreta. Contaminated material 

must be replaced whenever this raking and spot-cleaning is not sufficient to 

prevent or eliminate odors, insects, pests, or vermin infestation. All other 

surfaces of housing facilities must be cleaned and sanitized when necessary 

to satisfy generally accepted husbandry standards and practices. Sanitization 

may be done using any of the methods provided in § 3.11(b)(3) for primary 

enclosures.

(d) Water and electric power. The housing facility must have reliable 

electric power adequate for heating, cooling, ventilation, and lighting, and for 

carrying out other husbandry requirements in accordance with the regulations 

in this subpart. The housing facility must provide adequate running potable 

water for the dogs’ and cats’ drinking needs, for cleaning, and for carrying out 

other husbandry requirements.

(e) Storage. Supplies of food and bedding must be stored in a manner that 

protects the supplies from spoilage, contamination, and vermin infestation. 

The supplies must be stored off the floor and away from the walls, to allow 

cleaning underneath and around the supplies. Foods requiring refrigeration 

must be stored accordingly, and all food must be stored in a manner that 

prevents contamination and deterioration of its nutritive value. All open 

supplies of food and bedding must be kept in leakproof containers with 

tightly fitting lids to prevent contamination and spoilage. Only food and 

bedding that is currently being used may be kept in the animal areas. 

Substances that are toxic to the dogs or cats but are required for normal 

husbandry practices must not be stored in food storage and preparation areas, 

but may be stored in cabinets in the animal areas.

(f) Drainage and waste disposal. Housing facility operators must provide 

for regular and frequent collection, removal, and disposal of animal and 

food wastes, bedding, debris, garbage, water, other fluids and wastes, and 

dead animals, in a manner that minimizes contamination and disease risks. 

Housing facilities must be equipped with disposal facilities and drainage 

systems that are constructed and operated so that animal waste and water are 

rapidly eliminated and animals stay dry. Disposal and drainage systems must 

minimize vermin and pest infestation, insects, odors, and disease hazards. 

All drains must be properly constructed, installed, and maintained. If closed 

drainage systems are used, they must be equipped with traps and prevent the 

§ 3.1 9 CFR AWR (1-1-16 Edition)
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Subpart A

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. Washing facilities such as washrooms, basins, 

sinks, or showers must be provided for animal caretakers and must be readily 

accessible.

§ 3.2 - Indoor housing facilities.

(a) Heating, cooling, and temperature. Indoor housing facilities for dogs 

and cats must be sufficiently heated and cooled when necessary to protect 

the dogs and cats from temperature or humidity extremes and to provide 

for their health and well-being. When dogs or cats are present, the ambient 

temperature in the facility must not fall below 50 °F (10 °C) for dogs and cats 

not acclimated to lower temperatures, for those breeds that cannot tolerate 

lower temperatures without stress or discomfort (such as short-haired breeds), 

and for sick, aged, young, or infirm dogs and cats, except as approved by the 

attending veterinarian. Dry bedding, solid resting boards, or other methods of 

conserving body heat must be provided when temperatures are below 50 °F 

(10 °C). The ambient temperature must not fall below 45 °F (7.2 °C) for more 

than 4 consecutive hours when dogs or cats are present, and must not rise 

above 85 °F (29.5 °C) for more than 4 consecutive hours when dogs or cats 

are present. 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) Ventilation. Indoor housing facilities for dogs and cats must be 

sufficiently ventilated at all times when dogs or cats are present to provide 

for their health and well-being, and to minimize odors, drafts, ammonia 

levels, and moisture condensation. Ventilation must be provided by windows, 

vents, fans, or air conditioning. Auxiliary ventilation, such as fans, blowers, 

or air conditioning must be provided when the ambient temperature is 85 

°F (29.5 °C) or higher. The relative humidity must be maintained at a level 

that ensures the health and well-being of the dogs or cats housed therein, in 

accordance with the directions of the attending veterinarian and generally 

accepted professional and husbandry practices.

Animal Welfare Regulations, USDA § 3.2
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Subpart A

(c) Lighting. Indoor housing facilities for dogs and cats must be lighted 

well enough to permit routine inspection and cleaning of the facility, and 

observation of the dogs and cats. Animal areas must be provided a regular 

diurnal lighting cycle of either natural or artificial light. Lighting must 

be uniformly diffused throughout animal facilities and provide sufficient 

illumination to aid in maintaining good housekeeping practices, adequate 

cleaning, adequate inspection of animals, and for the well-being of the 

animals. Primary enclosures must be placed so as to protect the dogs and cats 

from excessive light.

(d) Interior surfaces. The floors and walls of indoor housing facilities, 

and any other surfaces in contact with the animals, must be impervious to 

moisture. The ceilings of indoor housing facilities must be impervious to 

moisture or be replaceable (e.g., a suspended ceiling with replaceable panels).

[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. The sheltered part of sheltered 

housing facilities for dogs and cats must be sufficiently heated and cooled 

when necessary to protect the dogs and cats from temperature or humidity 

extremes and to provide for their health and well-being. The ambient 

temperature in the sheltered part of the facility must not fall below 50 °F 

(10 °C) for dogs and cats not acclimated to lower temperatures, for those 

breeds that cannot tolerate lower temperatures without stress and discomfort 

(such as short-haired breeds), and for sick, aged, young, or infirm dogs or 

cats, except as approved by the attending veterinarian. Dry bedding, solid 

resting boards, or other methods of conserving body heat must be provided 

when temperatures are below 50 °F (10 °C). The ambient temperature must 

not fall below 45 °F (7.2 °C) for more than 4 consecutive hours when dogs 

or cats are present, and must not rise above 85 °F (29.5 °C) for more than 4 

consecutive hours when dogs or cats are present. 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) Ventilation. The enclosed or sheltered part of sheltered housing 

facilities for dogs and cats must be sufficiently ventilated when dogs or 

cats are present to provide for their health and well-being, and to minimize 

odors, drafts, ammonia levels, and moisture condensation. Ventilation must 

be provided by windows, doors, vents, fans, or air conditioning. Auxiliary 

ventilation, such as fans, blowers, or air-conditioning, must be provided when 

the ambient temperature is 85 °F (29.5 °C) or higher.

(c) Lighting. Sheltered housing facilities for dogs and cats must be lighted 

well enough to permit routine inspection and cleaning of the facility, and 

§ 3.3 9 CFR AWR (1-1-16 Edition)
115

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Subpart A

observation of the dogs and cats. Animal areas must be provided a regular 

diurnal lighting cycle of either natural or artificial light. Lighting must 

be uniformly diffused throughout animal facilities and provide sufficient 

illumination to aid in maintaining good housekeeping practices, adequate 

cleaning, adequate inspection of animals, and for the well-being of the 

animals. Primary enclosures must be placed so as to protect the dogs and cats 

from excessive light.

(d) Shelter from the elements. Dogs and cats must be provided with 

adequate shelter from the elements at all times to protect their health and 

well-being. The shelter structures must be large enough to allow each animal 

to sit, stand, and lie in a normal manner and to turn about freely.

(e) Surfaces.

 (1) The following areas in sheltered housing facilities must be 

impervious to moisture:

 (i) Indoor floor areas in contact with the animals;

 (ii) Outdoor floor areas in contact with the animals, when the floor 

areas are not exposed to the direct sun, or are made of a hard material such as 

wire, wood, metal, or concrete; and

 (iii) All walls, boxes, houses, dens, and other surfaces in contact 

with the animals.

 (2) Outside floor areas in contact with the animals and exposed to the 

direct sun may consist of compacted earth, absorbent bedding, sand, gravel, 

or grass.

[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 

facilities, unless that practice is specifically approved by the attending 

veterinarian:

 (i) Dogs or cats that are not acclimated to the temperatures prevalent 

in the area or region where they are maintained;

 (ii) Breeds of dogs or cats that cannot tolerate the prevalent 

temperatures of the area without stress or discomfort (such as short-haired 

breeds in cold climates); and

 (iii) Sick, infirm, aged or young dogs or cats.

 (2) When their acclimation status is unknown, dogs and cats must not 

be kept in outdoor facilities when the ambient temperature is less than 50 °F 

(10 °C).

(b) Shelter from the elements. Outdoor facilities for dogs or cats must 

include one or more shelter structures that are accessible to each animal in 

Animal Welfare Regulations, USDA § 3.4
116

PART 3

Subpart A

each outdoor facility, and that are large enough to allow each animal in the 

shelter structure to sit, stand, and lie in a normal manner, and to turn about 

freely. In addition to the shelter structures, one or more separate outside areas 

of shade must be provided, large enough to contain all the animals at one time 

and protect them from the direct rays of the sun. Shelters in outdoor facilities 

for dogs or cats must contain a roof, four sides, and a floor, and must:

 (1) Provide the dogs and cats with adequate protection and shelter from 

the cold and heat;

 (2) Provide the dogs and cats with protection from the direct rays of the 

sun and the direct effect of wind, rain, or snow;

 (3) Be provided with a wind break and rain break at the entrance; and

 (4) Contain clean, dry, bedding material if the ambient temperature 

is below 50 °F (10 °C). Additional clean, dry bedding is required when the 

temperature is 35 °F (1.7 °C) or lower.

(c) Construction. Building surfaces in contact with animals in outdoor 

housing facilities must be impervious to moisture. Metal barrels, cars, 

refrigerators or freezers, and the like must not be used as shelter structures. 

The floors of outdoor housing facilities may be of compacted earth, 

absorbent bedding, sand, gravel, or grass, and must be replaced if there are 

any prevalent odors, diseases, insects, pests, or vermin. All surfaces must 

be maintained on a regular basis. Surfaces of outdoor housing facilities – 

including houses, dens, etc. – that cannot be readily cleaned and sanitized 

must be replaced when worn or soiled.

§ 3.5 - Mobile or traveling housing facilities.

(a) Heating, cooling, and temperature. Mobile or traveling housing 

facilities for dogs and cats must be sufficiently heated and cooled when 

necessary to protect the dogs and cats from temperature or humidity extremes 

and to provide for their health and well-being. The ambient temperature in 

the mobile or traveling housing facility must not fall below 50 °F (10 °C) 

for dogs and cats not acclimated to lower temperatures, for those breeds 

that cannot tolerate lower temperatures without stress or discomfort (such 

as short-haired breeds), and for sick, aged, young, or infirm dogs and cats. 

Dry bedding, solid resting boards, or other methods of conserving body heat 

must be provided when temperatures are below 50 °F (10 °C). The ambient 

temperature must not fall below 45 °F (7.2 °C) for more than 4 consecutive 

hours when dogs or cats are present, and must not exceed 85 °F (29.5 °C) for 

more than 4 consecutive hours when dogs or cats are present. 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) Ventilation. Mobile or traveling housing facilities for dogs and cats 

must be sufficiently ventilated at all times when dogs or cats are present 

§ 3.5 9 CFR AWR (1-1-16 Edition)
117

PART 3

Subpart A

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. Mobile or traveling housing facilities for dogs and cats 

must be lighted well enough to permit proper cleaning and inspection of the 

facility, and observation of the dogs and cats. Animal areas must be provided 

a regular diurnal lighting cycle of either natural or artificial light. Lighting 

must be uniformly diffused throughout animal facilities and provide sufficient 

illumination to aid in maintaining good housekeeping practices, adequate 

cleaning, adequate inspection of animals, and for the well-being of the 

animals.

[32 FR 3273, Feb. 24, 1967, as amended at 63 FR 10498, Mar. 4, 1998]

§ 3.6 - Primary enclosures.

Primary enclosures for dogs and cats must meet the following minimum 

requirements:

(a) General requirements.

 (1) Primary enclosures must be designed and constructed of suitable 

materials so that they are structurally sound. The primary enclosures must be 

kept in good repair.

 (2) Primary enclosures must be constructed and maintained so that they:

 (i) Have no sharp points or edges that could injure the dogs and cats;

 (ii) Protect the dogs and cats from injury;

 (iii) Contain the dogs and cats securely;

 (iv) Keep other animals from entering the enclosure;

 (v) Enable the dogs and cats to remain dry and clean;

 (vi) Provide shelter and protection from extreme temperatures and 

weather conditions that may be uncomfortable or hazardous to all the dogs 

and cats;

 (vii) Provide sufficient shade to shelter all the dogs and cats housed 

in the primary enclosure at one time;

 (viii) Provide all the dogs and cats with easy and convenient access 

to clean food and water;

 (ix) Enable all surfaces in contact with the dogs and cats to be 

readily cleaned and sanitized in accordance with § 3.11(b) of this subpart, or 

be replaceable when worn or soiled;

 (x) Have floors that are constructed in a manner that protects the 

dogs’ and cats’ feet and legs from injury, and that, if of mesh or slatted 

Animal Welfare Regulations, USDA § 3.6
118

PART 3

Subpart A

construction, do not allow the dogs’ and cats’ feet to pass through any 

openings in the floor;

 (xi) Provide sufficient space to allow each dog and cat to turn about 

freely, to stand, sit, and lie in a comfortable, normal position, and to walk in a 

normal manner; and

 (xii) Primary enclosures constructed on or after February 20, 1998 

and floors replaced on or after that date, must comply with the requirements 

in this paragraph (a)(2). On or after January 21, 2000, all primary enclosures 

must be in compliance with the requirements in this paragraph (a)(2). If the 

suspended floor of a primary enclosure is constructed of metal strands, the 

strands must either be greater than 1⁄8 of an inch in diameter (9 gauge) or 

coated with a material such as plastic or fiberglass. The suspended floor of 

any primary enclosure must be strong enough so that the floor does not sag or 

bend between the structural supports.

(b) Additional requirements for cats.

 (1) Space. Each cat, including weaned kittens, that is housed in any 

primary enclosure must be provided minimum vertical space and floor space 

as follows:

 (i) Prior to February 15, 1994 each cat housed in any primary 

enclosure shall be provided a minimum of 21⁄2 square feet of floor space;

 (ii) On and after February 15, 1994:

 (A) Each primary enclosure housing cats must be at least 24 in. 

high (60.96 cm);

 (B) Cats up to and including 8.8 lbs (4 kg) must be provided with 

at least 3.0 ft2 (0.28 m2);

 (C) Cats over 8.8 lbs (4 kg) must be provided with at least 4.0 ft2

(0.37 m2);

 (iii) Each queen with nursing kittens must be provided with 

an additional amount of floor space, based on her breed and behavioral 

characteristics, and in accordance with generally accepted husbandry 

practices. If the additional amount of floor space for each nursing kitten is 

equivalent to less than 5 percent of the minimum requirement for the queen, 

such housing must be approved by the attending veterinarian in the case of a 

research facility, and, in the case of dealers and exhibitors, such housing must 

be approved by the Administrator; and

 (iv) The minimum floor space required by this section is exclusive 

of any food or water pans. The litter pan may be considered part of the floor 

space if properly cleaned and sanitized.

 (2) Compatibility. All cats housed in the same primary enclosure must 

be compatible, as determined by observation. Not more than 12 adult nonconditioned cats may be housed in the same primary enclosure. Queens in 

heat may not be housed in the same primary enclosure with sexually mature 

§ 3.6 9 CFR AWR (1-1-16 Edition)
119

PART 3

Subpart A

males, except for breeding. Except when maintained in breeding colonies, 

queens with litters may not be housed in the same primary enclosure with 

other adult cats, and kittens under 4 months of age may not be housed in the 

same primary enclosure with adult cats, other than the dam or foster dam. 

Cats with a vicious or aggressive disposition must be housed separately.

 (3) Litter. In all primary enclosures, a receptacle containing sufficient 

clean litter must be provided to contain excreta and body wastes.

 (4) Resting surfaces. Each primary enclosure housing cats must 

contain a resting surface or surfaces that, in the aggregate, are large enough to 

hold all the occupants of the primary enclosure at the same time comfortably. 

The resting surfaces must be elevated, impervious to moisture, and be able to 

be easily cleaned and sanitized, or easily replaced when soiled or worn. Low 

resting surfaces that do not allow the space under them to be comfortably 

occupied by the animal will be counted as part of the floor space.

 (5) Cats in mobile or traveling shows or acts. Cats that are part of 

a mobile or traveling show or act may be kept, while the show or act is 

traveling from one temporary location to another, in transport containers 

that comply with all requirements of § 3.14 of this subpart other than the 

marking requirements in § 3.14(a)(6) of this subpart. When the show or act 

is not traveling, the cats must be placed in primary enclosures that meet the 

minimum requirements of this section.

(c) Additional requirements for dogs.

 (1) Space.

 (i) Each dog housed in a primary enclosure (including weaned 

puppies) must be provided a minimum amount of floor space, calculated as 

follows: Find the mathematical square of the sum of the length of the dog in 

inches (measured from the tip of its nose to the base of its tail) plus 6 inches; 

then divide the product by 144. The calculation is: (length of dog in inches 

+ 6) × (length of dog in inches + 6) = required floor space in square inches. 

Required floor space in inches/144 = required floor space in square feet.

 (ii) Each bitch with nursing puppies must be provided with 

an additional amount of floor space, based on her breed and behavioral 

characteristics, and in accordance with generally accepted husbandry 

practices as determined by the attending veterinarian. If the additional amount 

of floor space for each nursing puppy is less than 5 percent of the minimum 

requirement for the bitch, such housing must be approved by the attending 

veterinarian in the case of a research facility, and, in the case of dealers and 

exhibitors, such housing must be approved by the Administrator.

 (iii) The interior height of a primary enclosure must be at least 6 

inches higher than the head of the tallest dog in the enclosure when it is in 

a normal standing position: Provided That, prior to February 15, 1994, each 

dog must be able to stand in a comfortable normal position.

Animal Welfare Regulations, USDA § 3.6
120

PART 3

Subpart A

(2) Compatibility. All dogs housed in the same primary enclosure must 

be compatible, as determined by observation. Not more than 12 adult nonconditioned dogs may be housed in the same primary enclosure. Bitches in 

heat may not be housed in the same primary enclosure with sexually mature 

males, except for breeding. Except when maintained in breeding colonies, 

bitches with litters may not be housed in the same primary enclosure with 

other adult dogs, and puppies under 4 months of age may not be housed in the 

same primary enclosure with adult dogs, other than the dam or foster dam. 

Dogs with a vicious or aggressive disposition must be housed separately.

 (3) Dogs in mobile or traveling shows or acts. Dogs that are part 

of a mobile or traveling show or act may be kept, while the show or act is 

traveling from one temporary location to another, in transport containers 

that comply with all requirements of § 3.14 of this subpart other than the 

marking requirements in § 3.14(a)(6) of this subpart. When the show or act 

is not traveling, the dogs must be placed in primary enclosures that meet the 

minimum requirements of this section.

 (4) Prohibited means of primary enclosure. Permanent tethering of 

dogs is prohibited for use as primary enclosure. Temporary tethering of dogs 

is prohibited for use as primary enclosure unless approval is obtained from 

APHIS.

(d) Innovative primary enclosures not precisely meeting the floor area and 

height requirements provided in paragraphs (b)(1) and (c)(1) of this section, 

but that provide the dogs or cats with a sufficient volume of space and the 

opportunity to express species-typical behavior, may be used at research 

facilities when approved by the Committee, and by dealers and exhibitors 

when approved by the Administrator.

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

0579-0093)

[56 FR 6486, Feb. 15, 1991, as amended at 62 FR 43275, Aug. 13, 1997; 63 

FR 3023, Jan. 21, 1998; 63 FR 37482, July 13, 1998]

ANIMAL HEALTH AND HUSBANDRY STANDARDS

§ 3.7 - Compatible grouping.

Dogs and cats that are housed in the same primary enclosure must be 

compatible, with the following restrictions:

(a) Females in heat (estrus) may not be housed in the same primary 

enclosure with males, except for breeding purposes;

§ 3.7 9 CFR AWR (1-1-16 Edition)
121

PART 3

Subpart A

(b) Any dog or cat exhibiting a vicious or overly aggressive disposition 

must be housed separately;

(c) Puppies or kittens 4 months of age or less may not be housed in the 

same primary enclosure with adult dogs or cats other than their dams or foster 

dams, except when permanently maintained in breeding colonies;

(d) Dogs or cats may not be housed in the same primary enclosure with 

any other species of animals, unless they are compatible; and

(e) Dogs and cats that have or are suspected of having a contagious 

disease must be isolated from healthy animals in the colony, as directed by 

the attending veterinarian. When an entire group or room of dogs and cats 

is known to have or believed to be exposed to an infectious agent, the group 

may be kept intact during the process of diagnosis, treatment, and control.

§ 3.8 - Exercise for dogs.

Dealers, exhibitors, and research facilities must develop, document, and 

follow an appropriate plan to provide dogs with the opportunity for exercise. 

In addition, the plan must be approved by the attending veterinarian. The 

plan must include written standard procedures to be followed in providing 

the opportunity for exercise. The plan must be made available to APHIS upon 

request, and, in the case of research facilities, to officials of any pertinent 

funding Federal agency. The plan, at a minimum, must comply with each of 

the following:

(a) Dogs housed individually. Dogs over 12 weeks of age, except 

bitches with litters, housed, held, or maintained by any dealer, exhibitor, or 

research facility, including Federal research facilities, must be provided the 

opportunity for exercise regularly if they are kept individually in cages, pens, 

or runs that provide less than two times the required floor space for that dog, 

as indicated by § 3.6(c)(1) of this subpart.

(b) Dogs housed in groups. Dogs over 12 weeks of age housed, held, or 

maintained in groups by any dealer, exhibitor, or research facility, including 

Federal research facilities, do not require additional opportunity for exercise 

regularly if they are maintained in cages, pens, or runs that provide in total at 

least 100 percent of the required space for each dog if maintained separately. 

Such animals may be maintained in compatible groups, unless:

 (1) Housing in compatible groups is not in accordance with a research 

proposal and the proposal has been approved by the research facility 

Committee;

 (2) In the opinion of the attending veterinarian, such housing would 

adversely affect the health or well-being of the dog(s); or

 (3) Any dog exhibits aggressive or vicious behavior.

Animal Welfare Regulations, USDA § 3.8
122

PART 3

Subpart A

(c) Methods and period of providing exercise opportunity. 

 (1) The frequency, method, and duration of the opportunity for exercise 

shall be determined by the attending veterinarian and, at research facilities, in 

consultation with and approval by the Committee.

 (2) Dealers, exhibitors, and research facilities, in developing their 

plan, should consider providing positive physical contact with humans 

that encourages exercise through play or other similar activities. If a dog is 

housed, held, or maintained at a facility without sensory contact with another 

dog, it must be provided with positive physical contact with humans at least 

daily.

 (3) The opportunity for exercise may be provided in a number of ways, 

such as:

 (i) Group housing in cages, pens or runs that provide at least 100 

percent of the required space for each dog if maintained separately under the 

minimum floor space requirements of § 3.6(c)(1) of this subpart;

 (ii) Maintaining individually housed dogs in cages, pens, or runs that 

provide at least twice the minimum floor space required by § 3.6(c)(1) of this 

subpart;

 (iii) Providing access to a run or open area at the frequency and 

duration prescribed by the attending veterinarian; or

 (iv) Other similar activities.

 (4) Forced exercise methods or devices such as swimming, treadmills, 

or carousel-type devices are unacceptable for meeting the exercise 

requirements of this section.

(d) Exemptions.

 (1) If, in the opinion of the attending veterinarian, it is inappropriate 

for certain dogs to exercise because of their health, condition, or well-being, 

the dealer, exhibitor, or research facility may be exempted from meeting 

the requirements of this section for those dogs. Such exemption must be 

documented by the attending veterinarian and, unless the basis for exemption 

is a permanent condition, must be reviewed at least every 30 days by the 

attending veterinarian.

 (2) A research facility may be exempted from the requirements of 

this section if the principal investigator determines for scientific reasons 

set forth in the research proposal that it is inappropriate for certain dogs to 

exercise. Such exemption must be documented in the Committee-approved 

proposal and must be reviewed at appropriate intervals as determined by the 

Committee, but not less than annually.

 (3) Records of any exemptions must be maintained and made available 

to USDA officials or any pertinent funding Federal agency upon request.

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

0579-0093)

§ 3.8 9 CFR AWR (1-1-16 Edition)
123

PART 3

Subpart A

§ 3.9 - Feeding.

(a) Dogs and cats must be fed at least once each day, except as otherwise 

might be required to provide adequate veterinary care. The food must 

be uncontaminated, wholesome, palatable, and of sufficient quantity and 

nutritive value to maintain the normal condition and weight of the animal. 

The diet must be appropriate for the individual animal’s age and condition.

(b) Food receptacles must be used for dogs and cats, must be readily 

accessible to all dogs and cats, and must be located so as to minimize 

contamination by excreta and pests, and be protected from rain and snow. 

Feeding pans must either be made of a durable material that can be easily 

cleaned and sanitized or be disposable. If the food receptacles are not 

disposable, they must be kept clean and must be sanitized in accordance 

with § 3.11(b) of this subpart. Sanitization is achieved by using one of the 

methods described in § 3.11(b)(3) of this subpart. If the food receptacles are 

disposable, they must be discarded after one use. Self-feeders may be used 

for the feeding of dry food. If self-feeders are used, they must be kept clean 

and must be sanitized in accordance with § 3.11(b) of this subpart. Measures 

must be taken to ensure that there is no molding, deterioration, and caking of 

feed.

§ 3.10 - Watering.

If potable water is not continually available to the dogs and cats, it must be 

offered to the dogs and cats as often as necessary to ensure their health and 

well-being, but not less than twice daily for at least 1 hour each time, unless 

restricted by the attending veterinarian. Water receptacles must be kept clean 

and sanitized in accordance with § 3.11(b) of this subpart, and before being 

used to water a different dog or cat or social grouping of dogs or cats.

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

(a) Cleaning of primary enclosures. Excreta and food waste must be 

removed from primary enclosures daily, and from under primary enclosures 

as often as necessary to prevent an excessive accumulation of feces and 

food waste, to prevent soiling of the dogs or cats contained in the primary 

enclosures, and to reduce disease hazards, insects, pests and odors. When 

steam or water is used to clean the primary enclosure, whether by hosing, 

flushing, or other methods, dogs and cats must be removed, unless the 

enclosure is large enough to ensure the animals would not be harmed, wetted, 

or distressed in the process. Standing water must be removed from the 

primary enclosure and animals in other primary enclosures must be protected 

from being contaminated with water and other wastes during the cleaning. 

The pans under primary enclosures with grill-type floors and the ground 

areas under raised runs with mesh or slatted floors must be cleaned as often 

Animal Welfare Regulations, USDA § 3.11
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as necessary to prevent accumulation of feces and food waste and to reduce 

disease hazards pests, insects and odors.

(b) Sanitization of primary enclosures and food and water receptacles.

 (1) Used primary enclosures and food and water receptacles must be 

cleaned and sanitized in accordance with this section before they can be used 

to house, feed, or water another dog or cat, or social grouping of dogs or cats.

 (2) Used primary enclosures and food and water receptacles for dogs 

and cats must be sanitized at least once every 2 weeks using one of the 

methods prescribed in paragraph (b)(3) of this section, and more often if 

necessary to prevent an accumulation of dirt, debris, food waste, excreta, and 

other disease hazards.

 (3) Hard surfaces of primary enclosures and food and water receptacles 

must be sanitized using one of the following methods:

 (i) Live steam under pressure;

 (ii) Washing with hot water (at least 180 °F (82.2 °C)) and soap or 

detergent, as with a mechanical cage washer; or

 (iii) Washing all soiled surfaces with appropriate detergent solutions 

and disinfectants, or by using a combination detergent/disinfectant product 

that accomplishes the same purpose, with a thorough cleaning of the surfaces 

to remove organic material, so as to remove all organic material and mineral 

buildup, and to provide sanitization followed by a clean water rinse.

 (4) Pens, runs, and outdoor housing areas using material that cannot 

be sanitized using the methods provided in paragraph (b)(3) of this section, 

such as gravel, sand, grass, earth, or absorbent bedding, must be sanitized by 

removing the contaminated material as necessary to prevent odors, diseases, 

pests, insects, and vermin infestation.

(c) Housekeeping for premises. Premises where housing facilities are 

located, including buildings and surrounding grounds, must be kept clean and 

in good repair to protect the animals from injury, to facilitate the husbandry 

practices required in this subpart, and to reduce or eliminate breeding and 

living areas for rodents and other pests and vermin. Premises must be kept 

free of accumulations of trash, junk, waste products, and discarded matter. 

Weeds, grasses, and bushes must be controlled so as to facilitate cleaning of 

the premises and pest control, and to protect the health and well-being of the 

animals.

(d) Pest control. An effective program for the control of insects, external 

parasites affecting dogs and cats, and birds and mammals that are pests, must 

be established and maintained so as to promote the health and well-being of 

the animals and reduce contamination by pests in animal areas.

[56 FR 6486, Feb. 15, 1991, as amended at 63 FR 3023, Jan. 21, 1998]

§ 3.11 9 CFR AWR (1-1-16 Edition)
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§ 3.12 - Employees.

Each person subject to the Animal Welfare regulations (9 CFR parts 1, 

2, and 3) maintaining dogs and cats must have enough employees to carry 

out the level of husbandry practices and care required in this subpart. The 

employees who provide for husbandry and care, or handle animals, must 

be supervised by an individual who has the knowledge, background, and 

experience in proper husbandry and care of dogs and cats to supervise others. 

The employer must be certain that the supervisor and other employees can 

perform to these standards.

TRANSPORTATION STANDARDS

§ 3.13 - Consignments to carriers and intermediate handlers.

(a) Carriers and intermediate handlers must not accept a dog or cat for 

transport in commerce more than 4 hours before the scheduled departure 

time of the primary conveyance on which the animal is to be transported. 

However, a carrier or intermediate handler may agree with anyone consigning 

a dog or cat to extend this time by up to 2 hours.

(b) Carriers and intermediate handlers must not accept a dog or cat for 

transport in commerce unless they are provided with the name, address, and 

telephone number of the consignee.

(c) Carriers and intermediate handlers must not accept a dog or cat for 

transport in commerce unless the consignor certifies in writing to the carrier 

or intermediate handler that the dog or cat was offered food and water 

during the 4 hours before delivery to the carrier or intermediate handler. 

The certification must be securely attached to the outside of the primary 

enclosure in a manner that makes it easily noticed and read. Instructions 

for no food or water are not acceptable unless directed by the attending 

veterinarian. Instructions must be in compliance with § 3.16 of this subpart. 

The certification must include the following information for each dog and cat:

 (1) The consignor’s name and address;

 (2) The tag number or tattoo assigned to each dog or cat under §§ 2.38 

and 2.50 of this chapter;

 (3) The time and date the animal was last fed and watered and the 

specific instructions for the next feeding(s) and watering(s) for a 24-hour 

period; and

 (4) The consignor’s signature and the date and time the certification 

was signed.

(d) Carriers and intermediate handlers must not accept a dog or cat for 

transport in commerce in a primary enclosure unless the primary enclosure 

meets the requirements of § 3.14 of this subpart. A carrier or intermediate 

Animal Welfare Regulations, USDA § 3.13
126

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Subpart A

handler must not accept a dog or cat for transport if the primary enclosure is 

obviously defective or damaged and cannot reasonably be expected to safely 

and comfortably contain the dog or cat without causing suffering or injury.

(e) Carriers and intermediate handlers must not accept a dog or cat for 

transport in commerce unless their animal holding area meets the minimum 

temperature requirements provided in §§ 3.18 and 3.19 of this subpart, or 

unless the consignor provides them with a certificate signed by a veterinarian 

and dated no more than 10 days before delivery of the animal to the carrier 

or intermediate handler for transport in commerce, certifying that the animal 

is acclimated to temperatures lower than those required in §§ 3.18 and 3.19 

of this subpart. Even if the carrier or intermediate handler receives this 

certification, the temperatures the dog or cat is exposed to while in a terminal 

facility must not be lower than 45 °F (2.2 °C) for more than 4 consecutive 

hours when dogs or cats are present, as set forth in § 3.18, nor lower than 45 

°F (2.2 °C) for more than 45 minutes, as set forth in § 3.19, when moving 

dogs or cats to or from terminal facilities or primary conveyances. A copy of 

the certification must accompany the dog or cat to its destination and must 

include the following information:

 (1) The consignor’s name and address;

 (2) The tag number or tattoo assigned to each dog or cat under §§ 2.38 

and 2.50 of this chapter;

 (3) A statement by a veterinarian, dated no more than 10 days before 

delivery, that to the best of his or her knowledge, each of the dogs or cats 

contained in the primary enclosure is acclimated to air temperatures lower 

than 50 °F (10 °C); but not lower than a minimum temperature, specified 

on a certificate, that the attending veterinarian has determined is based on 

generally accepted temperature standards for the age, condition, and breed of 

the dog or cat; and

 (4) The signature of the veterinarian and the date the certification was 

signed.

(f) When a primary enclosure containing a dog or cat has arrived at 

the animal holding area at a terminal facility after transport, the carrier or 

intermediate handler must attempt to notify the consignee upon arrival and at 

least once in every 6-hour period thereafter. The time, date, and method of all 

attempted notifications and the actual notification of the consignee, and the 

name of the person who notifies or attempts to notify the consignee must be 

written either on the carrier’s or intermediate handler’s copy of the shipping 

document or on the copy that accompanies the primary enclosure. If the 

consignee cannot be notified within 24 hours after the dog or cat has arrived at 

the terminal facility, the carrier or intermediate handler must return the animal 

to the consignor or to whomever the consignor designates. If the consignee is 

notified of the arrival and does not accept delivery of the dog or cat within 48 

§ 3.13 9 CFR AWR (1-1-16 Edition)
127

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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, 

and 3) must not transport or deliver for transport in commerce a dog or cat 

unless the following requirements are met:

(a) Construction of primary enclosures. The dog or cat must be contained 

in a primary enclosure such as a compartment, transport cage, carton, or 

crate. Primary enclosures used to transport dogs and cats must be constructed 

so that:

 (1) The primary enclosure is strong enough to contain the dogs 

and cats securely and comfortably and to withstand the normal rigors of 

transportation;

 (2) The interior of the primary enclosure has no sharp points or edges 

and no protrusions that could injure the animal contained in it;

 (3) The dog or cat is at all times securely contained within the enclosure 

and cannot put any part of its body outside the enclosure in a way that could 

result in injury to itself, to handlers, or to persons or animals nearby;

 (4) The dog or cat can be easily and quickly removed from the 

enclosure in an emergency;

 (5) Unless the enclosure is permanently affixed to the conveyance, 

adequate devices such as handles or handholds are provided on its exterior, 

and enable the enclosure to be lifted without tilting it, and ensure that anyone 

handling the enclosure will not come into physical contact with the animal 

contained inside;

 (6) Unless the enclosure is permanently affixed to the conveyance, 

it is clearly marked on top and on one or more sides with the words “Live 

Animals,” in letters at least 1 inch (2.5 cm.) high, and with arrows or other 

markings to indicate the correct upright position of the primary enclosure;

Animal Welfare Regulations, USDA § 3.14
128

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 (7) Any material, treatment, paint, preservative, or other chemical used 

in or on the enclosure is nontoxic to the animal and not harmful to the health 

or well-being of the animal;

 (8) Proper ventilation is provided to the animal in accordance with 

paragraph (c) of this section; and

 (9) The primary enclosure has a solid, leak-proof bottom or a 

removable, leak-proof collection tray under a slatted or mesh floor that 

prevents seepage of waste products, such as excreta and body fluids, outside 

of the enclosure. If a slatted or mesh floor is used in the enclosure, it must 

be designed and constructed so that the animal cannot put any part of its 

body between the slats or through the holes in the mesh. Unless the dogs and 

cats are on raised slatted floors or raised floors made of mesh, the primary 

enclosure must contain enough previously unused litter to absorb and cover 

excreta. The litter must be of a suitably absorbent material that is safe and 

nontoxic to the dogs and cats.

(b) Cleaning of primary enclosures. A primary enclosure used to hold or 

transport dogs or cats in commerce must be cleaned and sanitized before each 

use in accordance with the methods provided in § 3.11(b)(3) of this subpart. 

If the dogs or cats are in transit for more than 24 hours, the enclosures must 

be cleaned and any litter replaced, or other methods, such as moving the 

animals to another enclosure, must be utilized to prevent the soiling of the 

dogs or cats by body wastes. If it becomes necessary to remove the dog or 

cat from the enclosure in order to clean, or to move the dog or cat to another 

enclosure, this procedure must be completed in a way that safeguards the dog 

or cat from injury and prevents escape.

(c) Ventilation.

 (1) Unless the primary enclosure is permanently affixed to the 

conveyance, there must be:

 (i) Ventilation openings located on two opposing walls of the 

primary enclosure and the openings must be at least 16 percent of the surface 

area of each such wall, and the total combined surface area of the ventilation 

openings must be at least 14 percent of the total combined surface area of all 

the walls of the primary enclosure; or

 (ii) Ventilation openings on three walls of the primary enclosure, 

and the openings on each of the two opposing walls must be at least 8 percent 

of the total surface area of the two walls, and the ventilation openings on 

the third wall of the primary enclosure must be at least 50 percent of the 

total surface area of that wall, and the total combined surface area of the 

ventilation openings must be at least 14 percent of the total combined surface 

area of all the walls of the primary enclosure; or

 (iii) Ventilation openings located on all four walls of the primary 

enclosure and the ventilation openings on each of the four walls must be 

at least 8 percent of the total surface area of each such wall, and the total 

§ 3.14 9 CFR AWR (1-1-16 Edition)
129

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Subpart A

combined surface area of the openings must be at least 14 percent of total 

combined surface area of all the walls of the primary enclosure; and

 (iv) At least one-third of the ventilation area must be located on the 

upper half of the primary enclosure.

 (2) Unless the primary enclosure is permanently affixed to the 

conveyance, projecting rims or similar devices must be located on the 

exterior of each enclosure wall having a ventilation opening, in order to 

prevent obstruction of the openings. The projecting rims or similar devices 

must be large enough to provide a minimum air circulation space of 0.75 in. 

(1.9 cm) between the primary enclosure and anything the enclosure is placed 

against.

 (3) If a primary enclosure is permanently affixed to the primary 

conveyance so that there is only a front ventilation opening for the enclosure, 

the primary enclosure must be affixed to the primary conveyance in 

such a way that the front ventilation opening cannot be blocked, and the 

front ventilation opening must open directly to an unobstructed aisle or 

passageway inside the conveyance. The ventilation opening must be at least 

90 percent of the total area of the front wall of the enclosure, and must be 

covered with bars, wire mesh, or smooth expanded metal having air spaces.

(d) Compatibility.

 (1) Live dogs or cats transported in the same primary enclosure must be 

of the same species and be maintained in compatible groups, except that dogs 

and cats that are private pets, are of comparable size, and are compatible, may 

be transported in the same primary enclosure.

 (2) Puppies or kittens 4 months of age or less may not be transported in 

the same primary enclosure with adult dogs or cats other than their dams.

 (3) Dogs or cats that are overly aggressive or exhibit a vicious 

disposition must be transported individually in a primary enclosure.

 (4) Any female dog or cat in heat (estrus) may not be transported in the 

same primary enclosure with any male dog or cat.

(e) Space and placement.

 (1) Primary enclosures used to transport live dogs and cats must be 

large enough to ensure that each animal contained in the primary enclosure 

has enough space to turn about normally while standing, to stand and sit 

erect, and to lie in a natural position.

 (2) Primary enclosures used to transport dogs and cats must be 

positioned in the primary conveyance so as to provide protection from the 

elements.

(f) Transportation by air.

 (1) No more than one live dog or cat, 6 months of age or older, may be 

transported in the same primary enclosure when shipped via air carrier.

Animal Welfare Regulations, USDA § 3.14
130

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Subpart A

 (2) No more than one live puppy, 8 weeks to 6 months of age, and 

weighing over 20 lbs (9 kg), may be transported in a primary enclosure when 

shipped via air carrier.

 (3) No more than two live puppies or kittens, 8 weeks to 6 months of 

age, that are of comparable size, and weighing 20 lbs (9 kg) or less each, may 

be transported in the same primary enclosure when shipped via air carrier.

 (4) Weaned live puppies or kittens less than 8 weeks of age and of 

comparable size, or puppies or kittens that are less than 8 weeks of age that 

are littermates and are accompanied by their dam, may be transported in the 

same primary enclosure when shipped to research facilities, including Federal 

research facilities.

(g) Transportation by surface vehicle or privately owned aircraft.

 (1) No more than four live dogs or cats, 8 weeks of age or older, that 

are of comparable size, may be transported in the same primary enclosure 

when shipped by surface vehicle (including ground and water transportation) 

or privately owned aircraft, and only if all other requirements of this section 

are met.

 (2) Weaned live puppies or kittens less than 8 weeks of age and of 

comparable size, or puppies or kittens that are less than 8 weeks of age that 

are littermates and are accompanied by their dam, may be transported in the 

same primary enclosure when shipped to research facilities, including Federal 

research facilities, and only if all other requirements in this section are met.

(h) Accompanying documents and records. Shipping documents that 

must accompany shipments of dogs and cats may be held by the operator 

of the primary conveyance, for surface transportation only, or must be 

securely attached in a readily accessible manner to the outside of any primary 

enclosure that is part of the shipment, in a manner that allows them to be 

detached for examination and securely reattached, such as in a pocket or 

sleeve. Instructions for administration of drugs, medication, and other special 

care must be attached to each primary enclosure in a manner that makes them 

easy to notice, to detach for examination, and to reattach securely. Food and 

water instructions must be attached in accordance with § 3.13(c).

(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 

and cats must be designed, constructed, and maintained in a manner that at all 

times protects the health and well-being of the animals transported in them, 

§ 3.15 9 CFR AWR (1-1-16 Edition)
131

PART 3

Subpart A

ensures their safety and comfort, and prevents the entry of engine exhaust 

from the primary conveyance during transportation.

(b) The animal cargo space must have a supply of air that is sufficient for 

the normal breathing of all the animals being transported in it.

(c) Each primary enclosure containing dogs or cats must be positioned 

in the animal cargo space in a manner that provides protection from the 

elements and that allows each dog or cat enough air for normal breathing.

(d) During air transportation, dogs and cats must be held in cargo areas 

that are heated or cooled as necessary to maintain an ambient temperature 

and humidity that ensures the health and well-being of the dogs or cats. The 

cargo areas must be pressurized when the primary conveyance used for air 

transportation is not on the ground, unless flying under 8,000 ft. Dogs and 

cats must have adequate air for breathing at all times when being transported.

(e) During surface transportation, auxiliary ventilation, such as fans, 

blowers or air conditioning, must be used in any animal cargo space 

containing live dogs or cats when the ambient temperature within the animal 

cargo space reaches 85 °F (29.5 °C). Moreover, the ambient temperature may 

not exceed 85 °F (29.5 °C) for a period of more than 4 hours; nor fall below 

45 °F (7.2 °C) for a period of more than 4 hours. 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.

(f) Primary enclosures must be positioned in the primary conveyance in a 

manner that allows the dogs and cats to be quickly and easily removed from 

the primary conveyance in an emergency.

(g) The interior of the animal cargo space must be kept clean.

(h) Live dogs and cats may not be transported with any material, substance 

(e.g., dry ice) or device in a manner that may reasonably be expected to harm 

the dogs and cats or cause inhumane conditions.

[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 

at least once every 24 hours. Puppies and kittens less than 16 weeks of age 

must be offered food at least once every 12 hours. Each dog and cat must 

be offered potable water at least once every 12 hours. These time periods 

apply to dealers, exhibitors, research facilities. including Federal research 

facilities, who transport dogs and cats in their own primary conveyance, 

starting from the time the dog or cat was last offered food and potable water 

before transportation was begun. These time periods apply to carriers and 

intermediate handlers starting from the date and time stated on the certificate 

Animal Welfare Regulations, USDA § 3.16
132

PART 3

Subpart A

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, 

or exhibitor offering any dog or cat to a carrier or intermediate handler for 

transportation in commerce must securely attach to the outside of the primary 

enclosure used for transporting the dog or cat, written instructions for the intransit food and water requirements for a 24-hour period for the dogs and cats 

contained in the enclosure. The instructions must be attached in a manner that 

makes them easily noticed and read.

(c) Food and water receptacles must be securely attached inside the 

primary enclosure and placed so that the receptacles can be filled from 

outside the enclosure without opening the door. Food and water containers 

must be designed, constructed, and installed so that a dog or cat cannot leave 

the primary enclosure through the food or water opening.

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

0579-0093)

§ 3.17 - Care in transit.

(a) Surface transportation (ground and water). Any person subject 

to the Animal Welfare regulations transporting dogs or cats in commerce 

must ensure that the operator of the conveyance, or a person accompanying 

the operator, observes the dogs or cats as often as circumstances allow, but 

not less than once every 4 hours, to make sure they have sufficient air for 

normal breathing, that the ambient temperature is within the limits provided 

in § 3.15(e), and that all applicable standards of this subpart are being 

complied with. The regulated person must ensure that the operator or person 

accompanying the operator determines whether any of the dogs or cats are in 

obvious physical distress and obtains any veterinary care needed for the dogs 

or cats at the closest available veterinary facility.

(b) Air transportation. During air transportation of dogs or cats, it is 

the responsibility of the carrier to observe the dogs or cats as frequently as 

circumstances allow, but not less than once every 4 hours if the animal cargo 

area is accessible during flight. If the animal cargo area is not accessible 

during flight, the carrier must observe the dogs or cats whenever they are 

loaded and unloaded and whenever the animal cargo space is otherwise 

§ 3.17 9 CFR AWR (1-1-16 Edition)
133

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Subpart A

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 

not be transported in commerce, except to receive veterinary care for the 

condition.

(d) Except during the cleaning of primary enclosures, as required in § 

3.14(b) of this subpart, during transportation in commerce a dog or cat must 

not be removed from its primary enclosure, unless it is placed in another 

primary enclosure or facility that meets the requirements of § 3.6 or § 3.14 of 

this subpart.

(e) The transportation regulations contained in this subpart must be 

complied with until a consignee takes physical delivery of the dog or cat if 

the animal is consigned for transportation, or until the animal is returned to 

the consignor.

§ 3.18 - Terminal facilities.

(a) Placement. Any person subject to the Animal Welfare regulations (9 

CFR parts 1, 2, and 3) must not commingle shipments of dogs or cats with 

inanimate cargo in animal holding areas of terminal facilities.

(b) Cleaning, sanitization, and pest control. All animal holding areas of 

terminal facilities must be cleaned and sanitized in a manner prescribed in § 

3.11(b)(3) of this subpart, as often as necessary to prevent an accumulation 

of debris or excreta and to minimize vermin infestation and disease hazards. 

Terminal facilities must follow an effective program in all animal holding 

areas for the control of insects, ectoparasites, and birds and mammals that are 

pests to dogs and cats.

(c) Ventilation. Ventilation must be provided in any animal holding area 

in a terminal facility containing dogs or cats, by means of windows, doors, 

vents, or air conditioning. The air must be circulated by fans, blowers, or 

air conditioning so as to minimize drafts, odors, and moisture condensation. 

Auxiliary ventilation, such as exhaust fans, vents, fans, blowers, or air 

conditioning must be used in any animal holding area containing dogs and 

cats, when the ambient temperature is 85 °F (29.5 °C) or higher

(d) Temperature. The ambient temperature in an animal holding area 

containing dogs or cats must not fall below 45 °F (7.2 °C) or rise above 85 °F 

(29.5 °C) for more than four consecutive hours at any time dogs or cats are 

present. The ambient temperature must be measured in the animal holding 

area by the carrier, intermediate handler, or a person transporting dogs or 

Animal Welfare Regulations, USDA § 3.18
134

PART 3

Subpart A

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. Shade must be provided 

that is sufficient to protect the dog or cat from the direct rays of the sun.

 (2) Shelter from rain or snow. Sufficient protection must be provided 

to allow the dogs and cats to remain dry during rain, snow, and other 

precipitation.

(f) Duration. The length of time any person subject to the Animal Welfare 

regulations (9 CFR parts 1, 2, and 3) can hold dogs and cats in animal 

holding areas of terminal facilities upon arrival is the same as that provided in 

§ 3.13(f) of this subpart.

[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, 2, and 3) who moves (including loading and unloading) dogs or cats 

within, to, or from the animal holding area of a terminal facility or a primary 

conveyance must do so as quickly and efficiently as possible and must 

provide the following during movement of the dog or cat:

 (1) Shelter from sunlight and extreme heat. Sufficient shade must be 

provided to protect the dog or cat from the direct rays of the sun. The dog or 

cat must not be exposed to an ambient air temperature above 85 °F (29.5 °C) 

for a period of more than 45 minutes while being moved to or from a primary 

conveyance or a terminal facility. 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.

 (2) Shelter from rain and snow. Sufficient protection must be provided 

to allow the dogs and cats to remain dry during rain, snow, and other 

precipitation.

 (3) Shelter from cold temperatures. Transporting devices on which 

live dogs or cats are placed to move them must be covered to protect the 

animals when the outdoor temperature falls below 50 °F (10 °C). The dogs 

or cats must not be exposed to an ambient temperature below 45 °F (7.2 

§ 3.19 9 CFR AWR (1-1-16 Edition)
135

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Subpart A

°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 

use care and must avoid causing physical harm or distress to the dog or cat.

 (1) A primary enclosure containing a live dog or cat must not be placed 

on unattended conveyor belts, or on elevated conveyor belts, such as baggage 

claim conveyor belts and inclined conveyor ramps that lead to baggage claim 

areas, at any time; except that a primary enclosure may be placed on inclined 

conveyor ramps used to load and unload aircraft if an attendant is present at 

each end of the conveyor belt.

 (2) A primary enclosure containing a dog or cat must not be tossed, 

dropped, or needlessly tilted, and must not be stacked in a manner that 

may reasonably be expected to result in its falling. It must be handled and 

positioned in the manner that written instructions and arrows on the outside 

of the primary enclosure indicate.

(c) This section applies to movement of a dog or cat from primary 

conveyance to primary conveyance, within a primary conveyance or terminal 

facility, and to or from a terminal facility or a primary conveyance.

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

0579-0093)

[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 (1-1-16 Edition)
137

PART 3

Subpart B

Subpart B – Specifications for the Humane Handling, Care, Treatment, 

and Transportation of Guinea Pigs and Hamsters

FACILITIES AND OPERATING STANDARDS

§ 3.25 - Facilities, general.

(a) Structural strength. Indoor and outdoor housing facilities for guinea 

pigs or hamsters shall be structurally sound and shall be maintained in good 

repair, to protect the animals from injury, to contain the animals, and to 

restrict the entrance of other animals.

(b) Water and electric power. Reliable and adequate electric power, 

if required to comply with other provisions of this subpart, and adequate 

potable water shall be available.

(c) Storage. Supplies of food and bedding shall be stored in facilities 

which adequately protect such supplies against spoilage or deterioration 

and infestation or contamination by vermin. Food supplies shall be stored 

in containers with tightly fitting lids or covers or in the original containers 

as received from the commercial sources of supply. Refrigeration shall be 

provided for supplies of perishable food.

(d) Waste disposal. Provisions shall be made for the removal and disposal 

of animal and food wastes, bedding, dead animals, and debris. Disposal 

facilities shall be so provided and operated as to minimize vermin infestation, 

odors, and disease hazards.

(e) Washroom and sinks. Facilities, such as washrooms, basins, or sinks, 

shall be provided to maintain cleanliness among animal caretakers.

[32 FR 3273, Feb. 24, 1967, as amended at 44 FR 63492, Nov. 2, 1979]

§ 3.26 - Facilities, indoor.

(a) Heating. Indoor housing facilities for guinea pigs or hamsters shall be 

sufficiently heated when necessary to protect the animals from the cold, and 

to provide for their health and comfort. The ambient temperature shall not be 

allowed to fall below 60 °F. nor to exceed 85 °F.

(b) Ventilation. Indoor housing facilities for guinea pigs or hamsters shall 

be adequately ventilated to provide for the health and comfort of the animals 

at all times. Such facilities shall be provided with fresh air either by means 

of windows, doors, vents, or air conditioning, and shall be ventilated so as to 

minimize drafts, odors, and moisture condensation. The ambient temperature 

shall not be allowed to rise above 85 °F.

(c) Lighting. Indoor housing facilities for guinea pigs or hamsters shall 

have ample light, by natural or artificial means, or both, of good quality 

and well distributed. Such lighting shall provide uniformly distributed 

Animal Welfare Regulations, USDA § 3.26
138

PART 3

Subpart B

illumination of sufficient light intensity to permit routine inspection and 

cleaning during the entire working period. Primary enclosures shall be so 

placed as to protect the guinea pigs or hamsters from excessive illumination.

(d) Interior surfaces. The interior building surfaces of indoor housing 

facilities shall be constructed and maintained so that they are substantially 

impervious to moisture and may be readily sanitized.

§ 3.27 - Facilities, outdoor.

(a) Hamsters shall not be housed in outdoor facilities.

(b) Guinea pigs shall not be housed in outdoor facilities unless such 

facilities are located in an appropriate climate and prior approval for such 

outdoor housing is obtained from the Deputy Administrator.

§ 3.28 - Primary enclosures.

All primary enclosures for guinea pigs and hamsters shall conform to the 

following requirements:

(a) General.

 (1) Primary enclosures shall be structurally sound and maintained 

in good repair to protect the guinea pigs and hamsters from injury. Such 

enclosures, including their racks, shelving and other accessories, shall be 

constructed of smooth material substantially impervious to liquids and 

moisture.

 (2) Primary enclosures shall be constructed and maintained so that the 

guinea pigs or hamsters contained therein have convenient access to clean 

food and water as required in this subpart.

 (3) Primary enclosures having a solid floor shall be provided with clean 

bedding material.

 (4) Primary enclosures equipped with mesh or wire floors shall be so 

constructed as to allow feces to pass through the spaces of the mesh or wire: 

Provided, however, That such floors shall be constructed so as to protect the 

animals’ feet and legs from injury.

(b) Space requirements for primary enclosures acquired before August 

15, 1990

 (1) Guinea pigs and hamsters. Primary enclosures shall be constructed 

and maintained so as to provide sufficient space for each animal contained 

therein to make normal postural adjustments with adequate freedom of 

movement.

 (2) Guinea pigs. In addition to the provisions of paragraph (b)(1) of 

this section, the following space requirements are applicable to primary 

enclosures for guinea pigs:

 (i) The interior height of any primary enclosure used to confine 

guinea pigs shall be at least 61⁄2 inches.

§ 3.27 9 CFR AWR (1-1-16 Edition)
139

PART 3

Subpart B

 (ii) Each guinea pig housed in a primary enclosure shall be provided 

a minimum amount of floor space in accordance with the following table:

Weight or stage of maturity Minimum space per guinea pig 

(square inches)

Weaning to 350 grams 60

350 grams or more 90

Breeders 180

 (3) Hamsters. In addition to the provisions of paragraph (b)(1) of 

this section, the following space requirements are applicable to primary 

enclosures for hamsters:

 (i) The interior height of any primary enclosure used to confine 

hamsters shall be at least 51⁄2 inches, except that in the case of dwarf 

hamsters, such interior height shall be at least 5 inches.

 (ii) A nursing female hamster, together with her litter, shall be 

housed in a primary enclosure which contains no other hamsters and which 

provides at least 121 square inches of floor space: Provided, however, That in 

the case of dwarf hamsters such floor space shall be at least 25 square inches.

 (iii) The minimum amount of floor space per individual hamster and 

the maximum number of hamsters allowed in a single primary enclosure, 

except as provided for nursing females in paragraph (b)(3)(ii) of this section, 

shall be in accordance with the following table:

Age

Minimum space per hamster 

(square inches)

Maximum 

population per 

enclosure Dwarf Other

Weaning to 5 wks 5.0 10.0 20

5 to 10 wks 7.5 12.5 16

10 wks or more 9 15.0 13

(c) Space requirements for primary enclosures acquired on or after 

August 15, 1990

 (1) Guinea pigs.

 (i) Primary enclosures shall be constructed and maintained so as to 

provide sufficient space for each guinea pig contained therein to make normal 

postural adjustments with adequate freedom of movement.

 (ii) The interior height of any primary enclosure used to confine 

guinea pigs shall be at least 7 inches (17.78 cm).

Animal Welfare Regulations, USDA § 3.28
140

PART 3

Subpart B

 (iii) Each guinea pig shall be provided a minimum amount of floor 

space in any primary enclosure as follows:

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 

provide sufficient space for each hamster contained therein to make normal 

postural adjustments with adequate freedom of movement.

 (ii) The interior height of any primary enclosure used to confine 

hamsters shall be at least 6 inches (15.24 cm).

 (iii) Except as provided in paragraph (c)(2)(iv) of this section, each 

hamster shall be provided a minimum amount of floor space in any primary 

enclosure as follows:

Weight Minimum floor space per hamster

G ozs 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

(iv) A nursing female hamster, together with her litter, shall be 

housed in a primary enclosure that contains no other hamsters and that 

provides at least 121 square inches of floor space: Provided, however,

That in the case of nursing female dwarf hamsters such floor space 

shall be at least 25 square inches.

 (3) Innovative primary enclosures that do not precisely meet the space 

requirements of paragraph (c)(1) or (c)(2) of this section, but that do provide 

guinea pigs or hamsters with a sufficient volume of space and the opportunity 

to express species-typical behavior, may be used at research facilities when 

§ 3.28 9 CFR AWR (1-1-16 Edition)
141

PART 3

Subpart B

approved by the Institutional Animal Care and Use Committee, and by 

dealers and exhibitors when approved by the Administrator.

[32 FR 3273, Feb. 24, 1967, as amended at 55 FR 28882, July 16, 1990]

ANIMAL HEALTH AND HUSBANDRY STANDARDS

§ 3.29 - Feeding.

(a) Guinea pigs and hamsters shall be fed each day except as otherwise 

might be required to provide adequate veterinary care. The food shall be free 

from contamination, wholesome, palatable and of sufficient quantity and 

nutritive value to meet the normal daily requirements for the condition and 

size of the guinea pig or hamster.

(b) Food comprising the basic diet shall be at least equivalent in quality 

and content to pelleted rations produced commercially and commonly 

available from feed suppliers.

(c) The basic diet of guinea pigs and hamsters may be supplemented with 

good quality fruits or vegetables consistent with their individual dietary 

requirements.

(d) Food receptacles, if used, shall be accessible to all guinea pigs or 

hamsters in a primary enclosure and shall be located so as to minimize 

contamination by excreta. All food receptacles shall be kept clean and 

shall be sanitized at least once every 2 weeks. If self-feeders are used for 

the feeding of pelleted feed, measures must be taken to prevent molding, 

deterioration or caking of the feed. Hamsters may be fed pelleted feed on the 

floor of a primary enclosure.

(e) Fruit or vegetable food supplements may be placed upon the bedding 

within the primary enclosure: Provided, however, That the uneaten portion of 

such supplements and any bedding soiled as a result of such feeding practices 

shall be removed from the primary enclosure when such uneaten supplements 

accumulate or such bedding becomes soiled to a degree that might be harmful 

or uncomfortable to animals therein.

§ 3.30 - Watering.

Unless food supplements consumed by guinea pigs or hamsters supply 

them with their normal water requirements, potable water shall be provided 

daily except as might otherwise be required to provide adequate veterinary 

care. Open containers used for dispensing water to guinea pigs or hamsters 

shall be so placed in or attached to the primary enclosure as to minimize 

contamination from excreta. All watering receptacles shall be sanitized when 

Animal Welfare Regulations, USDA § 3.30
142

PART 3

Subpart B

dirty: Provided, however, That such receptacles shall be sanitized at least 

once every 2 weeks.

§ 3.31 - Sanitation.

(a) Cleaning and sanitation of primary enclosures.

 (1) Primary enclosures shall be cleaned and sanitized often enough 

to prevent an accumulation of excreta or debris: Provided, however, That 

such enclosures shall be sanitized at least once every 2 weeks in the manner 

provided in paragraph (a)(4) of this section.

 (2) In the event a primary enclosure becomes soiled or wet to a degree 

that might be harmful or uncomfortable to the animals therein due to leakage 

of the watering system, discharges from dead or dying animals, spoiled 

perishable foods, or moisture condensation, the guinea pigs or hamsters shall 

be transferred to clean primary enclosures.

 (3) Prior to the introduction of guinea pigs or hamsters into empty 

primary enclosures previously occupied, such enclosures shall be sanitized in 

the manner provided in paragraph (a)(4) of this section.

 (4) Primary enclosures for guinea pigs or hamsters shall be sanitized 

by washing them with hot water (180 °F.) and soap or detergent as in a 

mechanical cage washer, or by washing all soiled surfaces with a detergent 

solution followed by a safe and effective disinfectant, or by cleaning all 

soiled surfaces with live steam.

(b) Housekeeping. Premises (buildings and grounds) shall be kept clean 

and in good repair in order to protect the animals from injury and to facilitate 

the prescribed husbandry practices set forth in this subpart. Premises shall 

remain free of accumulations of trash.

(c) Pest control. An effective program for the control of insects, 

ectoparasites, and avian and mammalian pests shall be established and 

maintained.

§ 3.32 - Employees.

A sufficient number of employees shall be utilized to maintain the 

prescribed level of husbandry practices set forth in this subpart. Such 

practices shall be under the supervision of an animal caretaker who has a 

background in animal husbandry or care.

§ 3.33 - Classification and separation.

Animals housed in the same primary enclosure shall be maintained in 

compatible groups, with the following additional restrictions:

(a) Except where harem breeding is practiced, preweanling guinea pigs 

shall not be housed in the same primary enclosure with adults other than their 

parents.

§ 3.31 9 CFR AWR (1-1-16 Edition)
143

PART 3

Subpart B

(b) Guinea pigs shall not be housed in the same primary enclosure with 

hamsters, nor shall guinea pigs or hamsters be housed in the same primary 

enclosure with any other species of animals.

(c) Guinea pigs or hamsters under quarantine or treatment for a 

communicable disease shall be separated from other guinea pigs or hamsters 

and other susceptible species of animals in such a manner as to minimize 

dissemination of such disease.

§ 3.34 - [Reserved]

TRANSPORTATION STANDARDS

Authority: Sections 3.35 through 3.41 issued under secs. 3, 5, 6, 10, 11, 14, 

16, 17, 21; 80 Stat. 353; 84 Stat. 1561, 1562, 1563, 1564; 90 Stat. 418, 419, 

420, 423; (7 U.S.C. 2133, 2135, 2136, 2140, 2141, 2144, 2146, 2147, 2151); 

37 FR 28464, 28477, 38 FR 19141. 

§ 3.35 - Consignments to carriers and intermediate handlers.

(a) Carriers and intermediate handlers shall not accept any live guinea pig 

or hamster presented by any dealer, research facility, exhibitor, operator of an 

auction sale, or other person, or any department, agency, or instrumentality 

of the United States or any State or local government for shipment, in 

commerce, more than 4 hours prior to the scheduled departure of the primary 

conveyance on which it is to be transported: Provided, however, That the 

carrier or intermediate handler and any dealer, research facility, exhibitor, 

operator of an auction sale, or other person, or any department, agency, or 

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

mutually agree to extend the time of acceptance to not more than 6 hours 

if specific prior scheduling of the animal shipment to destination has been 

made.

(b) Any carrier or intermediate handler shall only accept for transportation 

or transport, in commerce any live guinea pig or hamster in a primary 

enclosure which conforms to the requirements set forth in § 3.36 of the 

standards: Provided, however, That any carrier or intermediate handler may 

accept for transportation or transport, in commerce, any live guinea pig or 

hamster consigned by any department, agency, or instrumentality of the 

United States having laboratory animal facilities or exhibiting animals, or 

any licensed or registered dealer, research facility, exhibitor, or operator of an 

auction sale, if such consignor furnishes to the carrier or intermediate handler 

a certificate, signed by the consignor, stating that the primary enclosure 

complies with § 3.36 of the standards, unless such primary enclosure is 

obviously defective or damaged and it is apparent that it cannot reasonably be 

Animal Welfare Regulations, USDA § 3.35
144

PART 3

Subpart B

expected to contain the live guinea pig or hamster without causing suffering 

or injury to such live guinea pig or hamster. A copy of such certificate shall 

accompany the shipment to destination. The certificate of compliance shall 

include at least the following information:

 (1) Name and address of the consignor;

 (2) The number of guinea pigs or hamsters in the primary enclosure(s);

 (3) A certifying statement (e.g., “I hereby certify that the __ (number) 

primary enclosure(s) which are used to transport the animal(s) in this 

shipment complies (comply) with USDA standards for primary enclosures (9 

CFR part 3).”); and

 (4) The signature of the consignor, and date.

(c) Carriers or intermediate handlers whose facilities fail to meet the 

minimum temperature allowed by the standards may accept for transportation 

or transport, in commerce, any live hamster consigned by any department, 

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

government, or by any person (including any licensee or registrant under the 

Act, as well as any private individual) if the consignor furnishes to the carrier 

or intermediate handler a certificate executed by a veterinarian accredited 

by this Department pursuant to part 160 of this title on a specified date 

which shall not be more than 10 days prior to delivery of such hamster for 

transportation in commerce, stating that such live hamster is acclimated to air 

temperatures lower than those prescribed in §§ 3.40 and 3.41. A copy of such 

certificate shall accompany the shipment to destination. The certificate shall 

include the following information:

 (1) Name and address of the consignor;

 (2) The number of hamsters in the shipment;

 (3) A certifying statement (e.g., “I hereby certify that the animal(s) 

in this shipment is (are), to the best of my knowledge, acclimated to air 

temperatures lower than 7.2 °C. (45 °F.).”); and

 (4) The signature of the USDA accredited veterinarian, assigned 

accreditation number, and date.

(d) Carriers and intermediate handlers shall attempt to notify the 

consignee at least once in every 6 hour period following the arrival of any 

live guinea pig or hamster at the animal holding area of the terminal cargo 

facility. The time, date, and method of each attempted notification and the 

final notification to the consignee and the name of the person notifying the 

consignee shall be recorded on the copy of the shipping document retained by 

the carrier or intermediate handler and on a copy of the shipping document 

accompanying the animal shipment.

[42 FR 31563, June 21, 1977, as amended at 43 FR 22163, May 16, 1978; 44 

FR 63492, Nov. 2, 1979]

§ 3.35 9 CFR AWR (1-1-16 Edition)
145

PART 3

Subpart B

§ 3.36 - Primary enclosures used to transport live guinea pigs and 

hamsters.

No person subject to the Animal Welfare regulations shall offer for 

transportation, or transport, in commerce any live guinea pig or hamster in a 

primary enclosure that does not conform to the following requirements:

(a) Primary enclosures, such as compartments, transport cages, cartons, 

or crates, used to transport live guinea pigs or hamsters shall be constructed 

in such a manner that (1) the structural strength of the enclosure shall be 

sufficient to contain the live guinea pigs or hamsters and to withstand the 

normal rigors of transportation; (2) the interior of the enclosure shall be 

free from any protrusions that could be injurious to the live guinea pigs or 

hamsters contained therein; (3) the inner surfaces of corrugated fiberboard, 

cardboard, or plastic containers shall be covered or laminated with wire mesh 

or screen where necessary to prevent escape of the animals; (4) the openings 

of such enclosures are easily accessible at all times for emergency removal 

of the live guinea pigs or hamsters; (5) except as provided in paragraph (i) of 

this section, there are ventilation openings located on two opposite walls of 

the primary enclosure and the ventilation openings on each such wall shall 

be at least 16 percent of the total surface area of each such wall, or there 

are ventilation openings located on all four walls of the primary enclosure 

and the ventilation openings on each such wall shall be at least 8 percent 

of the total surface area of each such wall: Provided, however, That at least 

one-third of the total minimum area required for ventilation of the primary 

enclosure shall be located on the lower one-half of the primary enclosure 

and at least one-third of the total minimum area required for ventilation of 

the primary enclosure shall be located on the upper one-half of the primary 

enclosure; (6) except as provided in paragraph (i) of this section, projecting 

rims or other devices shall be on the exterior of the outside walls with any 

ventilation openings to prevent obstruction of the ventilation openings and 

to provide a minimum air circulation space of 1.9 centimeters (0.75 inches) 

between the primary enclosure and any adjacent cargo or conveyance 

wall; and (7) except as provided in paragraph (i) of this section, adequate 

handholds or other devices for lifting shall be provided on the exterior of the 

primary enclosure to enable the primary enclosure to be lifted without tilting 

and to ensure that the person handling the primary enclosure will not be in 

contact with the guinea pigs or hamsters.

(b) Live guinea pigs or hamsters transported in the same primary 

enclosure shall be of the same species and maintained in compatible groups.

(c) Primary enclosures used to transport live guinea pigs or hamsters shall 

be large enough to ensure that each animal contained therein has sufficient 

space to turn about freely and to make normal postural adjustments.

Animal Welfare Regulations, USDA § 3.36
146

PART 3

Subpart B

(d) Not more than 15 live guinea pigs shall be transported in the same 

primary enclosure. No more than 50 live hamsters shall be transported in the 

same primary enclosure.

(e) In addition to the other provisions of this section, the following 

requirements shall also apply to primary enclosures used to transport live 

guinea pigs or hamsters:

 (1) Guinea pigs.

 (i) The interior height of primary enclosures used to transport live 

guinea pigs weighing up to 500 grams shall be at least 15.2 centimeters (6 

inches) and the interior height of primary enclosures used to transport live 

guinea pigs weighing over 500 grams shall be at least 17.8 centimeters (7 

inches).

 (ii) Each live guinea pig transported in a primary enclosure shall be 

provided a minimum amount of floor space in accordance with the following 

table:

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 

hamsters shall be at least 15.2 centimeters (6 inches) except that in the case 

of dwarf hamsters such interior height shall be at least 12.7 centimeters (5 

inches).

 (ii) Each live hamster transported in a primary enclosure shall be 

provided a minimum amount of floor space in accordance with the following 

table:

§ 3.36 9 CFR AWR (1-1-16 Edition)
147

PART 3

Subpart B

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, 

except where such primary enclosures are permanently affixed in the animal 

cargo space of the primary conveyance, shall be clearly marked on top and on 

one or more sides with the words “Live Animals” in letters not less than 2.5 

centimeters (1 inch) in height, and with arrows or other markings, to indicate 

the correct upright position of the container.

(h) Documents accompanying the shipment shall be attached in an easily 

accessible manner to the outside of a primary enclosure which is part of such 

shipment.

(i) When a primary enclosure is permanently affixed within the animal 

cargo space of the primary conveyance so that the front opening is the only 

source of ventilation for such primary enclosure, the front opening shall 

open directly to the outside or to an unobstructed aisle or passageway within 

the primary conveyance. Such front ventilation opening shall be at least 90 

percent of the total surface area of the front wall of the primary enclosure and 

covered with bars, wire mesh or smooth expanded metal.

[42 FR 31563, June 21, 1977, as amended at 43 FR 21163, May 16, 1978; 55 

FR 28882, July 16, 1990]

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

(a) The animal cargo space of primary conveyances used in transporting 

live guinea pigs and hamsters shall be designed and constructed to protect the 

Animal Welfare Regulations, USDA § 3.37
148

PART 3

Subpart B

health, and ensure the safety and comfort of the live guinea pigs and hamsters 

at all times.

(b) The animal cargo space shall be constructed and maintained in a 

manner to prevent the ingress of engine exhaust fumes and gases from the 

primary conveyance during transportation in commerce.

(c) No live guinea pig or hamster shall be placed in an animal cargo space 

that does not have a supply of air sufficient for normal breathing for each live 

animal contained therein, and the primary enclosures shall be positioned in 

the animal cargo space in such a manner that each live guinea pig or hamster 

has access to sufficient air for normal breathing.

(d) Primary enclosures shall be positioned in the primary conveyance in 

such a manner that in an emergency the live guinea pigs or hamsters can be 

removed from the primary conveyance as soon as possible.

(e) The interior of the animal cargo space shall be kept clean.

(f) Live guinea pigs and hamsters shall not be transported with any 

material, substance (e.g., dry ice) or device which may reasonably be 

expected to be injurious to the health and well-being of the guinea pigs and 

hamsters unless proper precaution is taken to prevent such injury.

(g) The animal cargo space of primary conveyances used to transport 

guinea pigs or hamsters shall be mechanically sound and provide fresh air 

by means of windows, doors, vents, or air conditioning so as to minimize 

drafts, odors, and moisture condensation. Auxiliary ventilation, such as fans, 

blowers, or air conditioners, shall be used in any cargo space containing live 

guinea pigs or hamsters when the ambient temperature in the animal cargo 

space is 75 °F (23.9 °C) or higher. The ambient temperature within the animal 

cargo space shall not exceed 85 °F (29.5 °C) or fall below 45 °F (7.2 °C), 

except that the ambient temperature in the cargo space may be below 45 

°F (7.2 °C) for hamsters if the hamsters are accompanied by a certificate of 

acclimation to lower temperatures, as provided in § 3.35(c) of this part.

[42 FR 31563, June 21, 1977, as amended at 55 FR 28882, July 16, 1990]

§ 3.38 - Food and water requirements.

(a) If live guinea pigs or hamsters are to be transported for a period of 

more than 6 hours, the animals shall have access to food and water or a type 

of food, which provides the requirements for food and water in quantity and 

quality sufficient to satisfy their food and water needs, during transit.

(b) Any dealer, research facility, exhibitor or operator of an auction sale 

offering any live guinea pig or hamster to any carrier or intermediate handler 

for transportation, in commerce, shall provide an adequate supply of food or 

type of food, which provides the requirements for food and water, within the 

primary enclosure to meet the requirements of this section.

§ 3.38 9 CFR AWR (1-1-16 Edition)
149

PART 3

Subpart B

(c) No carrier or intermediate handler shall accept for transportation, in 

commerce, any live guinea pig or hamster without an adequate supply of food 

or type of food, which provides the requirements for food and water, within 

the primary enclosure to meet the requirements of this section.

[42 FR 31563, June 21, 1977]

§ 3.39 - Care in transit.

(a) During surface transportation, it shall be the responsibility of the driver 

or other employee to visually observe the live guinea pigs or hamsters as 

frequently as circumstances may dictate, but not less than once every 4 hours, 

to assure that they are receiving sufficient air for normal breathing, their 

ambient temperatures are within the prescribed limits, all other applicable 

standards are being complied with and to determine whether any of the 

live guinea pigs or hamsters are in obvious physical distress and to provide 

any needed veterinary care as soon as possible. When transported by air, 

live guinea pigs and hamsters shall be visually observed by the carrier as 

frequently as circumstances may dictate, but not less than once every 4 hours, 

if the animal cargo space is accessible during flight. If the animal cargo 

space is not accessible during flight, the carrier shall visually observe the live 

guinea pigs or hamsters whenever loaded and unloaded and whenever the 

animal cargo space is otherwise accessible to assure that they are receiving 

sufficient air for normal breathing, their ambient temperatures are within the 

prescribed limits, all other applicable standards are being complied with and 

to determine whether any such live guinea pigs or hamsters are in obvious 

physical distress. The carrier shall provide any needed veterinary care as soon 

as possible. No guinea pig or hamster in obvious physical distress shall be 

transported in commerce.

(b) During the course of transportation, in commerce, live guinea pigs or 

hamsters shall not be removed from their primary enclosures unless placed 

in other primary enclosures or facilities conforming to the requirements 

provided in this subpart.

[42 FR 31563, June 21, 1977]

§ 3.40 - Terminal facilities.

No person subject to the Animal Welfare regulations shall commingle 

shipments of live guinea pigs or hamsters with inanimate cargo. All animal 

holding areas of a terminal facility where shipments of live guinea pigs or 

hamsters are maintained shall be cleaned and sanitized as prescribed in § 3.31 

of the standards often enough to prevent an accumulation of debris or excreta, 

to minimize vermin infestation, and to prevent a disease hazard. An effective 

Animal Welfare Regulations, USDA § 3.40
150

PART 3

Subpart B

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 

moves live guinea pigs or hamsters from an animal holding area of a terminal 

facility to a primary conveyance or vice versa shall do so as quickly and 

efficiently as possible. Any person subject to the Animal Welfare Act and 

holding any live guinea pig or hamster in an animal holding area of a terminal 

facility or transporting any live guinea pig or hamster to or from a terminal 

facility shall provide the following:

 (1) Shelter from sunlight. When sunlight is likely to cause overheating 

or discomfort, sufficient shade shall be provided to protect the live guinea 

pigs and hamsters from the direct rays of the sun and such live guinea pigs 

or hamsters shall not be subjected to surrounding air temperatures which 

exceed 29.5 °C. (85 °F.), and which shall be measured and read in the manner 

prescribed § 3.40 of this part, for a period of more than 45 minutes.

 (2) Shelter from rain or snow. Live guinea pigs and hamsters shall be 

provided protection to allow them to remain dry during rain or snow.

 (3) Shelter from cold weather. Transporting devices shall be covered 

to provide protection for live guinea pigs and hamsters when the outdoor 

air temperature falls below 10 °C. (50 °F.), and such live guinea pigs and 

hamsters shall not be subjected to surrounding air temperatures which fall 

§ 3.41 9 CFR AWR (1-1-16 Edition)
151

PART 3

Subpart B

below 7.2 °C. (45 °F.), and which shall be measured and read in the manner 

prescribed in § 3.40 of this part, for a period of more than 45 minutes.

(b) Care shall be exercised to avoid handling of the primary enclosure in 

such a manner that may cause physical or emotional trauma to the live guinea 

pig or hamster contained therein.

(c) Primary enclosures used to transport any live guinea pig or hamster 

shall not be tossed, dropped, or needlessly tilted and shall not be stacked in a 

manner which may reasonably be expected to result in their falling.

[43 FR 21163, May 16, 1978, as amended at 43 FR 56216, Dec. 1, 1978; 55 

FR 28883, July 16, 1990]

Animal Welfare Regulations, USDA § 3.41
152

 9 CFR AWR (1-1-16 Edition)
153

PART 3

Subpart C

Subpart C – Specifications for the Humane Handling, Care, Treatment 

and Transportation of Rabbits

FACILITIES AND OPERATING STANDARDS

§ 3.50 - Facilities, general.

(a) Structural strength. Indoor and outdoor housing facilities for rabbits 

shall be structurally sound and shall be maintained in good repair, to protect 

the animals from injury, to contain the animals, and to restrict the entrance of 

other animals.

(b) Water and electric power. Reliable and adequate electric power, 

if required to comply with other provisions of this subpart, and adequate 

potable water shall be available.

(c) Storage. Supplies of food and bedding shall be stored in facilities 

which adequately protect such supplies against infestation or contamination 

by vermin. Refrigeration shall be provided for supplies of perishable food.

(d) Waste disposal. Provision shall be made for the removal and disposal 

of animal and food wastes, bedding, dead animals, and debris. Disposal 

facilities shall be so provided and operated as to minimize vermin infestation, 

odors, and disease hazards.

(e) Washroom and sinks. Facilities, such as washrooms, basins, or sinks, 

shall be provided to maintain cleanliness among animal caretakers.

[32 FR 3273, Feb. 24, 1967, as amended at 44 FR 63492, Nov. 2, 1979]

§ 3.51 - Facilities, indoor.

(a) Heating. Indoor housing facilities for rabbits need not be heated.

(b) Ventilation. Indoor housing facilities for rabbits shall be adequately 

ventilated to provide for the health and comfort of the animals at all times. 

Such facilities shall be provided with fresh air either by means of windows, 

doors, vents, or air conditioning and shall be ventilated so as to minimize 

drafts, odors, and moisture condensation. Auxiliary ventilation, such as 

exhaust fans and vents or air conditioning, shall be provided when the 

ambient temperature is 85 °F. or higher.

(c) Lighting. Indoor housing facilities for rabbits shall have ample light, 

by natural or artificial means, or both, of good quality and well distributed. 

Such lighting shall provide uniformly distributed illumination of sufficient 

light intensity to permit routine inspection and cleaning during the entire 

working period. Primary enclosures shall be so placed as to protect the 

rabbits from excessive illumination.

Animal Welfare Regulations, USDA § 3.51
154

PART 3

Subpart C

(d) Interior surfaces. The interior building surfaces of indoor housing 

facilities shall be constructed and maintained so that they are substantially 

impervious to moisture and may be readily sanitized.

§ 3.52 - Facilities, outdoor.

(a) Shelter from sunlight. When sunlight is likely to cause overheating 

or discomfort, sufficient shade shall be provided to allow all rabbits kept 

outdoors to protect themselves from the direct rays of the sun. When the 

atmospheric temperature exceeds 90 °F. artificial cooling shall be provided by 

a sprinkler system or other means.

(b) Shelter from rain or snow. Rabbits kept outdoors shall be provided 

with access to shelter to allow them to remain dry during rain or snow.

(c) Shelter from cold weather. Shelter shall be provided for all rabbits 

kept outdoors when the atmospheric temperature falls below 40 °F.

(d) Protection from predators. Outdoor housing facilities for rabbits shall 

be fenced or otherwise enclosed to minimize the entrance of predators.

(e) Drainage. A suitable method shall be provided to rapidly eliminate 

excess water.

§ 3.53 - Primary enclosures.

All primary enclosures for rabbits shall conform to the following 

requirements:

(a) General.

 (1) Primary enclosures shall be structurally sound and maintained in 

good repair to protect the rabbits from injury, to contain them, and to keep 

predators out.

 (2) Primary enclosures shall be constructed and maintained so as to 

enable the rabbits to remain dry and clean.

 (3) Primary enclosures shall be constructed and maintained so that the 

rabbits contained therein have convenient access to clean food and water as 

required in this subpart.

 (4) The floors of the primary enclosures shall be constructed so as to 

protect the rabbits’ feet and legs from injury. Litter shall be provided in all 

primary enclosures having solid floors.

 (5) A suitable nest box containing clean nesting material shall be 

provided in each primary enclosure housing a female with a litter less than 

one month of age.

(b) Space requirements for primary enclosures acquired before August 

15, 1990. Primary enclosures shall be constructed and maintained so as to 

provide sufficient space for the animal to make normal postural adjustments 

with adequate freedom of movement. Each rabbit housed in a primary 

enclosure shall be provided a minimum amount of floor space, exclusive of 

§ 3.52 9 CFR AWR (1-1-16 Edition)
155

PART 3

Subpart C

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 11 864

12 or more 1080

(c) Space requirements for primary enclosures acquired on or after 

August 15, 1990.

 (1) Primary enclosures shall be constructed and maintained so as to 

provide sufficient space for the animal to make normal postural adjustments 

with adequate freedom of movement.

 (2) Each rabbit housed in a primary enclosure shall be provided a 

minimum amount of floor space, exclusive of the space taken up by food and 

water receptacles, in accordance with the following table:

Individual weights Minimum floor 

space

Minimum interior

 height

kg lbs m2 ft2 cm in

Individual 

rabbits 

(weaned)

< 2

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

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

 (3) Innovative primary enclosures that do not precisely meet the space 

requirements of paragraph (c)(2) of this section, but that do provide rabbits 

with a sufficient volume of space and the opportunity to express speciestypical behavior, may be used at research facilities when approved by the 

Institutional Animal Care and Use Committee, and by dealers and exhibitors 

when approved by the Administrator.

[32 FR 3273, Feb. 24, 1967, as amended at 55 FR 28883, July 16, 1990]

ANIMAL HEALTH AND HUSBANDRY STANDARDS

§ 3.54 - Feeding.

(a) Rabbits shall be fed at least once each day except as otherwise might 

be required to provide adequate veterinary care. The food shall be free from 

contamination, wholesome, palatable and of sufficient quantity and nutritive 

value to meet the normal daily requirements for the condition and size of the 

rabbit.

(b) Food receptacles shall be accessible to all rabbits in a primary 

enclosure and shall be located so as to minimize contamination by excreta. 

All food receptacles shall be kept clean and sanitized at least once every 2 

weeks. If self-feeders are used for the feeding of dry feed, measures must be 

taken to prevent molding, deterioration or caking of the feed.

§ 3.55 - Watering.

Sufficient potable water shall be provided daily except as might otherwise 

be required to provide adequate veterinary care. All watering receptacles shall 

be sanitized when dirty: Provided, however, That such receptacles shall be 

sanitized at least once every 2 weeks.

§ 3.56 - Sanitation.

(a) Cleaning of primary enclosures.

 (1) Primary enclosures shall be kept reasonably free of excreta, hair, 

cobwebs and other debris by periodic cleaning. Measures shall be taken to 

prevent the wetting of rabbits in such enclosures if a washing process is used.

(2) In primary enclosures equipped with solid floors, soiled litter shall be 

removed and replaced with clean litter at least once each week.

 (3) If primary enclosures are equipped with wire or mesh floors, the 

troughs or pans under such enclosures shall be cleaned at least once each 

week. If worm bins are used under such enclosures they shall be maintained 

in a sanitary condition.

(b) Sanitization of primary enclosures.

§ 3.54 9 CFR AWR (1-1-16 Edition)
157

PART 3

Subpart C

 (1) Primary enclosures for rabbits shall be sanitized at least once every 

30 days in the manner provided in paragraph (b)(3) of this section.

 (2) Prior to the introduction of rabbits into empty primary enclosures 

previously occupied, such enclosures shall be sanitized in the manner 

provided in paragraph (b)(3) of this section.

 (3) Primary enclosures for rabbits shall be sanitized by washing them 

with hot water (180 °F.) and soap or detergent as in a mechanical cage 

washer, or by washing all soiled surfaces with a detergent solution followed 

by a safe and effective disinfectant, or by cleaning all soiled surfaces with 

live steam or flame.

(c) Housekeeping. Premises (buildings and grounds) shall be kept clean 

and in good repair in order to protect the animals from injury and to facilitate 

the prescribed husbandry practices set forth in this subpart. Premises shall 

remain free of accumulations of trash.

(d) Pest control. An effective program for the control of insects, 

ectoparasites, and avian and mammalian pests shall be established and 

maintained. 

§ 3.57 - Employees.

A sufficient number of employees shall be utilized to maintain the 

prescribed level of husbandry practices set forth in this subpart. Such 

practices shall be under the supervision of an animal caretaker who has a 

background in animal husbandry or care.

§ 3.58 - Classification and separation.

Animals housed in the same primary enclosure shall be maintained in 

compatible groups, with the following additional restrictions:

(a) Rabbits shall not be housed in the same primary enclosure with any 

other species of animals unless required for scientific reasons.

(b) Rabbits under quarantine or treatment for a communicable disease 

shall be separated from other rabbits and other susceptible species of animals 

in such a manner as to minimize dissemination of such disease.

§ 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

Source: Sections 3.60 through 3.66 appear at 42 FR 31565, June 21, 1977, 

unless otherwise noted. 

§ 3.60 - Consignments to carriers and intermediate handlers.

(a) Carriers and intermediate handlers shall not accept any live rabbit 

presented by any dealer, research facility, exhibitor, operator of an auction 

sale, or other person, or any department, agency, or instrumentality of the 

United States or any State or local government for shipment, in commerce, 

more than 4 hours prior to the scheduled departure of the primary conveyance 

on which it is to be transported: Provided, however, That the carrier or 

intermediate handler and any dealer, research facility, exhibitor, operator of 

an auction sale, or other person, or any department, agency, or instrumentality 

of the United States or any State or local government may mutually agree 

to extend the time of acceptance to not more than 6 hours if specific prior 

scheduling of the animal shipment to destination has been made.

(b) Any carrier or intermediate handler shall only accept for transportation 

or transport, in commerce, any live rabbit in a primary enclosure which 

conforms to the requirements set forth in § 3.61 of the standards: 

Provided, however, That any carrier or intermediate handler may accept for 

transportation or transport, in commerce, any live rabbit consigned by any 

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

animal facilities or exhibiting animals or any licensed or registered dealer, 

research facility, exhibitor, or operator of any auction sale, if such consignor 

furnishes to the carrier or intermediate handler a certificate, signed by the 

consignor, stating that the primary enclosure complies with § 3.61 of the 

standards, unless such primary enclosure is obviously defective or damaged 

and it is apparent that it cannot reasonably be expected to contain the live 

rabbit without causing suffering or injury to such live rabbit. A copy of such 

certificate shall accompany the shipment to destination. The certificate shall 

include at least the following information:

 (1) Name and address of the consignor;

 (2) The number of rabbits in the primary enclosure(s);

 (3) A certifying statement (e.g., “I hereby certify that the __ (number) 

primary enclosure(s) which are used to transport the animal(s) in this 

shipment complies (comply) with USDA standards for primary enclosures (9 

CFR part 3).”); and

 (4) The signature of the consignor, and date.

(c) Carriers or intermediate handlers whose facilities fail to meet the 

minimum temperature allowed by the standards may accept for transportation 

or transport, in commerce, any live rabbit consigned by any department, 

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

government, or by any person (including any licensee or registrant under 

§ 3.60 9 CFR AWR (1-1-16 Edition)
159

PART 3

Subpart C

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) 

in this shipment is (are), to the best of my knowledge, acclimated to air 

temperatures lower than 7.2 °C. (45 °F.).)”; and

 (4) The signature of the USDA accredited veterinarian, assigned 

accreditation number, and date.

(d) Carriers and intermediate handlers shall attempt to notify the 

consignee at least once in every 6 hour period following the arrival of any 

live rabbit at the animal holding area of the terminal cargo facility. The time, 

date, and method of each attempted notification and the final notification to 

the consignee and the name of the person notifying the consignee shall be 

recorded on the copy of the shipping document retained by the carrier or 

intermediate handler and on a copy of the shipping document accompanying 

the animal shipment.

[42 FR 31565, June 21, 1977, as amended at 43 FR 21164, May 16, 1978; 44 

FR 63493, Nov. 2, 1979]

§ 3.61 - Primary enclosures used to transport live rabbits.

No person subject to the Animal Welfare regulations shall offer for 

transportation or transport in commerce any live rabbit in a primary enclosure 

that does not conform to the following requirements:

(a) Primary enclosures, such as compartments, transport cages, cartons, 

or crates, used to transport live rabbits shall be constructed in such a manner 

that:

 (1) The structural strength of the enclosure shall be sufficient to contain 

the live rabbits and to withstand the normal rigors of transportation;

 (2) The interior of the enclosure shall be free from any protrusions that 

could be injurious to the live rabbits contained therein; 

 (3) The openings of such enclosures are easily accessible at all times 

for emergency removal of the live rabbits;

 (4) Except as provided in paragraph (h) of this section, there are 

ventilation openings located on two opposite walls of the primary enclosure 

Animal Welfare Regulations, USDA § 3.61
160

PART 3

Subpart C

and the ventilation openings on each such wall shall be at least 16 percent 

of the total surface area of each such wall, or there are ventilation openings 

located on all four walls of the primary enclosure and the ventilation 

openings on each such wall shall be at least 8 percent of the total surface 

area of each such wall: Provided, however, That at least one-third of the total 

minimum area required for ventilation of the primary enclosure shall be 

located on the lower one-half of the primary enclosure and at least one-third 

of the total minimum area required for ventilation of the primary enclosure 

shall be located on the upper one-half of the primary enclosure;

 (5) Except as provided in paragraph (h) of this section, projecting 

rims or other devices shall be on the exterior of the outside walls with any 

ventilation openings to prevent obstruction of the ventilation openings and to 

provide a minimum air circulation space 1.9 centimeters (.75 inch) between 

the primary enclosure and any adjacent cargo or conveyance wall; and

 (6) Except as provided in paragraph (h) of this section, adequate 

handholds or other devices for lifting shall be provided on the exterior of the 

primary enclosure to enable the primary enclosure to be lifted without tilting 

and to ensure that the person handling the primary enclosure will not be in 

contact with the rabbit.

(b) Live rabbits transported in the same primary enclosure shall be 

maintained in compatible groups and shall not be transported in the same 

primary enclosure with other specie of animals.

(c) Primary enclosures used to transport live rabbits shall be large enough 

to ensure that each rabbit contained therein has sufficient space to turn about 

freely and to make normal postural adjustments.

(d) Not more than 15 live rabbits shall be transported in the same primary 

enclosure.

(e) Primary enclosures used to transport live rabbits as provided in this 

section shall have solid bottoms to prevent leakage in shipment and shall 

be cleaned and sanitized in a manner prescribed in § 3.56 of the standards, 

if previously used. Such primary enclosures shall contain clean litter of 

a suitable absorbent material which is safe and nontoxic to the rabbits, in 

sufficient quantity to absorb and cover excreta, unless the rabbits are on wire 

or other nonsolid floors.

(f) Primary enclosures used to transport live rabbits, except where such 

primary enclosures are permanently affixed in the animal cargo space of the 

primary conveyance, shall be clearly marked on top and on one or more sides 

with the works “Live Animal” in letters not less than 2.5 centimeters (1 inch) 

in height, and with arrows or other markings, to indicate the correct upright 

position of the container.

§ 3.61 9 CFR AWR (1-1-16 Edition)
161

PART 3

Subpart C

(g) Documents accompanying the shipment shall be attached in an easily 

accessible manner to the outside of a primary enclosure which is part of such 

shipment.

(h) When a primary enclosure is permanently affixed within the animal 

cargo space of the primary conveyance so that the front opening is the only 

source of ventilation for such primary enclosure, the front opening shall 

open directly to the outside or to an unobstructed aisle or passageway within 

the primary conveyance. Such front ventilation opening shall be at least 90 

percent of the total surface area of the front wall of the primary enclosure and 

covered with bars, wire mesh or smooth expanded metal.

[42 FR 31565, June 21, 1977, as amended at 43 FR 21164, May 16, 1978; 55 

FR 28883, July 16, 1990]

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

(a) The animal cargo space of primary conveyances used in transporting 

live rabbits shall be designed and constructed to protect the health, and ensure 

the safety and comfort of the rabbits contained therein at all times.

(b) The animal cargo space shall be constructed and maintained in a 

manner to prevent the ingress of engine exhaust fumes and gases from the 

primary conveyance during transportation in commerce.

(c) No live rabbit shall be placed in an animal cargo space that does not 

have a supply of air sufficient for normal breathing for each live animal 

contained therein, and the primary enclosures shall be positioned in the 

animal cargo space in such a manner that each rabbit has access to sufficient 

air for normal breathing.

(d) Primary enclosures shall be positioned in the primary conveyance in 

such a manner that in an emergency the live rabbits can be removed from the 

primary conveyance as soon as possible.

(e) The interior of the animal cargo space shall be kept clean.

(f) Live rabbits shall not be transported with any material, substance (e.g., 

dry ice) or device which may reasonably be expected to be injurious to the 

health and well-being of the rabbits unless proper precaution is taken to 

prevent such injury.

(g) The animal cargo space of primary conveyances used to transport 

rabbits shall be mechanically sound and provide fresh air by means of 

windows, doors, vents, or air conditioning so as to minimize drafts, odors, 

and moisture condensation. Auxiliary ventilation, such as fans, blowers, 

or air conditioners, shall be used in any cargo space containing live rabbits 

when the ambient temperature in the animal cargo space is 75 °F (23.9 °C) 

or higher. The ambient temperature within the animal cargo space shall not 

exceed 85 °F (29.5 °C) or fall below 45 °F (7.2 °C), except that the ambient 

Animal Welfare Regulations, USDA § 3.62
162

PART 3

Subpart C

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, 

they shall have access to food and water or a type of food, which provides the 

requirements for food and water in quantity and quality sufficient to satisfy 

their food and water needs, during transit.

(b) Any dealer, research facility, exhibitor or operator of an auction 

sale offering any live rabbit to any carrier or intermediate handler for 

transportation, in commerce, shall provide an adequate supply of food or 

type of food, which provides the requirements for food and water, within the 

primary enclosure to meet the requirements of this section.

(c) No carrier or intermediate handler shall accept for transportation, in 

commerce, any live rabbit without an adequate supply of food or type of 

food, which provides the requirements for food and water, within the primary 

enclosure to meet the requirements of this section.

§ 3.64 - Care in transit.

(a) During surface transportation, it shall be the responsibility of the 

driver or other employee to visually observe the live rabbits as frequently as 

circumstances may dictate, but not less than once every 4 hours, to assure 

that they are receiving sufficient air for normal breathing, their ambient 

temperatures are within the prescribed limits, all other applicable standards 

are being complied with and to determine whether any of the live rabbits 

are in obvious physical distress and to provide any needed veterinary care 

as soon as possible. When transported by air, live rabbits shall be visually 

observed by the carrier as frequently as circumstances may dictate, but not 

less than once every 4 hours, if the cargo space is accessible during flight. If 

the animal cargo space is not accessible during flight, the carrier shall visually 

observe the live rabbits whenever loaded and unloaded and whenever the 

animal cargo space is otherwise accessible to assure that they are receiving 

sufficient air for normal breathing, their ambient temperatures are within the 

prescribed limits, all other applicable standards are being complied with and 

to determine whether any such live rabbits are in obvious physical distress. 

The carrier shall provide any needed veterinary care as soon as possible. No 

rabbit in obvious physical distress shall be transported in commerce.

(b) During the course of transportation, in commerce, live rabbits shall 

not be removed from their primary enclosures unless placed in other primary 

§ 3.63 9 CFR AWR (1-1-16 Edition)
163

PART 3

Subpart C

enclosures or facilities conforming to the requirements provided in this 

subpart.

§ 3.65 - Terminal facilities.

No person subject to the Animal Welfare regulations shall commingle 

shipments of live rabbits with inanimate cargo. All animal holding areas of a 

terminal facility where shipments of rabbits are maintained shall be cleaned 

and sanitized as prescribed in § 3.56 of the standards often enough to prevent 

an accumulation of debris or excreta, to minimize vermin infestation, and 

to prevent a disease hazard. An effective program for the control of insects, 

ectoparasites, and avian and mammalian pests shall be established and 

maintained for all animal holding areas. Any animal holding area containing 

live rabbits shall be provided with fresh air by means of windows, doors, 

vents, or air conditioning and may be ventilated or air circulated by means 

of fans, blowers, or an air conditioning system so as to minimize drafts, 

odors, and moisture condensation. Auxiliary ventilation, such as exhaust 

fans and vents or fans or blowers or air conditioning shall be used for any 

animal holding area containing live rabbits when the air temperature within 

such animal holding area is 23.9 °C. (75 °F.) or higher. The air temperature 

around any live rabbit in any animal holding area shall not be allowed to 

fall below 7.2 °C. (45 °F.) nor be allowed to exceed 29.5 °C. (85 °F.) at any 

time. To ascertain compliance with the provisions of this paragraph, the air 

temperature around any live rabbit shall be measured and read outside the 

primary enclosure which contains such rabbit at a distance not to exceed .91 

meters (3 feet) from any one of the external walls of the primary enclosure 

and on a level parallel to the bottom of such primary enclosure at a point 

which approximates half the distance between the top and bottom of such 

primary enclosure.

[43 FR 56216, Dec. 1, 1978, as amended at 55 FR 28883, July 16, 1990]]

§ 3.66 - Handling.

(a) Any person who is subject to the Animal Welfare regulations and who 

moves live rabbits from an animal holding area of a terminal facility to a 

primary conveyance or vice versa shall do so as quickly and efficiently as 

possible. Any person subject to the Animal Welfare regulations and holding 

any live rabbit in an animal holding area of a terminal facility or transporting 

any live rabbit to or from a terminal facility shall provide the following:

 (1) Shelter from sunlight. When sunlight is likely to cause overheating 

or discomfort, sufficient shade shall be provided to protect the live rabbits 

from the direct rays of the sun and such live rabbits shall not be subjected to 

surrounding air temperatures which exceed 29.5 °C. (85 °F.), and which shall 

Animal Welfare Regulations, USDA § 3.66
164

PART 3

Subpart C

be measured and read in the manner prescribed in § 3.65 of this part, for a 

period of more than 45 minutes.

 (2) Shelter from rain or snow. Live rabbits shall be provided protection 

to allow them to remain dry during rain or snow.

 (3) Shelter from cold weather. Transporting devices shall be covered 

to provide protection for live rabbits when the outdoor air temperature 

falls below 10 °C. (50 °F.), and such live rabbits shall not be subjected to 

surrounding air temperatures which fall below 7.2 °C. (45 °F.), and which 

shall be measured and read in the manner prescribed in § 3.65 of this part, for 

a period of more than 45 minutes unless such rabbits are accompanied by a 

certificate of acclimation to lower temperatures as prescribed in § 3.60(c).

(b) Care shall be exercised to avoid handling of the primary enclosure in 

such a manner that may cause physical or emotional trauma to the live rabbit 

contained therein.

(c) Primary enclosures used to transport any live rabbit shall not be tossed, 

dropped, or needlessly tilted and shall not be stacked in a manner which may 

reasonably be expected to result in their falling.

[43 FR 21164, May 16, 1978, as amended at 43 FR 56216, Dec. 1, 1978; 55 

FR 28883, July 16, 1990]

§ 3.66 9 CFR AWR (1-1-16 Edition)
165

PART 3

Subpart D

Subpart D – Specifications for the Humane Handling, Care, Treatment, 

and Transportation of Nonhuman Primates2

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

FACILITIES AND OPERATING STANDARDS

§ 3.75 - Housing facilities, general.

(a) Structure: construction. Housing facilities for nonhuman primates 

must be designed and constructed so that they are structurally sound for the 

species of nonhuman primates housed in them. They must be kept in good 

repair, and they must protect the animals from injury, contain the animals 

securely, and restrict other animals from entering.

(b) Condition and site. Housing facilities and areas used for storing 

animal food or bedding must be free of any accumulation of trash, waste 

material, junk, weeds, and other discarded materials. Animal areas inside of 

housing facilities must be kept neat and free of clutter, including equipment, 

furniture, or stored material, but may contain materials actually used and 

necessary for cleaning the area, and fixtures and equipment necessary for 

proper husbandry practices and research needs. Housing facilities other than 

those maintained by research facilities and Federal research facilities must 

be physically separated from any other businesses. If a housing facility is 

located on the same premises as any other businesses, it must be physically 

separated from the other businesses so that animals the size of dogs, skunks, 

and raccoons, are prevented from entering it.

(c) Surfaces.

 (1) General requirements. The surfaces of housing facilities – 

including perches, shelves, swings, boxes, houses, dens, and other furnituretype fixtures or objects within the facility – must be constructed in a manner 

and made of materials that allow them to be readily cleaned and sanitized, or 

removed or replaced when worn or soiled. Furniture-type fixtures or objects 

must be sturdily constructed and must be strong enough to provide for the 

safe activity and welfare of nonhuman primates. Floors may be made of dirt, 

absorbent bedding, sand, gravel, grass, or other similar material that can be 

readily cleaned, or can be removed or replaced whenever cleaning does not 

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.

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 

sanitization, or that affects the structural strength of the surface; and

 (ii) Be free of jagged edges or sharp points that might injure the 

animals.

 (2) Maintenance and replacement of surfaces. All surfaces must 

be maintained on a regular basis. Surfaces of housing facilities – including 

houses, dens, and other furniture-type fixtures and objects within the facility 

– that cannot be readily cleaned and sanitized, must be replaced when worn 

or soiled.

 (3) Cleaning. Hard surfaces with which nonhuman primates come in 

contact must be spot-cleaned daily and sanitized in accordance with § 3.84 

of this subpart to prevent accumulation of excreta or disease hazards. If the 

species scent mark, the surfaces must be sanitized or replaced at regular 

intervals as determined by the attending veterinarian in accordance with 

generally accepted professional and husbandry practices. Floors made of dirt, 

absorbent bedding, sand, gravel, grass, or other similar material, and planted 

enclosures must be raked or spot-cleaned with sufficient frequency to ensure 

all animals the freedom to avoid contact with excreta. Contaminated material 

must be removed or replaced whenever raking and spot cleaning does not 

eliminate odors, diseases, insects, pests, or vermin infestation. All other 

surfaces of housing facilities must be cleaned and sanitized when necessary 

to satisfy generally accepted husbandry standards and practices. Sanitization 

may be done by any of the methods provided in § 3.84(b)(3) of this subpart 

for primary enclosures.

(d) Water and electric power. The housing facility must have reliable 

electric power adequate for heating, cooling, ventilation, and lighting, and for 

carrying out other husbandry requirements in accordance with the regulations 

in this subpart. The housing facility must provide running potable water for 

the nonhuman primates’ drinking needs. It must be adequate for cleaning and 

for carrying out other husbandry requirements.

(e) Storage. Supplies of food and bedding must be stored in a manner that 

protects the supplies from spoilage, contamination, and vermin infestation. 

The supplies must be stored off the floor and away from the walls, to allow 

cleaning underneath and around the supplies. Food requiring refrigeration 

must be stored accordingly, and all food must be stored in a manner that 

prevents contamination and deterioration of its nutritive value. Only the food 

and bedding currently being used may be kept in animal areas, and when 

not in actual use, open food and bedding supplies must be kept in leakproof 

containers with tightly fitting lids to prevent spoilage and contamination. 

Substances that are toxic to the nonhuman primates but that are required 

§ 3.75 9 CFR AWR (1-1-16 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.

(f) Drainage and waste disposal. Housing facility operators must provide 

for regular and frequent collection, removal, and disposal of animal and food 

wastes, bedding, dead animals, debris, garbage, water, and any other fluids 

and wastes, in a manner that minimizes contamination and disease risk. 

Housing facilities must be equipped with disposal facilities and drainage 

systems that are constructed and operated so that animal wastes and water are 

rapidly eliminated and the animals stay dry. Disposal and drainage systems 

must minimize vermin and pest infestation, insects, odors, and disease 

hazards. All drains must be properly constructed, installed, and maintained. 

If closed drainage systems are used, they must be equipped with traps and 

prevent the backflow of gases and the backup of sewage onto the floor. If 

the facility uses sump ponds, settlement ponds, or other similar systems for 

drainage and animal waste disposal, the system must be located far enough 

away from the animal area of the housing facility to prevent odors, diseases, 

insects, pests, and vermin infestation. If drip or constant flow watering 

devices are used to provide water to the animals, excess water must be 

rapidly drained out of the animal areas by gutters or pipes so that the animals 

stay dry. Standing puddles of water in animal areas must be mopped up or 

drained so that the animals remain dry. Trash containers in housing facilities 

and in food storage and food preparation areas must be leakproof and must 

have tightly fitted lids on them at all times. Dead animals, animal parts, and 

animal waste must not be kept in food storage or food preparation areas, food 

freezers, food refrigerators, and animal areas.

(g) Washrooms and sinks. Washing facilities, such as washrooms, basins, 

sinks, or showers must be provided for animal caretakers and must be readily 

accessible.

§ 3.76 - Indoor housing facilities.

(a) Heating, cooling, and temperature. Indoor housing facilities must be 

sufficiently heated and cooled when necessary to protect nonhuman primates 

from temperature extremes and to provide for their health and well-being. 

The ambient temperature in the facility must not fall below 45 °F (7.2 °C) 

for more than 4 consecutive hours when nonhuman primates are present, and 

must not rise above 85 °F (29.5 °C) for more than 4 consecutive hours when 

nonhuman primates are present. The ambient temperature must be maintained 

at a level that ensures the health and well-being of the species housed, as 

directed by the attending veterinarian, in accordance with generally accepted 

professional and husbandry practices.

(b) Ventilation. Indoor housing facilities must be sufficiently ventilated 

at all times when nonhuman primates are present to provide for their health 

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. Indoor housing facilities must be lighted well enough to 

permit routine inspection and cleaning of the facility, and observation of 

the nonhuman primates. Animal areas must be provided a regular diurnal 

lighting cycle of either natural or artificial light. Lighting must be uniformly 

diffused throughout animal facilities and provide sufficient illumination 

to aid in maintaining good housekeeping practices, adequate cleaning, 

adequate inspection of animals, and for the well-being of the animals. 

Primary enclosures must be placed in the housing facility so as to protect the 

nonhuman primates from excessive light.

§ 3.77 - Sheltered housing facilities.

(a) Heating, cooling, and temperature. The sheltered part of sheltered 

housing facilities must be sufficiently heated and cooled when necessary to 

protect the nonhuman primates from temperature extremes, and to provide 

for their health and well-being. The ambient temperature in the sheltered part 

of the facility must not fall below 45 °F (7.2 °C) for more than 4 consecutive 

hours when nonhuman primates are present, and must not rise above 85 

°F (29.5 °C) for more than 4 consecutive hours when nonhuman primates 

are present, unless temperatures above 85 °F (29.5 °C) are approved by the 

attending veterinarian, in accordance with generally accepted husbandry 

practices. The ambient temperature must be maintained at a level that ensures 

the health and well-being of the species housed, as directed by the attending 

veterinarian, in accordance with generally accepted professional and 

husbandry practices.

(b) Ventilation. The sheltered part of sheltered animal facilities must be 

sufficiently ventilated at all times to provide for the health and well-being 

of nonhuman primates and to minimize odors, drafts, ammonia levels, and 

moisture condensation. Ventilation must be provided by windows, doors, 

vents, fans, or air conditioning. Auxiliary ventilation, such as fans, blowers, 

or air conditioning, must be provided when the ambient temperature is 85 °F 

(29.5 °C) or higher. The relative humidity maintained must be at a level that 

ensures the health and well-being of the species housed, as directed by the 

attending veterinarian, in accordance with generally accepted professional 

and husbandry practices.

§ 3.77 9 CFR AWR (1-1-16 Edition)
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(c) Lighting. The sheltered part of sheltered housing facilities must be 

lighted well enough to permit routine inspection and cleaning of the facility, 

and observation of the nonhuman primates. Animal areas must be provided 

a regular diurnal lighting cycle of either natural or artificial light. Lighting 

must be uniformly diffused throughout animal facilities and provide sufficient 

illumination to aid in maintaining good housekeeping practices, adequate 

cleaning, adequate inspection of animals, and for the well-being of the 

animals. Primary enclosures must be placed in the housing facility so as to 

protect the nonhuman primates from excessive light.

(d) Shelter from the elements. Sheltered housing facilities for nonhuman 

primates must provide adequate shelter from the elements at all times. They 

must provide protection from the sun, rain, snow, wind, and cold, and from 

any weather conditions that may occur.

(e) Capacity: multiple shelters. Both the sheltered part of sheltered 

housing facilities and any other necessary shelter from the elements must 

be sufficiently large to provide protection comfortably to each nonhuman 

primate housed in the facility. If aggressive or dominant animals are housed 

in the facility with other animals, there must be multiple shelters or other 

means to ensure that each nonhuman primate has access to shelter.

(f) Perimeter fence. On and after February 15, 1994, the outdoor area of 

a sheltered housing facility must be enclosed by a fence that is of sufficient 

height to keep unwanted species out. Fences less than 6 feet high must be 

approved by the Administrator. The fence must be constructed so that it 

protects nonhuman primates by restricting unauthorized humans, and animals 

the size of dogs, skunks, and raccoons from going through it or under it and 

having contact with the nonhuman primates. It must be of sufficient distance 

from the outside wall or fence of the primary enclosure to prevent physical 

contact between animals inside the enclosure and outside the perimeter fence. 

Such fences less than 3 feet in distance from the primary enclosure must be 

approved by the Administrator. A perimeter fence is not required if:

 (1) The outside walls of the primary enclosure are made of a sturdy, 

durable material such as concrete, wood, plastic, metal, or glass, and are high 

enough and constructed in a manner that restricts contact with or entry by 

humans and animals that are outside the sheltered housing facility; or

 (2) The housing facility is surrounded by a natural barrier that restricts 

the nonhuman primates to the housing facility and protects them from contact 

with unauthorized humans and animals that are outside the sheltered housing 

facility, and the Administrator gives written permission

(g) Public barriers. Fixed public exhibits housing nonhuman primates, 

such as zoos, must have a barrier between the primary enclosure and the 

public at any time the public is present, that restricts physical contact between 

the public and the nonhuman primates. Nonhuman primates used in trained 

Animal 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. Only nonhuman primates that are acclimated, as 

determined by the attending veterinarian, to the prevailing temperature and 

humidity at the outdoor housing facility during the time of year they are 

at the facility, and that can tolerate the range of temperatures and climatic 

conditions known to occur at the facility at that time of year without stress or 

discomfort, may be kept in outdoor facilities.

(b) Shelter from the elements. Outdoor housing facilities for nonhuman 

primates must provide adequate shelter from the elements at all times. It 

must provide protection from the sun, rain, snow, wind, and cold, and from 

any weather conditions that may occur. The shelter must safely provide heat 

to the nonhuman primates to prevent the ambient temperature from falling 

below 45 °F (7.2 °C), except as directed by the attending veterinarian and in 

accordance with generally accepted professional and husbandry practices.

(c) Capacity: multiple shelters. The shelter must be sufficiently large to 

comfortably provide protection for each nonhuman primate housed in the 

facility. If aggressive or dominant animals are housed in the facility with 

other animals there must be multiple shelters, or other means to ensure 

protection for each nonhuman primate housed in the facility.

(d) Perimeter fence. On and after February 15, 1994, an outdoor housing 

facility must be enclosed by a fence that is of sufficient height to keep 

unwanted species out. Fences less than 6 feet high must be approved by the 

Administrator. The fence must be constructed so that it protects nonhuman 

primates by restricting unauthorized humans, and animals the size of dogs, 

skunks, and raccoons from going through it or under it and having contact 

with the nonhuman primates. It must be of sufficient distance from the 

outside wall or fence of the primary enclosure to prevent physical contact 

between animals inside the enclosure and outside the perimeter fence. 

Such fences less than 3 feet in distance from the primary enclosure must be 

approved by the Administrator. A perimeter fence is not required if:

 (1) The outside walls of the primary enclosure are made of a sturdy, 

durable material such as concrete, wood, plastic, metal, or glass, and are high 

§ 3.78 9 CFR AWR (1-1-16 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 

the nonhuman primates to the housing facility and protects them from contact 

with unauthorized humans and animals that are outside the housing facility, 

and the Administrator gives written permission.

(e) Public barriers. Fixed public exhibits housing nonhuman primates, 

such as zoos, must have a barrier between the primary enclosure and the 

public at any time the public is present, in order to restrict physical contact 

between the public and the nonhuman primates. Nonhuman primates used 

in trained animal acts or in uncaged public exhibits must be under the direct 

control and supervision of an experienced handler or trainer at all times 

when the public is present. Trained nonhuman primates may be allowed 

physical contact with the public, but only if they are under the direct control 

and supervision of an experienced handler or trainer at all times during the 

contact.

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

0579-0093)

§ 3.79 - Mobile or traveling housing facilities.

(a) Heating, cooling, and temperature. Mobile or traveling housing 

facilities must be sufficiently heated and cooled when necessary to protect 

nonhuman primates from temperature extremes and to provide for their health 

and well-being. The ambient temperature in the traveling housing facility 

must not fall below 45 °F (7.2 °C) for more than 4 consecutive hours when 

nonhuman primates are present, and must not rise above 85 °F (29.5 °C) for 

more than 4 consecutive hours when nonhuman primates are present. The 

ambient temperature must be maintained at a level that ensures the health and 

well-being of the species housed, as directed by the attending veterinarian, 

and in accordance with generally accepted professional and husbandry 

practices.

(b) Ventilation. Traveling housing facilities must be sufficiently ventilated 

at all times when nonhuman primates are present to provide for the health 

and well-being of nonhuman primates and to minimize odors, drafts, 

ammonia levels, moisture condensation, and exhaust fumes. Ventilation must 

be provided by means of windows, doors, vents, fans, or air conditioning. 

Auxiliary ventilation, such as fans, blowers, or air conditioning, must be 

provided when the ambient temperature in the traveling housing facility is 85 

°F (29.5 °C) or higher.

(c) Lighting. Mobile or traveling housing facilities must be lighted 

well enough to permit routine inspection and cleaning of the facility, and 

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. There must be a barrier between a mobile or traveling 

housing facility and the public at any time the public is present, in order to 

restrict physical contact between the nonhuman primates and the public. 

Nonhuman primates used in traveling exhibits, trained animal acts, or in 

uncaged public exhibits must be under the direct control and supervision 

of an experienced handler or trainer at all times when the public is present. 

Trained nonhuman primates may be allowed physical contact with the public, 

but only if they are under the direct control and supervision of an experienced 

handler or trainer at all times during the contact.

§ 3.80 - Primary enclosures.

Primary enclosures for nonhuman primates must meet the following 

minimum requirements:

(a) General requirements.

 (1) Primary enclosures must be designed and constructed of suitable 

materials so that they are structurally sound for the species of nonhuman 

primates contained in them. They must be kept in good repair.

 (2) Primary enclosures must be constructed and maintained so that 

they:

 (i) Have no sharp points or edges that could injure the nonhuman 

primates;

 (ii) Protect the nonhuman primates from injury;

 (iii) Contain the nonhuman primates securely and prevent accidental 

opening of the enclosure, including opening by the animal;

 (iv) Keep other unwanted animals from entering the enclosure or 

having physical contact with the nonhuman primates;

 (v) Enable the nonhuman primates to remain dry and clean;

 (vi) Provide shelter and protection from extreme temperatures and 

weather conditions that may be uncomfortable or hazardous to the species of 

nonhuman primate contained;

 (vii) Provide sufficient shade to shelter all the nonhuman primates 

housed in the primary enclosure at one time;

 (viii) Provide the nonhuman primates with easy and convenient 

access to clean food and water;

§ 3.80 9 CFR AWR (1-1-16 Edition)
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 (ix) Enable all surfaces in contact with nonhuman primates to be 

readily cleaned and sanitized in accordance with § 3.84(b)(3) of this subpart, 

or replaced when worn or soiled;

 (x) Have floors that are constructed in a manner that protects the 

nonhuman primates from injuring themselves; and

 (xi) Provide sufficient space for the nonhuman primates to make 

normal postural adjustments with freedom of movement.

(b) Minimum space requirements. Primary enclosures must meet the 

minimum space requirements provided in this subpart. 

These minimum space requirements must be met even if perches, ledges, 

swings, or other suspended fixtures are placed in the enclosure. Low perches 

and ledges that do not allow the space underneath them to be comfortably 

occupied by the animal will be counted as part of the floor space.

 (1) Prior to February 15, 1994:

 (i) Primary enclosures must be constructed and maintained so as to 

provide sufficient space to allow each nonhuman primate to make normal 

postural adjustments with adequate freedom of movement; and

 (ii) Each nonhuman primate housed in a primary enclosure must be 

provided with a minimum floor space equal to an area at least three times the 

area occupied by the primate when standing on four feet.

 (2) On and after February 15, 1994:

 (i) The minimum space that must be provided to each nonhuman 

primate, whether housed individually or with other nonhuman primates, 

will be determined by the typical weight of animals of its species, except 

for brachiating species and great apes3 and will be calculated by using the 

following table: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)(ii) of this section, and 

brachiating species.

Animal Welfare Regulations, USDA § 3.80
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Group

Weight Floor area/animal Height

lbs. (kg.) ft.2 (m2) in. (cm.)

1 Under 2.2 (under 1) 1.6 (0.15) 20 (50.8)

2 2.2-6.6 (1-3) 3.0 (0.28) 30 (76.2)

3 6.6-22.0 (3-10) 4.3 (0.40) 30 (76.2)

4 22.0-33.0 (10-15) 6.0 (0.56) 32 (81.28)

5 33.0-55.0 (15-25) 8.0 (0.74) 36 (91.44)

6 Over 55.0 (over 25) 25.1 (2.33) 84 (213.36)

 (ii) Dealers. exhibitors, and research facilities, including Federal 

research facilities, must provide great apes weighing over 110 lbs. (50 kg) an 

additional volume of space in excess of that required for Group 6 animals as 

set forth in paragraph (b)(2)(i) of this section, to allow for normal postural 

adjustments.

 (iii) In the case of research facilities, any exemption from these 

standards must be required by a research proposal or in the judgment of 

the attending veterinarian and must be approved by the Committee. In the 

case of dealers and exhibitors, any exemption from these standards must be 

required in the judgment of the attending veterinarian and approved by the 

Administrator.

 (iv) When more than one nonhuman primate is housed in a primary 

enclosure, the minimum space requirement for the enclosure is the sum of 

the minimum floor area space required for each individual nonhuman primate 

in the table in paragraph (b)(2)(i) of this section, and the minimum height 

requirement for the largest nonhuman primate housed in the enclosure. 

Provided however, that mothers with infants less than 6 months of age may 

be maintained together in primary enclosures that meet the floor area space 

and height requirements of the mother.

(c) Innovative primary enclosures not precisely meeting the floor area and 

height requirements provided in paragraphs (b)(1) and (b)(2) of this section, 

but that do provide nonhuman primates with a sufficient volume of space and 

the opportunity to express species-typical behavior, may be used at research 

facilities when approved by the Committee, and by dealers and exhibitors 

when approved by the Administrator.

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

0579-0093)

§ 3.80 9 CFR AWR (1-1-16 Edition)
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§ 3.81 - Environment enhancement to promote psychological well-being.

Dealers, exhibitors, and research facilities must develop, document, 

and follow an appropriate plan for environment enhancement adequate to 

promote the psychological well-being of nonhuman primates. The plan must 

be in accordance with the currently accepted professional standards as cited 

in appropriate professional journals or reference guides, and as directed by 

the attending veterinarian. This plan must be made available to APHIS upon 

request, and, in the case of research facilities, to officials of any pertinent 

funding agency. The plan, at a minimum, must address each of the following:

(a) Social grouping. The environment enhancement plan must include 

specific provisions to address the social needs of nonhuman primates of 

species known to exist in social groups in nature. Such specific provisions 

must be in accordance with currently accepted professional standards, as 

cited in appropriate professional journals or reference guides, and as directed 

by the attending veterinarian. The plan may provide for the following 

exceptions:

 (1) If a nonhuman primate exhibits vicious or overly aggressive 

behavior, or is debilitated as a result of age or other conditions (e.g., arthritis), 

it should be housed separately;

 (2) Nonhuman primates that have or are suspected of having a 

contagious disease must be isolated from healthy animals in the colony 

as directed by the attending veterinarian. When an entire group or room 

of nonhuman primates is known to have or believed to be exposed to an 

infectious agent, the group may be kept intact during the process of diagnosis, 

treatment, and control.

 (3) Nonhuman primates may not be housed with other species of 

primates or animals unless they are compatible, do not prevent access to food, 

water, or shelter by individual animals. and are not known to be hazardous to 

the health and well-being of each other. Compatibility of nonhuman primates 

must be determined in accordance with generally accepted professional 

practices and actual observations, as directed by the attending veterinarian, 

to ensure that the nonhuman primates are in fact compatible. Individually 

housed nonhuman primates must be able to see and hear nonhuman primates 

of their own or compatible species unless the attending veterinarian 

determines that it would endanger their health, safety, or well-being.

(b) Environmental enrichment. The physical environment in the primary 

enclosures must be enriched by providing means of expressing noninjurious 

species-typical activities. Species differences should be considered when 

determining the type or methods of enrichment. Examples of environmental 

enrichments include providing perches, swings, mirrors, and other increased 

cage complexities; providing objects to manipulate; varied food items; using 

foraging or task-oriented feeding methods; and providing interaction with 

Animal Welfare Regulations, USDA § 3.81
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the care giver or other familiar and knowledgeable person consistent with 

personnel safety precautions.

(c) Special considerations. Certain nonhuman primates must be provided 

special attention regarding enhancement of their environment, based on the 

needs of the individual species and in accordance with the instructions of the 

attending veterinarian. Nonhuman primates requiring special attention are the 

following:

(1) Infants and young juveniles;

 (2) Those that show signs of being in psychological distress through 

behavior or appearance;

 (3) Those used in research for which the Committee-approved protocol 

requires restricted activity;

 (4) Individually housed nonhuman primates that are unable to see and 

hear nonhuman primates of their own or compatible species; and

 (5) Great apes weighing over 110 lbs. (50 kg). Dealers, exhibitors, and 

research facilities must include in the environment enhancement plan special 

provisions for great apes weighing over 110 lbs. (50 kg), including additional 

opportunities to express species-typical behavior.

(d) Restraint devices. Nonhuman primates must not be maintained in 

restraint devices unless required for health reasons as determined by the 

attending veterinarian or by a research proposal approved by the Committee 

at research facilities. Maintenance under such restraint must be for the 

shortest period possible. In instances where long-term (more than 12 hours) 

restraint is required, the nonhuman primate must be provided the opportunity 

daily for unrestrained activity for at least one continuous hour during the 

period of restraint, unless continuous restraint is required by the research 

proposal approved by the Committee at research facilities.

(e) Exemptions.

 (1) The attending veterinarian may exempt an individual nonhuman 

primate from participation in the environment enhancement plan because of 

its health or condition, or in consideration of its well-being. The basis of the 

exemption must be recorded by the attending veterinarian for each exempted 

nonhuman primate. Unless the basis for the exemption is a permanent 

condition, the exemption must be reviewed at least every 30 days by the 

attending veterinarian.

 (2) For a research facility, the Committee may exempt an individual 

nonhuman primate from participation in some or all of the otherwise required 

environment enhancement plans for scientific reasons set forth in the research 

proposal. The basis of the exemption shall be documented in the approved 

proposal and must be reviewed at appropriate intervals as determined by the 

Committee, but not less than annually.

§ 3.81 9 CFR AWR (1-1-16 Edition)
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 (3) Records of any exemptions must be maintained by the dealer, 

exhibitor, or research facility and must be made available to USDA officials 

or officials of any pertinent funding Federal agency upon request.

(Approved by the Office of Management and Budget under control 

number 0579-0093)

ANIMAL HEALTH AND HUSBANDRY STANDARDS

§ 3.82 - Feeding.

(a) The diet for nonhuman primates must be appropriate for the species, 

size, age, and condition of the animal, and for the conditions in which 

the nonhuman primate is maintained, according to generally accepted 

professional and husbandry practices and nutritional standards. The food 

must be clean, wholesome, and palatable to the animals. It must be of 

sufficient quantity and have sufficient nutritive value to maintain a healthful 

condition and weight range of the animal and to meet its normal daily 

nutritional requirements.

(b) Nonhuman primates must be fed at least once each day except as 

otherwise might be required to provide adequate veterinary care. Infant and 

juvenile nonhuman primates must be fed as often as necessary in accordance 

with generally accepted professional and husbandry practices and nutritional 

standards, based upon the animals’ age and condition.

(c) Food and food receptacles, if used, must be readily accessible to all the 

nonhuman primates being fed. If members of dominant nonhuman primate 

or other species are fed together with other nonhuman primates, multiple 

feeding sites must be provided. The animals must be observed to determine 

that all receive a sufficient quantity of food.

(d) Food and food receptacles, if used, must be located so as to minimize 

any risk of contamination by excreta and pests. Food receptacles must be 

kept clean and must be sanitized in accordance with the procedures listed in § 

3.84(b)(3) of this subpart at least once every 2 weeks. Used food receptacles 

must be sanitized before they can be used to provide food to a different 

nonhuman primate or social grouping of nonhuman primates. Measures 

must be taken to ensure there is no molding, deterioration, contamination, or 

caking or wetting of food placed in self-feeders.

§ 3.83 - Watering.

Potable water must be provided in sufficient quantity to every nonhuman 

primate housed at the facility. If potable water is not continually available to 

the nonhuman primates, it must be offered to them as often as necessary to 

ensure their health and well-being, but no less than twice daily for at least 

l hour each time, unless otherwise required by the attending veterinarian, 

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. Excreta and food waste must 

be removed from inside each indoor primary enclosure daily and from 

underneath them as often as necessary to prevent an excessive accumulation 

of feces and food waste, to prevent the nonhuman primates from becoming 

soiled, and to reduce disease hazards, insects, pests, and odors. Dirt floors, 

floors with absorbent bedding, and planted areas in primary enclosures must 

be spot-cleaned with sufficient frequency to ensure all animals the freedom 

to avoid contact with excreta, or as often as necessary to reduce disease 

hazards, insects, pests, and odors. When steam or water is used to clean the 

primary enclosure, whether by hosing, flushing, or other methods, nonhuman 

primates must be removed, unless the enclosure is large enough to ensure 

the animals will not be harmed, wetted, or distressed in the process. Perches, 

bars, and shelves must be kept clean and replaced when worn. If the species 

of the nonhuman primates housed in the primary enclosure engages in scent 

marking, hard surfaces in the primary enclosure must be spot-cleaned daily.

(b) Sanitization of primary enclosures and food and water receptacles.

 (1) A used primary enclosure must be sanitized in accordance with this 

section before it can be used to house another nonhuman primate or group of 

nonhuman primates.

 (2) Indoor primary enclosures must be sanitized at least once every 

2 weeks and as often as necessary to prevent an excessive accumulation 

of dirt, debris, waste, food waste, excreta, or disease hazard, using one of 

the methods prescribed in paragraph (b)(3) of this section. However, if the 

species of nonhuman primates housed in the primary enclosure engages in 

scent marking, the primary enclosure must be sanitized at regular intervals 

determined in accordance with generally accepted professional and 

husbandry practices.

 (3) Hard surfaces of primary enclosures and food and water receptacles 

must be sanitized using one of the following methods:

 (i) Live steam under pressure;

§ 3.84 9 CFR AWR (1-1-16 Edition)
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 (ii) Washing with hot water (at least 180 °F (82.2 °C)) and soap or 

detergent, such as in a mechanical cage washer;

 (iii) Washing all soiled surfaces with appropriate detergent solutions 

or disinfectants, or by using a combination detergent/disinfectant product that 

accomplishes the same purpose, with a thorough cleaning of the surfaces to 

remove organic material, so as to remove all organic material and mineral 

buildup, and to provide sanitization followed by a clean water rinse.

 (4) Primary enclosures containing material that cannot be sanitized 

using the methods provided in paragraph (b)(3) of this section, such as sand, 

gravel, dirt, absorbent bedding, grass, or planted areas, must be sanitized by 

removing the contaminated material as necessary to prevent odors, diseases, 

pests, insects, and vermin infestation.

(c) Housekeeping for premises. Premises where housing facilities are 

located, including buildings and surrounding grounds, must be kept clean 

and in good repair in order to protect the nonhuman primates from injury, to 

facilitate the husbandry practices required in this subpart, and to reduce or 

eliminate breeding and living areas for rodents, pests, and vermin. Premises 

must be kept free of accumulations of trash, junk, waste, and discarded 

matter. Weeds, grass, and bushes must be controlled so as to facilitate 

cleaning of the premises and pest control.

(d) Pest control. An effective program for control of insects, external 

parasites affecting nonhuman primates, and birds and mammals that are pests, 

must be established and maintained so as to promote the health and wellbeing of the animals and reduce contamination by pests in animal areas.

§ 3.85 - Employees.

Every person subject to the Animal Welfare regulations (9 CFR parts 1, 2, 

and 3) maintaining nonhuman primates must have enough employees to carry 

out the level of husbandry practices and care required in this subpart. The 

employees who provide husbandry practices and care, or handle nonhuman 

primates, must be trained and supervised by an individual who has the 

knowledge, background, and experience in proper husbandry and care of 

nonhuman primates to supervise others. The employer must be certain that 

the supervisor can perform to these standards.

TRANSPORTATION STANDARDS

§ 3.86 - Consignments to carriers and intermediate handlers.

(a) Carriers and intermediate handlers must not accept a nonhuman 

primate for transport in commerce more than 4 hours before the scheduled 

departure time of the primary conveyance on which the animal is to be 

Animal Welfare Regulations, USDA § 3.86
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transported. However, a carrier or intermediate handler may agree with 

anyone consigning a nonhuman primate to extend this time by up to 2 hours.

(b) Carriers and intermediate handlers must not accept a nonhuman 

primate for transport in commerce unless they are provided with the name, 

address, telephone number, and telex number, if applicable, of the consignee.

(c) Carriers and intermediate handlers must not accept a nonhuman 

primate for transport in commerce unless the consignor certifies in writing 

to the carrier or intermediate handler that the nonhuman primate was 

offered food and water during the 4 hours before delivery to the carrier 

or intermediate handler. The certification must be securely attached to the 

outside of the primary enclosure in a manner that makes it easily noticed and 

read. Instructions for no food or water are not acceptable unless directed by 

the attending veterinarian. Instructions must be in compliance with § 3.89 of 

this subpart. The certification must include the following information for each 

nonhuman primate:

 (1) The consignor’s name and address;

 (2) The species of nonhuman primate;

 (3) The time and date the animal was last fed and watered and the 

specific instructions for the next feeding(s) and watering(s) for a 24-hour 

period; and

 (4) The consignor’s signature and the date and time the certification 

was signed.

(d) Carriers and intermediate handlers must not accept a nonhuman 

primate for transport in commerce unless the primary enclosure meets the 

requirements of § 3.87 of this subpart. A carrier or intermediate handler 

must not accept a nonhuman primate for transport if the primary enclosure is 

obviously defective or damaged and cannot reasonably be expected to safely 

and comfortably contain the nonhuman primate without suffering or injury.

(e) Carriers and intermediate handlers must not accept a nonhuman 

primate for transport in commerce unless their animal holding area facilities 

meet the minimum temperature requirements provided in §§ 3.91 and 3.92 

of this subpart, or unless the consignor provides them with a certificate 

signed by a veterinarian and dated no more than 10 days before delivery of 

the animal to the carrier or intermediate handler for transport in commerce, 

certifying that the animal is acclimated to temperatures lower than those 

that are required in §§ 3.91 and 3.92 of this subpart. Even if the carrier 

or intermediate handler receives this certification, the temperatures the 

nonhuman primate is exposed to while in the carrier’s or intermediate 

handler’s custody must not be lower than the minimum temperature 

specified by the veterinarian in accordance with paragraph (e)(4) of this 

section, and must be reasonably within the generally and professionally 

accepted temperature range for the nonhuman primate, as determined by 

§ 3.86 9 CFR AWR (1-1-16 Edition)
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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 

enclosure;

 (3) The species of nonhuman primate contained in the primary 

enclosure;

 (4) A statement by a veterinarian that to the best of his or her 

knowledge, each of the nonhuman primates contained in the primary 

enclosure is acclimated to air temperatures lower than 50 °F (10 °C), but not 

lower than a minimum temperature specified on the certificate based on the 

generally and professionally accepted temperature range for the nonhuman 

primate, considering its age, condition, and species; and

 (5) The veterinarian’s signature and the date the certification was 

signed.

(f) When a primary enclosure containing a nonhuman primate has arrived 

at the animal holding area of a terminal facility after transport, the carrier or 

intermediate handler must attempt to notify the consignee upon arrival and at 

least once in every 6-hour period after arrival. The time, date, and method of 

all attempted notifications and the actual notification of the consignee, and the 

name of the person who notifies or attempts to notify the consignee must be 

written either on the carrier’s or intermediate handler’s copy of the shipping 

document or on the copy that accompanies the primary enclosure. If the 

consignee cannot be notified within 24 hours after the nonhuman primate has 

arrived at the terminal facility, the carrier or intermediate handler must return 

the animal to the consignor or to whomever the consignor designates. If the 

consignee is notified of the arrival and does not take physical delivery of the 

nonhuman primate within 48 hours after arrival of the nonhuman primate, 

the carrier or intermediate handler must return the animal to the consignor or 

to whomever the consignor designates. The carrier or intermediate handler 

must continue to provide proper care, feeding, and housing to the nonhuman 

primate, and maintain the nonhuman primate in accordance with generally 

accepted professional and husbandry practices until the consignee accepts 

delivery of the nonhuman primate or until it is returned to the consignor or to 

whomever the consignor designates. The carrier or intermediate handler must 

obligate the consignor to reimburse the carrier or intermediate handler for the 

cost of return transportation and care.

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

0579-0093)

Animal Welfare Regulations, USDA § 3.86
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§ 3.87 - Primary enclosures used to transport nonhuman primates.

Any person subject to the Animal Welfare regulations (9 CFR parts 1, 2, 

and 3) must not transport or deliver for transport in commerce a nonhuman 

primate unless it is contained in a primary enclosure, such as a compartment, 

transport cage, carton, or crate, and the following requirements are met:

(a) Construction of primary enclosures. Primary enclosures used to 

transport nonhuman primates may be connected or attached to each other and 

must be constructed so that:

 (1) The primary enclosure is strong enough to contain the nonhuman 

primate securely and comfortably and to withstand the normal rigors of 

transportation;

 (2) The interior of the enclosure has no sharp points or edges and no 

protrusions that could injure the animal contained in it;

 (3) The nonhuman primate is at all times securely contained within the 

enclosure and cannot put any part of its body outside the enclosure in a way 

that could result in injury to the animal, or to persons or animals nearby;

 (4) The nonhuman primate can be easily and quickly removed from the 

enclosure in an emergency;

 (5) The doors or other closures that provide access into the enclosure 

are secured with animal-proof devices that prevent accidental opening of the 

enclosure, including opening by the nonhuman primate;

 (6) Unless the enclosure is permanently affixed to the conveyance, 

adequate devices such as handles or handholds are provided on its exterior, 

and enable the enclosure to be lifted without tilting it, and ensure that anyone 

handling the enclosure will not come into physical contact with the animal 

contained inside;

 (7) Any material, treatment, paint, preservative, or other chemical used 

in or on the enclosure is nontoxic to the animal and not harmful to the health 

or well-being of the animal;

 (8) Proper ventilation is provided to the nonhuman primate in 

accordance with paragraph (c) of this section;

 (9) Ventilation openings are covered with bars, wire mesh, or smooth 

expanded metal having air spaces; and

 (10) The primary enclosure has a solid, leak-proof bottom, or a 

removable, leak-proof collection tray under a slatted or wire mesh floor that 

prevents seepage of waste products, such as excreta and body fluids, outside 

of the enclosure. If a slatted or wire mesh floor is used in the enclosure, it 

must be designed and constructed so that the animal cannot put any part of 

its body between the slats or through the holes in the mesh. It must contain 

enough previously unused litter to absorb and cover excreta. The litter must 

be of a suitably absorbent material that is safe and nontoxic to the nonhuman 

§ 3.87 9 CFR AWR (1-1-16 Edition)
183

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primate and is appropriate for the species transported in the primary 

enclosure.

(b) Cleaning of primary enclosures. A primary enclosure used to hold 

or transport nonhuman primates in commerce must be cleaned and sanitized 

before each use in accordance with the methods provided in § 3.84(b)(3) of 

this subpart.

(c) Ventilation.

 (1) If the primary enclosure is movable, ventilation openings must be 

constructed in one of the following ways:

 (i) If ventilation openings are located on two opposite walls of the 

primary enclosure, the openings on each wall must be at least 16 percent of 

the total surface area of each such wall and be located above the midline of 

the enclosure; or

 (ii) If ventilation openings are located on all four walls of the 

primary enclosure, the openings on every wall must be at least 8 percent of 

the total surface area of each such wall and be located above the midline of 

the enclosure.

 (2) Unless the primary enclosure is permanently affixed to the 

conveyance, projecting rims or similar devices must be located on the 

exterior of each enclosure wall having a ventilation opening, in order to 

prevent obstruction of the openings. The projecting rims or similar devices 

must be large enough to provide a minimum air circulation space of 0.75 

inches (1.9 centimeters) between the primary enclosure and anything the 

enclosure is placed against.

 (3) If a primary enclosure is permanently affixed to the primary 

conveyance so that there is only a front ventilation opening for the enclosure, 

the primary enclosure must be affixed to the primary conveyance in 

such a way that the front ventilation opening cannot be blocked, and the 

front ventilation opening must open directly to an unobstructed aisle or 

passageway inside of the conveyance. The ventilation opening must be at 

least 90 percent of the total area of the front wall of the enclosure, and must 

be covered with bars, wire mesh, or smooth expanded metal having air 

spaces.

(d) Compatibility.

 (1) Only one live nonhuman primate may be transported in a primary 

enclosure, except as follows:

 (i) A mother and her nursing infant may be transported together;

 (ii) An established male-female pair or family group may be 

transported together, except that a female in estrus must not be transported 

with a male nonhuman primate;

 (iii) A compatible pair of juveniles of the same species that have not 

reached puberty may be transported together.

Animal Welfare Regulations, USDA § 3.87
184

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Subpart D

 (2) Nonhuman primates of different species must not be transported in 

adjacent or connecting primary enclosures.

(e) Space requirements. Primary enclosures used to transport nonhuman 

primates must be large enough so that each animal contained in the primary 

enclosure has enough space to turn around freely in a normal manner and 

to sit in an upright, hands down position without its head touching the top 

of the enclosure. However, certain larger species may be restricted in their 

movements, in accordance with professionally accepted standards of care, 

when greater freedom of movement would be dangerous to the animal, its 

handler, or to other persons.

(f) Marking and labeling. Primary enclosures, other than those that are 

permanently affixed to a conveyance, must be clearly marked in English on 

the top and on one or more sides with the words “Wild Animals,” or “Live 

Animals,” in letters at least 1 inch (2.5 cm.) high, and with arrows or other 

markings to indicate the correct upright position of the primary enclosure. 

Permanently affixed primary enclosures must be clearly marked in English 

with the words “Wild Animals” or “Live Animals,” in the same manner.

(g) Accompanying documents and records. Shipping documents that 

must accompany shipments of nonhuman primates may be held by the 

operator of the primary conveyance, for surface transportation only, or must 

be securely attached in a readily accessible manner to the outside of any 

primary enclosure that is part of the shipment, in a manner that allows them 

to be detached for examination and securely reattached, such as in a pocket or 

sleeve. Instructions for administration of drugs, medication, and other special 

care must be attached to each primary enclosure in a manner that makes 

them easy to notice, to detach for examination, and to reattach securely. Food 

and water instructions must be attached in accordance with § 3.86(c) of this 

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 

nonhuman primates must be designed, constructed, and maintained in a 

manner that at all times protects the health and well-being of the animals 

transported in it, ensures their safety and comfort, and prevents the entry of 

engine exhaust from the primary conveyance during transportation.

(b) The animal cargo space must have a supply of air that is sufficient for 

the normal breathing of all the animals being transported in it.

(c) Each primary enclosure containing nonhuman primates must be 

positioned in the animal cargo space in a manner that provides protection 

§ 3.88 9 CFR AWR (1-1-16 Edition)
185

PART 3

Subpart D

from the elements and that allows each nonhuman primate enough air for 

normal breathing.

(d) During air transportation, the ambient temperature inside a primary 

conveyance used to transport nonhuman primates must be maintained at 

a level that ensures the health and well-being of the species housed, in 

accordance with generally accepted professional and husbandry practices, at 

all times a nonhuman primate is present.

(e) During surface transportation, the ambient temperature inside 

a primary conveyance used to transport nonhuman primates must be 

maintained between 45 °F (7.2 °C) and 85 °F (30 °C) at all times a nonhuman 

primate is present.

(f) A primary enclosure containing a nonhuman primate must be placed 

far enough away from animals that are predators or natural enemies of 

nonhuman primates, whether the other animals are in primary enclosures or 

not, so that the nonhuman primate cannot touch or see the other animals.

(g) Primary enclosures must be positioned in the primary conveyance in a 

manner that allows the nonhuman primates to be quickly and easily removed 

from the primary conveyance in an emergency.

(h) The interior of the animal cargo space must be kept clean

(i) Nonhuman primates must not be transported with any material, 

substance (e.g., dry ice), or device in a manner that may reasonably be 

expected to harm the nonhuman primates or cause inhumane conditions.

§ 3.89 - Food and water requirements.

(a) Each nonhuman primate that is 1 year of age or more must be offered 

food5 at least once every 24 hours. Each nonhuman primate that is less 

than 1 year of age must be offered food at least once every 12 hours. Each 

nonhuman primate must be offered potable water at least once every 12 

hours. These time periods apply to dealers, exhibitors, and research facilities, 

including Federal research facilities, who transport nonhuman primates in 

their own primary conveyances, starting from the time the nonhuman primate 

was last offered food and potable water before transportation was begun. 

These time periods apply to carriers and intermediate handlers starting from 

the date and time stated on the certification provided under § 3.86(c) of this 

subpart. Each nonhuman primate must be offered food and potable water 

within 4 hours before being transported in commerce. Consignors who are 

subject to the Animal Welfare regulations (9 CFR parts 1, 2, and 3) must 

certify that each nonhuman primate was offered food and potable water 

within the 4 hours preceding delivery of the nonhuman primate to a carrier 

or intermediate handler for transportation in commerce, and must certify the 

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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Subpart D

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 

facility, offering a nonhuman primate to a carrier or intermediate handler for 

transportation in commerce must securely attach to the outside of the primary 

enclosure used for transporting the nonhuman primate, written instructions 

for a 24-hour period for the in-transit food and water requirements of the 

nonhuman primate(s) contained in the enclosure. The instructions must be 

attached in a manner that makes them easily noticed and read.

(c) Food and water receptacles must be securely attached inside the 

primary enclosure and placed so that the receptacles can be filled from 

outside of the enclosure without opening the door. Food and water receptacles 

must be designed, constructed, and installed so that a nonhuman primate 

cannot leave the primary enclosure through the food or water opening.

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

0579-0093)

§ 3.90 - Care in transit.

(a) Surface transportation (ground and water). Any person subject to the 

Animal Welfare regulations (9 CFR parts 1, 2, and 3) transporting nonhuman 

primates in commerce must ensure that the operator of the conveyance or a 

person accompanying the operator of the conveyance observes the nonhuman 

primates as often as circumstances allow, but not less than once every 4 

hours, to make sure that they have sufficient air for normal breathing, that the 

ambient temperature is within the limits provided in § 3.88(d) of this subpart, 

and that all other applicable standards of this subpart are being complied 

with. The regulated person transporting the nonhuman primates must ensure 

that the operator or the person accompanying the operator determines 

whether any of the nonhuman primates are in obvious physical distress, and 

obtains any veterinary care needed for the nonhuman primates at the closest 

available veterinary facility.

(b) Air transportation. During air transportation of nonhuman primates, 

it is the responsibility of the carrier to observe the nonhuman primates as 

frequently as circumstances allow, but not less than once every 4 hours if 

the animal cargo area is accessible during flight. If the animal cargo area is 

not accessible during flight, the carrier must observe the nonhuman primates 

whenever they are loaded and unloaded and whenever the animal cargo 

space is otherwise accessible to make sure that the nonhuman primates have 

sufficient air for normal breathing, that the ambient temperature is within 

the limits provided in § 3.88(d) of this subpart, and that all other applicable 

standards of this subpart are being complied with. The carrier must determine 

whether any of the nonhuman primates is in obvious physical distress, and 

§ 3.90 9 CFR AWR (1-1-16 Edition)
187

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Subpart D

arrange for any needed veterinary care for the nonhuman primates as soon as 

possible.

(c) If a nonhuman primate is obviously ill, injured, or in physical distress, 

it must not be transported in commerce, except to receive veterinary care for 

the condition.

(d) During transportation in commerce, a nonhuman primate must not be 

removed from its primary enclosure unless it is placed in another primary 

enclosure or a facility that meets the requirements of § 3.80 or § 3.87 of this 

subpart. Only persons who are experienced and authorized by the shipper, 

or authorized by the consignor or the consignee upon delivery, if the animal 

is consigned for transportation, may remove nonhuman primates from their 

primary enclosure during transportation in commerce, unless required for the 

health or well-being of the animal.

(e) The transportation regulations contained in this subpart must be 

complied with until a consignee takes physical delivery of the animal if the 

animal is consigned for transportation, or until the animal is returned to the 

consignor.

§ 3.91 - Terminal facilities.

(a) Placement. Any persons subject to the Animal Welfare regulations 

(9 CFR parts l, 2, and 3) must not commingle shipments of nonhuman 

primates with inanimate cargo or with other animals in animal holding areas 

of terminal facilities. Nonhuman primates must not be placed near any other 

animals, including other species of nonhuman primates, and must not be 

able to touch or see any other animals, including other species of nonhuman 

primates.

(b) Cleaning, sanitization, and pest control. All animal holding areas of 

terminal facilities must be cleaned and sanitized in a manner prescribed in § 

3.84(b)(3) of this subpart, as often as necessary to prevent an accumulation 

of debris or excreta and to minimize vermin infestation and disease hazards. 

Terminal facilities must follow an effective program in all animal holding 

areas for the control of insects, ectoparasites, and birds and mammals that are 

pests of nonhuman primates.

(c) Ventilation. Ventilation must be provided in any animal holding 

area in a terminal facility containing nonhuman primates by means of 

windows, doors, vents, or air conditioning. The air must be circulated 

by fans, blowers, or air conditioning so as to minimize drafts, odors, and 

moisture condensation. Auxiliary ventilation, such as exhaust fans, vents, 

fans, blowers, or air conditioning, must be used in any animal holding area 

containing nonhuman primates when the ambient temperature is 85 °F (29.5 

°C) or higher.

Animal Welfare Regulations, USDA § 3.91
188

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Subpart D

(d) Temperature. The ambient temperature in an animal holding area 

containing nonhuman primates must not fall below 45 °F (7.2 °C) or 

rise above 85 °F (29.5 °C) for more than four consecutive hours at any 

time nonhuman primates are present. The ambient temperature must be 

measured in the animal holding area by the carrier, intermediate handler, 

or a person transporting nonhuman primates who is subject to the Animal 

Welfare regulations (9 CFR parts 1, 2, and 3), outside any primary enclosure 

containing a nonhuman primate at a point not more than 3 feet (0.91 m.) 

away from an outside wall of the primary enclosure, on a level that is even 

with the enclosure and approximately midway up the side of the enclosure.

(e) Shelter. Any person subject to the Animal Welfare regulations (9 CFR 

parts l, 2, and 3) holding a nonhuman primate in an animal holding area of a 

terminal facility must provide the following:

(1) Shelter from sunlight and extreme heat. Shade must be provided 

that is sufficient to protect the nonhuman primate from the direct rays of the 

sun.

 (2) Shelter from rain or snow. Sufficient protection must be provided 

to allow nonhuman primates to remain dry during rain, snow, and other 

precipitation.

(f) Duration. The length of time any person subject to the Animal Welfare 

regulations (9 CFR parts 1, 2, and 3) can hold a nonhuman primate in an 

animal holding area of a terminal facility upon arrival is the same as that 

provided in § 3.86(f) of this subpart.

§ 3.92 - Handling.

(a) Any person subject to the Animal Welfare regulations (9 CFR parts 1, 

2, and 3) who moves (including loading and unloading) nonhuman primates 

within, to, or from the animal holding area of a terminal facility or a primary 

conveyance must do so as quickly and efficiently as possible, and must 

provide the following during movement of the nonhuman primate:

 (1) Shelter from sunlight and extreme heat. Sufficient shade must be 

provided to protect the nonhuman primate from the direct rays of the sun. A 

nonhuman primate must not be exposed to an ambient temperature above 85 

°F (29.5 °C) for a period of more than 45 minutes while being moved to or 

from a primary conveyance or a terminal facility, The ambient temperature 

must be measured in the manner provided in § 3.91(d) of this subpart.

 (2) Shelter from rain or snow. Sufficient protection must be provided 

to allow nonhuman primates to remain dry during rain, snow, and other 

precipitation.

 (3) Shelter from cold temperatures. Transporting devices on which 

nonhuman primates are placed to move them must be covered to protect 

the animals when the outdoor temperature falls below 45 °F (7.2 °C). A 

§ 3.92 9 CFR AWR (1-1-16 Edition)
189

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Subpart D

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 

primate must use care and must avoid causing physical harm or distress to the 

nonhuman primate.

 (1) A primary enclosure containing a nonhuman primate must not be 

placed on unattended conveyor belts or on elevated conveyor belts, such 

as baggage claim conveyor belts and inclined conveyor ramps that lead to 

baggage claim areas, at any time; except that a primary enclosure may be 

placed on inclined conveyor ramps used to load and unload aircraft if an 

attendant is present at each end of the conveyor belt.

 (2) A primary enclosure containing a nonhuman primate must not be 

tossed, dropped, or needlessly tilted, and must not be stacked in a manner that 

may reasonably be expected to result in its falling. It must be handled and 

positioned in the manner that written instructions and arrows on the outside 

of the primary enclosure indicate.

(c) This section applies to movement of a nonhuman primate from primary 

conveyance to primary conveyance, within a primary conveyance or terminal 

facility, and to or from a terminal facility or a primary conveyance.

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

0579-0093)

Animal Welfare Regulations, USDA § 3.92
190

 9 CFR AWR (1-1-16 Edition)
191

PART 3

Subpart E

Subpart E – Specifications for the Humane Handling, Care, Treatment, 

and Transportation of Marine Mammals

Source: 44 FR 36874, June 22, 1979, unless otherwise noted. 

FACILITIES AND OPERATING STANDARDS

§ 3.100 - Special considerations regarding compliance and/or variance.

(a) All persons subject to the Animal Welfare Act who maintain or 

otherwise handle marine mammals in captivity must comply with the 

provisions of this subpart, except that they may apply for and be granted 

a variance,6 by the Deputy Administrator, from one or more specified 

provisions of § 3.104. The provisions of this subpart shall not apply, 

however, in emergency circumstances where compliance with one or more 

requirements would not serve the best interest of the marine mammals 

concerned.

(b) An application for a variance must be made to the Deputy 

Administrator in writing. The request must include:

 (1) The species and number of animals involved,

 (2) A statement from the attending veterinarian concerning the age and 

health status of the animals involved, and concerning whether the granting of 

a variance would be detrimental to the marine mammals involved,

 (3) Each provision of the regulations that is not met,

 (4) The time period requested for a variance,

 (5) The specific reasons why a variance is requested, and

 (6) The estimated cost of coming into compliance, if construction is 

involved.

(c) After receipt of an application for a variance, the Deputy 

Administrator may require the submission in writing of a report by two 

experts recommended by the American Association of Zoological Parks and 

Aquariums and approved by the Deputy Administrator concerning potential 

adverse impacts on the animals involved or on other matters relating to the 

effects of the requested variance on the health and well-being of such marine 

mammals. Such a report will be required only in those cases when the Deputy 

Administrator determines that such expertise is necessary to determine 

whether the granting of a variance would cause a situation detrimental to the 

health and well-being of the marine mammals involved. The cost of such 

report is to be paid by the applicant.

(d) Variances granted for facilities because of ill or infirm marine 

mammals that cannot be moved without placing their well-being in jeopardy, 

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.

Animal Welfare Regulations, USDA § 3.100
192

PART 3

Subpart E

or for facilities within 0.3048 meters (1 foot) of compliance with any space 

requirement may be granted for up to the life of the marine mammals 

involved. Otherwise, variances shall be granted for a period not exceeding 

July 30, 1986, Provided, however, That under circumstances deemed justified 

by the Deputy Administrator, a maximum extension of 1 year may be 

granted to attain full compliance. A written request for the extension must 

be received by the Deputy Administrator by May 30, 1986. Consideration 

for extension by the Deputy Administrator will be limited to unforeseen or 

unusual situations such as when necessary public funds cannot be allocated in 

an appropriate time frame for a facility to attain full compliance by July 30, 

1986.

(e) The Deputy Administrator shall deny any application for a variance if 

he determines that it is not justified under the circumstances or that allowing 

it will be detrimental to the health and well-being of the marine mammals 

involved.

(f) Any facility housing marine mammals that does not meet all of the 

space requirements as of July 30, 1984, must meet all of the requirements by 

September 28, 1984, or may operate without meeting such requirements until 

action is taken on an application for a variance if the application is submitted 

to the Deputy Administrator on or before September 28, 1984.

(g) A research facility may be granted a variance from specified 

requirements of this subpart when such variance is necessary for research 

purposes and is fully explained in the experimental design. Any time 

limitation stated in this section shall not be applicable in such case.

[49 FR 26681, June 28, 1984; 63 FR 2, Jan. 2, 1998]

§ 3.101 - Facilities, general.

(a) Construction requirements.

 (1) Indoor and outdoor housing facilities for marine mammals must 

be structurally sound and must be maintained in good repair to protect the 

animals from injury, to contain the animals within the facility, and to restrict 

the entrance of unwanted animals. Lagoon and similar natural seawater 

facilities must maintain effective barrier fences extending above the high tide 

water level, or other appropriate measures, on all sides of the enclosure not 

contained by dry land to fulfill the requirements of this section.

 (2) All marine mammals must be provided with protection from abuse 

and harassment by the viewing public by the use of a sufficient number of 

uniformed or readily identifiable employees or attendants to supervise the 

viewing public, or by physical barriers, such as fences, walls, glass partitions, 

or distance, or any combination of these.

§ 3.101 9 CFR AWR (1-1-16 Edition)
193

PART 3

Subpart E

 (3) All surfaces in a primary enclosure must be constructed of durable, 

nontoxic materials that facilitate cleaning, and disinfection as appropriate, 

sufficient to maintain water quality parameters as designated in § 3.106. 

All surfaces must be maintained in good repair as part of a regular, ongoing 

maintenance program. All facilities must implement a written protocol on 

cleaning so that surfaces do not constitute a health hazard to animals.

 (4) Facilities that utilize natural water areas, such as tidal basins, 

bays, or estuaries (subject to natural tidewater action), for housing marine 

mammals are exempt from the drainage requirements of paragraph (c)(1) of 

this section.

(b) Water and power supply. Reliable and adequate sources of water and 

electric power must be provided by the facility housing marine mammals. 

Written contingency plans must be submitted to and approved by the Deputy 

Administrator regarding emergency sources of water and electric power 

in the event of failure of the primary sources, when such failure could 

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

of the marine mammals housed in the facility. Contingency plans must 

include, but not be limited to, specific animal evacuation plans in the event 

of a disaster and should describe back-up systems and/or arrangements for 

relocating marine mammals requiring artificially cooled or heated water. If 

the emergency contingency plan includes release of marine mammals, the 

plan must include provision for recall training and retrieval of such animals. 

Facilities handling marine mammals must also comply with the requirements 

of § 2.134 of this subchapter. [Please see Note at the end of this section.]

(c) Drainage.

 (1) Adequate drainage must be provided for all primary enclosure pools 

and must be located so that all of the water 

contained in such pools may be 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 

immediately surrounding pools. All drain covers and strainers must 

be securely fastened in order to minimize the potential risk of animal 

entrapment. Drains must be located so as to rapidly eliminate excess water 

(except in pools). Drainage effluent must be disposed of in a manner that 

complies with all applicable Federal, State, and local pollution control laws.

(d) Storage. Supplies of food must be stored in facilities that adequately 

protect such supplies from deterioration, spoilage (harmful microbial 

growth), and vermin or other contamination. Refrigerators and freezers (or 

chilled and/or iced coolers for under 12 hours) must be used for perishable 

food. No substances that are known to be or may be toxic or harmful to 

Animal Welfare Regulations, USDA § 3.101
194

PART 3

Subpart E

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. Provision must be made for the removal and disposal 

of animal and food wastes, dead animals, trash, and debris. Disposal facilities 

must be provided and operated in a manner that will minimize odors and the 

risk of vermin infestation and disease hazards. All waste disposal procedures 

must comply with all applicable Federal, State, and local laws pertaining to 

pollution control, protection of the environment, and public health.

(f) Employee washroom facilities. Washroom facilities containing basins, 

sinks, and, as appropriate, showers, must be provided and conveniently 

located to maintain cleanliness among employees, attendants, and volunteers. 

These facilities must be cleaned and sanitized daily.

(g) Enclosure or pool environmental enhancements. Any nonfood 

objects provided for the entertainment or stimulation of marine mammals 

must be of sufficient size and strength to not be ingestible, readily breakable, 

or likely to cause injury to marine mammals, and be able to be cleaned, 

sanitized, and/or replaced effectively.

[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. The air and water temperatures in indoor 

facilities shall be sufficiently regulated by heating or cooling to protect the 

marine mammals from extremes of temperature, to provide for their good 

health and well-being and to prevent discomfort, in accordance with the 

currently accepted practices as cited in appropriate professional journals or 

reference guides, depending upon the species housed therein. Rapid changes 

in air and water temperatures shall be avoided.

(b) Ventilation. Indoor housing facilities shall be ventilated by natural or 

artificial means to provide a flow of fresh air for the marine mammals and to 

minimize the accumulation of chlorine fumes, other gases, and objectionable 

odors. A vertical air space averaging at least 1.83 meters (6 feet) shall be 

maintained in all primary enclosures housing marine mammals, including 

pools of water.

(c) Lighting. Indoor housing facilities for marine mammals shall 

have ample lighting, by natural or artificial means, or both, of a quality, 

§ 3.102 9 CFR AWR (1-1-16 Edition)
195

PART 3

Subpart E

distribution, and duration which is appropriate for the species involved. 

Sufficient lighting must be available to provide uniformly distributed 

illumination which is adequate to permit routine inspections, observations, 

and cleaning of all parts of the primary enclosure including any den areas. 

The lighting shall be designed so as to prevent overexposure of the marine 

mammals contained therein to excessive illumination.7

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

§ 3.103 - Facilities, outdoor.

(a) Environmental temperatures. Marine mammals shall not be housed 

in outdoor facilities unless the air and water temperature ranges which they 

may encounter during the period they are so housed do not adversely affect 

their health and comfort. A marine mammal shall not be introduced to an 

outdoor housing facility until it is acclimated to the air and water temperature 

ranges which it will encounter therein. The following requirements shall be 

applicable to all outdoor pools.

 (1) The water surface of pools in outdoor primary enclosures housing 

polar bears and ice or cold water dwelling species of pinnipeds shall be kept 

sufficiently free of solid ice to allow for entry and exit of the animals.

 (2) The water surface of pools in outdoor primary enclosures housing 

cetaceans and sea otters shall be kept free of ice.

 (3) No sirenian or warm water dwelling species of pinnipeds or 

cetaceans shall be housed in outdoor pools where water temperature cannot 

be maintained within the temperature range to meet their needs.

(b) Shelter. Natural or artificial shelter which is appropriate for the species 

concerned, when the local climatic conditions are taken into consideration, 

shall be provided for all marine mammals kept outdoors to afford them 

protection from the weather or from direct sunlight.

(c) Perimeter fence. On and after May 17, 2000, all outdoor housing 

facilities ( i.e., facilities not entirely indoors) must be enclosed by a perimeter 

fence that is of sufficient height to keep animals and unauthorized persons 

out. Fences less than 8 feet high for polar bears or less than 6 feet high for 

other marine mammals must be approved in writing by the Administrator. 

The fence must be constructed so that it protects marine mammals by 

restricting animals and unauthorized persons from going through it or under 

it and having contact with the marine mammals, and so that it can function 

as a secondary containment system for the animals in the facility when 

appropriate. The fence must be of sufficient distance from the outside of the 

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.

Animal Welfare Regulations, USDA § 3.103
196

PART 3

Subpart E

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 

sturdy, durable material, which may include certain types of concrete, wood, 

plastic, metal, or glass, and are high enough and constructed in a manner that 

restricts entry by animals and unauthorized persons and the Administrator 

gives written approval; or

 (2) Where the outdoor housing facility is protected by an effective 

natural barrier that restricts the marine mammals to the facility and restricts 

entry by animals and unauthorized persons and the Administrator gives 

written approval; or

 (3) Where appropriate alternative security measures are employed and 

the Administrator gives written approval; or

 (4) For traveling facilities where appropriate alternative security 

measures are employed.

[44 FR 36874, June 22, 1979, as amended at 64 FR 56147, Oct. 18, 1999]

§ 3.104 - Space requirements.

(a) General. Marine mammals must be housed in primary enclosures that 

comply with the minimum space requirements prescribed by this part. These 

enclosures must be constructed and maintained so that the animals contained 

within are provided sufficient space, both horizontally and vertically, to be 

able to make normal postural and social adjustments with adequate freedom 

of movement, in or out of the water. (An exception to these requirements 

is provided in § 3.110(b) for isolation or separation for medical treatment 

and/or medical training.) Enclosures smaller than required by the standards 

may be temporarily used for nonmedical training, breeding, holding, and 

transfer purposes. If maintenance in such enclosures for nonmedical training, 

breeding, or holding is to last longer than 2 weeks, such extension must 

be justified in writing by the attending veterinarian on a weekly basis. If 

maintenance in such enclosures for transfer is to last longer than 1 week, 

such extension must be justified in writing by the attending veterinarian 

on a weekly basis. Any enclosure that does not meet the minimum space 

requirement for primary enclosures (including, but not limited to, medical 

§ 3.104 9 CFR AWR (1-1-16 Edition)
197

PART 3

Subpart E

pools or enclosures, holding pools or enclosures, and gated side pools smaller 

than the minimum space requirements) may not be used for permanent 

housing purposes. Rotating animals between enclosures that meet the 

minimum space requirements and enclosures that do not is not an acceptable 

means of complying with the minimum space requirements for primary 

enclosures.

(b) Cetaceans. Primary enclosures housing cetaceans shall contain a 

pool of water and may consist entirely of a pool of water. In determining the 

minimum space required in a pool holding cetaceans, four factors must be 

satisfied. These are MHD, depth, volume, and surface area. For the purposes 

of this subpart, cetaceans are divided into Group I cetaceans and Group II 

cetaceans as shown in Table III in this section.

 (1)(i) The required minimum horizontal dimension (MHD) of a 

pool for Group I cetaceans shall be 7.32 meters (24.0 feet) or two times 

the average adult length of the longest species of Group I cetacean housed 

therein (as measured in a parallel or horizontal line, from the tip of its upper 

jaw, or from the most anterior portion of the head in bulbous headed animals, 

to the notch in the tail fluke8), whichever is greater; except that such MHD 

measurement may be reduced from the greater number by up to 20 percent if 

the amount of the reduction is added to the MHD at the 90-degree angle and 

if the minimum volume and surface area requirements are met based on an 

MHD of 7.32 meters (24.0 feet) or two times the average adult length of the 

longest species of Group I cetacean housed therein, whichever is greater.

 (ii) The MHD of a pool for Group II cetaceans shall be 7.32 meters 

(24.0 feet) or four times the average adult length of the longest species of 

cetacean to be housed therein (as measured in a parallel or horizontal line 

from the tip of its upper jaw, or from the most anterior portion of the head in 

bulbous headed animals, to the notch in the tail fluke), whichever is greater; 

except that such MHD measurement may be reduced from the greater number 

by up to 20 percent if the amount of the reduction is added to the MHD at the 

90-degree angle and if the minimum volume and surface area requirements 

are met based on an MHD of 7.32 meters (24.0 feet) or four times the average 

adult length of the longest species of Group II cetacean housed therein, 

whichever is greater.

 (iii) In a pool housing a mixture of Group I and Group II cetaceans, 

the MHD shall be the largest required for any cetacean housed therein.

 (iv) Once the required MHD has been satisfied, the pool size may 

be required to be adjusted to increase the surface area and volume when 

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.

Animal Welfare Regulations, USDA § 3.104
198

PART 3

Subpart E

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

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

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.

§ 3.104 9 CFR AWR (1-1-16 Edition)
199

PART 3

Subpart E

TABLE II – GROUP II CETACEANS1

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

1 Converting cubic feet to cubic meters is based on: 1 cubic foot=0.0283 of a cubic meter.

Animal Welfare Regulations, USDA § 3.104
200

PART 3

Subpart E

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

Kogia simus Dwarf sperm whale 2.90 9.5

Lagenorhynchus acutus Atlantic white-sided dolphin 2.90 9.5

§ 3.104 9 CFR AWR (1-1-16 Edition)
201

PART 3

Subpart E

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

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

Animal Welfare Regulations, USDA § 3.104
202

PART 3

Subpart E

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 (1-1-16 Edition)
203

PART 3

Subpart E

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 for primary enclosure pools for 

all cetaceans shall be one-half the average adult length of the longest species 

to be housed therein, regardless of Group I or Group II classification, or 

1.83 meters (6.0 feet), whichever is greater, and can be expressed as d=L/2 

or 6 feet, whichever is greater. Those parts of the primary enclosure pool 

which do not meet the minimum depth requirement cannot be included when 

calculating space requirements for cetaceans.

 (3) Pool volume. A pool of water housing cetaceans which satisfies the 

MHD and which meets the minimum depth requirement, will have sufficient 

volume and surface area to hold up to two Group I cetaceans or up to four 

Group II cetaceans. If additional cetaceans are to be added to the pool, the 

volume as well as the surface area may have to be adjusted to allow for 

additional space necessary for such cetaceans. See Tables I, II, and IV for 

volumes and surface area requirements. The additional volume needed shall 

be based on the number and kind of cetaceans housed therein and shall be 

determined in the following manner.

 (i) The minimum volume of water required for up to two Group I 

cetaceans is based upon the following formula:

When there are more than two Group I cetaceans housed in a primary 

enclosure pool, the additional volume of water required for each additional 

Group I cetacean in excess of two is based on the following formula:

See Table I for required volumes.

Volume = MHD 2

 × 3.14 × depth 2 ( )

Volume = Average Adult Length 2× 3.14 × depth 2 ( )

Animal Welfare Regulations, USDA § 3.104
204

PART 3

Subpart E

 (ii) The minimum volume of water required for up to four Group II 

cetaceans is based upon the following formula:

When there are more than four Group II cetaceans housed in a primary 

enclosure pool, the additional volume of water required for each additional 

Group II cetacean in excess of four is based on the following formula:

 Volume = (Avg. Adult Length)2 × 3.14 × depth

See Table II for required volumes.

 (iii) When a mixture of both Group I and Group II cetaceans are 

housed together, the MHD must be satisfied as stated in § 3.104(b)(1), and 

the minimum depth must be satisfied as stated in § 3.104(b)(2). Based on 

these figures, the resulting volume must then be calculated

Then the volume necessary for the cetaceans to be housed in the pool 

must be calculated (by obtaining the sum of the volumes required for each 

animal). If this volume is greater than that obtained by using the MHD and 

depth figures, then the additional volume required may be added by enlarging 

the pool in its lateral dimensions or by increasing its depth, or both. The 

minimum surface area requirements discussed next must also be satisfied. 

 (4)(i) The minimum surface area requirements for each cetacean 

housed in a pool, regardless of Group I or Group II classification, are 

calculated as follows:

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.

Volume = MHD 2× 3.14 × depth ( ) 2

Volume = MHD 2× 3.14 × depth ( ) 2

Surface Area = Average Adult Body Length 2× 3.14 × 1.5 2 ( )

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 (1-1-16 Edition)
205

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Subpart E

 (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.

 (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. Primary enclosures housing sirenians shall contain a pool of 

water and may consist entirely of a pool of water.

 (1) The required MHD of a primary enclosure pool for sirenians shall 

be two times the average adult length of the longest species of sirenian to be 

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.

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 

all sirenians shall be one-half the average adult length of the longest species 

to be housed therein, or 1.52 meters (5.0 feet), whichever is greater. Those 

parts of the primary enclosure pool which do not meet the minimum depth 

requirements cannot be included when calculating space requirements for 

sirenians.

 (3) A pool which satisfies the required MHD and depth shall be 

adequate for one or two sirenians. Volume and surface area requirements for 

additional animals shall be calculated using the same formula as for Group 

I cetaceans, except that the figure for depth requirement for sirenians shall 

be one-half the average adult length or 1.52 meters (5.0 feet), whichever is 

greater.

(d) Pinnipeds.

 (1) Primary enclosures housing pinnipeds shall contain a pool of water 

and a dry resting or social activity area that must be close enough to the 

surface of the water to allow easy access for entering or leaving the pool. 

For the purposes of this subpart, pinnipeds have been divided into Group I 

pinnipeds and Group II pinnipeds as shown in Table III in this section. In 

certain instances some Group I pinnipeds shall be considered as Group II 

pinnipeds. (See Table III).

 (2) The minimum size of the dry resting or social activity area of the 

primary enclosure for pinnipeds (exclusive of the pool of water) shall be 

based on the average adult length of each pinniped contained therein, as 

measured in a horizontal or extended position in a straight line from the tip 

of its nose to the tip of its tail. The minimum size of the dry resting or social 

activity area shall be computed using the following methods:

 (i) Group I pinnipeds. Square the average adult length of each 

pinniped to be contained in the primary enclosure. Add the figures obtained 

for each of the pinnipeds in the primary enclosure to determine the dry 

resting or social activity area required for such pinnipeds. If only a single 

Group I pinniped is maintained in the primary enclosure, the minimum dry 

resting or social activity area shall be twice the square of the average adult 

length of that single Group I pinniped.

Examples:

(average adult length)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 (1-1-16 Edition)
207

PART 3

Subpart E

 (ii) Group II pinnipeds. List all pinnipeds contained in a primary 

enclosure by average adult length in descending order from the longest 

species of pinniped to the shortest species of pinniped. Square the average 

adult length of each pinniped. Multiply the average adult length squared of 

the longest pinniped by 1.5, the second longest by 1.4, the third longest by 

1.3, the fourth longest by 1.2, and the fifth longest by 1.1, as indicated in the 

following example. Square the average adult length of the sixth pinniped and 

each additional pinniped. Add the figures obtained for all the pinnipeds in the 

primary enclosure to determine the required minimum dry resting or social 

activity area required for such pinnipeds. If only a single Group II pinniped 

is maintained in the primary enclosure, the minimum dry resting or social 

activity area must be computed for a minimum of two pinnipeds.

Examples: DRA for 1 Group II Pinniped = [(Average adult length)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 

enclosure, the dry resting or social activity area shall be divided into two or 

more separate areas with sufficient visual barriers (such as fences, rocks, or 

foliage) to provide relief from aggressive animals.

 (iii) Mixture of Group I and Group II pinnipeds. In a primary 

enclosure where a mixture of Group I and Group II pinnipeds is to be housed, 

the dry resting or social activity area shall be calculated as for Group II 

pinnipeds. The dry resting or social activity area shall be divided into two or 

Animal Welfare Regulations, USDA § 3.104
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Subpart E

more separate areas with sufficient visual barriers (such as fences, rocks, or 

foliage) to provide relief from aggressive animals.

 (3)(i) The minimum surface area of a pool of water for pinnipeds shall 

be at least equal to the dry resting or social activity area required.

 (ii) The MHD of the pool shall be at least one and one-half (1.5) 

times the average adult length of the largest species of pinniped to be housed 

in the enclosure; except that such MHD measurement may be reduced by 

up to 20 percent if the amount of the reduction is added to the MHD at the 

90-degree angle.

 (iii) The pool of water shall be at least 0.91 meters (3.0 feet) deep or 

one-half the average adult length of the longest species of pinniped contained 

therein, whichever is greater. Parts of the pool that do not meet the minimum 

depth requirement cannot be used in the calculation of the dry resting and 

social activity area, or as part of the MHD or required surface area of the 

pool.

(e) Polar bears. Primary enclosures housing polar bears shall consist of 

a pool of water, a dry resting and social activity area, and a den. A minimum 

of 37.16 square meters (400 square feet) of dry resting and social activity 

area shall be provided for up to two polar bears, with an additional 3.72 

square meters (40 square feet) of dry resting and social activity area for 

each additional polar bear. The dry resting and social activity area shall be 

provided with enough shade to accommodate all of the polar bears housed 

in such primary enclosure at the same time. The pool of water shall have an 

MHD of not less than 2.44 meters (8.0 feet) and a surface area of at least 8.93 

square meters (96.0 square feet) with a minimum depth of 1.52 meters (5.0 

feet) with the exception of any entry and exit area. This size pool shall be 

adequate for two polar bears. For each additional bear, the surface area of the 

pool must be increased by 3.72 square meters (40 square feet). In measuring 

this additional surface area, parts of the pool which do not meet minimum 

depth cannot be considered. The den shall be at least 1.83 meters (6 feet) in 

width and depth and not less than 1.52 meters (5 feet) in height. It will be so 

positioned that the viewing public shall not be visible from the interior of the 

den. A separate den shall be provided for each adult female of breeding age 

which is permanently housed in the same primary enclosure with an adult 

male of breeding age. Female polar bears in traveling acts or shows must be 

provided a den when pregnancy has been determined.

(f) Sea otters.

 (1) Primary enclosures for sea otters shall consist of a pool of water 

and a dry resting area. The MHD of the pool of water for sea otters shall be 

at least three times the average adult length of the sea otter contained therein 

(measured in a horizontal line from the tip of its nose to the tip of its tail) and 

the pool shall be not less than .91 meters (3.0 feet) deep. When more than two 

§ 3.104 9 CFR AWR (1-1-16 Edition)
209

PART 3

Subpart E

sea otters are housed in the same primary enclosure, additional dry resting 

area as well as pool volume is required to accommodate the additional sea 

otters. (See Table V).

 (2) The minimum volume of water required for a primary enclosure 

pool for sea otters shall be based on the sea otter’s average adult length. The 

minimum volume of water required in the pool shall be computed using the 

following method: Multiply the square of the sea otter’s average adult length 

by 3.14 and then multiply the total by 0.91 meters (3.0 feet). This volume 

is satisfactory for one or two otters. To calculate the additional volume of 

water for each additional sea otter above two in a primary enclosure, multiply 

one-half of the square of the sea otter’s average adult length by 3.14, then 

multiply by 0.91 meters (3.0 feet). (See Table V).

 (3) The minimum dry resting area required for one or two sea otters 

shall be based on the sea otter’s average adult length. The minimum dry 

resting area for one or two sea otters shall be computed using the following 

method: Square the average adult length of the sea otter and multiply the total 

by 3.14. When the enclosure is to contain more than two sea otters, the dry 

resting area for each additional animal shall be computed by multiplying onehalf of the sea otter’s average adult length by 3.14. Using 1.25 meters or 4.1 

feet (the average adult length of a sea otter), the calculations for additional 

space will result in the following figures:

TABLE V – ADDITIONAL SPACE REQUIRED FOR EACH SEA 

OTTER WHEN MORE THAN TWO IN A PRIMARY ENCLOSURE

Average adult length of 

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 

from contamination and must be of sufficient quantity and nutritive value 

to maintain marine mammals in a state of good health. The diet must be 

Animal Welfare Regulations, USDA § 3.105
210

PART 3

Subpart E

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 

marine mammals in the same primary enclosure and must be placed so as to 

minimize contamination of the food they contain. Such food receptacles must 

be cleaned and sanitized after each use.

(c) Food, when given to each marine mammal individually, must be 

given by an employee or attendant responsible to management who has 

the necessary knowledge to assure that each marine mammal receives an 

adequate quantity of food to maintain it in good health. Such employee or 

attendant is required to have the ability to recognize deviations from a normal 

state of good health in each marine mammal so that the food intake can be 

adjusted accordingly. Inappetence exceeding 24 hours must be reported 

immediately to the attending veterinarian. Public feeding may be permitted 

only in the presence and under the supervision of a sufficient number of 

knowledgeable, uniformed employees or attendants. Such employees or 

attendants must assure that the marine mammals are receiving the proper 

amount and type of food. Only food supplied by the facility where the marine 

mammals are kept may be fed to the marine mammals by the public. Marine 

mammal feeding records noting the estimated individual daily consumption 

must be maintained at the facility for a period of 1 year and must be made 

available for APHIS inspection. For marine mammals that are individually 

fed and not subject to public feeding, the feeding records should reflect an 

accurate account of food intake; for animals fed, in part, by the public, and 

for large, group-fed colonies of marine mammals where individual rations are 

not practical or feasible to maintain, the daily food consumption should be 

estimated as precisely as possible.

(d) Food preparation and handling must be conducted so as to assure 

the wholesomeness and nutritive value of the food. Frozen fish or other 

frozen food must be stored in freezers that are maintained at a maximum 

temperature of −18 °C (0 °F). The length of time food is stored and the 

method of storage, the thawing of frozen food, and the maintenance of 

thawed food must be conducted in a manner that will minimize contamination 

and that will assure that the food retains nutritive value and wholesome 

quality until the time of feeding. When food is thawed in standing or running 

water, cold water must be used. All foods must be fed to the marine mammals 

within 24 hours following the removal of such foods from the freezers for 

thawing, or if the food has been thawed under refrigeration, it must be fed to 

the marine mammals within 24 hours of thawing.

[66 FR 252, Jan. 3, 2001]

§ 3.105 9 CFR AWR (1-1-16 Edition)
211

PART 3

Subpart E

§ 3.106 - Water quality.

(a) General. The primary enclosure shall not contain water which would 

be detrimental to the health of the marine mammal contained therein.

(b) Bacterial standards.

 (1) The coliform bacteria count of the primary enclosure pool shall not 

exceed 1,000 MPN (most probable number) per 100 ml. of water. Should a 

coliform bacterial count exceed 1,000 MPN, two subsequent samples may be 

taken at 48-hour intervals and averaged with the first sample. If such average 

count does not fall below 1,000 MPN, then the water in the pool shall be 

deemed unsatisfactory, and the condition must be corrected immediately.

 (2) When the water is chemically treated, the chemicals shall be added 

so as not to cause harm or discomfort to the marine mammals.

 (3) Water samples shall be taken and tested at least weekly for coliform 

count and at least daily for pH and any chemical additives (e.g. chlorine 

and copper) that are added to the water to maintain water quality standards. 

Facilities using natural seawater shall be exempt from pH and chemical 

testing unless chemicals are added to maintain water quality. However, they 

are required to test for coliforms. Records must be kept documenting the time 

when all such samples were taken and the results of the sampling. Records of 

all such test results shall be maintained by management for a 1-year period 

and must be made available for inspection purposes on request.

(c) Salinity. Primary enclosure pools of water shall be salinized for marine 

cetaceans as well as for those other marine mammals which require salinized 

water for their good health and well-being. The salinity of the water in such 

pools shall be maintained within a range of 15-36 parts per thousand.

(d) Filtration and water flow. Water quality must be maintained by 

filtration, chemical treatment, or other means so as to comply with the water 

quality standards specified in this section.

§ 3.107 - Sanitation.

(a) Primary enclosures.

 (1) Animal and food waste in areas other than the pool of water must 

be removed from the primary enclosures at least daily, and more often when 

necessary, in order to provide a clean environment and minimize health and 

disease hazards.

 (2) Particulate animal and food waste, trash, or debris that enters the 

primary enclosure pools of water must be removed at least daily, or as often 

as necessary, to maintain the required water quality and to minimize health 

and disease hazards to the marine mammals.

 (3) The wall and bottom surfaces of the primary enclosure pools 

of water must be cleaned as often as necessary to maintain proper water 

quality. Natural organisms (such as algae, coelenterates, or molluscs, for 

Animal Welfare Regulations, USDA § 3.107
212

PART 3

Subpart E

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. Equipment and utensils used in food preparation 

must be cleaned and sanitized after each use. Kitchens and other food 

handling areas where animal food is prepared must be cleaned at least once 

daily and sanitized at least once every week. Sanitizing must be accomplished 

by washing with hot water (8 °C, 180 °F, or higher) and soap or detergent in 

a mechanical dishwasher, or by washing all soiled surfaces with a detergent 

solution followed by a safe and effective disinfectant, or by cleaning all 

soiled surfaces with live steam. Substances such as cleansing and sanitizing 

agents, pesticides, and other potentially toxic agents must be stored in 

properly labeled containers in secured cabinets designed and located to 

prevent contamination of food storage preparation surfaces.

(c) Housekeeping. Buildings and grounds, as well as exhibit areas, must 

be kept clean and in good repair. Fences must be maintained in good repair. 

Primary enclosures housing marine mammals must not have any loose 

objects or sharp projections and/or edges which may cause injury or trauma 

to the marine mammals contained therein.

(d) Pest control. A safe and effective program for the control of insects, 

ectoparasites, and avian and mammalian pests must be established and 

maintained. Insecticides or other such chemical agents must not be applied in 

primary enclosures housing marine mammals except when deemed essential 

by an attending veterinarian.

[66 FR 253, Jan. 3, 2001]

§ 3.108 - Employees or attendants.

(a) A sufficient number of adequately trained employees or attendants, 

responsible to management and working in concert with the attending 

veterinarian, must be utilized to maintain the prescribed level of husbandry 

practices set forth in this subpart. Such practices must be conducted under the 

supervision of a marine mammal caretaker who has demonstrable experience 

in marine mammal husbandry and care.

(b) The facility will provide and document participation in and successful 

completion of a facility training course for such employees. This training 

course will include, but is not limited to, species appropriate husbandry 

techniques, animal handling techniques, and information on proper reporting 

protocols, such as recordkeeping and notification of veterinary staff for 

medical concerns.

(c) Any training of marine mammals must be done by or under the direct 

supervision of experienced trainers.

§ 3.108 9 CFR AWR (1-1-16 Edition)
213

PART 3

Subpart E

(d) Trainers and handlers must meet professionally recognized standards 

for experience and training.

[66 FR 253, Jan. 3, 2001]

§ 3.109 - Separation.

Marine mammals, whenever known to be primarily social in the wild, 

must be housed in their primary enclosure with at least one compatible 

animal of the same or biologically related species, except when the attending 

veterinarian, in consultation with the husbandry/training staff, determines 

that such housing is not in the best interest of the marine mammal’s health 

or well-being. However, marine mammals that are not compatible must not 

be housed in the same enclosure. Marine mammals must not be housed near 

other animals that cause them unreasonable stress or discomfort or interfere 

with their good health. Animals housed separately must have a written plan, 

approved by the attending veterinarian, developed in consultation with the 

husbandry/training staff, that includes the justification for the length of time 

the animal will be kept separated or isolated, information on the type and 

frequency of enrichment and interaction, if appropriate, and provisions for 

periodic review of the plan by the attending veterinarian. Marine mammals 

that are separated for nonmedical purposes must be held in facilities that meet 

minimum space requirements as outlined in § 3.104.

[66 FR 253, Jan. 3, 2001]

§ 3.110 - Veterinary care.

(a) Newly acquired marine mammals must be isolated from resident 

marine mammals. Animals with a known medical history must be isolated 

unless or until the newly acquired animals can be reasonably determined to 

be in good health by the attending veterinarian. Animals without a known 

medical history must be isolated until 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 3

Subpart E

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 

marine mammal with an infectious or contagious disease must be cleaned 

and/or sanitized in a manner prescribed by the attending veterinarian. No 

healthy animals may be introduced into this holding facility prior to such 

cleaning and/or sanitizing procedures. Any marine mammal exposed to 

a contagious animal must be evaluated by the attending veterinarian and 

monitored and/or isolated for an appropriate period of time as determined by 

the attending veterinarian.

(d) Individual animal medical records must be kept and made available for 

APHIS inspection. These medical records must include at least the following 

information:

 (1) Animal identification/name, a physical description, including any 

identifying markings, scars, etc., age, and sex; and

 (2) Physical examination information, including but not limited to 

length, weight, physical examination results by body system, identification of 

all medical and physical problems with proposed plan of action, all diagnostic 

test results, and documentation of treatment.

(e) A copy of the individual animal medical record must accompany any 

marine mammal upon its transfer to another facility, including contract or 

satellite facilities.

(f) All marine mammals must be visually examined by the attending 

veterinarian at least semiannually and must be physically examined under 

the supervision of and when determined to be necessary by the attending 

veterinarian. All cetaceans and sirenians must be physically examined 

by the attending veterinarian at least annually, unless APHIS grants an 

exception from this requirement based on considerations related to the health 

and safety of the cetacean or sirenian. These examinations must include, 

but are not limited to, a hands-on physical examination, hematology and 

§ 3.110 9 CFR AWR (1-1-16 Edition)
215

PART 3

Subpart E

blood chemistry, and other diagnostic tests as determined by the attending 

veterinarian.

(g)(1) A complete necropsy, including histopathology samples, 

microbiological cultures, and other testing as appropriate, must be conducted 

by or under the supervision of the attending veterinarian on all marine 

mammals that die in captivity. A preliminary necropsy report must be 

prepared by the veterinarian listing all pathologic lesions observed. The final 

necropsy report must include all gross and histopathological findings, the 

results of all laboratory tests performed, and a pathological diagnosis.

 (2) Necropsy records will be maintained at the marine mammal’s home 

facility and at the facility at which it died, if different, for a period of 3 years 

and must be presented to APHIS inspectors when requested.

[66 FR 253, Jan. 3, 2001]

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

Swim-with-the-dolphin (SWTD) programs shall comply with the 

requirements in this section, as well as with all other applicable requirements 

of the regulations pertaining to marine mammals.

(a) Space requirements. The primary enclosure for SWTD cetaceans 

shall contain an interactive area, a buffer area, and a sanctuary area. None 

of these areas shall be made uninviting to the animals. Movement of 

cetaceans into the buffer or sanctuary area shall not be restricted in any 

way. Notwithstanding the space requirements set forth in § 3.104, each of 

the three areas required for SWTD programs shall meet the following space 

requirements:

 (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 

enclosures at low tide shall be at least 9 feet. The average depth for any 

manmade enclosure or other structure not subject to tidal action shall be 

at least 9 feet. A portion of each area may be excluded when calculating 

the average depth, but the excluded portion may not be used in calculating 

whether the interactive, buffer, and sanctuary area meet the requirements of 

paragraphs (a)(1), (a)(2), and (a)(4) of this section.

 (4) The minimum volume required for each animal is calculated as 

follows:

Volume = SA × 9

(b) Water clarity. Sufficient water clarity shall be maintained so that 

attendants are able to observe cetaceans and humans at all times while within 

the interactive area. If water clarity does not allow these observations, the 

interactive sessions shall be canceled until the required clarity is provided.

(c) Employees and attendants. Each SWTD program shall have, at 

the minimum, the following personnel, with the following minimum 

backgrounds (each position shall be held by a separate individual, with a 

sufficient number of attendants to comply with § 3.111(e)(4)):

 (1) Licensee or manager – at least one full-time staff member with at 

least 6 years experience in a professional or managerial position dealing with 

captive cetaceans;

 (2) Head trainer/behaviorist – at least one full-time staff member with 

at least 6 years experience in training cetaceans for SWTD behaviors in the 

past 10 years, or an equivalent amount of experience involving in-water 

training of cetaceans, who serves as the head trainer for the SWTD program;

 (3) Trainer/supervising attendant – at least one full-time staff member 

with at least 3 years training and/or handling experience involving human/

cetacean interaction programs;

 (4) Attendant – an adequate number of staff members who are 

adequately trained in the care, behavior, and training of the program animals. 

Attendants shall be designated by the trainer, in consultation with the head 

trainer/behaviorist and licensee/manager, to conduct and monitor interactive 

sessions in accordance with § 3.111(e); and

 (5) Attending veterinarian – at least one staff or consultant veterinarian 

who has at least the equivalent of 2 years full-time experience (4,160 or more 

hours) with cetacean medicine within the past 10 years, and who is licensed 

to practice veterinary medicine.

(d) Program animals. Only cetaceans that meet the requirements of § 

3.111(e)(2) and (3) may be used in SWTD programs.

§ 3.111 9 CFR AWR (1-1-16 Edition)
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(e) Handling.

 (1) Interaction time (i.e., designated interactive swim sessions) for each 

cetacean shall not exceed 2 hours per day. Each program cetacean shall have 

at least one period in each 24 hours of at least 10 continuous hours without 

public interaction.

 (2) All cetaceans used in an interactive session shall be adequately 

trained and conditioned in human interaction so that they respond in the 

session to the attendants with appropriate behavior for safe interaction. The 

head trainer/behaviorist, trainer/supervising attendant, or attendant shall, at 

all times, control the nature and extent of the cetacean interaction with the 

public during a session, using the trained responses of the program animal.

 (3) All cetaceans used in interactive sessions shall be in good health, 

including, but not limited to, not being infectious. Cetaceans undergoing 

veterinary treatment may be used in interactive sessions only with the 

approval of the attending veterinarian.

 (4) The ratio of human participants to cetaceans shall not exceed 3:1. 

The ratio of human participants to attendants or other authorized SWTD 

personnel (i.e., head trainer/behaviorist or trainer/supervising attendant) shall 

not exceed 3:1.

 (5) Prior to participating in an SWTD interactive session, members of 

the public shall be provided with oral and written rules and instructions for 

the session, to include the telephone and FAX numbers for APHIS, Animal 

Care, for reporting injuries or complaints. Members of the public shall agree, 

in writing, to abide by the rules and instructions before being allowed to 

participate in the session. Any participant who fails to follow the rules or 

instructions shall be removed from the session by the facility.

 (6) All interactive sessions shall have at least two attendants or 

other authorized SWTD personnel (i.e., head trainer/behaviorist or trainer/

supervising attendant). At least one attendant shall be positioned out of the 

water. One or more attendants or other authorized SWTD personnel may 

be positioned in the water. If a facility has more than two incidents during 

interactive sessions within a year’s time span that have been dangerous or 

harmful to either a cetacean or a human, APHIS, in consultation with the 

head trainer/behaviorist, will determine if changes in attendant positions are 

needed.

 (7) All SWTD programs shall limit interaction between cetaceans 

and humans so that the interaction does not harm the cetaceans, does not 

remove the element of choice from the cetaceans by actions such as, but not 

limited to, recalling the animal from the sanctuary area, and does not elicit 

unsatisfactory, undesirable, or unsafe behaviors from the cetaceans. All 

SWTD programs shall prohibit grasping or holding of the cetacean’s body, 

unless under the direct and explicit instruction of an attendant eliciting a 

Animal Welfare Regulations, USDA § 3.111
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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 

unsatisfactory, undesirable, or unsafe behaviors, including, but not limited to, 

charging, biting, mouthing, or sexual contact with humans, such cetaceans 

shall either be removed from the interactive area or the session shall be 

terminated. Written criteria shall be developed by each SWTD program, 

and shall be submitted to and approved by APHIS11 regarding conditions 

and procedures for maintaining compliance with paragraph (e)(4) of this 

section; for the termination of a session when removal of a cetacean is not 

possible; and regarding criteria and protocols for handling program animal(s) 

exhibiting unsatisfactory, undesirable, or unsafe behaviors, including 

retraining time and techniques, and removal from the program and/or facility, 

if appropriate. The head trainer/behaviorist shall determine when operations 

will be terminated, and when they may resume. In the absence of the head 

trainer/behaviorist, the determination to terminate a session shall be made 

by the trainer/supervising attendant. Only the head trainer/behaviorist may 

determine when a session may be resumed.

(f) Recordkeeping.

 (1) Each facility shall provide APHIS12 12 with a description of its 

program at least 30 days prior to initiation of the program, or in the case of 

any program in place before September 4, 1998, not later than October 5, 

1998. The description shall include at least the following:

 (i) Identification of each cetacean in the program, by means of name 

and/or number, sex, age, and any other means the Administrator determines 

to be necessary to adequately identify the cetacean;

 (ii) A description of the educational content and agenda of planned 

interactive sessions, and the anticipated average and maximum frequency and 

duration of encounters per cetacean per day;

 (iii) The content and method of pre-encounter orientation, rules, 

and instructions, including restrictions on types of physical contact with the 

cetaceans;

 (iv) A description of the SWTD facility, including the primary 

enclosure and other SWTD animal housing or holding enclosures at the 

facility;

 (v) A description of the training, including actual or expected 

number of hours each cetacean has undergone or will undergo prior to 

participation in the program;

11Send to Administrator, c/o Animal and Plant Health Inspection Service, Animal Care, 4700 River Road Unit 

84, Riverdale, Maryland 20737-1234.

12 See footnote 1 in § 3.111(e)(8).

§ 3.111 9 CFR AWR (1-1-16 Edition)
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 (vi) The resume of the licensee and/or manager, the head trainer/

behaviorist, the trainer/supervising attendant, any other attendants, and the 

attending veterinarian;

 (vii) The current behavior patterns and health of each cetacean, to be 

assessed and submitted by the attending veterinarian;

 (viii) For facilities that employ a part-time attending veterinarian or 

consultant arrangements, a written program of veterinary care (APHIS form 

7002), including protocols and schedules of professional visits; and

 (ix) A detailed description of the monitoring program to be used to 

detect and identify changes in the behavior and health of the cetaceans.

 (2) All SWTD programs shall comply in all respects with the 

regulations and standards set forth in parts 2 and 3 of this subchapter.

 (3) Individual animal veterinary records, including all examinations, 

laboratory reports, treatments, and necropsy reports shall be kept at the 

SWTD site for at least 3 years and shall be made available to an APHIS 

official upon request during inspection.

 (4) The following records shall be kept at the SWTD site for at least 3 

years and shall be made available to an APHIS official upon request during 

inspection:

 (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 

years and shall be made available to an APHIS official upon request during 

inspection:

 (i) Statistical summaries of the number of minutes per day that each 

animal participated in an interactive session;

 (ii) A statistical summary of the number of human participants per 

month in the SWTD program; and

 (6) A description of any changes made in the SWTD program, which 

shall be submitted to APHIS13 on a semi-annual basis.

 (7) All incidents resulting in injury to either cetaceans or humans 

participating in an interactive session, which shall be reported to APHIS 

within 24 hours of the incident.14 Within 7 days of any such incident, a 

written report shall be submitted to the Administrator.15 The report shall 

provide a detailed description of the incident and shall establish a plan of 

action for the prevention of further occurrences.

(g) Veterinary care.

 (1) The attending veterinarian shall conduct on-site evaluations of 

each cetacean at least once a month. The evaluation shall include a visual 

inspection of the animal; examination of the behavioral, feeding, and medical 

13 See footnote 1 in § 3.111(e)(8). 

14Eastern Regional Office: (919) 855-7100. Western Regional Office: (970) 494-7478. 

15 See footnote 1 in § 3.111(e)(8).

Animal Welfare Regulations, USDA § 3.111
220

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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 

at the SWTD site at least once each month.

 (3) The attending veterinarian shall conduct a complete physical 

examination of each cetacean at least once every 6 months. The examination 

shall include a profile of the cetacean, including the cetacean’s identification 

(name and/or number, sex, and age), weight,16 length, axillary girth, appetite, 

and behavior. The attending veterinarian shall also conduct a general 

examination to evaluate body condition, skin, eyes, mouth, blow hole and 

cardio-respiratory system, genitalia, and feces (gastrointestinal status). The 

examination shall also include a complete blood count and serum chemistry 

analysis. Fecal and blow hole smears shall be obtained for cytology and 

parasite evaluation.

 (4) The attending veterinarian, during the monthly site visit, shall 

record the nutritional and reproductive status of each cetacean (i.e., whether 

in an active breeding program, pregnant, or nursing).

 (5) The attending veterinarian shall examine water quality records and 

provide a written assessment, to remain at the SWTD site for at least 3 years, 

of the overall water quality during the preceding month. Such records shall be 

made available to an APHIS official upon request during inspection.

 (6) In the event that a cetacean dies, complete necropsy results, 

including all appropriate histopathology, shall be recorded in the cetacean’s 

individual file and shall be made available to APHIS officials during facility 

inspections, or as requested by APHIS. The necropsy shall be performed 

within 48 hours of the cetacean’s death, by a veterinarian experienced in 

marine mammal necropsies. If the necropsy is not to be performed within 

3 hours of the discovery of the cetacean’s death, the cetacean shall be 

refrigerated until necropsy. Written results of the necropsy shall be available 

in the cetacean’s individual file within 7 days after death for gross pathology 

and within 45 days after death for histopathology.

(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. 

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).

§ 3.111 9 CFR AWR (1-1-16 Edition)
221

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Subpart E

TRANSPORTATION STANDARDS

§ 3.112 - Consignments to carriers and intermediate handlers.

(a) Carriers and intermediate handlers shall not accept any marine 

mammal that is presented by any dealer, research facility, exhibitor, 

operator of an auction sale, or other person, or any department, agency, or 

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

shipment, in commerce, more than 4 hours prior to the scheduled departure 

of the primary conveyance on which it is to be transported, and that is not 

accompanied by a health certificate signed by the attending veterinarian 

stating that the animal was examined within the prior 10 days and found to 

be in acceptable health for transport: Provided, however, That the carrier or 

intermediate handler and any dealer, research facility, exhibitor, operator of 

an auction sale, or other person, or any department, agency, or instrumentality 

of the United States or any State or local government may mutually agree 

to extend the time of acceptance to not more than 6 hours if specific prior 

scheduling of the animal shipment to destination has been made.

(b) Any carrier or intermediate handler shall only accept for transportation 

or transport, in commerce, any marine mammal in a primary transport 

enclosure that conforms to the requirements in § 3.113 of this subpart: 

Provided, however, That any carrier or intermediate handler may accept for 

transportation or transport, in commerce, any marine mammal consigned 

by any department, agency, or instrumentality of the United States having 

laboratory animal facilities or exhibiting animals or any licensed or registered 

dealer, research facility, exhibitor, or operator of an auction sale if the 

consignor furnishes to the carrier or intermediate handler a certificate, signed 

by the consignor, stating that the primary transport enclosure complies 

with § 3.113 of this subpart, unless such primary transport enclosure is 

obviously defective or damaged and it is apparent that it cannot reasonably be 

expected to contain the marine mammal without causing suffering or injury 

to the marine mammal. A copy of any such certificate must accompany the 

shipment to destination. The certificate must include at least the following 

information:

 (1) Name and address of the consignor;

 (2) The number, age, and sex of animals in the primary transport 

enclosure(s);

 (3) A certifying statement (e.g., “I hereby certify that the—(number) 

primary transport enclosure(s) that are used to transport the animal(s) in this 

shipment complies (comply) with USDA standards for primary transport 

enclosures (9 CFR part 3).”); and

 (4) The signature of the consignor, and date.

Animal Welfare Regulations, USDA § 3.112
222

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Subpart E

(c) Carriers or intermediate handlers whose facilities fail to maintain a 

temperature within the range of 7.2 °C (45 °F) to 23.9 °C (75 °F) allowed 

by § 3.117 of this subpart may accept for transportation or transport, in 

commerce, any marine mammal consigned by any department, agency, or 

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

any person (including any licensee or registrant under the Act, as well as any 

private individual) if the consignor furnishes to the carrier or intermediate 

handler a certificate executed by the attending veterinarian on a specified date 

that is not more than 10 days prior to delivery of the animal for transportation 

in commerce, stating that the marine mammal is acclimated to a specific 

air temperature range lower or higher than those prescribed in §§ 3.117 and 

3.118. A copy of the certificate must accompany the shipment to destination. 

The certificate must include at least the following information:

 (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) 

in this shipment is (are), to the best of my knowledge, acclimated to an air 

temperature range of ____”); and

 (4) The signature of the attending veterinarian and the date.

(d) Carriers and intermediate handlers must attempt to notify the 

consignee (receiving party) at least once in every 6-hour period following 

the arrival of any marine mammals at the animal holding area of the terminal 

cargo facility. 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 must be recorded on the copy of the shipping document 

retained by the carrier or intermediate handler and on a copy of the shipping 

document accompanying the animal shipment.

[66 FR 254, Jan. 3, 2001]

§ 3.113 - Primary enclosures used to transport marine mammals.

No dealer, research facility, exhibitor, or operator of an auction sale shall 

offer for transportation or transport, in commerce, any marine mammal in a 

primary enclosure that does not conform to the following requirements:

(a) Primary enclosures that are used to transport marine mammals other 

than cetaceans and sirenians must:

 (1) Be constructed from materials of sufficient structural strength to 

contain the marine mammals;

 (2) Be constructed from material that is durable, nontoxic, and cannot 

be chewed and/or swallowed;

(3) Be able to withstand the normal rigors of transportation;

§ 3.113 9 CFR AWR (1-1-16 Edition)
223

PART 3

Subpart E

 (4) Have interiors that are free from any protrusions or hazardous 

openings that could be injurious to the marine mammals contained within;

 (5) Be constructed so that no parts of the contained marine mammals 

are exposed to the outside of the enclosures in any way that may cause injury 

to the animals or to persons who are nearby or who handle the enclosures;

 (6) Have openings that provide access into the enclosures and are 

secured with locking devices of a type that cannot be accidentally opened;

 (7) Have such openings located in a manner that makes them easily 

accessible at all times for emergency removal and potential treatment of any 

live marine mammal contained within;

 (8) Have air inlets at heights that will provide cross ventilation at all 

levels (particularly when the marine mammals are in a prone position), are 

located on all four sides of the enclosures, and cover not less than 20 percent 

of the total surface area of each side of the enclosures;

 (9) Have projecting rims or other devices placed on any ends and sides 

of the enclosures that have ventilation openings so that there is a minimum 

air circulation space of 7.6 centimeters (3.0 inches) between the enclosures 

and any adjacent cargo or conveyance wall;

 (10) Be constructed so as to provide sufficient air circulation space to 

maintain the temperature limits set forth in this subpart; and

 (11) Be equipped with adequate handholds or other devices on the 

exterior of the enclosures to enable them to be lifted without unnecessary 

tilting and to ensure that the persons handling the enclosures will not come in 

contact with any marine mammal contained inside.

(b) Straps, slings, harnesses, or other devices used for body support or 

restraint, when transporting marine mammals such as cetaceans and sirenians 

must:

 (1) Be designed so as not to prevent access to the marine mammals by 

attendants for the purpose of administering in-transit care;

 (2) Be equipped with special padding to prevent trauma or injury at 

critical weight pressure points on the body of the marine mammals; and

 (3) Be capable of keeping the animals from thrashing about and causing 

injury to themselves or their attendants, and yet be adequately designed so as 

not to cause injury to the animals.

(c) Primary enclosures used to transport marine mammals must be large 

enough to assure that:

 (1) In the case of pinnipeds, polar bears, and sea otters, each animal 

has sufficient space to turn about freely in a stance whereby all four feet or 

flippers are on the floor and the animal can sit in an upright position and lie in 

a natural position;

 (2) In the case of cetaceans and sirenians, each animal has sufficient 

space for support of its body in slings, harnesses, or other supporting 

devices, if used (as prescribed in paragraph (b) of this section), without 

Animal Welfare Regulations, USDA § 3.113
224

PART 3

Subpart E

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 

of the same species and maintained in compatible groups. Marine mammals 

that have not reached puberty may not be transported in the same primary 

enclosure with adult marine mammals other than their dams. Socially 

dependent animals (e.g., sibling, dam, and other members of a family group) 

must be allowed visual and olfactory contact whenever reasonable. Female 

marine mammals may not be transported in the same primary enclosure with 

any mature male marine mammals.

(e) Primary enclosures used to transport marine mammals as provided in 

this section must have solid bottoms to prevent leakage in shipment and must 

be cleaned and sanitized in a manner prescribed in § 3.107 of this subpart, 

if previously used. Within the primary enclosures used to transport marine 

mammals, the animals will be maintained on sturdy, rigid, solid floors with 

adequate drainage.

(f) Primary enclosures used to transport marine mammals, except where 

such primary enclosures are permanently affixed in the animal cargo space of 

the primary conveyance, must be clearly marked on top (when present) and 

on at least one side, or on all sides whenever possible, with the words “Live 

Animal” or “Wild Animal” in letters not less than 2.5 centimeters (1 inch) 

in height, and with arrows or other markings to indicate the correct upright 

position of the container.

(g) Documents accompanying the shipment must be attached in an easily 

accessible manner to the outside of a primary enclosure that is part of such 

shipment or be in the possession of the shipping attendant.

(h) When a primary transport enclosure is permanently affixed within the 

animal cargo space of the primary conveyance so that the front opening is the 

only source of ventilation for such primary enclosure, the front opening must 

open directly to the outside or to an unobstructed aisle or passageway within 

the primary conveyance. Such front ventilation opening must be at least 90 

percent of the total surface area of the front wall of the primary enclosure and 

covered with bars, wire mesh, or smooth expanded metal.

[66 FR 255, Jan. 3, 2001]

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

(a) The animal cargo space of primary conveyances used in transporting 

live marine mammals must be constructed in a manner that will protect the 

§ 3.114 9 CFR AWR (1-1-16 Edition)
225

PART 3

Subpart E

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 

manner that will prevent the ingress of engine exhaust fumes and gases in 

excess of that ordinarily contained in the passenger compartments.

(c) Marine mammals must only be placed in animal cargo spaces that 

have a supply of air sufficient for each live animal contained within. Primary 

transport enclosures must be positioned in the animal cargo spaces of primary 

conveyances in such a manner that each marine mammal contained within 

will have access to sufficient air.

(d) Primary transport enclosures must be positioned in primary 

conveyances in such a manner that, in an emergency, the live marine 

mammals can be removed from the conveyances as soon as possible.

(e) The interiors of animal cargo spaces in primary conveyances must be 

kept clean.

(f) Live marine mammals must not knowingly be transported with any 

material, substance, or device that may be injurious to the health and wellbeing of the marine mammals unless proper precaution is taken to prevent 

such injury.

(g) Adequate lighting must be available for marine mammal attendants to 

properly inspect the animals at any time. If such lighting is not provided by 

the carrier, provisions must be made by the shipper to supply such lighting.

[66 FR 255, Jan. 3, 2001]

§ 3.115 - Food and drinking water requirements.

(a) Those marine mammals that require drinking water must be offered 

potable water within 4 hours of being placed in the primary transport 

enclosure for transport in commerce. Marine mammals must be provided 

water as often as necessary and appropriate for the species involved to 

prevent dehydration, which would jeopardize the good health and well-being 

of the animals.

(b) Marine mammals being transported in commerce must be offered 

food as often as necessary and appropriate for the species involved or as 

determined by the attending veterinarian.

[66 FR 256, Jan. 3, 2001]

Animal Welfare Regulations, USDA § 3.115
226

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§ 3.116 - Care in transit.

(a) A licensed veterinarian, employee, and/or attendant of the shipper 

or receiver of any marine mammal being transported, in commerce, 

knowledgeable and experienced in the area of marine mammal care 

and transport, must accompany all marine mammals during periods of 

transportation to provide for their good health and well-being, to observe 

such marine mammals to determine whether they need veterinary care, and 

to obtain any needed veterinary care as soon as possible. Any transport 

of greater than 2 hours duration requires a transport plan approved by the 

attending veterinarian that will include the specification of the necessity 

of the presence of a veterinarian during the transport. If the attending 

veterinarian does not accompany the animal, communication with the 

veterinarian must be maintained in accordance with § § 2.33(b)(3) and 

2.40(b)(3) of this chapter.

(b) The following marine mammals may be transported in commerce 

only when the transport of such marine mammals has been determined to be 

appropriate by the attending veterinarian:

 (1) A pregnant animal in the last half of pregnancy;

 (2) A dependent unweaned young animal;

 (3) A nursing mother with young; or

 (4) An animal with a medical condition requiring veterinary care, 

that would be compromised by transport. The attending veterinarian must 

note on the accompanying health certificate the existence of any of the 

above conditions. The attending veterinarian must also determine whether a 

veterinarian should accompany such marine mammals during transport.

(c) Carriers must inform the crew as to the presence of the marine 

mammals on board the craft, inform the individual accompanying the marine 

mammals of any unexpected delays as soon as they become known, and 

accommodate, except as precluded by safety considerations, requests by the 

shipper or his agent to provide access to the animals or take other necessary 

actions for the welfare of the animals if a delay occurs.

(d) A sufficient number of employees or attendants of the shipper or 

receiver of cetaceans or sirenians being transported, in commerce, must 

provide for such cetaceans and sirenians during periods of transport by:

 (1) Keeping the skin moist or preventing the drying of the skin by 

such methods as intermittent spraying of water or application of a nontoxic 

emollient;

 (2) Assuring that the pectoral flippers are allowed freedom of 

movement at all times;

 (3) Making adjustments in the position of the marine mammals when 

necessary to prevent necrosis of the skin at weight pressure points;

§ 3.116 9 CFR AWR (1-1-16 Edition)
227

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Subpart E

 (4) Keeping the animal cooled and/or warmed sufficiently to prevent 

overheating, hypothermia, or temperature related stress; and

 (5) Calming the marine mammals to avoid struggling, thrashing, and 

other unnecessary activity that may cause overheating or physical trauma.

(e) A sufficient number of employees or attendants of the shipper or 

receiver of pinnipeds or polar bears being transported, in commerce, must 

provide for such pinnipeds and polar bears during periods of transport by:

 (1) Keeping the animal cooled and/or warmed sufficiently to prevent 

overheating, hypothermia, or temperature related stress; and

 (2) Calming the marine mammals to avoid struggling, thrashing, and 

other unnecessary activity that may cause overheating or physical trauma.

(f) Sea otters must be transported in primary enclosures that contain false 

floors through which water and waste freely pass to keep the interior of the 

transport unit free from waste materials. Moisture must be provided by water 

sprayers or ice during transport.

(g) Marine mammals may be removed from their primary transport 

enclosures only by the attendants or other persons capable of handling such 

mammals safely.

[66 FR 256, Jan. 3, 2001]

§ 3.117 - Terminal facilities.

Carriers and intermediate handlers must not commingle marine mammal 

shipments with inanimate cargo. All animal holding areas of a terminal 

facility of any carrier or intermediate handler where marine mammal 

shipments are maintained must be cleaned and sanitized in a manner 

prescribed in § 3.107 of this subpart to minimize health and disease hazards. 

An effective program for the control of insects, ectoparasites, and avian 

and mammalian pests must be established and maintained for all animal 

holding areas. Any animal holding area containing marine mammals must 

be ventilated with fresh air or air circulated by means of fans, blowers, or 

an air conditioning system so as to minimize drafts, odors, and moisture 

condensation. Auxiliary ventilation, such as exhaust fans and vents or fans 

or blowers or air conditioning must be used for any animal holding area 

containing marine mammals when the air temperature within such animal 

holding area is 23.9 °C (75 °F) or higher. The air temperature around any 

marine mammal in any animal holding area must not be allowed to fall 

below 7.2 °C (45 °F). The air temperature around any polar bear must not 

be allowed to exceed 29.5 °C (85 °F) at any time and no polar bear may be 

subjected to surrounding air temperatures that exceed 23.9 °C (75 °F) for 

more than 4 hours at any time. The ambient temperature must be measured 

in the animal holding area upon arrival of the shipment by the attendant, 

Animal Welfare Regulations, USDA § 3.117
228

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Subpart E

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 

the animal holding area of the terminal facility to the primary conveyance 

or from the primary conveyance to the animal holding area of the terminal 

facility must provide the following:

 (1) Movement of animals as expeditiously as possible.

 (2) Shelter from overheating and direct sunlight. When sunlight is 

likely to cause overheating, sunburn, or discomfort, 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. Marine mammals must be provided 

with species appropriate protection against cold weather, and such marine 

mammals must not be subjected to surrounding air temperatures that fall 

below 7.2 °C (45 °F) unless accompanied by an acclimation 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.

(b) Care must be exercised to avoid handling of the primary transport 

enclosure in a manner that may cause physical harm or distress to the marine 

mammal contained within.

(c) Enclosures used to transport any marine mammal must not be tossed, 

dropped, or needlessly tilted and must not be stacked unless properly secured.

[66 FR 257, Jan. 3, 2001]

§ 3.118 9 CFR AWR (1-1-16 Edition)
229

PART 3

Subpart F

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. The facility must be constructed of such material 

and of such strength as appropriate for the animals involved. The indoor and 

outdoor housing facilities shall be structurally sound and shall be maintained 

in good repair to protect the animals from injury and to contain the animals.

(b) Water and power. Reliable and adequate electric power, if required 

to comply with other provisions of this subpart, and adequate potable water 

shall be available on the premises.

(c) Storage. Supplies of food and bedding shall be stored in facilities 

which adequately protect such supplies against deterioration, molding, or 

contamination by vermin. Refrigeration shall be provided for supplies of 

perishable food.

(d) Waste disposal. Provision shall be made for the removal and disposal 

of animal and food wastes, bedding, dead animals, trash and debris. Disposal 

facilities shall be so provided and operated as to minimize vermin infestation, 

odors, and disease hazards. The disposal facilities and any disposal of animal 

and food wastes, bedding, dead animals, trash, and debris shall comply with 

applicable Federal, State, and local laws and regulations relating to pollution 

control or the protection of the environment.

(e) Washroom and sinks. Facilities, such as washrooms, basins, showers, 

or sinks, shall be provided to maintain cleanliness among animal caretakers.

[36 FR 24925, Dec. 24, 1971. Redesignated at 44 FR 36874, June 22, 1979, 

and amended at 44 FR 63492, Nov. 2, 1979]

§ 3.126 - Facilities, indoor.

(a) Ambient temperatures. Temperature in indoor housing facilities shall 

be sufficiently regulated by heating or cooling to protect the animals from 

the extremes of temperature, to provide for their health and to prevent their 

discomfort. The ambient temperature shall not be allowed to fall below 

nor rise above temperatures compatible with the health and comfort of the 

animal.

Animal Welfare Regulations, USDA § 3.126
230

PART 3

Subpart F

(b) Ventilation. Indoor housing facilities shall be adequately ventilated 

by natural or mechanical means to provide for the health and to prevent 

discomfort of the animals at all times. Such facilities shall be provided with 

fresh air either by means of windows, doors, vents, fans, or air-conditioning 

and shall be ventilated so as to minimize drafts, odors, and moisture 

condensation.

(c) Lighting. Indoor housing facilities shall have ample lighting, by 

natural or artificial means, or both, of good quality, distribution, and duration 

as appropriate for the species involved. Such lighting shall be uniformly 

distributed and of sufficient intensity to permit routine inspection and 

cleaning. Lighting of primary enclosures shall be designed to protect the 

animals from excessive illumination.

(d) Drainage. A suitable sanitary method shall be provided to eliminate 

rapidly, excess water from indoor housing facilities. If drains are used, they 

shall be properly constructed and kept in good repair to avoid foul odors and 

installed so as to prevent any backup of sewage. The method of drainage shall 

comply with applicable Federal, State, and local laws and regulations relating 

to pollution control or the protection of the environment.

§ 3.127 - Facilities, outdoor.

(a) Shelter from sunlight. When sunlight is likely to cause overheating or 

discomfort of the animals, sufficient shade by natural or artificial means shall 

be provided to allow all animals kept outdoors to protect themselves from 

direct sunlight.

(b) Shelter from inclement weather. Natural or artificial shelter 

appropriate to the local climatic conditions for the species concerned shall 

be provided for all animals kept outdoors to afford them protection and to 

prevent discomfort to such animals. Individual animals shall be acclimated 

before they are exposed to the extremes of the individual climate.

(c) Drainage. A suitable method shall be provided to rapidly eliminate 

excess water. The method of drainage shall comply with applicable Federal, 

State, and local laws and regulations relating to pollution control or the 

protection of the environment.

(d) Perimeter fence. On or after May 17, 2000, all outdoor housing 

facilities (i.e., facilities not entirely indoors) must be enclosed by a perimeter 

fence that is of sufficient height to keep animals and unauthorized persons 

out. Fences less than 8 feet high for potentially dangerous animals, such as, 

but not limited to, large felines (e.g., lions, tigers, leopards, cougars, etc.), 

bears, wolves, rhinoceros, and elephants, or less than 6 feet high for other 

animals must be approved in writing by the Administrator. The fence must 

be constructed so that it protects the animals in the facility by restricting 

animals and unauthorized persons from going through it or under it and 

§ 3.127 9 CFR AWR (1-1-16 Edition)
231

PART 3

Subpart F

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 

sturdy, durable material, which may include certain types of concrete, wood, 

plastic, metal, or glass, and are high enough and constructed in a manner that 

restricts entry by animals and unauthorized persons and the Administrator 

gives written approval; or

 (2) Where the outdoor housing facility is protected by an effective 

natural barrier that restricts the animals to the facility and restricts entry 

by animals and unauthorized persons and the Administrator gives written 

approval; or

 (3) Where appropriate alternative security measures are employed and 

the Administrator gives written approval; or

 (4) For traveling facilities where appropriate alternative security 

measures are employed; or

 (5) Where the outdoor housing facility houses only farm animals, 

such as, but not limited to, cows, sheep, goats, pigs, horses (for regulated 

purposes), or donkeys, and the facility has in place effective and customary 

containment and security measures.

[36 FR 24925, Dec. 24, 1971. Redesignated at 44 FR 36874, July 22, 1979, 

as amended at 64 FR 56147, Oct. 18, 1999; 65 FR 70770, Nov. 28, 2000]

§ 3.128 - Space requirements.

Enclosures shall be constructed and maintained so as to provide sufficient 

space to allow each animal to make normal postural and social adjustments 

with adequate freedom of movement. Inadequate space may be indicated 

by evidence of malnutrition, poor condition, debility, stress, or abnormal 

behavior patterns.

ANIMAL HEALTH AND HUSBANDRY STANDARDS

§ 3.129 - Feeding.

(a) The food shall be wholesome, palatable, and free from contamination 

and of sufficient quantity and nutritive value to maintain all animals in good 

health. The diet shall be prepared with consideration for the age, species, 

condition, size, and type of the animal. Animals shall be fed at least once a 

Animal Welfare Regulations, USDA § 3.129
232

PART 3

Subpart F

day except as dictated by hibernation, veterinary treatment, normal fasts, or 

other professionally accepted practices.

(b) Food, and food receptacles, if used, shall be sufficient in quantity and 

located so as to be accessible to all animals in the enclosure and shall be 

placed so as to minimize contamination. Food receptacles shall be kept clean 

and sanitary at all times. If self-feeders are used, adequate measures shall be 

taken to prevent molding, contamination, and deterioration or caking of food.

§ 3.130 - Watering.

If potable water is not accessible to the animals at all times, it must be 

provided as often as necessary for the health and comfort of the animal. 

Frequency of watering shall consider age, species, condition, size, and type of 

the animal. All water receptacles shall be kept clean and sanitary.

§ 3.131 - Sanitation.

(a) Cleaning of enclosures. Excreta shall be removed from primary 

enclosures as often as necessary to prevent contamination of the animals 

contained therein and to minimize disease hazards and to reduce odors. When 

enclosures are cleaned by hosing or flushing, adequate measures shall be 

taken to protect the animals confined in such enclosures from being directly 

sprayed with the stream of water or wetted involuntarily.

(b) Sanitation of enclosures. Subsequent to the presence of an animal 

with an infectious or transmissible disease, cages, rooms, and hard-surfaced 

pens or runs shall be sanitized either by washing them with hot water (180 F. 

at source) and soap or detergent, as in a mechanical washer, or by washing 

all soiled surfaces with a detergent solution followed by a safe and effective 

disinfectant, or by cleaning all soiled surfaces with saturated live steam under 

pressure. Pens or runs using gravel, sand, or dirt, shall be sanitized when 

necessary as directed by the attending veterinarian.

(c) Housekeeping. Premises (buildings and grounds) shall be kept clean 

and in good repair in order to protect the animals from injury and to facilitate 

the prescribed husbandry practices set forth in this subpart. Accumulations of 

trash shall be placed in designated areas and cleared as necessary to protect 

the health of the animals.

(d) Pest control. A safe and effective program for the control of insects, 

ectoparasites, and avian and mammalian pests shall be established and 

maintained.

§ 3.132 - Employees.

A sufficient number of adequately trained employees shall be utilized 

to maintain the professionally acceptable level of husbandry practices set 

§ 3.130 9 CFR AWR (1-1-16 Edition)
233

PART 3

Subpart F

forth in this subpart. Such practices shall be under a supervisor who has a 

background in animal care.

§ 3.133 - Separation.

Animals housed in the same primary enclosure must be compatible. 

Animals shall not be housed near animals that interfere with their health or 

cause them discomfort.

§§ 3.134-3.135 - [Reserved]

TRANSPORTATION STANDARDS

Source: Sections 3.136 through 3.142 appear at 42 FR 31569, June 21, 1977, 

unless otherwise noted. Redesignated at 44 FR 36874, July 22, 1979. 

§ 3.136 - Consignments to carriers and intermediate handlers.

(a) Carriers and intermediate handlers shall not accept any live animals 

presented by any dealer, research facility, exhibitor, operator of an auction 

sale, or other person, or any department, agency, or instrumentality of the 

United States or any State or local government for shipment, in commerce, 

more than 4 hours prior to the scheduled departure of the primary conveyance 

on which it is to be transported: Provided, however, That the carrier or 

intermediate handler and any dealer, research facility, exhibitor, operator of 

an auction sale, or other person, or any department, agency, or instrumentality 

of the United States or any State or local government may mutually agree 

to extend the time of acceptance to not more than 6 hours if specific prior 

scheduling of the animal shipment to destination has been made.

(b) Any carrier or intermediate handler shall only accept for transportation 

or transport, in commerce, any live animal in a primary enclosure which 

conforms to the requirements set forth in § 3.137 of the standards: 

Provided, however, That any carrier or intermediate handler may accept for 

transportation or transport, in commerce, any live animal consigned by any 

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

animal facilities or exhibiting animals or any licensed or registered dealer, 

research facility, exhibitor, or operator of an auction sale if the consignor 

furnishes to the carrier or intermediate handler a certificate, signed by the 

consignor, stating that the primary enclosure complies with § 3.137 of the 

standards, unless such primary enclosure is obviously defective or damaged 

and it is apparent that it cannot reasonably be expected to contain the live 

animal without causing suffering or injury to such live animal. A copy of such 

Animal Welfare Regulations, USDA § 3.136
234

PART 3

Subpart F

certificate shall accompany the shipment to destination. The certificate shall 

include at least the following information:

 (1) Name and address of the consignor;

 (2) The number of animals in the primary enclosure(s);

 (3) A certifying statement (e.g., “I hereby certify that the __ (number) 

primary enclosure(s) which are used to transport the animal(s) in this 

shipment complies (comply) with USDA standards for primary enclosures (9 

CFR part 3).”); and

 (4) The signature of the consignor, and date.

(c) Carriers or intermediate handlers whose facilities fail to meet the 

minimum temperature allowed by the standards may accept for transportation 

or transport, in commerce, any live animal consigned by any department, 

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

government, or by any person (including any licensee or registrant under the 

Act, as well as any private individual) if the consignor furnishes to the carrier 

or intermediate handler a certificate executed by a veterinarian accredited 

by this Department pursuant to part 160 of this title on a specified date 

which shall not be more than 10 days prior to delivery of such animal for 

transportation in commerce, stating that such live animal is acclimated to air 

temperatures lower than those prescribed in §§ 3.141 and 3.142. A copy of 

such certificate shall accompany the shipment to destination. The certificate 

shall include at least the following information:

 (1) Name and address of the consignor;

 (2) The number of animals in the shipment;

 (3) A certifying statement (e.g., “I hereby certify that the animal(s) 

in this shipment is (are), to the best of my knowledge, acclimated to air 

temperatures lower than 7.2 °C. (45 °F.)”); and

 (4) The signature of the USDA accredited veterinarian, assigned 

accreditation number, and date.

(d) Carriers and intermediate handlers shall attempt to notify the consignee 

at least once in every 6 hour period following the arrival of any live animals 

at the animal holding area of the terminal cargo facility. The time, date, 

and method of each attempted notification and the final notification to the 

consignee and the name of the person notifying the consignee shall be 

recorded on the copy of the shipping document retained by the carrier or 

intermediate handler and on a copy of the shipping document accompanying 

the animal shipment.

[42 FR 31569, June 21, 1977, as amended at 43 FR 21166, May 16, 1978. 

Redesignated at 44 FR 36874, July 22, 1979, and amended at 44 FR 63493, 

Nov. 2, 1979]

§ 3.136 9 CFR AWR (1-1-16 Edition)
235

PART 3

Subpart F

§ 3.137 - Primary enclosures used to transport live animals.

No dealer, research facility, exhibitor, or operator of an auction sale 

shall offer for transportation or transport, in commerce, any live animal in a 

primary enclosure which does not conform to the following requirements:

(a) Primary enclosures, such as compartments, transport cages, cartons, or 

crates, used to transport live animals shall be constructed in such a manner 

that (1) the structural strength of the enclosure shall be sufficient to contain 

the live animals and to withstand the normal rigors of transportation; (2)

the interior of the enclosure shall be free from any protrusions that could 

be injurious to the live animals contained therein; (3) the openings of such 

enclosures are easily accessible at all times for emergency removal of the 

live animals; (4) except as provided in paragraph (g) of this section, there are 

ventilation openings located on two opposite walls of the primary enclosure 

and the ventilation openings on each such wall shall be at least 16 percent 

of the total surface area of each such wall, or there are ventilation openings 

located on all four walls of the primary enclosure and the ventilation 

openings on each such wall shall be at least 8 percent of the total surface 

area of each such wall: Provided, however, That at least one-third of the total 

minimum area required for ventilation of the primary enclosure shall be 

located on the lower one-half of the primary enclosure and at least one-third 

of the total minimum area required for ventilation of the primary enclosure 

shall be located on the upper one-half of the primary enclosure; (5) except 

as provided in paragraph (g) of this section, projecting rims or other devices 

shall be on the exterior of the outside walls with any ventilation openings to 

prevent obstruction of the ventilation openings and to provide a minimum air 

circulation space of 1.9 centimeters (.75 inch) between the primary enclosure 

and any adjacent cargo or conveyance wall; and (6) except as provided in 

paragraph (g) of this section, adequate handholds or other devices for lifting 

shall be provided on the exterior of the primary enclosure to enable the 

primary enclosure to be lifted without tilting and to ensure that the person 

handling the primary enclosure will not be in contact with the animal.

(b) Live animals transported in the same primary enclosure shall be of the 

same species and maintained in compatible groups. Live animals that have 

not reached puberty shall not be transported in the same primary enclosure 

with adult animals other than their dams. Socially dependent animals (e.g., 

sibling, dam, and other members of a family group) must be allowed visual 

and olfactory contact. Any female animal in season (estrus) shall not be 

transported in the same primary enclosure with any male animal.

(c) Primary enclosures used to transport live animals shall be large enough 

to ensure that each animal contained therein has sufficient space to turn 

about freely and to make normal postural adjustments: Provided, however,

That certain species may be restricted in their movements according to 

Animal Welfare Regulations, USDA § 3.137
236

PART 3

Subpart F

professionally acceptable standards when such freedom of movement would 

constitute a danger to the animals, their handlers, or other persons.

(d) Primary enclosures used to transport live animals as provided in this 

section shall have solid bottoms to prevent leakage in shipment and still be 

cleaned and sanitized in a manner prescribed in § 3.131 of the standards, 

if previously used. Such primary enclosures shall contain clean litter of a 

suitable absorbent material, which is safe and nontoxic to the live animals 

contained therein, in sufficient quantity to absorb and cover excreta, unless 

the animals are on wire or other nonsolid floors.

(e) Primary enclosures used to transport live animals, except where such 

primary enclosures are permanently affixed in the animal cargo space of the 

primary conveyance, shall be clearly marked on top and on one or more sides 

with the words “Live Animal” or “Wild Animal”, whichever is appropriate, 

in letters not less than 2.5 centimeters (1 inch) in height, and with arrows or 

other markings to indicate the correct upright position of the container.

(f) Documents accompanying the shipment shall be attached in an easily 

accessible manner to the outside of a primary enclosure which is part of such 

shipment.

(g) When a primary enclosure is permanently affixed within the animal 

cargo space of the primary conveyance so that the front opening is the only 

source of ventilation for such primary enclosure, the front opening shall 

open directly to the outside or to an unobstructed aisle or passageway within 

the primary conveyance. Such front ventilation opening shall be at least 90 

percent of the total surface area of the front wall of the primary enclosure and 

covered with bars, wire mesh or smooth expanded metal.

[42 FR 31569, June 21, 1977, as amended at 43 FR 21166, May 16, 1978. 

Redesignated at 44 FR 36874, July 22, 1979]

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

(a) The animal cargo space of primary conveyances used in transporting 

live animals shall be designed and constructed to protect the health, and 

ensure the safety and comfort of the live animals contained therein at all 

times.

(b) The animal cargo space shall be constructed and maintained in a 

manner to prevent the ingress of engine exhaust fumes and gases from the 

primary conveyance during transportation in commerce.

(c) No live animal shall be placed in an animal cargo space that does 

not have a supply of air sufficient for normal breathing for each live animal 

contained therein, and the primary enclosures shall be positioned in the 

animal cargo space in such a manner that each live animal has access to 

sufficient air for normal breathing.

§ 3.138 9 CFR AWR (1-1-16 Edition)
237

PART 3

Subpart F

(d) Primary enclosures shall be positioned in the primary conveyance in 

such a manner that in an emergency the live animals can be removed from the 

primary conveyance as soon as possible.

(e) The interior of the animal cargo space shall be kept clean.

(f) Live animals shall not be transported with any material, substance 

(e.g., dry ice) or device which may reasonably be expected to be injurious to 

the health and well-being of the animals unless proper precaution is taken to 

prevent such injury.

§ 3.139 - Food and water requirements.

(a) All live animals shall be offered potable water within 4 hours prior 

to being transported in commerce. Dealers, exhibitors, research facilities 

and operators of auction sales shall provide potable water to all live animals 

transported in their own primary conveyance at least every 12 hours after 

such transportation is initiated, and carriers and intermediate handlers 

shall provide potable water to all live animals at least every 12 hours after 

acceptance for transportation in commerce: Provided, however, That except 

as directed by hibernation, veterinary treatment or other professionally 

accepted practices, those live animals which, by common accepted practices, 

require watering more frequently shall be so watered.

(b) Each live animal shall be fed at least once in each 24 hour period, 

except as directed by hibernation, veterinary treatment, normal fasts, or other 

professionally accepted practices. Those live animals which, by common 

accepted practice, require feeding more frequently shall be so fed.

(c) A sufficient quantity of food and water shall accompany the live animal 

to provide food and water for such animals for a period of at least 24 hours, 

except as directed by hibernation, veterinary treatment, normal fasts, and 

other professionally accepted practices.

(d) Any dealer, research facility, exhibitor or operator of an auction 

sale offering any live animal to any carrier or intermediate handler for 

transportation in commerce shall affix to the outside of the primary enclosure 

used for transporting such live animal, written instructions concerning the 

food and water requirements of such animal while being so transported.

(e) No carrier or intermediate handler shall accept any live animals for 

transportation in commerce unless written instructions concerning the food 

and water requirements of such animal while being so transported is affixed 

to the outside of its primary enclosure.

§ 3.140 - Care in transit.

(a) During surface transportation, it shall be the responsibility of the 

driver or other employee to visually observe the live animals as frequently 

as circumstances may dictate, but not less than once every 4 hours, to assure 

Animal Welfare Regulations, USDA § 3.140
238

PART 3

Subpart F

that they are receiving sufficient air for normal breathing, their ambient 

temperatures are within the prescribed limits, all other applicable standards 

are being complied with and to determine whether any of the live animals 

are in obvious physical distress and to provide any needed veterinary care 

as soon as possible. When transported by air, live animals shall be visually 

observed by the carrier as frequently as circumstances may dictate, but not 

less than once every 4 hours, if the animal cargo space is accessible during 

flight. If the animal cargo space is not accessible during flight, the carrier 

shall visually observe the live animals whenever loaded and unloaded and 

whenever the animal cargo space is otherwise accessible to assure that they 

are receiving sufficient air for normal breathing, their ambient temperatures 

are within the prescribed limits, all other applicable standards are being 

complied with and to determine whether any such live animals are in obvious 

physical distress. The carrier shall provide any needed veterinary care as soon 

as possible. No animal in obvious physical distress shall be transported in 

commerce.

(b) Wild or otherwise dangerous animals shall not be taken from their 

primary enclosure except under extreme emergency conditions: Provided, 

however, That a temporary primary enclosure may be used, if available, and 

such temporary primary enclosure is structurally strong enough to prevent the 

escape of the animal. During the course of transportation, in commerce, live 

animals shall not be removed from their primary enclosures unless placed 

in other primary enclosures or facilities conforming to the requirements 

provided in this subpart.

§ 3.141 - Terminal facilities.

Carriers and intermediate handlers shall not commingle live animal 

shipments with inanimate cargo. All animal holding areas of a terminal 

facility of any carrier or intermediate handler wherein live animal shipments 

are maintained shall be cleaned and sanitized in a manner prescribed in § 

3.141 of the standards often enough to prevent an accumulation of debris 

or excreta, to minimize vermin infestation and to prevent a disease hazard. 

An effective program for the control of insects, ectoparasites, and avian and 

mammalian pests shall be established and maintained for all animal holding 

areas. Any animal holding area containing live animals shall be provided with 

fresh air by means of windows, doors vents, or air conditioning and may be 

ventilated or air circulated by means of fans, blowers, or an air conditioning 

system so as to minimize drafts, odors, and moisture condensation. 

Auxiliary ventilation, such as exhaust fans and vents or fans or blowers or 

air conditioning shall be used for any animal holding area containing live 

animals when the air temperature within such animal holding area is 23.9 

°C. (75.°F.) or higher. The air temperature around any live animal in any 

§ 3.141 9 CFR AWR (1-1-16 Edition)
239

PART 3

Subpart F

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 

animal holding area of the terminal facility to the primary conveyance and 

from the primary conveyance to the animal holding area of the terminal 

facility as expeditiously as possible. Carriers and intermediate handlers 

holding any live animal in an animal holding area of a terminal facility or 

in transporting any live animal from the animal holding area of the terminal 

facility to the primary conveyance and from the primary conveyance to the 

animal holding area of the terminal facility, including loading and unloading 

procedures, shall provide the following:

 (1) Shelter from sunlight. When sunlight is likely to cause overheating 

or discomfort, sufficient shade shall be provided to protect the live animals 

from the direct rays of the sun and such live animals shall not be subjected to 

surrounding air temperatures which exceed 29.5 °C. (85 °F), and which shall 

be measured and read in the manner prescribed in § 3.141 of this part, for a 

period of more than 45 minutes.

 (2) Shelter from rain or snow. Live animals shall be provided 

protection to allow them to remain dry during rain or snow.

 (3) Shelter from cold weather. Transporting devices shall be covered 

to provide protection for live animals when the outdoor air temperature 

falls below 10 °C. (50 °F) and such live animals shall not be subjected to 

surrounding air temperatures which fall below 7.2 °C. (45 °F.), and which 

shall be measured and read in the manner prescribed in § 3.141 of this part, 

for a period of more than 45 minutes unless such animals are accompanied by 

a certificate of acclimation to lower temperatures as prescribed in § 3.136(c).

(b) Care shall be exercised to avoid handling of the primary enclosure in 

such a manner that may cause physical or emotional trauma to the live animal 

contained therein.

Animal Welfare Regulations, USDA § 3.142
240

PART 3

Subpart F

(c) Primary enclosures used to transport any live animal shall not be 

tossed, dropped, or needlessly tilted and shall not be stacked in a manner 

which may reasonably be expected to result in their falling.

[43 FR 21167, May 16, 1978, as amended at 43 FR 56217, Dec. 1, 1978. 

Redesignated at 44 FR 36874, July 22, 1979]

§ 3.142 9 CFR AWR (1-1-16 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 

promulgated in subpart H of part 1, subtitle A, title 7, Code of Federal 

Regulations, are the Rules of Practice applicable to adjudicatory, 

administrative proceedings under section 19 of the Animal Welfare Act (7 

U.S.C. 2149). In addition, the Supplemental Rules of Practice set forth in 

subpart B of this part shall be applicable to such proceedings.

Subpart B – Supplemental Rules of Practice

§ 4.10 - Summary action.

(a) In any situation where the Administrator has reason to believe that 

any person licensed under the Act has violated or is violating any provision 

of the Act, or the regulations or standards issued thereunder, and he deems 

it warranted under the circumstances, the Administrator may suspend such 

person’s license temporarily, for a period not to exceed 21 days, effective, 

except as provided in § 4.10(b), upon written notification given to such 

person of the suspension of his license pursuant to § 1.147(b) of the Uniform 

Rules of Practice (7 CFR 1.147(b)).

(b) In any case of actual or threatened physical harm to animals in 

violation of the Act, or the regulations or standards issued thereunder, by a 

person licensed under the Act, the Administrator may suspend such person’s 

license temporarily, for a period not to exceed 21 days, effective upon oral 

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 

sanction which may be imposed against said person by the Secretary pursuant 

to the Act after notice and opportunity for hearing.

§ 4.11 - Stipulations.

(a) At any time prior to the issuance of a complaint seeking a civil penalty 

under the Act, the Administrator, in his discretion, may enter into a stipulation 

with any person in which:

 (1) The Administrator gives notice of an apparent violation of the Act, 

or the regulations or standards issued thereunder, by such person and affords 

such person an opportunity for a hearing regarding the matter as provided by 

the Act;

 (2) Such person expressly waives hearing and agrees to pay a specified 

penalty within a designated time; and

 (3) The Administrator agrees to accept the specified penalty in 

settlement of the particular matter involved if it is paid within the designated 

time.

(b) If the specified penalty is not paid within the time designated in such 

a stipulation, the amount of the stipulated penalty shall not be relevant in any 

respect to the penalty which may be assessed after issuance of a complaint. 

§ 4.11 9 CFR AWR (1-1-16 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