United States Department of Agriculture 

Animal Welfare Act

and

Animal Welfare Regulations

November 2013
Table of Contents

ANIMAL WELFARE ACT

Section Page

§ 2131 Congressional statement of policy ...................................................................... 1

§ 2132 Definitions ............................................................................................................1

§ 2133 Licensing of dealers and exhibitors.......................................................................2

§ 2134 Valid license for dealers and exhibitors required .................................................3

§ 2135 Time period for disposal of dogs or cats by dealers or exhibitors ........................3

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

 exhibitors .............................................................................................................3

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

 authorized operators of auction sales and licensed dealers or exhibitors .............3

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

except from authorized operators of auction sales and licensed dealers 

 or exhibitors .........................................................................................................3

§ 2139 Principal-agent relationship established ...............................................................3

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

 handlers, and carriers ...........................................................................................3

§ 2141 Marking and identification of animals .................................................................4

§ 2142 Humane standards and recordkeeping requirements at auction sales ...................4

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

 and transportation of animals ...............................................................................4

§ 2144 Humane standards for animals by United States Government facilities ..............8

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

 bodies by Secretary of Agriculture ......................................................................8

§ 2146 Administration and enforcement by Secretary .....................................................8

§ 2147 Inspection by legally constituted law enforcement agencies ................................9

§ 2148 Importation of live dogs .......................................................................................9

§ 2149 Violations by licensees .......................................................................................10

§ 2150 [Repealed] ..........................................................................................................11

§ 2151 Rules and regulations ........................................................................................11

§ 2152 Separability ........................................................................................................11

§ 2153 Fees and authorization of appropriations ...........................................................11

§ 2154 Effective dates ...................................................................................................11

§ 2155 [Omitted] ............................................................................................................12

§ 2156 Animal fighting venture prohibition ...................................................................12

§ 2157 Release of trade secrets ......................................................................................13

§ 2158 Protection of pets ................................................................................................14

§ 2159 Authority to apply for injunctions ......................................................................15
ANIMAL WELFARE REGULATIONS

PART 1 – DEFINITION OF TERMS

Section Page

§ 1.1 Definitions ............................................................................................................17

PART 2 – REGULATIONS

Subpart A – Licensing

§ 2.1 Requirements and application .............................................................................24

§ 2.2 Acknowledgement of regulations and standards .................................................25

§ 2.3 Demonstration of compliance with standards and regulations ............................26

§ 2.4 Non-interference with APHIS officials ...............................................................26

§ 2.5 Duration of license and termination of license ....................................................26

§ 2.6 Annual license fees .............................................................................................27

§ 2.7 Annual report by licensees ..................................................................................28

§ 2.8 Notification of change of name, address, control, or ownership of business ......29

§ 2.9 Officers, agents, and employees of licensees whose licenses have been 

 suspended or revoked ..........................................................................................29

§ 2.10 Licensees whose licenses have been suspended or revoked ...............................29

§ 2.11 Denial of initial license application ....................................................................29

§ 2.12 Termination of a license ......................................................................................30

Subpart B – Registration

§ 2.25 Requirements and procedures .............................................................................30

§ 2.26 Acknowledgment of regulations and standards ..................................................30

§ 2.27 Notification of change of operation ....................................................................30

Subpart C – Research Facilities

§ 2.30 Registration .........................................................................................................31

§ 2.31 Institutional Animal Care and Use Committee (IACUC) ...................................32

§ 2.32 Personnel qualifications ......................................................................................35

§ 2.33 Attending veterinarian and adequate veterinary care ..........................................36

§ 2.34 [Reserved] ...........................................................................................................36

§ 2.35 Recordkeeping requirements ...............................................................................36

§ 2.36 Annual report ......................................................................................................38

§ 2.37 Federal research facilities ....................................................................................38

§ 2.38 Miscellaneous .....................................................................................................38
Subpart D – Attending Veterinarian and Adequate Veterinary Care

§ 2.40 Attending veterinarian and adequate veterinary care (dealers and exhibitors) ....42

Subpart E – Identification of Animals

§ 2.50 Time and method of identification ......................................................................43

§ 2.51 Form of official tag .............................................................................................45

§ 2.52 How to obtain tags ..............................................................................................45

§ 2.53 Use of tags ..........................................................................................................45

§ 2.54 Lost tags ..............................................................................................................45

§ 2.55 Removal and disposal of tags ..............................................................................45

Subpart F – Stolen Animals

§ 2.60 Prohibition on the purchase, sale, use, or transportation of stolen animals .........45

Subpart G – Records

§ 2.75 Records: Dealers and exhibitors ..........................................................................46

§ 2.76 Records: Operators of auction sales and brokers ................................................47

§ 2.77 Records: Carriers and intermediate handlers .......................................................48

§ 2.78 Health certification and identification .................................................................48

§ 2.79 C.O.D. shipments ................................................................................................49

§ 2.80 Records, disposition ............................................................................................49

Subpart H – Compliance With Standards and Holding Period

§ 2.100 Compliance with standards ...............................................................................50

§ 2.101 Holding period ..................................................................................................50

§ 2.102 Holding facility .................................................................................................50

Subpart I – Miscellaneous

§ 2.125 Information as to business; furnishing of same by dealers, exhibitors, 

 operators of auction sales, intermediate handlers, and carriers .........................51

§ 2.126 Access and inspection of records and property; submission of itineraries ........51

§ 2.127 Publication of names of persons subject to the provisions of this part ..............52

§ 2.128 Inspection for missing animals ..........................................................................52

§ 2.129 Confiscation and destruction of animals ...........................................................52

§ 2.130 Minimum age requirements ..............................................................................53

§ 2.131 Handling of animals ..........................................................................................53

§ 2.132 Procurement of dogs, cats, and other animals; dealers ......................................54

§ 2.133 Certification for random source dogs and cats ..................................................54

§ 2.134 Contingency planning .......................................................................................56
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 .....................................................................................60

§ 3.2 Indoor housing facilities ........................................................................................61

§ 3.3 Sheltered housing facilities ...................................................................................62

§ 3.4 Outdoor housing facilities .....................................................................................62

§ 3.5 Mobile or traveling housing facilities ...................................................................63

§ 3.6 Primary enclosures ................................................................................................64

ANIMAL HEALTH AND HUSBANDRY STANDARDS

§ 3.7 Compatible grouping ...........................................................................................66

§ 3.8 Exercise for dogs .................................................................................................66

§ 3.9 Feeding ................................................................................................................67

§ 3.10 Watering ..............................................................................................................67

§ 3.11 Cleaning, sanitization, housekeeping, and pest control .......................................68

§ 3.12 Employees ...........................................................................................................68

TRANSPORTATION STANDARDS

§ 3.13 Consignments to carriers and intermediate handlers ...........................................69

§ 3.14 Primary enclosures used to transport live dogs and cats .....................................70

§ 3.15 Primary conveyances (motor vehicle, rail, air, and marine) ................................72

§ 3.16 Food and water requirements ..............................................................................73

§ 3.17 Care in transit ......................................................................................................73

§ 3.18 Terminal facilities ...............................................................................................74

§ 3.19 Handling ..............................................................................................................75

Subpart B – Specifications for the Humane Handling, Care, Treatment, and 

Transportation of Guinea Pigs and Hamsters

FACILITIES AND OPERATING STANDARDS

§ 3.25 Facilities, general ................................................................................................75

§ 3.26 Facilities, indoor .................................................................................................76

§ 3.27 Facilities, outdoor ...............................................................................................76

§ 3.28 Primary enclosures ..............................................................................................76
ANIMAL HEALTH AND HUSBANDRY STANDARDS

§ 3.29 Feeding ................................................................................................................79

§ 3.30 Watering ..............................................................................................................79

§ 3.31 Sanitation ............................................................................................................79

§ 3.32 Employees ...........................................................................................................79

§ 3.33 Classification and separation ...............................................................................80

§ 3.34 [Reserved] ...........................................................................................................80

TRANSPORTATION STANDARDS

§ 3.35 Consignments to carriers and intermediate handlers ...........................................80

§ 3.36 Primary enclosures used to transport live guinea pigs and hamsters ..................81

§ 3.37 Primary conveyances (motor vehicle, rail, air, and marine) ................................83

§ 3.38 Food and water requirements ..............................................................................83

§ 3.39 Care in transit ......................................................................................................84

§ 3.40 Terminal facilities ...............................................................................................84

§ 3.41 Handling ..............................................................................................................84

Subpart C – Specifications for the Humane Handling, Care, Treatment and 

Transportation of Rabbits

FACILITIES AND OPERATING STANDARDS

§ 3.50 Facilities, general ................................................................................................85

§ 3.51 Facilities, indoor .................................................................................................85

§ 3.52 Facilities, outdoor ...............................................................................................86

§ 3.53 Primary enclosures ..............................................................................................86

ANIMAL HEALTH AND HUSBANDRY STANDARDS

§ 3.54 Feeding ................................................................................................................87

§ 3.55 Watering ..............................................................................................................87

§ 3.56 Sanitation ............................................................................................................87

§ 3.57 Employees ...........................................................................................................88

§ 3.58 Classification and separation ...............................................................................88

§ 3.59 [Reserved] ...........................................................................................................88

TRANSPORTATION STANDARDS

§ 3.60 Consignments to carriers and intermediate handlers ...........................................88

§ 3.61 Primary enclosures used to transport live rabbits ................................................89

§ 3.62 Primary conveyances (motor vehicle, rail, air, and marine) ................................90

§ 3.63 Food and water requirements ..............................................................................91

§ 3.64 Care in transit ......................................................................................................91

§ 3.65 Terminal facilities ...............................................................................................92

§ 3.66 Handling ..............................................................................................................92
Subpart D – Specifications for the Humane Handling, Care, Treatment, and 

Transportation of Nonhuman Primates

FACILITIES AND OPERATING STANDARDS

§ 3.75 Housing facilities, general ...................................................................................93

§ 3.76 Indoor housing facilities ......................................................................................94

§ 3.77 Sheltered housing facilities .................................................................................95

§ 3.78 Outdoor housing facilities ...................................................................................96

§ 3.79 Mobile or traveling housing facilities .................................................................97

§ 3.80 Primary enclosures ..............................................................................................98

§ 3.81 Environment enhancement to promote psychological well-being ....................100

ANIMAL HEALTH AND HUSBANDRY STANDARDS

§ 3.82 Feeding ..............................................................................................................102

§ 3.83 Watering ............................................................................................................102

§ 3.84 Cleaning, sanitization, housekeeping, and pest control .....................................102

§ 3.85 Employees .........................................................................................................103

TRANSPORTATION STANDARDS

§ 3.86 Consignments to carriers and intermediate handlers .........................................103

§ 3.87 Primary enclosures used to transport nonhuman primates ................................105

§ 3.88 Primary conveyances (motor vehicle, rail, air, and marine) ..............................106

§ 3.89 Food and water requirements ............................................................................107

§ 3.90 Care in transit ....................................................................................................108

§ 3.91 Terminal facilities .............................................................................................108

§ 3.92 Handling ............................................................................................................109

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 ........................110

§ 3.101 Facilities, general ............................................................................................111

§ 3.102 Facilities, indoor .............................................................................................112

§ 3.103 Facilities, outdoor ...........................................................................................112

§ 3.104 Space requirements .........................................................................................113
ANIMAL HEALTH AND HUSBANDRY STANDARDS

§ 3.105 Feeding ............................................................................................................122

§ 3.106 Water quality ...................................................................................................123

§ 3.107 Sanitation ........................................................................................................124

§ 3.108 Employees or attendants .................................................................................124

§ 3.109 Separation .......................................................................................................124

§ 3.110 Veterinary care ................................................................................................125

§ 3.111 Swim-with-the-dolphin programs ...................................................................126

TRANSPORTATION STANDARDS

§ 3.112 Consignments to carriers and intermediate handlers .......................................130

§ 3.113 Primary enclosures used to transport marine mammals ..................................131

§ 3.114 Primary conveyances (motor vehicle, rail, air and marine) .............................132

§ 3.115 Food and drinking water requirements ............................................................133

§ 3.116 Care in transit ..................................................................................................133

§ 3.117 Terminal facilities ...........................................................................................134

§ 3.118 Handling ..........................................................................................................135

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 ............................................................................................135

§ 3.126 Facilities, indoor .............................................................................................135

§ 3.127 Facilities, outdoor ...........................................................................................136

§ 3.128 Space requirements .........................................................................................137

ANIMAL HEALTH AND HUSBANDRY STANDARDS

§ 3.129 Feeding ............................................................................................................137

§ 3.130 Watering ..........................................................................................................137

§ 3.131 Sanitation ........................................................................................................137

§ 3.132 Employees .......................................................................................................137

§ 3.133 Separation .......................................................................................................137

§§ 3.134-3.135 [Reserved] ...........................................................................................137
TRANSPORTATION STANDARDS

§ 3.136 Consignments to carriers and intermediate handlers .......................................138

§ 3.137 Primary enclosures used to transport live animals ..........................................139

§ 3.138 Primary conveyances (motor vehicle, rail, air, and marine) ............................140

§ 3.139 Food and water requirements ..........................................................................140

§ 3.140 Care in transit ..................................................................................................141

§ 3.141 Terminal facilities ...........................................................................................141

§ 3.142 Handling ..........................................................................................................141

PART 4 – RULES OF PRACTICE GOVERNING PROCEEDINGS UNDER

THE ANIMAL WELFARE ACT

Subpart A – General

§ 4.1 Scope and applicability of rules of practice ......................................................143

Subpart B – Supplemental Rules of Practice

§ 4.10 Summary action ...............................................................................................143

§ 4.11 Stipulations ......................................................................................................143
Animal Welfare Act

As of Nov. 6, 2013

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.
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

When used 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).

(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, except that this term 

does not include – 

(i) a retail pet store except such store 

which sells any animals to a research 

facility, an exhibitor, or a dealer; or

(ii) any person who does not sell, or 

negotiate the purchase or sale of any wild 

animal, dog, or cat, and who derives no 

more than $500 gross income from the sale 

of other animals during any calendar year;

(g)The term “animal” means any live or 

dead dog, cat, monkey (nonhuman primate 

1
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 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; and

(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 any retail pet store 

or other person who derives less than a 

substantial portion of his income (as 

determined by the Secretary) from the 

breeding and raising of dogs or cats on his 

own premises and sells any such dog or cat 

to a dealer or research facility shall not be 

required to obtain a license as a dealer or 

exhibitor under this chapter. The Secretary 

is further authorized to license, as dealers or 

exhibitors, persons who do not qualify as 

dealers or exhibitors within the meaning of 

2
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.

§ 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 

3
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. 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 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 postsurgical care by laboratory workers, in 

accordance with established veterinary 

medical and nursing procedures;

(iv) against the use of 

paralytics without anesthesia; and 

4
(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 

paragraphs (7) of this subsection, shall be 

construed as authorizing the Secretary to 

promulgate rules, regulations, or 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 provided

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. 

5
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 –

(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 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 – 

6
(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

(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) 1 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) 2 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 

7
for transportation in commerce except to 

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 outof-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 for a research 

facility under sections 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, 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 

8
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 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.

(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; 

9
(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.

(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 

10
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.

(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 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 

11
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 an animal fighting venture 

(1) In general 

Except as provided in paragraph (2), it 

shall be unlawful for any person to 

knowingly sponsor or exhibit an animal in 

an animal fighting venture.

(2) Special rule for certain States

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, promoting 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 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 

12
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 

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

13
(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 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 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.

14
(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.

§ 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.

15
Animal Welfare Regulations

As of Nov. 6, 2013

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.

16
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 respect to a 

dog, the term means all dogs, including 

those used for hunting, security, or breeding 

purposes.

Animal act means any performance of 

animals where such animals are trained to 

perform some behavior or action or are part 

of a show, performance, or exhibition.

APHIS official means any person 

employed by the Department who is 

authorized to perform a function under the 

Act and the regulations in 9 CFR parts 1, 2, 

and 3.

Attending veterinarian means a person 

who has graduated from a veterinary school 

accredited by the American Veterinary 

Medical Association's Council on 

Education, or has a certificate issued by the 

American Veterinary Medical Association's 

Education Commission for Foreign 

Veterinary Graduates, or has received 

equivalent formal education as determined 

by the Administrator; has received training 

and/or experience in the care and 

management of the species being attended; 

and who has direct or delegated authority for 

activities involving animals at a facility 

subject to the jurisdiction of the Secretary.

Buffer area means that area in a primary 

enclosure for a swim-with-the-dolphin 

program that is off-limits to members of the 

public and that directly abuts the interactive 

area.

Business hours means a reasonable 

number of hours between 7 a.m. and 7 p.m., 

Monday through Friday, except for legal 

17
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 fiscalyear 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 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.

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 

18
U.S.C. 1531 et seq.) and as it may be 

subsequently amended.

Euthanasia means the humane 

destruction of an animal accomplished by a 

method that produces rapid unconsciousness 

and subsequent death without evidence of 

pain or distress, or a method that utilizes 

anesthesia produced by an agent that causes 

painless loss of consciousness and 

subsequent death.

Exhibitor means any person (public or 

private) exhibiting any animals, which were 

purchased in commerce or the intended 

distribution of which affects commerce, or 

will affect commerce, to the public for 

compensation, as determined by the 

Secretary. This term includes carnivals, 

circuses, animal acts, zoos, and educational 

exhibits, exhibiting such animals whether 

operated for profit or not. This term 

excludes retail pet stores, horse and dog 

races, organizations sponsoring and all 

persons participating in State and county 

fairs, livestock shows, rodeos, field trials, 

coursing events, purebred dog and cat shows 

and any other fairs or exhibitions intended to 

advance agricultural arts and sciences as 

may be determined by the Secretary.

Exotic animal means any animal not 

identified in the definition of “animal” 

provided in this part that is native to a 

foreign country or of foreign origin or 

character, is not native to the United States, 

or was introduced from abroad. This term 

specifically includes animals such as, but 

not limited to, lions, tigers, leopards, 

elephants, camels, antelope, anteaters, 

kangaroos, and water buffalo, and species of 

foreign domestic cattle, such as Ankole, 

Gayal, and Yak.

Farm animal means any domestic 

species of cattle, sheep, swine, goats, llamas, 

or horses, which are normally and have 

historically, been kept and raised on farms in 

the United States, and used or intended for 

use as food or fiber, or for improving animal 

nutrition, breeding, management, or 

production efficiency, or for improving the 

quality of food or fiber. This term also 

includes animals such as rabbits, mink, and 

chinchilla, when they are used solely for 

purposes of meat or fur, and animals such as 

horses and llamas when used solely as work 

and pack animals.

Federal agency means an Executive 

agency as such term is defined in section 

105 of title 5, United States Code, and with 

respect to any research facility means the 

agency from which the research facility 

receives a Federal award for the conduct of 

research, experimentation, or testing 

involving the use of animals.

Federal award means any mechanism 

(including a grant, award, loan, contract, or 

cooperative agreement) under which Federal 

funds are used to support the conduct of 

research, experimentation, or testing, 

involving the use of animals. The permit 

system established under the authorities of 

the Endangered Species Act, the Marine 

Mammal Protection Act, and the Migratory 

Bird Treaty Act, are not considered to be 

Federal awards under the Animal Welfare 

Act.

Federal research facility means each 

department, agency, or instrumentality of 

the United States which uses live animals 

for research or experimentation.

Field study means a study conducted on 

free-living wild animals in their natural 

habitat. However, this term excludes any 

study that involves an invasive procedure, 

harms, or materially alters the behavior of an 

animal under study.

Handling means petting, feeding, 

watering, cleaning, manipulating, loading, 

crating, shifting, transferring, immobilizing, 

restraining, treating, training, working and 

moving, or any similar activity with respect 

to any animal.

Housing facility means any land, 

premises, shed, barn, building, trailer, or 

other structure or area housing or intended 

to house animals.

Hybrid cross means an animal resulting 

from the crossbreeding between 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 

19
removed without their being absorbed into 

the surface material.

Indoor housing facility means any 

structure or building with environmental 

controls housing or intended to house 

animals and meeting the following three 

requirements:

(1) It must be capable of controlling 

the temperature within the building or 

structure within the limits set forth for that 

species of animal, of maintaining humidity 

levels of 30 to 70 percent and of rapidly 

eliminating odors from within the building; 

and

(2) It must be an enclosure created by 

the continuous connection of a roof, floor, 

and walls (a shed or barn set on top of the 

ground does not have a continuous 

connection between the walls and the 

ground unless a foundation and floor are 

provided); and

(3) It must have at least one door for 

entry and exit that can be opened and closed 

(any windows or openings which provide 

natural light must be covered with a 

transparent material such as glass or hard 

plastic).

Interactive area means that area in a 

primary enclosure for a swim-with-thedolphin program where an interactive 

session takes place.

Interactive session means a swim-withthe-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.

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 

20
human being to which that procedure was 

applied, that is, pain in excess of that caused 

by injections or other minor procedures.

Paralytic drug means a drug which 

causes partial or complete loss of muscle 

contraction and which has no anesthetic or 

analgesic properties, so that the animal

cannot move, but is completely aware of its 

surroundings and can feel pain.

Person means any individual, 

partnership, firm, joint stock company, 

corporation, association, trust, estate, or 

other legal entity.

Pet animal means any animal that has 

commonly been kept as a pet in family 

households in the United States, such as 

dogs, cats, guinea pigs, rabbits, and 

hamsters. This term excludes exotic animals 

and wild animals.

Positive physical contact means petting, 

stroking, or other touching, which is 

beneficial to the well-being of the animal.

Pound or shelter means a facility that 

accepts and/or seizes animals for the 

purpose of caring for them, placing them 

through adoption, or carrying out law 

enforcement, whether or not the facility is 

operated for profit.

Primary conveyance means the main 

method of transportation used to convey an 

animal from origin to destination, such as a 

motor vehicle, plane, ship, or train.

Primary enclosure means any structure 

or device used to restrict an animal or 

animals to a limited amount of space, such 

as a room, pen, run, cage, compartment, 

pool, or hutch.

Principal investigator means an 

employee of a research facility, or other 

person associated with a research facility, 

responsible for a proposal to conduct 

research and for the design and 

implementation of research involving 

animals.

Quorum means a majority of the 

Committee members.

Random source means dogs and cats 

obtained from animal pounds or shelters, 

auction sales, or from any person who did 

not breed and raise them on his or her 

premises.

Registrant means any research facility, 

carrier, intermediate handler, or exhibitor 

not required to be licensed under section 3 

of the Act, registered pursuant to the 

provisions of the Act and the regulations in 

part 2 of this subchapter.

Research facility means any school 

(except an elementary or secondary school), 

institution, organization, or person that uses 

or intends to use live animals in research, 

tests, or experiments, and that (1) purchases 

or transports live animals in commerce, or 

(2) receives funds under a grant, award, 

loan, or contract from a department, agency, 

or instrumentality of the United States for 

the purpose of carrying out research, tests, 

or experiments: Provided, That the 

Administrator may exempt, by regulation, 

any such school, institution, organization, or 

person that does not use or intend to use live 

dogs or cats, except those schools, 

institutions, organizations, or persons, which 

use substantial numbers (as determined by 

the Administrator) of live animals the 

principal function of which schools, 

institutions, organizations, or persons, is 

biomedical research or testing, when in the 

judgment of the Administrator, any such 

exemption does not vitiate the purpose of 

the Act.

Retail pet store means 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.;

21
(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-with-thedolphin program that is off-limits to the 

public and that directly abuts the buffer area.

Sanitize means to make physically clean 

and to remove and destroy, to the maximum 

degree that is practical, agents injurious to 

health.

Secretary means the Secretary of 

Agriculture of the United States or his 

representative who shall be an employee of 

the Department.

Sheltered housing facility means a 

housing facility which provides the animals 

with shelter; protection from the elements; 

and protection from temperature extremes at 

all times. A sheltered housing facility may 

consist of runs or pens totally enclosed in a 

barn or building, or of connecting 

inside/outside runs or pens with the inside 

pens in a totally enclosed building.

Standards means the requirements with 

respect to the humane housing, exhibition, 

handling, care, treatment, temperature, and 

transportation of animals by dealers, 

exhibitors research facilities, carriers, 

intermediate handlers, and operators of 

auction sales as set forth in part 3 of this 

subchapter.

State means a State of the United States, 

the District of Columbia, Commonwealth of 

Puerto Rico, the Virgin Islands, Guam, 

American Samoa, or any other territory or 

possession of the United States.

Study area means any building room, 

area, enclosure, or other containment outside 

of a core facility or centrally designated or 

managed area in which animals are housed 

for more than 12 hours.

Swim-with-the-dolphin (SWTD) 

program means any human-cetacean 

interactive program in which a member of 

the public enters the primary enclosure in 

which an SWTD designated cetacean is 

housed to interact with the animal. This 

interaction includes, but such inclusions are 

not limited to, wading, swimming, 

snorkeling, or scuba diving in the enclosure. 

This interaction excludes, but such 

exclusions are not limited to, feeding and 

petting pools, and the participation of any 

member(s) of the public audience as a minor 

segment of an educational presentation or 

performance of a show.

Transporting device means an interim 

vehicle or device, other than man, used to 

transport an animal between the primary 

conveyance and the terminal facility or in 

and around the terminal facility of a carrier 

or intermediate handler.

Transporting vehicle means any truck, 

car, trailer, airplane, ship, or railroad car 

used for transporting animals.

Weaned means that an animal has 

become accustomed to take solid food and 

has so done, without nursing, for a period of 

at least 5 days.

Wild animal means any animal which is 

now or historically has been found in the 

wild, or in the wild state, within the 

boundaries of the United States, its 

territories, or possessions. This term 

includes, but is not limited to, animals such 

as: deer, skunk, opossum, raccoon, mink, 

armadillo, coyote, squirrel, fox, wolf, 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.

[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 swim-with-the-dolphin 

(SWTD) program were suspended, effective 

Apr. 2, 1999. 

22
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.

§ 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. 

23
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 

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 

24
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) 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 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)

25
[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]

§ 2.4 - 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.

26
(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, 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.

(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:

27
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

36 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 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 

28
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]

§ 2.8 - 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:

(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 

29
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]

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 

30
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.

(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]

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.

(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.

31
(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.

(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 freeliving 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 

32
Institutional Official, is or may be a threat to 

the health or safety of the animals. If 

program or facility deficiencies are noted, 

the reports must contain a reasonable and 

specific plan and schedule with dates for 

correcting each deficiency. Any failure to 

adhere to the plan and schedule that results 

in a significant deficiency remaining 

uncorrected shall be reported in writing 

within 15 business days by the IACUC, 

through the Institutional Official, to APHIS 

and any Federal agency funding that 

activity;

(4) Review, and, if warranted, 

investigate concerns involving the care and 

use of animals at the research facility 

resulting from public complaints received 

and from reports of noncompliance received 

from laboratory or research facility 

personnel or employees;

(5) Make recommendations to the 

Institutional Official regarding any aspect of 

the research facility's animal program, 

facilities, or personnel training;

(6) Review and approve, require 

modifications in (to secure approval), or 

withhold approval of those components of 

proposed activities related to the care and 

use of animals, as specified in paragraph (d) 

of this section;

(7) Review and approve, require 

modifications in (to secure approval), or 

withhold approval of proposed significant 

changes regarding the care and use of 

animals in ongoing activities; and

(8) Be authorized to suspend an 

activity involving animals in accordance 

with the specifications set forth in paragraph 

(d)(6) of this section.

(d) IACUC review of activities involving 

animals.

(1) In order to approve proposed 

activities or proposed significant changes in 

ongoing activities, the IACUC shall conduct 

a review of those components of the 

activities related to the care and use of 

animals and determine that the proposed 

activities are in accordance with this 

subchapter unless acceptable justification for 

a departure is presented in writing; 

Provided, however, That field studies as 

defined in part 1 of this subchapter are 

exempt from this requirement. Further, the 

IACUC shall determine that the proposed 

activities or significant changes in ongoing 

activities meet the following requirements:

(i) Procedures involving animals 

will avoid or minimize discomfort, distress, 

and pain to the animals;

(ii) The principal investigator has 

considered alternatives to procedures that 

may cause more than momentary or slight 

pain or distress to the animals, and has 

provided a written narrative description of 

the methods and sources, e. g., the Animal 

Welfare Information Center, used to 

determine that alternatives were not 

available;

(iii) The principal investigator has 

provided written assurance that the activities 

do not unnecessarily duplicate previous 

experiments;

(iv) Procedures that may cause 

more than momentary or slight pain or 

distress to the animals will:

(A) Be performed with 

appropriate sedatives, analgesics or 

anesthetics, unless withholding such agents 

is justified for scientific reasons, in writing, 

by the principal investigator and will 

continue for only the necessary period of 

time;

(B) Involve, in their planning, 

consultation with the attending veterinarian 

or his or her designee;

(C) Not include the use of 

paralytics without anesthesia;

(v) Animals that would otherwise 

experience severe or chronic pain or distress 

that cannot be relieved will be painlessly 

euthanized at the end of the procedure or, if 

appropriate, during the procedure;

(vi) The animals' living conditions 

will be appropriate for their species in 

accordance with part 3 of this subchapter, 

and contribute to their health and comfort. 

The housing, feeding, and nonmedical care 

of the animals will be directed by the 

attending veterinarian or other scientist 

trained and experienced in the proper care, 

handling, and use of the species being 

maintained or studied;

(vii) Medical care for animals will

be available and provided as necessary by a 

qualified veterinarian;

(viii) Personnel conducting 

procedures on the species being maintained 

or studied will be appropriately qualified 

and trained in those procedures;

33
(ix) Activities that involve surgery 

include appropriate provision for preoperative 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 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 

34
convened meeting of a quorum of the 

IACUC and with the suspension vote of a 

majority of the quorum present;

(7) If the IACUC suspends an 

activity involving animals, the Institutional 

Official, in consultation with the IACUC, 

shall review the reasons for suspension, take 

appropriate corrective action, and report that 

action with a full explanation to APHIS and 

any Federal agency funding that activity; 

and

(8) Proposed activities and proposed 

significant changes in ongoing activities that 

have been approved by the IACUC may be 

subject to further appropriate review and 

approval by officials of the research facility. 

However, those officials may not approve an 

activity involving the care and use of 

animals if it has not been approved by the 

IACUC.

(e) A proposal to conduct an activity 

involving animals, or to make a significant 

change in an ongoing activity involving 

animals, must contain the following:

(1) Identification of the species and 

the approximate number of animals to be 

used;

(2) A rationale for involving animals, 

and for the appropriateness of the species 

and numbers of animals to be used;

(3) A complete description of the 

proposed use of the animals;

(4) A description of procedures

designed to assure that discomfort and pain 

to animals will be limited to that which is 

unavoidable for the conduct of scientifically 

valuable research, including provision for 

the use of analgesic, anesthetic, and 

tranquilizing drugs where indicated and 

appropriate to minimize discomfort and pain 

to animals; and

(5) A description of any euthanasia 

method to be used.

[54 FR 36147, Aug. 31, 1989, as amended 

by 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;

(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.

35
§ 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 parttime attending veterinarian or consultant 

arrangements, the formal arrangements shall 

include a written program of veterinary care 

and regularly scheduled visits to the research 

facility;

(2) Each research facility shall assure 

that the attending veterinarian has 

appropriate authority to ensure the provision 

of adequate veterinary care and to oversee 

the adequacy of other aspects of animal care 

and use; and

(3) The attending veterinarian shall 

be a voting member of the IACUC; 

Provided, however, That a research facility 

with more than one Doctor of Veterinary 

Medicine (DVM) may appoint to the 

IACUC another DVM with delegated 

program responsibility for activities 

involving animals at the research facility.

(b) Each research facility shall establish 

and maintain programs of adequate 

veterinary care that include:

(1) The availability of appropriate 

facilities, personnel, equipment, and services 

to comply with the provisions of this 

subchapter;

(2) The use of appropriate methods to 

prevent, control, diagnose, and treat diseases 

and injuries, and the availability of 

emergency, weekend, and holiday care;

(3) Daily observation of all animals 

to assess their health and well-being; 

Provided, however, That daily observation 

of animals may be accomplished by 

someone other than the attending 

veterinarian; and Provided, further, That a 

mechanism of direct and frequent 

communication is required so that timely 

and accurate information on problems of 

animal health, behavior, and well-being is 

conveyed to the attending veterinarian;

(4) Guidance to principal 

investigators and other personnel involved 

in the care and use of animals regarding 

handling, immobilization, anesthesia, 

analgesia, tranquilization, and euthanasia; 

and

(5) Adequate pre-procedural and 

post-procedural care in accordance with 

current established veterinary medical and 

nursing procedures.

§ 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 nondrivers 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;

36
(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 

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.

37
(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 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:

(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 

38
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;

(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.

39
(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.

(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, 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 

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.

40

 
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.

(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.

41
(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:

(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.

[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]

Note: Effective July 31, 2013, USDA issued 

a stay of the contingency plan regulation. 

This means that, until further notice, 

research facilities, dealers, exhibitors, 

intermediate handlers and carriers will not 

be required to comply with the contingency 

planning, training and other requirements of 

sections 2.38 or 2.134. 

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.

42
(1) Each dealer and exhibitor shall 

employ an attending veterinarian under 

formal arrangements. In the case of a parttime attending veterinarian or consultant 

arrangements, the formal arrangements shall 

include a written program of veterinary care 

and regularly scheduled visits to the 

premises of the dealer or exhibitor; and

(2) Each dealer and exhibitor shall 

assure that the attending veterinarian has 

appropriate authority to ensure the provision 

of adequate veterinary care and to oversee 

the adequacy of other aspects of animal care 

and use.

(b) Each dealer or exhibitor shall 

establish and maintain programs of adequate 

veterinary care that include:

(1) The availability of appropriate 

facilities, personnel, equipment, and services 

to comply with the provisions of this 

subchapter;

(2) The use of appropriate methods to 

prevent, control, diagnose, and treat diseases 

and injuries, and the availability of 

emergency, weekend, and holiday care;

(3) Daily observation of all animals 

to assess their health and well-being; 

Provided, however, That daily observation 

of animals may be accomplished by 

someone other than the attending 

veterinarian; and Provided, further, That a 

mechanism of direct and frequent 

communication is required so that timely 

and accurate information on problems of 

animal health, behavior, and well-being is 

conveyed to the attending veterinarian;

(4) Adequate guidance to personnel 

involved in the care and use of animals 

regarding handling, immobilization, 

anesthesia, analgesia, tranquilization, and 

euthanasia; and

(5) Adequate pre-procedural and 

post-procedural care in accordance with 

established veterinary medical and nursing 

procedures.

Subpart E – Identification of Animals

§ 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 cats1

, 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 cats2

; or

(ii) By a distinctive and legible 

tattoo marking approved by the 

Administrator.

1 In general, well fitted collars made of 

leather or plastic will be acceptable under 

this provision. The use of certain types of 

chains presently used by some dealers may 

also be deemed acceptable. APHIS will 

determine the acceptability of a material 

proposed for usage as collars from the 

standpoint of humane considerations on an 

individual basis in consultation with the 

dealer or exhibitor involved. The use of 

materials such as wire, elastic, or sharp 

metal that might cause discomfort or injury 

to the dogs or cats is not acceptable. 2 See footnote 2 in § 2.50(a)(1).

43

 
(2) If any live dog or cat is already 

identified by an official tag or tattoo which 

has been applied by another dealer or 

exhibitor, the dealer or exhibitor who 

purchases or otherwise acquires the animal 

may continue identifying the dog or cat by 

the previous identification number, or may 

replace the previous tag with his own 

official tag or approved tattoo. In either 

case, the class B dealer or class C exhibitor 

shall correctly list all old and new official 

tag numbers or tattoos in his or her records 

of purchase which shall be maintained in 

accordance with §§ 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 plastic-type collar approved by the 

Administrator.

(c) A class “C” exhibitor shall identify 

all live dogs and cats under his or her 

control or on his or her premises, whether 

held, purchased, or otherwise acquired:

(1) As set forth in paragraph (b)(1) or 

(b)(3) of this section, or

(2) By identifying each dog or cat 

with:

(i) An official USDA sequentially 

numbered tag that is kept on the door of the 

animal's cage or run;

(ii) A record book containing each 

animal's tag number, a written description of 

each animal, the data required by § 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) 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 

44
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.

§ 2.52 - How to obtain tags.

Dealers or exhibitors may obtain, at 

their own expense, official tags from 

commercial tag manufacturers.1 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]

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.

§ 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.

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.

45

 
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 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 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 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 

46
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.

(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:

(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 nondrivers issued by a State) and State of the 

47
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-ofpocket expenses incurred for the care, 

feeding, and storage of the animal. The 

carrier or intermediate handler at destination 

shall also keep and maintain a copy of the 

shipping document containing the time, 

date, and method of each attempted 

notification and the final notification to the 

consignee and the name of the person 

notifying the consignee, as provided in § 

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 

48
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.

(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, 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-ofpocket 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 

49
or dispose of, without the consent in writing 

of the Administrator, any books, records, 

documents, or other papers required to be 

kept and maintained under this part.

(b) Unless otherwise specified, the 

records required to be kept and maintained 

under this part shall be held for 1 year after 

an animal is euthanized or disposed of and 

for any period in excess of one year as 

necessary to comply with any applicable 

Federal, State, or local law. Whenever the 

Administrator notifies a dealer, exhibitor, 

broker, operator of an auction sale, carrier, 

or intermediate handler in writing that 

specified records shall be retained pending 

completion of an investigation or proceeding 

under the Act, the dealer, exhibitor, broker, 

operator of an auction sale, carrier, or 

intermediate handler shall hold those records 

until their disposition is authorized by the 

Administrator.

Subpart H – Compliance With Standards 

and Holding Period

§ 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 

dealer1 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 An operator of an auction sale is not 

considered to have acquired a dog or cat 

which is sold through the auction sale.

(1) That any live dog or cat acquired 

by a dealer or exhibitor from any private or 

contract animal pound or shelter shall be 

held by that dealer or exhibitor under his or

her supervision and control for a period of 

not less than 10 full days, not including the 

day of acquisition, after acquiring the 

animal, excluding time in transit;

(2) Live dogs or cats which have 

completed a 5-day holding period with 

another dealer or exhibitor, or a 10-day 

holding period with another dealer or 

exhibitor if obtained from a private or 

contract shelter or pound, may be sold or 

otherwise disposed of by subsequent dealers 

or exhibitors after a minimum holding 

period of 24 hours by each subsequent 

dealer or exhibitor excluding time in transit;

(3) Any dog or cat suffering from 

disease, emaciation, or injury may be 

destroyed by euthanasia prior to the 

completion of the holding period required by 

this section; and

(4) Any live dog or cat, 120 days of 

age or less, that was obtained from the 

person that bred and raised such dog or cat, 

may be exempted from the 5-day holding 

requirement and may be disposed of by 

dealers or exhibitors after a minimum 

holding period of 24 hours, excluding time 

in transit. Each subsequent dealer or 

exhibitor must also hold each such dog or 

cat for a 24-hour period excluding time in 

transit.

(b) During the period in which any dog 

or cat is being held as required by this 

section, the dog or cat shall be unloaded 

from any means of conveyance in which it 

was received, for food, water, and rest, and 

shall be handled, cared for, and treated in 

accordance with the standards set forth in 

part 3, subpart A, of this subchapter and § 

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

50

 
(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]

Note: Effective July 31, 2013, USDA issued 

a stay of the contingency plan regulation. 

This means that, until further notice, 

dealers, exhibitors, research facilities, 

intermediate handlers and carriers will not 

be required to comply with the contingency 

planning, training and other requirements of 

sections 2.134 or 2.38.

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 

51
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 

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]

§ 2.128 - 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 

52
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

(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 wellbeing.

(2) A responsible, knowledgeable, 

and readily identifiable employee or 

attendant must be present at all times during 

periods of public contact.

53
(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;

(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 three 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]

§ 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, 

54
before selling or providing the live dog or 

cat to a dealer, hold and care for the dog or 

cat for a period of not less than 5 full days 

after acquiring the animal, not including the 

date of acquisition and excluding time in 

transit. This holding period shall include at 

least one Saturday. The provisions of this 

paragraph apply to:

(1) Each pound or shelter owned and 

operated by a State, county, or city;

(2) Each private pound or shelter 

established for the purpose of caring for 

animals, such as a humane society, or other 

organization that is under contract with a 

State, county, or city, that operates as a 

pound or shelter, and that releases animals 

on a voluntary basis; and

(3) Each research facility licensed by 

USDA as a dealer.

(b) A dealer shall not sell, provide, or 

make available to any person a live random 

source dog or cat unless the dealer provides 

the recipient of the dog or cat with 

certification that contains the following 

information:

(1) The name, address, USDA license 

number, and signature of the dealer;

(2) The name, address, USDA license 

or registration number, if such number 

exists, and signature of the recipient of the

dog or cat;

(3) A description of each dog or cat 

being sold, provided, or made available that 

shall include:

(i) The species and breed or type 

(for mixed breeds, estimate the two 

dominant breeds or types);

(ii) The sex;

(iii) The date of birth or, if 

unknown, then the approximate age;

(iv) The color and any distinctive 

markings; and

(v) The Official USDA-approved 

identification number of the animal. 

However, if the certification is attached to a 

certificate provided by a prior dealer which

contains the required description, then only 

the official identification numbers are 

required;

(4) The name and address of the 

person, pound, or shelter from which the 

dog or cat was acquired by the dealer, and 

an assurance that the person, pound, or 

shelter was notified that the cat or dog might 

be used for research or educational 

purposes;

(5) The date the dealer acquired the 

dog or cat from the person, pound, or shelter 

referred to in paragraph (b)(4) of this 

section; and

(6) If the dealer acquired the dog or 

cat from a pound or shelter, a signed 

statement by the pound or shelter that it met 

the requirements of paragraph (a) of this 

section. This statement must at least 

describe the animals by their official USDA 

identification numbers. It may be 

incorporated within the certification if the 

dealer makes the certification at the time 

that the animals are acquired from the pound 

or shelter or it may be made separately and 

attached to the certification later. If made 

separately, it must include the same 

information describing each animal as is 

required in the certification. A photocopy of 

the statement will be regarded as a duplicate 

original.

(c) The original certification required 

under paragraph (b) of this section shall 

accompany the shipment of a live dog or cat 

to be sold, provided, or otherwise made 

available by the dealer.

(d) A dealer who acquires a live dog or 

cat from another dealer must obtain from 

that dealer the certification required by 

paragraph (b) of this section and must attach 

that certification (including any previously 

attached certification) to the certification 

which he or she provides pursuant to 

paragraph (b) of this section (a photocopy of 

the original certification will be deemed a 

duplicate original if the dealer does not 

dispose of all of the dogs or cats in a single 

transaction).

(e) A dealer who completes, provides, or 

receives a certification required under 

paragraph (b) of this section shall keep, 

maintain, and make available for APHIS 

inspection a copy of the certification for at 

least 1 year following disposition.

(f) A research facility which acquires 

any live random source dog or cat from a 

dealer must obtain the certification required 

under paragraph (b) of this section and shall 

keep, maintain, and make available for 

APHIS inspection the original for at least 3 

years following disposition.

(g) In instances where a research facility 

transfers ownership of a live random source 

55
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 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]

Note: Effective July 31, 2013, USDA issued 

a stay of the contingency plan regulation. 

This means that, until further notice, 

56
dealers, exhibitors, intermediate handlers,

carriers and research facilities will not be 

required to comply with the contingency 

planning, training and other requirements of 

sections 2.134 or 2.38.

57
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.

§ 3.32 Employees.

§ 3.33 Classification and separation.

§ 3.34 [Reserved]

TRANSPORTATION STANDARDS

§ 3.35 Consignments to carriers and 

 intermediate handlers.

§ 3.36 Primary enclosures used to transport 

 live guinea pigs and hamsters.

§ 3.37 Primary conveyances (motor 

 vehicle, rail, air, and marine).

§ 3.38 Food and water requirements.

§ 3.39 Care in transit.

§ 3.40 Terminal facilities.

§ 3.41 Handling.

Subpart C – Specifications for the 

Humane Handling, Care, Treatment and 

Transportation of Rabbits

FACILITIES AND OPERATING 

STANDARDS

§ 3.50 Facilities, general.

§ 3.51 Facilities, indoor.

§ 3.52 Facilities, outdoor.

§ 3.53 Primary enclosures.

ANIMAL HEALTH AND HUSBANDRY 

STANDARDS

§ 3.54 Feeding.

§ 3.55 Watering.

§ 3.56 Sanitation.

§ 3.57 Employees.

§ 3.58 Classification and separation.

§ 3.59 [Reserved]

TRANSPORTATION STANDARDS

§ 3.60 Consignments to carriers and 

 intermediate handlers.

§ 3.61 Primary enclosures used to transport 

 live rabbits.

§ 3.62 Primary conveyances (motor 

 vehicle, rail, air, and marine).

§ 3.63 Food and water requirements.

§ 3.64 Care in transit.

§ 3.65 Terminal facilities.

§ 3.66 Handling.

Subpart D – Specifications for the 

Humane Handling, Care, Treatment, and 

Transportation of Nonhuman Primates

FACILITIES AND OPERATING 

STANDARDS

§ 3.75 Housing facilities, general.

§ 3.76 Indoor housing facilities.

58
§ 3.77 Sheltered housing facilities.

§ 3.78 0utdoor 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.

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. 

59
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:

1 These minimum standards apply only 

to live dogs and cats, unless stated 

otherwise.

(i) Be free of excessive rust that 

prevents the required cleaning and 

sanitization, or that affects the structural 

strength of the surface; and

(ii) Be free of jagged edges or 

sharp points that might injure the animals.

(2) Maintenance and replacement of 

surfaces. All surfaces must be maintained on 

a regular basis. Surfaces of housing facilities

– including houses, dens, and other 

furniture-type fixtures and objects within the 

facility – that cannot be readily cleaned and 

sanitized, must be replaced when worn or 

soiled.

(3) Cleaning. Hard surfaces with 

which the dogs or cats come in contact must 

be spot-cleaned daily and sanitized in 

accordance with § 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 spotcleaned with sufficient frequency to ensure 

all animals the freedom to avoid contact 

with excreta. Contaminated material must be 

replaced whenever this raking and spotcleaning 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 

60

 
manner that prevents contamination and 

deterioration of its nutritive value. All open 

supplies of food and bedding must be kept in 

leakproof containers with tightly fitting lids 

to prevent contamination and spoilage. Only 

food and bedding that is currently being 

used may be kept in the animal areas. 

Substances that are toxic to the dogs or cats 

but are required for normal husbandry 

practices must not be stored in food storage 

and preparation areas, but may be stored in 

cabinets in the animal areas.

(f) Drainage and waste disposal.

Housing facility operators must provide for 

regular and frequent collection, removal, 

and disposal of animal and food wastes, 

bedding, debris, garbage, water, other fluids 

and wastes, and dead animals, in a manner 

that minimizes contamination and disease 

risks. Housing facilities must be equipped 

with disposal facilities and drainage systems 

that are constructed and operated so that 

animal waste and water are rapidly 

eliminated and animals stay dry. Disposal 

and drainage systems must minimize vermin 

and pest infestation, insects, odors, and 

disease hazards. All drains must be properly 

constructed, installed, and maintained. If 

closed drainage systems are used, they must 

be equipped with traps and prevent the 

backflow of gases and the backup of sewage 

onto the floor. If the facility uses sump or 

settlement ponds, or other similar systems 

for drainage and animal waste disposal, the 

system must be located far enough away 

from the animal area of the housing facility 

to prevent odors, diseases, pests, and vermin 

infestation. Standing puddles of water in 

animal enclosures must be drained or 

mopped up so that the animals stay dry. 

Trash containers in housing facilities and in 

food storage and food preparation areas 

must be 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 wellbeing, 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.

(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 

61
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 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, 

62
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 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 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 

63
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 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 

64
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 non-conditioned cats 

may be housed in the same primary 

enclosure. Queens in heat may not be 

housed in the same primary enclosure with 

sexually mature males, except for breeding. 

Except when maintained in breeding 

colonies, queens with litters may not be 

housed in the same primary enclosure with 

other adult cats, and kittens under 4 months 

of age may not be housed in the same 

primary enclosure with adult cats, other than 

the dam or foster dam. Cats with a vicious or 

aggressive disposition must be housed 

separately.

(3) Litter. In all primary enclosures, a 

receptacle containing sufficient clean litter 

must be provided to contain excreta and 

body wastes.

(4) Resting surfaces. Each primary 

enclosure housing cats must contain a 

resting surface or surfaces that, in the 

aggregate, are large enough to hold all the 

occupants of the primary enclosure at the 

same time comfortably. The resting surfaces 

must be elevated, impervious to moisture, 

and be able to be easily cleaned and 

sanitized, or easily replaced when soiled or 

worn. Low resting surfaces that do not allow 

the space under them to be comfortably 

occupied by the animal will be counted as 

part of the floor space.

(5) Cats in mobile or traveling shows 

or acts. Cats that are part of a mobile or 

traveling show or act may be kept, while the 

show or act is traveling from one temporary 

location to another, in transport containers 

that comply with all requirements of § 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.

(2) Compatibility. All dogs housed in 

the same primary enclosure must be 

compatible, as determined by observation. 

Not more than 12 adult non-conditioned 

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 

65
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;

(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.

66
(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 Committeeapproved 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)

§ 3.9 - 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 wellbeing, but not less than twice daily for at 

least 1 hour each time, unless restricted by 

the attending veterinarian. Water receptacles 

67
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 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]

§ 3.12 - 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 

68
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 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 

69
holding area at a terminal facility after 

transport, the carrier or intermediate handler 

must attempt to notify the consignee upon 

arrival and at least once in every 6-hour 

period thereafter. The time, date, and 

method of all attempted notifications and the 

actual notification of the consignee, and the 

name of the person who notifies or attempts 

to notify the consignee must be written 

either on the carrier's or intermediate 

handler's copy of the shipping document or 

on the copy that accompanies the primary 

enclosure. If the consignee cannot be 

notified within 24 hours after the dog or cat 

has arrived at the terminal facility, the 

carrier or intermediate handler must return 

the animal to the consignor or to whomever 

the consignor designates. If the consignee is 

notified of the arrival and does not accept 

delivery of the dog or cat within 48 hours 

after arrival of the dog or cat, the carrier or 

intermediate handler must return the animal 

to the consignor or to whomever the 

consignor designates. The carrier or 

intermediate handler must continue to 

provide proper care, feeding, and housing to 

the dog or cat, and maintain the dog or cat in 

accordance with generally accepted 

professional and husbandry practices until 

the consignee accepts delivery of the dog or 

cat or until it is returned to the consignor or 

to whomever the consignor designates. The 

carrier or intermediate handler must obligate 

the consignor to reimburse the carrier or 

intermediate handler for the cost of return 

transportation and care.

(Approved by the Office of Management 

and Budget under control number 0579-

0093)

§ 3.14 - Primary enclosures used to 

transport live dogs and cats.

Any person subject to the Animal 

Welfare regulations (9 CFR parts 1, 2, and 

3) must not transport or deliver for transport 

in commerce a dog or cat unless the 

following requirements are met:

(a) Construction of primary enclosures.

The dog or cat must be contained in a 

primary enclosure such as a compartment, 

transport cage, carton, or crate. Primary 

enclosures used to transport dogs and cats 

must be constructed so that:

(1) The primary enclosure is strong 

enough to contain the dogs and cats securely 

and comfortably and to withstand the normal 

rigors of transportation;

(2) The interior of the primary 

enclosure has no sharp points or edges and 

no protrusions that could injure the animal 

contained in it;

(3) The dog or cat is at all times 

securely contained within the enclosure and 

cannot put any part of its body outside the 

enclosure in a way that could result in injury 

to itself, to handlers, or to persons or 

animals nearby;

(4) The dog or cat can be easily and 

quickly removed from the enclosure in an 

emergency;

(5) Unless the enclosure is 

permanently affixed to the conveyance, 

adequate devices such as handles or 

handholds are provided on its exterior, and 

enable the enclosure to be lifted without 

tilting it, and ensure that anyone handling 

the enclosure will not come into physical 

contact with the animal contained inside;

(6) Unless the enclosure is 

permanently affixed to the conveyance, it is 

clearly marked on top and on one or more 

sides with the words “Live Animals,” in 

letters at least 1 inch (2.5 cm.) high, and 

with arrows or other markings to indicate 

the correct upright position of the primary 

enclosure;

(7) Any material, treatment, paint, 

preservative, or other chemical used in or on 

the enclosure is nontoxic to the animal and 

not harmful to the health or well-being of 

the animal;

(8) Proper ventilation is provided to 

the animal in accordance with paragraph (c) 

of this section; and

(9) The primary enclosure has a solid, 

leak-proof bottom or a removable, leakproof 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 

70
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 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 

71
in the primary conveyance so as to provide 

protection from the elements.

(f) Transportation by air.

(1) No more than one live dog or cat, 

6 months of age or older, may be transported 

in the same primary enclosure when shipped 

via air carrier.

(2) No more than one live puppy, 8 

weeks to 6 months of age, and weighing 

over 20 lbs (9 kg), may be transported in a 

primary enclosure when shipped via air 

carrier.

(3) No more than two live puppies or 

kittens, 8 weeks to 6 months of age, that are 

of comparable size, and weighing 20 lbs (9 

kg) or less each, may be transported in the 

same primary enclosure when shipped via

air carrier.

(4) Weaned live puppies or kittens 

less than 8 weeks of age and of comparable 

size, or puppies or kittens that are less than 8 

weeks of age that are littermates and are 

accompanied by their dam, may be 

transported in the same primary enclosure 

when shipped to research facilities, 

including Federal research facilities.

(g) Transportation by surface vehicle or 

privately owned aircraft.

(1) No more than four live dogs or 

cats, 8 weeks of age or older, that are of 

comparable size, may be transported in the 

same primary enclosure when shipped by 

surface vehicle (including ground and water 

transportation) or privately owned aircraft, 

and only if all other requirements of this 

section are met.

(2) Weaned live puppies or kittens 

less than 8 weeks of age and of comparable 

size, or puppies or kittens that are less than 8 

weeks of age that are littermates and are 

accompanied by their dam, may be 

transported in the same primary enclosure 

when shipped to research facilities, 

including Federal research facilities, and 

only if all other requirements in this section 

are met.

(h) Accompanying documents and 

records. Shipping documents that must 

accompany shipments of dogs and cats may 

be held by the operator of the primary 

conveyance, for surface transportation only, 

or must be securely attached in a readily 

accessible manner to the outside of any 

primary enclosure that is part of the 

shipment, in a manner that allows them to be 

detached for examination and securely 

reattached, such as in a pocket or sleeve. 

Instructions for administration of drugs, 

medication, and other special care must be 

attached to each primary enclosure in a 

manner that makes them easy to notice, to 

detach for examination, and to reattach 

securely. Food and water instructions must 

be attached in accordance with § 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, 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 

72
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 

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 in-transit food and water 

requirements for a 24-hour period for the 

dogs and cats contained in the enclosure. 

The instructions must be attached in a 

manner that makes them easily noticed and 

read.

(c) Food and water receptacles must be 

securely attached inside the primary 

enclosure and placed so that the receptacles 

can be filled from outside the enclosure 

without opening the door. Food and water 

containers must be designed, constructed, 

and installed so that a dog or cat cannot 

leave the primary enclosure through the food 

or water opening.

(Approved by the Office of Management 

and Budget under control number 0579-

0093)

§ 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 

73
the animal cargo area is accessible during 

flight. If the animal cargo area is not 

accessible during flight, the carrier must 

observe the dogs or cats whenever they are 

loaded and unloaded and whenever the 

animal cargo space is otherwise accessible 

to make sure they have sufficient air for 

normal breathing, that the animal cargo area 

meets the heating and cooling requirements 

of § 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 

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]

74
§ 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 

°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]

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 

75
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 

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.

76
(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).

(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

77
(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 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]

78
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 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 

79
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, pre-weanling guinea pigs shall not 

be housed in the same primary enclosure 

with adults other than their parents.

(b) Guinea pigs shall not be housed in 

the same primary enclosure with hamsters, 

nor shall guinea pigs or hamsters be housed 

in the same primary enclosure with any 

other species of animals.

(c) Guinea pigs or hamsters under 

quarantine or treatment for a communicable 

disease shall be separated from other guinea 

pigs or hamsters and other susceptible 

species of animals in such a manner as to 

minimize dissemination of such disease.

§ 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 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 

80
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]

§ 3.36 - 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 onehalf of the primary enclosure and at least 

one-third of the total minimum area required 

for ventilation of the primary enclosure shall 

be located on the upper one-half of the 

primary enclosure; (6) except as provided in 

paragraph (i) of this section, projecting rims 

or other devices shall be on the exterior of 

the outside walls with any ventilation 

openings to prevent obstruction of the 

ventilation openings and to provide a 

minimum air circulation space of 1.9 

centimeters (.75 inches) between the 

primary enclosure and any adjacent cargo or 

conveyance wall; and (7) except as provided 

in paragraph (i) of this section, adequate 

handholds or other devices for lifting shall 

be provided on the exterior of the primary 

enclosure to enable the primary enclosure to 

be lifted without tilting and to ensure that 

the person handling the primary enclosure 

will not be in contact with the guinea pigs or 

hamsters.

(b) Live guinea pigs or hamsters 

transported in the same primary enclosure 

shall be of the same species and maintained 

in compatible groups.

81
(c) Primary enclosures used to transport 

live guinea pigs or hamsters shall be large

enough to ensure that each animal contained 

therein has sufficient space to turn about 

freely and to make normal postural 

adjustments.

(d) Not more than 15 live guinea pigs 

shall be transported in the same primary 

enclosure. No more than 50 live hamsters

shall be transported in the same primary 

enclosure.

(e) In addition to the other provisions of 

this section, the following requirements shall 

also apply to primary enclosures used to 

transport live guinea pigs or hamsters:

(1) Guinea pigs.

(i) The interior height of primary 

enclosures used to 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:

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 

82
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 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.

(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.

83
[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 

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:

84
(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 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]

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.

(d) Interior surfaces. The interior 

building surfaces of indoor housing facilities 

85
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 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

86
(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

(3) Innovative primary enclosures 

that do not precisely meet the space 

requirements of paragraph (c)(2) of this 

section, but that do provide rabbits with a 

sufficient volume of space and the 

opportunity to express species-typical 

behavior, may be used at research facilities 

when approved by the Institutional Animal 

Care and Use Committee, and by dealers 

and exhibitors when approved by the 

Administrator.

[32 FR 3273, Feb. 24, 1967, as amended at 

55 FR 28883, July 16, 1990]

ANIMAL HEALTH AND HUSBANDRY 

STANDARDS

§ 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 

87
and other debris by periodic cleaning. 

Measures shall be taken to prevent the 

wetting of rabbits in such enclosures if a 

washing process is used.

(2) In primary enclosures equipped 

with solid floors, soiled litter shall be 

removed and replaced with clean litter at 

least once each week.

(3) If primary enclosures are 

equipped with wire or mesh floors, the

troughs or pans under such enclosures shall 

be cleaned at least once each week. If worm 

bins are used under such enclosures they 

shall be maintained in a sanitary condition.

(b) Sanitization of primary enclosures.

(1) Primary enclosures for rabbits 

shall be sanitized at least once every 30 days 

in the manner provided in paragraph (b)(3) 

of this section.

(2) Prior to the introduction of rabbits 

into empty primary enclosures previously 

occupied, such enclosures shall be sanitized 

in the manner provided in paragraph (b)(3) 

of this section.

(3) Primary enclosures for rabbits 

shall be sanitized by washing them with hot 

water (180 °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. 

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 

88
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 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;

89
(3) The openings of such enclosures 

are easily accessible at all times for 

emergency removal of the live rabbits;

(4) Except as provided in paragraph 

(h) of this section, there are ventilation 

openings located on two opposite walls of 

the primary enclosure and the ventilation 

openings on each such wall shall be at least 

16 percent of the total surface area of each 

such wall, or there are ventilation openings 

located on all four walls of the primary 

enclosure and the ventilation openings on 

each such wall shall be at least 8 percent of 

the total surface area of each such wall: 

Provided, however, That at least one-third of 

the total minimum area required for 

ventilation of the primary enclosure shall be 

located on the lower one-half of the primary 

enclosure and at least one-third of the total 

minimum area required for ventilation of the 

primary enclosure shall be located on the 

upper one-half of the primary enclosure;

(5) Except as provided in paragraph 

(h) of this section, projecting rims or other 

devices shall be on the exterior of the 

outside walls with any ventilation openings 

to prevent obstruction of the ventilation 

openings and to provide a minimum air 

circulation space 1.9 centimeters (.75 inch) 

between the primary enclosure and any 

adjacent cargo or conveyance wall; and

(6) Except as provided in paragraph 

(h) of this section, adequate handholds or 

other devices for lifting shall be provided on 

the exterior of the primary enclosure to 

enable the primary enclosure to be lifted 

without tilting and to ensure that the person 

handling the primary enclosure will not be 

in contact with the rabbit.

(b) Live rabbits transported in the same 

primary enclosure shall be maintained in 

compatible groups and shall not be 

transported in the same primary enclosure 

with other species 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.

(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.

90
(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 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 enclosures or 

facilities conforming to the requirements 

provided in this subpart.

91
§ 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 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]

92
Subpart D – Specifications for the 

Humane Handling, Care, Treatment, and 

Transportation of Nonhuman Primates1

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 

1 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.

for proper husbandry practices and research 

needs. Housing facilities other than those 

maintained by research facilities and Federal 

research facilities must be physically 

separated from any other businesses. If a 

housing facility is located on the same 

premises as any other businesses, it must be 

physically separated from the other 

businesses so that animals the size of dogs, 

skunks, and raccoons, are prevented from 

entering it.

(c) Surfaces.

(1) General requirements. The 

surfaces of housing facilities – including 

perches, shelves, swings, boxes, houses, 

dens, and other furniture-type fixtures or 

objects within the facility – must be 

constructed in a manner and made of 

materials that allow them to be readily 

cleaned and sanitized, or removed or 

replaced when worn or soiled. Furnituretype fixtures or objects must be sturdily 

constructed and must be strong enough to 

provide for the safe activity and welfare of 

nonhuman primates. Floors may be made of 

dirt, absorbent bedding, sand, gravel, grass, 

or other similar material that can be readily 

cleaned, or can be removed or replaced 

whenever cleaning does not eliminate odors, 

diseases, pests, insects, or vermin. Any 

surfaces that come in contact with 

nonhuman primates must:

(i) Be free of excessive rust that 

prevents the required cleaning and 

sanitization, or that affects the structural 

strength of the surface; and

(ii) Be free of jagged edges or 

sharp points that might injure the animals.

(2) Maintenance and replacement of 

surfaces. All surfaces must be maintained on 

a regular basis. Surfaces of housing facilities

– including houses, dens, and other 

furniture-type fixtures and objects within the 

facility – that cannot be readily cleaned and 

sanitized, must be replaced when worn or 

soiled.

(3) Cleaning. Hard surfaces with 

which nonhuman primates come in contact 

must be spot-cleaned daily and sanitized in 

accordance with § 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 

93

 
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 

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 

94
primates are present. The ambient 

temperature must be maintained at a level 

that ensures the health and well-being of the 

species housed, as directed by the attending 

veterinarian, in accordance with generally 

accepted professional and husbandry 

practices.

(b) Ventilation. Indoor housing facilities 

must be sufficiently ventilated at all times 

when nonhuman primates are present to 

provide for their health and well-being and 

to minimize odors, drafts, ammonia levels, 

and moisture condensation. Ventilation must 

be provided by windows, doors, vents, fans, 

or air conditioning. Auxiliary ventilation, 

such as fans, blowers, or air conditioning, 

must be provided when the ambient 

temperature is 85 °F (29.5 °C) or higher. 

The relative humidity maintained must be at 

a level that ensures the health and wellbeing 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.

(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 

95
aggressive or dominant animals are housed 

in the facility with other animals, there must 

be multiple shelters or other means to ensure 

that each nonhuman primate has access to 

shelter.

(f) Perimeter fence. On and after 

February 15, 1994, the outdoor area of a 

sheltered housing facility must be enclosed 

by a fence that is of sufficient height to keep 

unwanted species out. Fences less than 6 

feet high must be approved by the 

Administrator. The fence must be 

constructed so that it protects nonhuman 

primates by restricting unauthorized 

humans, and animals the size of dogs, 

skunks, and raccoons from going through it 

or under it and having contact with the 

nonhuman primates. It must be of sufficient 

distance from the outside wall or fence of 

the primary enclosure to prevent physical 

contact between animals inside the 

enclosure and outside the perimeter fence. 

Such fences less than 3 feet in distance from 

the primary enclosure must be approved by 

the Administrator. A perimeter fence is not 

required if:

(1) The outside walls of the primary 

enclosure are made of a sturdy, durable 

material such as concrete, wood, plastic, 

metal, or glass, and are high enough and 

constructed in a manner that restricts contact 

with or entry by humans and animals that 

are outside the sheltered housing facility; or

(2) The housing facility is surrounded 

by a natural barrier that restricts the 

nonhuman primates to the housing facility 

and protects them from contact with 

unauthorized humans and animals that are 

outside the sheltered housing facility, and 

the Administrator gives written permission

(g) Public barriers. Fixed public 

exhibits housing nonhuman primates, such 

as zoos, must have a barrier between the 

primary enclosure and the public at any time 

the public is present, that restricts physical 

contact between the public and the 

nonhuman primates. Nonhuman primates 

used in trained animal acts or in uncaged 

public exhibits must be under the direct 

control and supervision of an experienced 

handler or trainer at all times when the 

public is present. Trained nonhuman 

primates may be permitted physical contact 

with the public, as allowed under § 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 - 0utdoor housing facilities.

(a) Acclimation. Only nonhuman 

primates that are acclimated, as determined 

by the attending veterinarian, to the 

prevailing temperature and humidity at the 

outdoor housing facility during the time of 

year they are at the facility, and that can 

tolerate the range of temperatures and 

climatic conditions known to occur at the 

facility at that time of year without stress or 

discomfort, may be kept in outdoor 

facilities.

(b) Shelter from the elements. Outdoor 

housing facilities for nonhuman primates 

must provide adequate shelter from the 

elements at all times. It must provide 

protection from the sun, rain, snow, wind, 

and cold, and from any weather conditions 

that may occur. The shelter must safely 

provide heat to the nonhuman primates to 

prevent the ambient temperature from 

falling below 45 °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 

96
physical contact between animals inside the 

enclosure and outside the perimeter fence. 

Such fences less than 3 feet in distance from 

the primary enclosure must be approved by 

the Administrator. A perimeter fence is not 

required if:

(1) The outside walls of the primary 

enclosure are made of a sturdy, durable 

material such as concrete, wood, plastic, 

metal, or glass, and are high enough and 

constructed in a manner that restricts contact 

with or entry by humans and animals that 

are outside the housing facility; or

(2) The housing facility is surrounded 

by a natural barrier that restricts the 

nonhuman primates to the housing facility 

and protects them from contact with 

unauthorized humans and animals that are 

outside the housing facility, and the 

Administrator gives written permission.

(e) Public barriers. Fixed public 

exhibits housing nonhuman primates, such 

as zoos, must have a barrier between the 

primary enclosure and the public at any time 

the public is present, in order to restrict 

physical contact between the public and the 

nonhuman primates. Nonhuman primates 

used in trained animal acts or in uncaged 

public exhibits must be under the direct 

control and supervision of an experienced 

handler or trainer at all times when the 

public is present. Trained nonhuman 

primates may be allowed physical contact 

with the public, but only if they are under 

the direct control and supervision of an 

experienced handler or trainer at all times 

during the contact.

(Approved by the Office of Management 

and Budget under control number 0579-

0093)

§ 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 wellbeing 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 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.

97
§ 3.80 - Primary enclosures.

Primary enclosures for nonhuman 

primates must meet the following minimum 

requirements:

(a) General requirements.

(1) Primary enclosures must be 

designed and constructed of suitable 

materials so that they are structurally sound 

for the species of nonhuman primates 

contained in them. They must be kept in 

good repair.

(2) Primary enclosures must be 

constructed and maintained so that they:

(i) Have no sharp points or edges 

that could injure the nonhuman primates;

(ii) Protect the nonhuman primates 

from injury;

(iii) Contain the nonhuman 

primates securely and prevent accidental 

opening of the enclosure, including opening 

by the animal;

(iv) Keep other unwanted animals 

from entering the enclosure or having 

physical contact with the nonhuman 

primates;

(v) Enable the nonhuman primates 

to remain dry and clean;

(vi) Provide shelter and protection 

from extreme temperatures and weather 

conditions that may be uncomfortable or 

hazardous to the species of nonhuman 

primate contained;

(vii) Provide sufficient shade to 

shelter all the nonhuman primates housed in 

the primary enclosure at one time;

(viii) Provide the nonhuman 

primates with easy and convenient access to 

clean food and water;

(ix) Enable all surfaces in contact 

with nonhuman primates to be readily 

cleaned and sanitized in accordance with § 

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 

98
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

apes1 and will be calculated by using the 

following table:2

1 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.

2 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.

99

 

 
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)

§ 3.81 - 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 

100
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 speciestypical activities. Species differences should 

be considered when determining the type or 

methods of enrichment. Examples of 

environmental enrichments include 

providing perches, swings, mirrors, and 

other increased cage complexities; providing 

objects to manipulate; varied food items; 

using foraging or task-oriented feeding 

methods; and providing interaction with the 

care giver or other familiar and 

knowledgeable person consistent with 

personnel safety precautions.

(c) Special considerations. Certain 

nonhuman primates must be provided 

special attention regarding enhancement of 

their environment, based on the needs of the 

individual species and in accordance with 

the instructions of the attending veterinarian. 

Nonhuman primates requiring special 

attention are the following:

(1) Infants and young juveniles;

(2) Those that show signs of being in 

psychological distress through behavior or 

appearance;

(3) Those used in research for which 

the Committee-approved protocol requires 

restricted activity;

(4) Individually housed nonhuman 

primates that are unable to see and hear 

nonhuman primates of their own or 

compatible species; and

(5) Great apes weighing over 110 lbs. 

(50 kg). Dealers, exhibitors, and research 

facilities must include in the environment 

enhancement plan special provisions for 

great apes weighing over 110 lbs. (50 kg), 

including additional opportunities to express 

species-typical behavior.

(d) Restraint devices. Nonhuman 

primates must not be maintained in restraint 

devices unless required for health reasons as

determined by the attending veterinarian or 

by a research proposal approved by the 

Committee at research facilities. 

Maintenance under such restraint must be 

for the shortest period possible. In instances 

where long-term (more than 12 hours) 

restraint is required, the nonhuman primate 

must be provided the opportunity daily for 

unrestrained activity for at least one 

continuous hour during the period of 

restraint, unless continuous restraint is 

required by the research proposal approved 

by the Committee at research facilities.

(e) Exemptions.

(1) The attending veterinarian may 

exempt an individual nonhuman primate 

from participation in the environment 

enhancement plan because of its health or 

condition, or in consideration of its wellbeing. The basis of the exemption must be 

recorded by the attending veterinarian for 

each exempted nonhuman primate. Unless 

the basis for the exemption is a permanent 

condition, the exemption must be reviewed 

at least every 30 days by the attending 

veterinarian.

(2) For a research facility, the 

Committee may exempt an individual 

nonhuman primate from participation in 

some or all of the otherwise required 

environment enhancement plans for 

scientific reasons set forth in the research 

proposal. The basis of the exemption shall 

be documented in the approved proposal and 

must be reviewed at appropriate intervals as 

determined by the Committee, but not less 

than annually.

(3) Records of any exemptions must 

be maintained by the dealer, exhibitor, or 

research facility and must be made available 

to USDA officials or officials of any 

pertinent funding Federal agency upon 

request.

101
(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, 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 

102
the primary enclosure must be spot-cleaned 

daily.

(b) Sanitization of primary enclosures 

and food and water receptacles.

(1) A used primary enclosure must be 

sanitized in accordance with this section 

before it can be used to house another 

nonhuman primate or group of nonhuman 

primates.

(2) Indoor primary enclosures must 

be sanitized at least once every 2 weeks and 

as often as necessary to prevent an excessive 

accumulation of dirt, debris, waste, food 

waste, excreta, or disease hazard, using one 

of the methods prescribed in paragraph 

(b)(3) of this section. However, if the 

species of nonhuman primates housed in the 

primary enclosure engages in scent marking, 

the primary enclosure must be sanitized at 

regular intervals determined in accordance 

with generally accepted professional and 

husbandry practices.

(3) Hard surfaces of primary 

enclosures and food and water receptacles 

must be sanitized using one of the following 

methods:

(i) Live steam under pressure;

(ii) Washing with hot water (at 

least 180 °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 well-being 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 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 

103
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 

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 

104
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)

§ 3.87 - Primary enclosures used to 

transport nonhuman primates.

Any person subject to the Animal 

Welfare regulations (9 CFR parts 1, 2, and 

3) must not transport or deliver for transport 

in commerce a nonhuman primate unless it 

is contained in a primary enclosure, such as 

a compartment, transport cage, carton, or 

crate, and the following requirements are 

met:

(a) Construction of primary enclosures.

Primary enclosures used to transport 

nonhuman primates may be connected or 

attached to each other and must be 

constructed so that:

(1) The primary enclosure is strong 

enough to contain the nonhuman primate 

securely and comfortably and to withstand 

the normal rigors of transportation;

(2) The interior of the enclosure has 

no sharp points or edges and no protrusions 

that could injure the animal contained in it;

(3) The nonhuman primate is at all 

times securely contained within the 

enclosure and cannot put any part of its body 

outside the enclosure in a way that could 

result in injury to the animal, or to persons 

or animals nearby;

(4) The nonhuman primate can be 

easily and quickly removed from the 

enclosure in an emergency;

(5) The doors or other closures that 

provide access into the enclosure are secured 

with animal-proof devices that prevent 

accidental opening of the enclosure, 

including opening by the nonhuman 

primate;

(6) Unless the enclosure is 

permanently affixed to the conveyance, 

adequate devices such as handles or 

handholds are provided on its exterior, and 

enable the enclosure to be lifted without 

tilting it, and ensure that anyone handling 

the enclosure will not come into physical 

contact with the animal contained inside;

(7) Any material, treatment, paint, 

preservative, or other chemical used in or on 

the enclosure is nontoxic to the animal and 

not harmful to the health or well-being of 

the animal;

(8) Proper ventilation is provided to 

the nonhuman primate in accordance with 

paragraph (c) of this section;

(9) Ventilation openings are covered 

with bars, wire mesh, or smooth expanded 

metal having air spaces; and

(10) The primary enclosure has a 

solid, leak-proof bottom, or a removable, 

leak-proof collection tray under a slatted or 

wire mesh floor that prevents seepage of 

waste products, such as excreta and body 

fluids, outside of the enclosure. If a slatted 

or wire mesh floor is used in the enclosure, 

it must be designed and constructed so that 

the animal cannot put any part of its body 

between the slats or through the holes in the 

mesh. It must contain enough previously 

unused litter to absorb and cover excreta. 

The litter must be of a suitably absorbent 

material that is safe and nontoxic to the 

nonhuman primate and is appropriate for the

species transported in the primary enclosure.

(b) Cleaning of primary enclosures. A 

primary enclosure used to hold or transport 

nonhuman primates in commerce must be 

cleaned and sanitized before each use in 

accordance with the methods provided in § 

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 

105
of each such wall and be located above the 

midline of the enclosure.

(2) Unless the primary enclosure is 

permanently affixed to the conveyance, 

projecting rims or similar devices must be 

located on the exterior of each enclosure 

wall having a ventilation opening, in order 

to prevent obstruction of the openings. The 

projecting rims or similar devices must be 

large enough to provide a minimum air 

circulation space of 0.75 inches (1.9 

centimeters) between the primary enclosure 

and anything the enclosure is placed against.

(3) If a primary enclosure is 

permanently affixed to the primary 

conveyance so that there is only a front 

ventilation opening for the enclosure, the 

primary enclosure must be affixed to the 

primary conveyance in such a way that the 

front ventilation opening cannot be blocked, 

and the front ventilation opening must open 

directly to an unobstructed aisle or 

passageway inside of the conveyance. The 

ventilation opening must be at least 90 

percent of the total area of the front wall of 

the enclosure, and must be covered with 

bars, wire mesh, or smooth expanded metal 

having air spaces.

(d) Compatibility.

(1) Only one live nonhuman primate 

may be transported in a primary enclosure, 

except as follows:

(i) A mother and her nursing 

infant may be transported together;

(ii) An established male-female 

pair or family group may be transported 

together, except that a female in estrus must 

not be transported with a male nonhuman 

primate;

(iii) A compatible pair of juveniles 

of the same species that have not reached 

puberty may be transported together.

(2) Nonhuman primates of different 

species must not be transported in adjacent 

or connecting primary enclosures.

(e) Space requirements. Primary 

enclosures used to transport nonhuman 

primates must be large enough so that each 

animal contained in the primary enclosure 

has enough space to turn around freely in a 

normal manner and to sit in an upright, 

hands down position without its head 

touching the top of the enclosure. However, 

certain larger species may be restricted in 

their movements, in accordance with 

professionally accepted standards of care, 

when greater freedom of movement would 

be dangerous to the animal, its handler, or to 

other persons.

(f) Marking and labeling. Primary 

enclosures, other than those that are 

permanently affixed to a conveyance, must 

be clearly marked in English on the top and 

on one or more sides with the words “Wild 

Animals,” or “Live Animals,” in letters at 

least 1 inch (2.5 cm.) high, and with arrows 

or other markings to indicate the correct 

upright position of the primary enclosure. 

Permanently affixed primary enclosures 

must be clearly marked in English with the 

words “Wild Animals” or “Live Animals,” 

in the same manner.

(g) Accompanying documents and 

records. Shipping documents that must 

accompany shipments of nonhuman 

primates may be held by the operator of the 

primary conveyance, for surface 

transportation only, or must be securely 

attached in a readily accessible manner to 

the outside of any primary enclosure that is 

part of the shipment, in a manner that allows 

them to be detached for examination and 

securely reattached, such as in a pocket or 

sleeve. Instructions for administration of 

drugs, medication, and other special care 

must be attached to each primary enclosure 

in a manner that makes them easy to notice, 

to detach for examination, and to reattach 

securely. Food and water instructions must 

be attached in accordance with § 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 

106
breathing of all the animals being 

transported in it.

(c) Each primary enclosure containing 

nonhuman primates must be positioned in 

the animal cargo space in a manner that 

provides protection from the elements and 

that allows each nonhuman primate enough 

air for normal breathing.

(d) During air transportation, the 

ambient temperature inside a primary 

conveyance used to transport nonhuman 

primates must be maintained at a level that 

ensures the health and well-being of the 

species housed, in accordance with generally 

accepted professional and husbandry 

practices, at all times a nonhuman primate is 

present.

(e) During surface transportation, the 

ambient temperature inside a primary 

conveyance used to transport nonhuman 

primates must be maintained between 45 °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 food1 at 

least once every 24 hours. Each nonhuman 

primate that is less than 1 year of age must 

1 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.

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 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 intransit 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)

107

 
§ 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 

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.

(d) Temperature. The ambient 

temperature in an animal holding area 

108
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 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)

109
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,1 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 

1 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.

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 wellbeing of such marine mammals. Such a 

report will be required only in those cases 

when the Deputy Administrator determines 

that such expertise is necessary to determine 

whether the granting of a variance would 

cause a situation detrimental to the health 

and well-being of the marine mammals 

involved. The cost of such report is to be 

paid by the applicant.

(d) Variances granted for facilities 

because of ill or infirm marine mammals 

that cannot be moved without placing their 

well-being in jeopardy, or for facilities 

within 0.3048 meters (1 foot) of compliance 

with any space requirement may be granted 

for up to the life of the marine mammals 

involved. Otherwise, variances shall be 

granted for a period not exceeding July 30, 

1986, Provided, however, That under 

circumstances deemed justified by the 

Deputy Administrator, a maximum 

extension of 1 year may be granted to attain 

full compliance. A written request for the 

extension must be received by the Deputy 

Administrator by May 30, 1986. 

Consideration for extension by the Deputy 

Administrator will be limited to unforeseen 

or unusual situations such as when necessary 

public funds cannot be allocated in an 

appropriate time frame for a facility to attain 

full compliance by July 30, 1986.

(e) The Deputy Administrator shall deny 

any application for a variance if he 

determines that it is not justified under the 

circumstances or that allowing it will be 

detrimental to the health and well-being of 

the marine mammals involved.

(f) Any facility housing marine 

mammals that does not meet all of the space 

requirements as of July 30, 1984, must meet 

all of the requirements by September 28, 

1984, or may operate without meeting such 

requirements until action is taken on an 

application for a variance if the application 

is submitted to the Deputy Administrator on 

or before September 28, 1984.

(g) A research facility may be granted a 

variance from specified requirements of this 

subpart when such variance is necessary for 

research purposes and is fully explained in 

110

 
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) 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 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 

111
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]

Note: Effective July 31, 2013, USDA issued 

a stay of the contingency plan regulation. 

This means that, until further notice, 

dealers, exhibitors, research facilities, 

intermediate handlers and carriers will not 

be required to comply with the contingency 

planning, training and other requirements of 

sections 2.134 or 2.38.

§ 3.102 - Facilities, indoor.

(a) Ambient temperature. The air and 

water temperatures in indoor facilities shall 

be sufficiently regulated by heating or 

cooling to protect the marine mammals from 

extremes of temperature, to provide for their 

good health and well-being and to prevent 

discomfort, in accordance with the currently 

accepted practices as cited in appropriate 

professional journals or reference guides, 

depending upon the species housed therein. 

Rapid changes in air and water temperatures 

shall be avoided.

(b) Ventilation. Indoor housing facilities 

shall be ventilated by natural or artificial 

means to provide a flow of fresh air for the 

marine mammals and to minimize the 

accumulation of chlorine fumes, other gases, 

and objectionable odors. A vertical air space 

averaging at least 1.83 meters (6 feet) shall 

be maintained in all primary enclosures 

housing marine mammals, including pools 

of water.

(c) Lighting. Indoor housing facilities 

for marine mammals shall have ample 

lighting, by natural or artificial means, or 

both, of a quality, distribution, and duration 

which is appropriate for the species 

involved. Sufficient lighting must be 

available to provide uniformly distributed 

illumination which is adequate to permit 

routine inspections, observations, and 

cleaning of all parts of the primary enclosure 

including any den areas. The lighting shall 

be designed so as to prevent overexposure of 

the marine mammals contained therein to 

excessive illumination.1

[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 

1 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.

112

 
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 

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 pools 

or enclosures, holding pools or enclosures, 

and gated side pools smaller than the 

minimum space requirements) may not be 

113
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 fluke1

), 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 

1 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.

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 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.

114

 
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.

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.

115
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

Group II Cetaceans:

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

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.

116
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

Hydrurga leptonyx Leopard Seal 2.90 3.30 9.5 10.8

Mirounga angustirostris** Northern Elephant 

Seal

3.96 2.49 13.0 8.2

Mirounga leonina** Southern Elephant 

Seal

4.67 2.50 15.3 8.2

Odobenus rosmarus** Walrus 3.15 2.60 10.3 8.5

Otaria flavescens** South American Sea 

Lion

2.40 2.00 7.9 6.6

Phoca caspica Caspian Seal 1.45 1.40 4.75 4.6

Phoca fasciata Ribbon Seal 1.75 1.68 5.7 5.5

Phoca larga Harbor Seal 1.70 1.50 5.6 4.9

Phoca vitulina Habor Seal 1.70 1.50 5.6 4.9

Zalophus californianus California Sea Lion 2.24 1.75 7.3 5.7

Halichoerus grypus** Grar Seal 2.30 1.95 7.5 6.4

Phoca sibirica Baikal Seal 1.70 1.85 5.6 6.1

Phoca groenlandica Harp Seal 1.85 1.85 6.1 6.1

Leptonychotes weddelli** Weddell Seal 2.90 3.15 9.5 10.3

Lobodon carcinophagus** Crabeater Seal 2.21 2.21 7.3 7.3

Ommatophoca rossi** Ross Seal 1.99 2.13 6.5 7.0

Group II Pinnipeds:

Erignathus barbatus Bearded Seal 2.33 2.33 7.6 7.6

Phoca hispida Ringed Seal 1.35 1.30 4.4 4.3

Cystophora cristata Hooded Seal 2.60 2.00 8.5 6.6

Note. **Any Group I animals maintained together will be considered as Group II when 

the animals maintained together include two or more sexually mature males from species 

marked with a double asterisk (**) regardless of whether the sexually mature males from 

the same species.

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

117
(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.

(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:

Vol. = (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:

118
In a pool containing more than two Group I cetaceans or more than four Group II cetaceans,1 the 

additional surface area which may be required when animals are added must be calculated for each 

such animal.

(ii) When a mixture of Group I and Group II cetaceans are to be housed in a pool, the 

required MHD, depth, and volume must be met. Then the required surface area must be determined 

for each animal in the pool. The sum of these surface areas must then be compared to the surface 

area which is obtained by a computation based on the required MHD of the pool.2 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.

1 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.

2 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

.

119

 
(c) Sirenians. Primary enclosures 

housing sirenians shall contain a pool of 

water and may consist entirely of a pool of 

water.

(1) The required MHD of a primary 

enclosure pool for sirenians shall be two 

times the average adult length of the longest 

species of sirenian to be housed therein. 

Calculations shall be based on the average 

adult length of such sirenians as measured in 

a horizontal line from the tip of the muzzle 

to the notch in the tail fluke of dugongs and 

from the tip of the muzzle to the most distal 

point in the rounded tail of the manatee.

(2) The minimum depth requirements 

for primary enclosure pools for all sirenians 

shall be one-half the average adult length of 

the longest species to be housed therein, or 

1.52 meters (5.0 feet), whichever is greater. 

Those parts of the primary enclosure pool 

which do not meet the minimum depth 

requirements cannot be included when 

calculating space requirements for sirenians.

(3) A pool which satisfies the 

required MHD and depth shall be adequate 

for one or two sirenians. Volume and 

surface area requirements for additional 

animals shall be calculated using the same 

formula as for Group I cetaceans, except that 

the figure for depth requirement for 

sirenians shall be one-half the average adult 

length or 1.52 meters (5.0 feet), whichever is 

greater.

(d) Pinnipeds.

(1) Primary enclosures housing 

pinnipeds shall contain a pool of water and a 

dry resting or social activity area that must 

be close enough to the surface of the water 

to allow easy access for entering or leaving 

the pool. For the purposes of this subpart, 

pinnipeds have been divided into Group I 

pinnipeds and Group II pinnipeds as shown 

in Table III in this section. In certain 

instances some Group I pinnipeds shall be 

considered as Group II pinnipeds. (See 

Table III).

(2) The minimum size of the dry 

resting or social activity area of the primary 

enclosure for pinnipeds (exclusive of the 

pool of water) shall be based on the average 

adult length of each pinniped contained 

therein, as measured in a horizontal or 

extended position in a straight line from the 

tip of its nose to the tip of its tail. The 

minimum size of the dry resting or social 

activity area shall be computed using the 

following methods:

(i) Group I pinnipeds. Square the 

average adult length of each pinniped to be 

contained in the primary enclosure. Add the 

figures obtained for each of the pinnipeds in 

the primary enclosure to determine the dry 

resting or social activity area required for 

such pinnipeds. If only a single Group I 

pinniped is maintained in the primary 

enclosure, the minimum dry resting or social 

activity area shall be twice the square of the 

average adult length of that single Group I 

pinniped. Examples:

(average adult length)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 

(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.

120
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 

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 

121
shall not be visible from the interior of the 

den. A separate den shall be provided for 

each adult female of breeding age which is 

permanently housed in the same primary 

enclosure with an adult male of breeding 

age. Female polar bears in traveling acts or 

shows must be provided a den when 

pregnancy has been determined.

(f) Sea otters.

(1) Primary enclosures for sea otters 

shall consist of a pool of water and a dry 

resting area. The MHD of the pool of water 

for sea otters shall be at least three times the 

average adult length of the sea otter 

contained therein (measured in a horizontal 

line from the tip of its nose to the tip of its 

tail) and the pool shall be not less than .91 

meters (3.0 feet) deep. When more than two 

sea otters are housed in the same primary 

enclosure, additional dry resting area as well 

as pool volume is required to accommodate 

the additional sea otters. (See Table V).

(2) The minimum volume of water 

required for a primary enclosure pool for sea 

otters shall be based on the sea otter's 

average adult length. The minimum volume 

of water required in the pool shall be 

computed using the following method: 

Multiply the square of the sea otter's average 

adult length by 3.14 and then multiply the 

total by 0.91 meters (3.0 feet). This volume 

is satisfactory for one or two otters. To 

calculate the additional volume of water for 

each additional sea otter above two in a 

primary enclosure, multiply one-half of the 

square of the sea otter's average adult length 

by 3.14, then multiply by 0.91 meters (3.0 

feet). (See Table V).

(3) The minimum dry resting area 

required for one or two sea otters shall be 

based on the sea otter's average adult length. 

The minimum dry resting area for one or 

two sea otters shall be computed using the 

following method: Square the average adult 

length of the sea otter and multiply the total 

by 3.14. When the enclosure is to contain 

more than two sea otters, the dry resting area 

for each additional animal shall be computed 

by multiplying one-half of the sea otter's 

average adult length by 3.14. Using 1.25 

meters or 4.1 feet (the average adult length 

of a sea otter), the calculations for additional 

space will result in the following figures:

TABLE V – ADDITIONAL SPACE REQUIRED FOR EACH SEA OTTER WHEN MORE 

THAN TWO IN A PRIMARY ENCLOSURE

Average adult length of 

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 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. 

122
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]

§ 3.106 - 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 

123
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 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.

(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 

124
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 

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 

125
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 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: 

126
(ii) Three cetaceans: 

(iii) Additional SA for each 

animal in excess of three: 

(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.

(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 

127
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 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 

APHIS1 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 

APHIS2 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 

1 Send to Administrator, c/o Animal 

and Plant Health Inspection Service, Animal 

Care, 4700 River Road Unit 84, Riverdale, 

Maryland 20737-1234. 2 See footnote 1 in § 3.111(e)(8).

128

 
undergo prior to participation in the 

program;

(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 APHIS1 on a semi-annual 

basis.

1 See footnote 1 in § 3.111(e)(8).

(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.2 Within 7 days of any such 

incident, a written report shall be submitted 

to the Administrator.3 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 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,4 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 

2 Eastern Regional Office: (919) 855-

7100. Western Regional Office: (970) 494-

7478.3 See footnote 1 in § 3.111(e)(8).

4 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).

129

 

 
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. 

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.

130
(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;

(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 

131
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 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 health and 

assure the safety and comfort of the marine 

mammals contained within at all times. All 

primary conveyances used must be 

132
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 well-being 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]

§ 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.

133
(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;

(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, 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]

134
§ 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]

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.

135
(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 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.

136
[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 

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 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]

137
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 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 

138
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]

§ 3.137 - Primary enclosures used to 

transport live animals.

No dealer, research facility, exhibitor, or 

operator of an auction sale shall offer for 

transportation or transport, in commerce, 

any live animal in a primary enclosure 

which does not conform to the following 

requirements:

(a) Primary enclosures, such as 

compartments, transport cages, cartons, or 

crates, used to transport live animals shall be 

constructed in such a manner that (1) the 

structural strength of the enclosure shall be 

sufficient to contain the live animals and to 

withstand the normal rigors of 

transportation; (2) the interior of the 

enclosure shall be free from any protrusions 

that could be injurious to the live animals 

contained therein; (3) the opernings of such 

enclosures are easily accessible at all times 

for emergency removal of the live animals; 

(4) except as provided in paragraph (g) of 

this section, there are ventilation openings 

located on two opposite walls of the primary 

enclosure and the ventilation openings on 

each such wall shall be at least 16 percent of 

the total surface area of each such wall, or 

there are ventilation openings located on all 

four walls of the primary enclosure and the 

ventilation openings on each such wall shall 

be at least 8 percent of the total surface area 

of each such wall: Provided, however, That 

at least one-third of the total minimum area 

required for ventilation of the primary 

enclosure shall be located on the lower onehalf of the primary enclosure and at least 

one-third of the total minimum area required 

for ventilation of the primary enclosure shall 

be located on the upper one-half of the 

primary enclosure; (5) except as provided in 

paragraph (g) of this section, projecting rims 

or other devices shall be on the exterior of 

the outside walls with any ventilation 

openings to prevent obstruction of the 

ventilation openings and to provide a 

minimum air circulation space of 1.9 

centimeters (.75 inch) between the primary 

enclosure and any adjacent cargo or 

conveyance wall; and (6) except as provided 

in paragraph (g) of this section, adequate 

handholds or other devices for lifting shall 

be provided on the exterior of the primary 

enclosure to enable the primary enclosure to 

be lifted without tilting and to ensure that 

the person handling the primary enclosure 

will not be in contact with the animal.

(b) Live animals transported in the same 

primary enclosure shall be of the same 

species and maintained in compatible 

groups. Live animals that have not reached 

puberty shall not be transported in the same 

primary enclosure with adult animals other 

than their dams. Socially dependent animals 

(e.g., sibling, dam, and other members of a 

family group) must be allowed visual and 

olfactory contact. Any female animal in 

season (estrus) shall not be transported in 

the same primary enclosure with any male 

animal.

(c) Primary enclosures used to transport 

live animals shall be large enough to ensure 

that each animal contained therein has 

sufficient space to turn about freely and to 

make normal postural adjustments: 

Provided, however, That certain species may 

be restricted in their movements according 

to professionally acceptable standards when 

such freedom of movement would constitute 

a danger to the animals, their handlers, or 

other persons.

(d) Primary enclosures used to transport 

live animals as provided in this section shall 

have solid bottoms to prevent leakage in 

shipment and still be cleaned and sanitized 

in a manner prescribed in § 3.131 of the 

standards, if previously used. Such primary 

enclosures shall contain clean litter of a 

suitable absorbant material, which is safe 

and nontoxic to the live animals contained 

therein, in sufficient quantity to absorb and 

cover excreta, unless the animals are on wire 

or other nonsolid floors.

(e) Primary enclosures used to transport 

live animals, except where such primary 

enclosures are permanently affixed in the 

animal cargo space of the primary 

139
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.

(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.

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(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 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 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 

141
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.

(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]

142
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 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.

143