Animal Care Resource Guide Introduction 

Research Facility Inspection Guide General Information 

ANIMAL CARE 1.3.1 

3/06 

 Application The Research Facility Inspection Guide is to be used as a 

reference for inspecting USDA registered research facilities. 

By presenting regulatory and policy criteria and inspection 

procedures in a clear, concise, logical, and user-friendly format, 

it is designed to assist Animal Care personnel in performing and 

documenting compliance inspections and making appropriate 

decisions. 

The Research Facility Inspection Guide is to be used as an 

adjunct to - not a replacement for - the 9 CFR. Although 

Animal Care personnel are expected to exercise professional 

judgment, all inspection decisions must be justified by applicable 

sections of the regulations and standards.

The Research Facility Inspection Guide is designed to be 

 a Astand alone@ component of the Animal Care Resource Guide. 

It contains all the information necessary to complete an inspection 

of a USDA registered research facility. To ensure the Research 

Facility Inspection Guide is available as a reference, field 

inspectors should carry it in their vehicles. 

 

 Related Documents Χ Title 9 of the Code of Federal Regulations (9 CFR) 

Χ Animal Care Policy Manual 

 Users The Research Facility Inspection Guide is targeted primarily at 

Animal Care field personnel (new or experienced), Supervisory 

Animal Care Specialists, and Animal Care Staff who are directly or 

indirectly involved in compliance inspections of USDA registered 

research facilities. 

In addition to the primary target audience, the Research Facility 

Inspection Guide may serve as a reference for other APHIS 

personnel or Government agencies who regulate or interact with 

USDA registered research facilities. Interested public 

organizations or individuals as well as the regulated community 

may also be able to use this information. 

 Usage The Inspection Guides within the Animal Care Resource Guide are 

 
Introduction Animal Care Resource Guide 

General Information Research Facility Inspection Guide 

1.3.2 ANIMAL CARE 

4/01 

 based on the type of facility or activity conducted and regulated 

Dealer, Exhibitor, Research, and Transporter. 

Each Inspection Guide is designed to function as a Astand alone@

reference. The Research Facility Inspection Guide contains all the 

information necessary to complete an inspection of a USDA 

registered research facility. 

 Sections & Topics 

 (Information)

The sections and topics within the Research Facility Inspection 

Guide will address all areas/activities of a research facility which 

must be inspected for compliance. If information is relevant to 

more than one section, it will usually appear in all applicable 

sections. The exception will be lengthy information which will 

appear in the primary section and be referenced in all other 

applicable sections. 

 

 Sections & Topics

 (Organization)

Sections are identified by dividers. Each new topic within a 

section will begin on a right-hand (facing) page. 

Topics within a section that involve step-by-step procedures (e.g., 

ACompletion of the Inspection Report@) are organized in 

sequential order. For sections not requiring a specific order (e.g., 

ASpecific Types of Inspections@), the topics are organized in 

alphabetical order.

 Subtopics General subtopics within each topic may include: 

Χ Criteria: A list of criteria a facility must meet to be in 

compliance with the applicable section of the 9 CFR. The 

criteria apply to all regulated species, and all criteria must 

be met unless specified otherwise 

. 

Χ Species Specific Criteria: Criteria applicable only to the 

species listed 

Χ Exceptions/Exemptions: Special circumstances or 

situations when a facility which does not meet one or more 

criteria may still be in compliance 
Animal Care Resource Guide Introduction 

Research Facility Inspection Guide General Information 

ANIMAL CARE 1.3.3 

3/06 

 Meaning of Must,

 Should, and May

The words Amust@, Ashould@, and Amay@ are used throughout 

the Guide as follows: 

Χ Must is used when the referenced actions are required by 

the 9 CFR regulations or standards or Animal Care Policies 

Χ Should is used when the reference actions are: 

< strongly recommended but not specifically 

required by the 9 CFR regulations/standards or 

Animal Care Policies, and/or 

< directed by Animal Care Management 

Χ May is used when the referenced actions are optional

 Citations The applicable 9 CFR regulations and standards and Animal 

Care Policies are cited: 

Χ in the general statement of each topic 

Χ after specific items within topics or subtopics (as 

appropriate) 

Χ at the beginning of a bulleted/numbered list if applicable to 

the whole list 

Χ at the end of an item if applicable only to that item 

 Finding 

 Information

Information in the Research Facility Inspection Guide may be 

located by using the Table of Contents or the Index. 

The Table of Contents lists the sections and each topic in that 

section with their corresponding page numbers in the Guide. 

The Index lists Akey@ words and the location where the 

information is found. (See Indexing) 

 Control Data Each page is identified as follows: 

Χ Header

< inside corner contains name of book (i.e., AAnimal 

Care Resource Guide@) and the title of the 

applicable inspection guide (e.g., AResearch Facility 
Introduction Animal Care Resource Guide 

General Information Research Facility Inspection Guide 

1.3.4 ANIMAL CARE 

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Inspection Guide@) 

< outside corner contains the section title (e.g., 

AInspection Procedures@) and topic heading (e.g., 

AManaging Your Territory@) 

Χ Footer

< inside corner contains the program name (i.e., 

AAnimal Care@) and the issue date of the page 

(e.g., 4/01) 

< outside corner contains a 3-digit page number 

(e.g., 5.1.1) which refers respectively to the section 

(e.g., AInspection Procedures@), topic (e.g., 

 AManaging Your Territory@), and the consecutive 

 page within the topic (e.g., page 1 of AManaging 

 Your Territory@). 

Text Format Information is presented in a 2-column format as follows: 

Χ Left Column

< topic title distinguished with boldfaced, uppercase 

letters and larger font 

< subtopic titles boldfaced to denote major headings 

Χ Right Column

< general statement for topic 

< bullets precede listed items when there is no 

inferred order, priority, or rank 

< numbers precede listed items when the items are 

steps of a process or procedure, or present 

information in a logical order 

Text Variations Major headings are boldfaced to make them distinctive and easy to 

locate. 

Boldfacing and/or italicizing is used within the text to highlight 

important concepts or the emphasize key words in the text or words 

that aid in understanding. 
Animal Care Resource Guide Introduction 

Research Facility Inspection Guide General Information 

ANIMAL CARE 1.3.5 

3/06 

 Pagination Each page is numbered in the lower outside corner with a 3-digit 

number (e.g., 2.2.3) which refers respectively to the section, topic, 

and page within the topic. 

Each section is separated by a tab and consecutively numbered 

within the Research Facility Inspection Guide (e.g., 2.2.1, 3.2.1). 

Each topic begins on a right-hand (facing) page and is 

consecutively numbered within a section (e.g., 2.2.1, 2.3.1). 

Each page within a topic is consecutively numbered (e.g., 2.2.1, 

2.2.2). 

 Indexing Information in the Research Facility Inspection Guide is referenced 

in the index by key words. The 3-digit number(s) listed by each 

key word (e.g., 5.1.1) refers respectively to the section (e.g. 

AInspection Procedures@), topic (e.g. AManaging Your 

Territory@), and consecutive page within the topic (e.g., page 1 of 

AManaging Your Territory@). 

 Reporting 

 Problems

If you identify content problems in the Research Facility Inspection 

Guide or have suggestions for improvement, notify APHIS AC as 

follows: 

1. Make a copy of the applicable page (or pages) 

2. Indicate the needed corrections or your recommendations 

on the page or on a supplemental sheet 

3. Send your input to: 

Joyce Barkley 

USDA, APHIS, AC 

4700 River Road, Unit 84 

Riverdale, MD 20737-1230 

If you wish to speak directly to an Animal Care staff member, you 

may call Animal Care Headquarters at (301) 734-7833. 

 

 Revisions Revisions will be made as necessary to correct problems, 
Introduction Animal Care Resource Guide 

General Information Research Facility Inspection Guide 

1.3.6 ANIMAL CARE 

incorporate suggestions for improvement, or reflect changes in 

the 9 CFR regulations/standards or Animal Care Policies. The 

Research Facility Inspection Guide is formatted and paginated so 

that only specific pages with changes will need to be replaced. 

Revisions will be sent to AC personnel and posted on the 

Internet and can be downloaded from the APHIS AC website at 

(http://www.aphis.usda.gov/animal_welfare). 

 Additional Copies Research Facility Inspection Guides and revisions or updates are 

available from the Animal Care Headquarters or Regional Offices. 

The Research Facility Inspection Guide and revisions/updates 

are accessible from the Animal Care website at 

(http://www.aphis.usda.gov/animal_welfare). 

3/07