Animal Care

Animal Welfare Act and

Animal Welfare Regulations

Animal Welfare Act and

Animal Welfare Regulations

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

Agriculture (USDA) civil rights regulations and policies, the USDA, its 

Agencies, offices, and employees, and institutions participating in 

or administering USDA programs are prohibited from discriminating 

based on race, color, national origin, religion, sex, gender identity 

(including gender expression), sexual orientation, disability, age, 

marital status, family/parental status, income derived from a public 

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

civil rights activity, in any program or activity conducted or funded by 

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

filing deadlines vary by program or incident. 

Persons with disabilities who require alternative means of 

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

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

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

and TTY) or contact USDA through the Federal Relay Service at (800) 

877-8339. Additionally, program information may be made available in 

languages other than English. 

To file a program discrimination complaint, complete the USDA 

Program Discrimination Complaint Form, AD-3027, found online at 

How to File a Program Discrimination Complaint (www.usda.gov/oascr/ 

filing-program-discrimination-complaint-usda-customer) and at any 

USDA office or write a letter addressed to USDA and provide in the 

letter all of the information requested in the form. To request a copy of 

the complaint form, call (866) 632- 9992. Submit your completed form 

or letter to USDA by: (1) mail: 

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

Civil Rights, 1400 Independence Avenue, SW, Washington, 

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

program.intake@usda.gov. 

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

Issued July 2023 

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Animal Welfare Act, USDA Table of Contents 

TABLE OF CONTENTS 

Introduction 1 

Control Data 1 

Footnotes 1 

Updates 2 

Ordering Printed Copies 2 

Questions Or Concerns 2 

Animal Welfare Act 5 

§ 2131 Congressional statement of policy 5 

§ 2132 Definitions 5 

§ 2133 Licensing of dealers and exhibitors 8 

§ 2134 Valid license for dealers and exhibitors required 8 

§ 2135 Time period for disposal of dogs or cats by dealers or exhibitors 8 

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

exhibitors 9 

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

from authorized operators of auction sales and licensed dealers or 

exhibitors 9 

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

prohibited except from authorized operators of auction sales and 

licensed dealers or exhibitors 9 

§ 2139 Principal-agent relationship established 9 

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

handlers, and carriers 10 

§ 2141 Marking and identification of animals 10 

§ 2142 Humane standards and recordkeeping requirements at 

auction sales 10 

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

treatment, and transportation of animals 11 

§ 2144 Humane standards for animals by United States Government 

facilities 18 

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

governmental bodies by Secretary of Agriculture 18 

§ 2146 Administration and enforcement by Secretary 19 

§ 2147 Inspection by legally constituted law enforcement agencies 21 

§ 2148 Importation of live dogs 21 

§ 2149 Violations by licensees 22 
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§ 2150 Repealed 24 

§ 2151 Rules and regulations 24 

§ 2152 Separability 24 

§ 2153 Fees and authorization of appropriations 24 

§ 2154 Effective dates 25 

§ 2155 – Omitted 25 

§ 2156 Animal fighting venture prohibition 25 

§ 2157 Release of trade secrets 28 

§ 2158 Protection of pets 29 

§ 2159 Authority to apply for injunctions 32 

ANIMAL WELFARE REGULATIONS 35

§ 1.1 Definitions 35 

PART 2 – REGULATIONS 47

Part 2: TOC 47 

Subpart A – Licensing 50
 

§ 2.1 Requirements and application 50
 

§ 2.2 Acknowledgement of regulations and standards 54
 

§ 2.3 Demonstration of compliance with standards and regulations 55
 

§ 2.4 Non-interference with APHIS officials 56
 

§ 2.5 Duration of license and termination of license 56
 

§ 2.6—2.8 [Removed and Reserved] 57
 

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


suspended or revoked 57
 

§ 2.10 Licensees whose licenses have been suspended or revoked 57
 

§ 2.11 Denial of license application 58
 

§ 2.12 Termination of a license 60
 

§ 2.13 Appeal of inspection report 60


 Subpart B – Registration 61
 

§ 2.25 Requirements and procedures 61
 

§ 2.26 Acknowledgment of regulations and standards 61
 

§ 2.27 Notification of change of operation 62
 

Subpart C – Research Facilities 63
 

§ 2.30 Registration 63
 

§ 2.31 Institutional Animal Care and Use Committee (IACUC) 64
 

§ 2.32 Personnel qualifications 71
 
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§ 2.33 Attending veterinarian and adequate veterinary care 72
 

§ 2.34 [Reserved] 73
 

§ 2.35 Recordkeeping requirements 74
 

§ 2.36 Annual report 76
 

§ 2.37 Federal research facilities 78
 

§ 2.38 Miscellaneous 78
 

Subpart D – Attending Veterinarian and Adequate Veterinary Care 87
 

§ 2.40 Attending veterinarian and adequate veterinary care 


(dealers and exhibitors) 87
 

Subpart E – Identification of Animals 89
 

§ 2.50 Time and method of identification 89
 

§ 2.51 Form of official tag 93
 

§ 2.52 How to obtain tags 93
 

§ 2.53 Use of tags 93
 

§ 2.54 Lost tags 94
 

§ 2.55 Removal and disposal of tags 94
 

Subpart F – Stolen Animals 95 

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


animals 95
 

Subpart G – Records 96
 

§ 2.75 Records: Dealers and exhibitors 96
 

§ 2.76 Records: Operators of auction sales and brokers 99
 

§ 2.77 Records: Carriers and intermediate handlers 100
 

§ 2.78 Health certification and identification 101
 

§ 2.79 C.O.D. shipments 102
 

§ 2.80 Records, disposition 104
 

Subpart H – Compliance With Standards and Holding Period 105
 

§ 2.100 Compliance with standards 105
 

§ 2.101 Holding period 105
 

§ 2.102 Holding facility 106
 

Subpart I – Miscellaneous 109
 

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


operators of auction sales, intermediate handlers, and carriers 109
 
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§ 2.126 Access and inspection of records and property; submission of 


itineraries 109
 

§ 2.127 Publication of lists of persons subject to the provisions of 


this part. 111
 

§ 2.128 Inspection for missing animals 111
 

§ 2.129 Confiscation and destruction of animals 112
 

§ 2.130 Minimum age requirements 113
 

§ 2.131 Handling of animals 113
 

§ 2.132 Procurement of dogs, cats, and other animals; dealers 114
 

§ 2.133 Certification for random source dogs and cats
 116
 

§ 2.134 Contingency planning 118
 

Subpart J—Importation of Live Dogs 121
 

§ 2.150 Import Permit 121
 

§ 2.151 Certifications 122
 

§ 2.152 Notification of arrival 124
 

§ 2.153 Dogs refused entry 124
 

PART 3 – STANDARDS 126
 

Part 3: TOC 126 

Subpart A: Specifications for the Humane Handling, Care, Treatment, 

and Transportation of Dogs and Cats 132 

FACILITIES AND OPERATING STANDARDS 132 

§ 3.1 Housing facilities, general 132 

§ 3.2 Indoor housing facilities 135 

§ 3.3 Sheltered housing facilities 136 

§ 3.4 Outdoor housing facilities 138 

§ 3.5 Mobile or traveling housing facilities 139 

§ 3.6 Primary enclosures 140 

ANIMAL HEALTH AND HUSBANDRY STANDARDS 144

§ 3.7 Compatible grouping 144 

§ 3.8 Exercise for dogs 145 

§ 3.9 Feeding 147 

§ 3.10 Watering 147 

§ 3.11 Cleaning, sanitization, housekeeping, and pest control 148 

§ 3.12 Employees 150 

§ 3.13 Veterinary care for dogs 150 
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TRANSPORTATION STANDARDS 152 

§ 3.14 Consignment to carriers and intermediate handlers 152 

§ 3.15 Primary enclosures used to transport live dogs and cats 154 

§ 3.16 Primary conveyances (motor vehicle, rail, air, and marine) 159 

§ 3.17 Food and water requirements 160 

§ 3.18 Care in transit 161 

§ 3.19 Terminal facilities 162 

§ 3.20 Handling 164 

Subpart B: Specifications for the Humane Handling, 

Care, Treatment, and Transportation of Guinea Pigs and Hamsters 166 

FACILITIES AND OPERATING STANDARDS 166 

§ 3.25 Facilities, general 166 

§ 3.26 Facilities, indoor 167 

§ 3.27 Facilities, outdoor 167 

§ 3.28 Primary enclosures 168 

ANIMAL HEALTH AND HUSBANDRY STANDARDS 171 

§ 3.29 Feeding 171 

§ 3.30 Watering 172 

§ 3.31 Sanitation 172 

§ 3.32 Employees 173 

§ 3.33 Classification and separation 173 

§ 3.34 [Reserved] 174 

TRANSPORTATION STANDARDS 174

§ 3.35 Consignments to carriers and intermediate handlers 174 

§ 3.36 Primary enclosures used to transport live guinea pigs 

and hamsters 176 

§ 3.37 Primary conveyances (motor vehicle, rail, air, and marine) 179 

§ 3.38 Food and water requirements 180 

§ 3.39 Care in transit 181 

§ 3.40 Terminal facilities 182 

§ 3.41 Handling 183 

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

Transportation of Rabbits 184 
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FACILITIES AND OPERATING STANDARDS 184 

§ 3.50 Facilities, general 184 

§ 3.51 Facilities, indoor 184 

§ 3.52 Facilities, outdoor 185 

§ 3.53 Primary enclosures 186 

ANIMAL HEALTH AND HUSBANDRY STANDARDS 188 

§ 3.54 Feeding 188 

§ 3.55 Watering 188 

§ 3.56 Sanitation 189 

§ 3.57 Employees 190 

§ 3.58 Classification and separation 190 

§ 3.59 [Reserved] 190 

TRANSPORTATION STANDARDS 190

§ 3.60 Consignments to carriers and intermediate handlers 190 

§ 3.61 Primary enclosures used to transport live rabbits 192 

§ 3.62 Primary conveyances (motor vehicle, rail, air, and marine) 194 

§ 3.63 Food and water requirements 196 

§ 3.64 Care in transit 196 

§ 3.65 Terminal facilities 197 

§ 3.66 Handling 198 

Subpart D: Specifications for the Humane Handling, 

Care, Treatment, and Transportation of Nonhuman Primates 199 

§ 3.75 Housing facilities, general 199 

§ 3.76 Indoor housing facilities 202 

§ 3.77 Sheltered housing facilities 203 

§ 3.78 Outdoor housing facilities 206 

§ 3.79 Mobile or traveling housing facilities 207 

§ 3.80 Primary enclosures 208 

§ 3.81 Environment enhancement to promote psychological 

well-being 212 

ANIMAL HEALTH AND HUSBANDRY STANDARDS 214 

§ 3.82 Feeding 214 

§ 3.83 Watering 215 

§ 3.84 Cleaning, sanitization, housekeeping, and pest control 216 

§ 3.85 Employees 217 
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TRANSPORTATION STANDARDS 218 

§ 3.86 Consignments to carriers and intermediate handlers 218 

§ 3.87 Primary enclosures used to transport nonhuman primates 221 

§ 3.88 Primary conveyances (motor vehicle, rail, air, and marine) 224 

§ 3.89 Food and water requirements 225 

§ 3.90 Care in transit 226 

§ 3.91 Terminal facilities 228 

§ 3.92 Handling 229 

Subpart E: Specifications for the Humane Handling, 

Care, Treatment, and Transportation of Marine Mammals 231 

§ 3.100 Special considerations regarding compliance and/or variance 231 

§ 3.101 Facilities, general 233 

§ 3.102 Facilities, indoor 235 

§ 3.103 Facilities, outdoor 236 

§ 3.104 Space requirements 238 

ANIMAL HEALTH AND HUSBANDRY STANDARDS 254

§ 3.105 Feeding 254 

§ 3.106 Water quality 256 

§ 3.107 Sanitation 257 

§ 3.108 Employees or attendants 258 

§ 3.109 Separation 258 

§ 3.110 Veterinary care 259 

§ 3.111 Swim-with-the-dolphin programs 261 

TRANSPORTATION STANDARDS 268

§ 3.112 Consignments to carriers and intermediate handlers 268 

§ 3.113 Primary enclosures used to transport marine mammals 271 

§ 3.114 Primary conveyances (motor vehicle, rail, air and marine) 274 

§ 3.115 Food and drinking water requirements 275 

§ 3.116 Care in transit 275 

§ 3.117 Terminal facilities 277 

§ 3.118 Handling 278 

Subpart F: Specifications for the Humane Handling, Care, Treatment, 

and Transportation of Warmblooded Animals Other Than Dogs, Cats, 

Rabbits, Hamsters, Guinea Pigs, Nonhuman Primates, Marine Mammals, 

and Birds 280 
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FACILITIES AND OPERATING STANDARDS 280 

§ 3.125 Facilities, general 280 

§ 3.126 Facilities, indoor 281 

§ 3.127 Facilities, outdoor 282 

§ 3.128 Space requirements 283 

ANIMAL HEALTH AND HUSBANDRY STANDARDS 283 

§ 3.129 Feeding 283 

§ 3.130 Watering 284 

§ 3.131 Sanitation 284 

§ 3.132 Employees 285 

§ 3.133 Separation 285 

§§ 3.134-3.135 [Reserved] 285 

TRANSPORTATION STANDARDS 285

§ 3.136 Consignments to carriers and intermediate handlers 285 

§ 3.137 Primary enclosures used to transport live animals 287 

§ 3.138 Primary conveyances (motor vehicle, rail, air, and marine) 289 

§ 3.139 Food and water requirements 290 

§ 3.140 Care in transit 291 

§ 3.141 Terminal facilities 292 

§ 3.142 Handling 293 

Subpart G: Specifications for the Humane Handling, Care, Treatment, and 

Transportation of Birds 295 

FACILITIES AND OPERATING STANDARDS 295 

§ 3.150 Facilities, general 295 

§ 3.151 Facilities, indoor 297 

§ 3.152 Facilities, outdoor 298 

§ 3.153 Primary enclosures 299 

§ 3.154 Environment enhancement to promote psychological well-being 302 

ANIMAL HEALTH AND HUSBANDRY STANDARDS 304 

§ 3.155 Feeding 304 

§ 3.156 Watering 305 

§ 3.157 Water quality 305 

§ 3.158 Cleaning, sanitization, housekeeping, and pest control 306 

§ 3.159 Employees 308 

§ 3.160 Compatibility and separation 308 
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TRANSPORTATION STANDARDS 309 

§ 3.161 Consignments to carriers and intermediate handlers 309 

§ 3.162 Primary enclosures used to transport live birds 311 

§ 3.163 Primary conveyances (motor vehicle, rail, air, and marine) 314 

§ 3.164 Food and water requirements 314 

§ 3.165 Care in transit 316 

§ 3.166 Terminal facilities 317 

§ 3.167 Handling 317 

§ 3.168 Climatic and environmental conditions during transportation 318 

PART 4 – RULES OF PRACTICE GOVERNING PROCEEDINGS 

UNDER THE ANIMAL WELFARE ACT 321 

Part 4: TOC 321 

Subpart A – General 321

§ 4.1 Scope and applicability of rules of practice 321 

Subpart B – Supplemental Rules of Practice 321

§ 4.10 Summary action 321 

§ 4.11 Stipulations 322 

INDEX 323 
x 
Animal Welfare Act, USDA Introduction 

INTRODUCTION 

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

standards for humane care and treatment that must be provided for 

certain animals that are bred for commercial sale, sold sight unseen 

(Internet sales), exhibited to the public, used in biomedical research, 

or transported commercially. Congress assigned the U.S. Department of 

Agriculture (USDA) the responsibility for enforcing the AWA. The Animal 

and Plant Health Inspection Service (APHIS) is the agency within USDA 

responsible for ensuring this occurs. 

APHIS has published the Animal Welfare Act and Animal Welfare 

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

among our licensees and registrants and to enhance the consistency of 

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

source the AWA and the applicable regulations and standards. 

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

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

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

Welfare Regulations [Code of Federal Regulations, Title 9 (Animals and 

Animal Products), Chapter 1 (Animal and Plant Health Inspection Service, 

Department of Agriculture), Subchapter A (Animal Welfare), Parts 1–4]. 

Every effort has been made to ensure that this book is accurate. 

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

enforceable standards. USDA can amend existing regulations and/or 

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

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

and encourages interested parties to provide comments. All comments are 

reviewed before determining a final course of action. 

CONTROL DATA 

Control data is located at the top and bottom of each page to help readers 

keep track of where they are and to be aware of updates to specific 

chapters, appendixes, and other sections. 

FOOTNOTES 

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

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

1 
Introduction 9 CFR AWA (5-1-2023 Edition) 

involving figures and tables are located directly below the associated 

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

figure or table as possible. 

UPDATES 

APHIS maintains an electronic copy of the Blue Book on our agency’s 

Animal Care Web site: www.aphis.usda.gov/aphis/ourfocus/ 

animalwelfare/. The electronic version contains the most up-todate information. When the Blue Book is revised, Animal Care notifies 

interested parties via the USDA-APHIS Stakeholder Registry. To subscribe, 

please register here: public.govdelivery.com/accounts/USDAAPHIS/ 

subscriber/new. You can select the individual topics that interest you, or 

you can choose to receive all of our agency’s messages. 

ORDERING PRINTED COPIES 

APHIS encourages you to use the electronic version of the Blue Book, as it 

will always be the most current, but you can still order printed copies. The 

link to the APHIS publications ordering page is: www.aphis.usda.gov/ 

aphis/newsroom/publications. To order, contact Animal Care mailto: 

AnimalCare@usda.gov or call (970) 494-7478. 

QUESTIONS OR CONCERNS 

If you have questions or concerns regarding the Blue Book, please contact 

Animal Care’s National Policy staff at (301) 851-3751. 

2 
3 

Animal Welfare Act, USDA § 

ANIMAL 

WELFARE 

ACT

As of March 15, 2022 

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: 

uscode.house.gov/download/download.shtml 
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5 

AWA

Animal Welfare Act, USDA	 § 2131 

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 history of all of the Animal Welfare Act amendments, please visit: www. 

nal.usda.gov/collections/exhibits/awahistory/list. 

§ 2132 - Definitions 

In this chapter: 

a.	 The term “person” includes any individual, partnership, firm, 

joint stock company, corporation, association, trust, estate, or 

other legal entity. 

b.	 The term “Secretary” means the Secretary of Agriculture of the 

United States or his representative who shall be an employee of 

the United States Department of Agriculture. 

c.	 The term “commerce” means trade, traffic, transportation, or 

other commerce 

1.	 between a place in a State and any place outside of such 

State, or between points within the same State but through 

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

or the District of Columbia; 
6 

AWA

§ 2132	 9 CFR AWA (5-1-2023 Edition) 

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. Such term does not 

include a retail pet store (other than a retail pet store which sells 

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

g.	 The term “animal” means any live or dead dog, cat, monkey 

(nonhuman primate mammal), guinea pig, hamster, rabbit, 

or such other warm-blooded animal, as the Secretary may 

determine is being used, or is intended for use, for research, 

testing, experimentation, or exhibition purposes, or as a pet; 

but such term excludes (1) birds, rats of the genus Rattus, and 

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

used for research purposes, and (3) other farm animals, such 

as, but not limited to livestock or poultry, used or intended for 

use as food or fiber, or livestock or poultry used or intended for 
7 

AWA

Animal Welfare Act, USDA	 § 2132 

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. 
8 

9 CFR AWA (5-1-2023 Edition)

AWA

§ 2133 

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

n.	 The term “Committee” means the Institutional Animal Committee 

established under section 2143(b) of this title. 

o.	 The term “Federal research facility” means each department, 

agency, or instrumentality of the United States which uses live 

animals for research or experimentation. 

§ 2133 - Licensing of dealers and exhibitors 

The Secretary shall issue licenses to dealers and exhibitors upon 

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

upon payment of such fee established pursuant to 2153 of this title: 

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

shall have demonstrated that his facilities comply with the standards 

promulgated by the Secretary pursuant to section 2143 of this title: 

Provided, however, That a dealer or exhibitor shall not be required to 

obtain a license as a dealer or exhibitor under this chapter if the size of the 

business is determined by the Secretary to be de minimis. The Secretary 

is further authorized to license, as dealers or exhibitors, persons who do 

not qualify as dealers or exhibitors within the meaning of this chapter 

upon such persons’ complying with the requirements specified above and 

agreeing, in writing, to comply with all the requirements of this chapter 

and the regulations promulgated by the Secretary hereunder. 

§ 2134 - Valid license for dealers and exhibitors required 

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

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

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

or offer for transportation, in commerce, to or from another dealer or 

exhibitor under this chapter any animals, unless and until such dealer 

or exhibitor shall have obtained a license from the Secretary and such 

license shall not have been suspended or revoked. 

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

or exhibitors 

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

cat within a period of five business days after the acquisition of such 

animal or within such other period as may be specified by the Secretary: 

Provided, That operators of auction sales subject to section 2142 of this 

title shall not be required to comply with the provisions of this section. 
9 

Animal Welfare Act, USDA

AWA

§ 2136 

§ 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. 
10 

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§ 2140 - Recordkeeping by dealers, exhibitors, research 

facilities, intermediate handlers, and carriers 

Dealers and exhibitors shall make and retain for such reasonable period 

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

purchase, sale, transportation, identification, and previous ownership 

of animals as the Secretary may prescribe. Research facilities shall 

make and retain such records only with respect to the purchase, sale, 

transportation, identification, and previous ownership of live dogs and 

cats. At the request of the Secretary, any regulatory agency of the Federal 

Government which requires records to be maintained by intermediate 

handlers and carriers with respect to the transportation, receiving, 

handling, and delivery of animals on forms prescribed by the agency, 

shall require there to be included in such forms, and intermediate 

handlers and carriers shall include in such forms, such information 

as the Secretary may require for the effective administration of this 

chapter. Such information shall be retained for such reasonable period 

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

Federal Government do not prescribe requirements for any such forms, 

intermediate handlers and carriers shall make and retain for such 

reasonable period as the Secretary may prescribe such records with 

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

as the Secretary may prescribe. 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. 
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§ 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 wellbeing 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 post-surgical care by laboratory 

workers, in accordance with established veterinary 

medical and nursing procedures; 

iv.	 against the use of paralytics without anesthesia; and 

v.	 that the withholding of tranquilizers, anesthesia, 
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§ 2143 

analgesia, or euthanasia when scientifically necessary 

shall continue for only the necessary period of time; 

d.	 that no animal is used in more than one major operative 

experiment from which it is allowed to recover except in 

cases of – 

i.	 scientific necessity; or 

ii.	 other special circumstances as determined by the 

Secretary; and 

e.	 that exceptions to such standards may be made only when 

specified by research protocol and that any such exception 

shall be detailed and explained in a report outlined under 

paragraph (7) and filed with the Institutional Animal 

Committee. 

4.	 The Secretary shall also promulgate standards to govern the 

transportation in commerce, and the handling, care, and 

treatment in connection therewith, by intermediate handlers, 

air carriers, or other carriers, of animals consigned by any 

dealer, research facility, exhibitor, operator of an auction sale, 

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

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

transportation in commerce. The Secretary shall have authority 

to promulgate such rules and regulations as he determines 

necessary to assure humane treatment of animals in the course 

of their transportation in commerce including requirements such 

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

temperature, and handling. 

5.	 In promulgating and enforcing standards established pursuant to 

this section, the Secretary is authorized and directed to consult 

experts, including outside consultants where indicated. 

6.	 A. Nothing in this chapter – 

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

shall be construed as authorizing the Secretary to 

promulgate rules, regulations, or orders with regard to 

the design, outlines, or guidelines of actual research or 

experimentation by a research facility as determined by 

such research facility; 

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

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

2 So in original. Probably should be followed by ‘‘in’’. 
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§ 2143 

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 
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§ 2143 

composed of not fewer than three members. Such members shall 

possess sufficient ability to assess animal care, treatment, and 

practices in experimental research as determined by the needs 

of the research facility and shall represent society’s concerns 

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

the members of the Committee – 

f.	 at least one member shall be a doctor of veterinary medicine; 

g.	 at least one member – 

iv.	 shall not be affiliated in any way with such facility other 

than 

v.	 as a member of the Committee; 

vi.	 shall not be a member of the immediate family of a 

person 

vii.	 who is affiliated with such facility; and 

viii. is intended to provide representation for general 

community interests in the proper care and treatment of 

animals; and 

h.	 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 – 

i.	 practices involving pain to animals, and 

j.	 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 – 

ix.	 be signed by a majority of the Committee members 

involved in the inspection; 

x.	 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 
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originally approved proposals that adversely affect 

animal welfare, any notification to the facility regarding 

such conditions, and any corrections made thereafter; 

xi.	 include any minority views of the Committee; and 

xii.	 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 – 

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

2.	 the granting of all exceptions to inspection protocol. 
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§ 2143 

(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 – 

k.	 reduce or replace animal use; and 

l.	 minimize pain and distress to animals, such as anesthetic 

and analgesic procedures. 
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(F)3 Suspension or revocation of Federal support for research projects; 

prerequisites; appeal procedure 

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

determines that conditions of animal care, treatment, or practice 

in a particular project have not been in compliance with standards 

promulgated under this chapter, despite notification by the Secretary 

or such Federal agency to the research facility and an opportunity for 

correction, such agency shall suspend or revoke Federal support for the 

project. Any research facility losing Federal support as a result of actions 

taken under the preceding sentence shall have the right of appeal as 

provided in sections 701 through 706 of title 5. 

(F)3 Veterinary certificate; contents; exceptions 

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

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

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

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

to any intermediate handler or carrier for transportation in commerce, 

or received by any such handler or carrier for such transportation 

from any such person, department, agency, or instrumentality, unless 

the animal is accompanied by a certificate issued by a veterinarian 

licensed to practice veterinary medicine, certifying that he inspected 

the animal on a specified date, which shall not be more than ten days 

before such delivery, and, when so inspected, the animal appeared 

free of any infectious disease or physical abnormality which would 

endanger the animal or animals or other animals or endanger public 

health: Provided, however, That the Secretary may by regulation provide 

exceptions to this certification requirement, under such conditions as 

he may prescribe in the regulations, for animals shipped to research 

facilities for purposes of research, testing or experimentation requiring 

animals not eligible for such certification. Such certificates received by 

the intermediate handlers and the carriers shall be retained by them, 

as provided by regulations of the Secretary, in accordance with section 

2140 of this title. 

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

Secretary to designate additional classes of animals and age limits 

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

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

3 So in original. Two subsecs. (f ) have been enacted. 
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§ 2144 9 CFR AWA (5-1-2023 Edition)

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intermediate handler or carrier 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 out-of-pocket expenses incurred for the care, feeding, and 

storage of such animals. 

§ 2144 - Humane standards for animals by United States 

Government facilities 

Any department, agency, or instrumentality of the United States 

having laboratory animal facilities shall comply with the standards 

and other requirements promulgated by the Secretary under sections1 

2143(a),(f ),(g) and (h) of this title. Any department, agency, or 

instrumentality of the United States exhibiting animals shall comply 

with the standards promulgated by the Secretary under sections 

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

§ 2145 - Consultation and cooperation with Federal, State, 

and local governmental bodies by Secretary of Agriculture 

a.	 The Secretary shall consult and cooperate with other Federal 

departments, agencies, or instrumentalities concerned with 

the welfare of animals used for research, experimentation 

or exhibition, or administration of statutes regulating the 

1 So in original. Probably should be ‘‘section’’. 
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§ 2146 

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 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 
20 

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§ 2146 

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 
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§ 2147 

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 – 

c.	 is in good health; 

d.	 has received all necessary vaccinations; and 

e.	 is at least 6 months of age, if imported for resale. 

2.	 Exception 

f.	 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. 

g.	 Lawful importation into Hawaii 
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§ 2149 

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. 

h.	 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. 

i.	 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 
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§ 2149 

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 penaltymay be compromised by the 

Secretary. Upon any failure to pay the penalty assessed by a final order 

under this section, the Secretary shall request the Attorney General to 

institute a civil action in a district court of the United States or other 

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

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

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

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

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

offense, and each day during which such failure continues shall be 

deemed a separate offense. 

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

jurisdiction of United States Courts of Appeals 

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

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

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

within 60 days after entry of such an order, seek review of such order in 

the appropriate United States Court of Appeals in accordance with the 

provisions of sections 2341, 2343 through 2350 of title 28, and such court 

shall have exclusive jurisdiction to enjoin, set aside, suspend (in whole 

or in part), or to determine the validity of the Secretary’s order. 
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§ 2150 

(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. 
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§ 2154 

§ 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 toresearch facilities which do not comply with the 

standards prescribed by the Secretary pursuant to section 2143 of this 

title provided that the Secretary determines that there is evidence that 

the research facilities will meet such standards within a reasonable 

time. Notwithstanding the other provisions of this section, compliance 

by intermediate handlers, and carriers, and other persons with those 

provisions of this chapter, as amended by the Animal Welfare Act 

Amendments of 1976, and those regulations promulgated thereunder, 

which relate to actions of intermediate handlers and carriers, shall 

commence 90 days after promulgation of regulations under section 

2143 of this title, as amended, with respect to intermediate handlers 

and carriers, and such regulations shall be promulgated no later than 

9 months after April 22, 1976; and compliance by dealers, exhibitors, 

operators of auction sales, and research facilities with other provisions 

of this chapter, as so amended, and the regulations thereunder, shall 

commence upon the expiration of 90 days after April 22, 1976: Provided, 

however, That compliance by all persons with subsections (b), (c), and 

(d) of section 2143 and with section 2156 of this title, as so amended, shall 

commence upon the expiration of said ninety-day period. In all other 

respects, said amendments shall become effective on April 22, 1976. 

§ 2155 – Omitted 

§ 2156 - Animal fighting venture prohibition 

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

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

fighting venture 

1. In general Sponsoring or Exhibiting 

Except as provided in paragraph (3), it shall be unlawful for any 
26 

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AWA

§ 2156 

person to knowingly sponsor or exhibit an animal in an animal 

fighting venture. 

2.	 Attending or causing an individual who has not attained the 

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

knowingly attend an animal fighting venture; or knowingly cause 

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

animal fighting venture. 

3.	 Special rule for certain States1 

With respect to fighting ventures involving live birds in a State 

where it would not be in violation of the law, it shall be unlawful 

under this subsection for a person to sponsor or exhibit a bird 

in the fighting venture only if the person knew that any bird in 

the fighting venture was knowingly bought, sold, delivered, 

transported, or received in interstate or foreign commerce for the 

purpose of participation in the fighting venture. 

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

animals for participation in animal fighting venture 

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

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

animal participate in an animal fighting venture. 

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

promoting or furthering animal fighting venture 

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

of the United States Postal Service or any instrumentality of interstate 

commerce for commercial speech for purposes of advertising an animal, 

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

fighting venture, promoting2 or in any other manner furthering an 

animal fighting venture except as performed outside the limits of the 

States of the United States. 

(D) Violation of State law 

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

activities prohibited by such subsection shall be unlawful with respect 

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

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

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

2 So in original. Probably should be preceded by ‘‘or’’. 
27 

Animal Welfare Act, USDA

AWA

§ 2156 

(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 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. 
28 

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§ 2157 

(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 
29 

Animal Welfare Act, USDA

AWA

 

 

§ 2158 

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 – 

3.	 removal from such Committee; and 

4.	 A. a fine of not more than $1,000 and imprisonment of not more 

than one year; or 

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

imprisonment of not more than three years. 

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

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

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

and consequential damages sustained by such person and the cost of 

the suit including a reasonable attorney’s fee. 

(E) Other rights and remedies 

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

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

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

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 
30 

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§ 2158 

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, 
31 

Animal Welfare Act, USDA

AWA

§ 2158 

or shelter was notified that such dog or cat may be used for 

research or educational purposes; 

e.	 the date of the purchase or acquisition referred to in 

subparagraph (D); 

f.	 a statement by the pound or shelter (if the dealer acquired 

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

subsection (a) of this section; and 

g.	 any other information that the Secretary of Agriculture by 

regulation shall determine appropriate. 

3.	 Records 

The original certification required under paragraph (1) shall 

accompany the shipment of a dog or cat to be sold, provided, or 

otherwise made available by the dealer, and shall be kept and 

maintained by the research facility for a period of at least one year 

for enforcement purposes. The dealer shall retain one copy of the 

certification provided under this paragraph for a period of at least 

one year for enforcement purposes. 

4.	 Transfers 

In instances where one research facility transfers animals to 

another research facility a copy of the certificate must accompany 

such transfer. 

5.	 Modification 

Certification requirements may be modified to reflect 

technological advances in identification techniques, such as 

microchip technology, if the Secretary determines that adequate 

information such as described in this section, will be collected, 

transferred, and maintained through such technology. 

(C) Enforcement 

1.	 In general 

Dealers who fail to act according to the requirements of this 

section or who include false information in the certification 

required under subsection (b) of this section, shall be subject 

to the penalties provided for under section 2149 of this title. 

2.	 Subsequent violations 

Any dealer who violates this section more than one time shall 

be subject to a fine of $5,000 per dog or cat acquired or sold in 

violation of this section. 
32 

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§ 2159 

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.Chapter 1 – Animal and Plant Health 

Inspec

S

tion Service, Department of Agriculture 

ubchapter A – Animal Welfare Parts 1 - 4 
33 

Animal Welfare Act, USDA § 2144 

ANIMAL 

WELFARE 

REGULATIONS 

As of Feb. 21, 2023 

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: 

www.ecfr.gov/current/title-9/chapter-I/subchapter-A 
34 
35 

PART 1

Definitions 

Animal Welfare Act, USDA Part 1, § 1.1 

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. 

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 warmblooded 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 
36 

9 CFR AWA (5-1-2023 Edition)

PART 1

Definitions 

Part 1, § 1.1 

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. This term also excludes falconry. 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.
 

Bird means any member of the class Aves, excluding eggs, but including 


birds once the hatching process commences.
 

Bred for use in research means an animal that is bred in captivity and 


used for research, teaching, testing, or experimentation purposes.
 

Buffer area means that area in a primary enclosure for a swim-withthe- 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. each week of the year, during which inspections by APHIS 


may be made.
 

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


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

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


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


of transporting any animals for hire. Except anyone transporting a 


migratory bird covered under the Migratory Bird Treaty Act from the 


wild to a facility for rehabilitation and eventual release in the wild, or 


between rehabilitation facilities, and has obtained authorization from 


the U.S. Fish and Wildlife Service for that purpose, is not a “carrier”.
 
37 

PART 1

Definitions 

Animal Welfare Act, USDA	 Part 1, § 1.1 

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 
38 

9 CFR AWA (5-1-2023 Edition)

PART 1

Definitions 

Part 1, § 1.1 

whether alive or dead (including unborn animals, organs, limbs, blood, 


serum, or other parts) for research, teaching, testing, experimentation, 


exhibition, or use as a pet; or any dog at the wholesale level for hunting, 


security, or breeding purposes. This term does not include: A retail pet 


store, as defined in this section; and any retail outlet where dogs are sold 


for hunting, breeding, or security purposes.
 

Department means the U.S. Department of Agriculture.
 

Deputy Administrator means the Deputy Administrator for Animal 


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


delegated to act in his stead.
 

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


cross.
 

Dwarf hamster means any species of hamster such as the Chinese and 


Armenian species whose adult body size is substantially less than that 


attained by the Syrian or Golden species of hamsters.
 

Endangered species means those species defined in the Endangered
 

Species Act (16 U.S.C. 1531 et seq.) and as it may be subsequently amended.
 

Euthanasia means the humane destruction of an animal accomplished 


by a method that produces rapid unconsciousness and subsequent 


death without evidence of pain or distress, or a method that utilizes 


anesthesia produced by an agent that causes painless loss of 


consciousness and subsequent death.
 

Exhibitor means any person (public or private) exhibiting any animals, 


which were purchased in commerce or the intended distribution of 


which affects commerce, or will affect commerce, to the public for 


compensation, as determined by the Secretary. This term includes 


carnivals, circuses, animal acts (including free-flighted bird shows), 


zoos, and educational exhibits, exhibiting such animals whether 


operated for profit or not. This term excludes retail pet stores, horse, 


dog, and pigeon races, an owner of a common, domesticated household 


pet who derives less than a substantial portion of income from a 


nonprimary source (as determined by the Secretary) for exhibiting 


an animal that exclusively resides at the residence of the pet owner, 


organizations sponsoring and all persons participating in State and 


country fairs, livestock shows, rodeos, field trials, coursing events, 


falconry, purebred dog and cat shows, bird fancier 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 

39 

Animal Welfare Act, USDA

PART 1

Definitions 

Part 1, § 1.1 

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, horses, or poultry, 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, chinchilla, and ratites when they are used solely 

for purposes of meat, fur, feathers, or skin, 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. 
40 

9 CFR AWA (5-1-2023 Edition)

PART 1

Definitions 

Part 1, § 1.1 

Hybrid cross means an animal resulting from the crossbreeding 

between two different species or types of animals. Crosses between 

wild animal species, such as lions and tigers, are considered to be wild 

animals. Crosses between wild animal species and domestic animals, 

such as dogs and wolves or buffalo and domestic cattle, are considered 

to be domestic animals. 

Impervious surface means a surface that does not permit the 

absorption of fluids. Such surfaces are those that can be thoroughly 

and repeatedly cleaned and disinfected, will not retain odors, and from 

which fluids bead up and run off or can be removed without their being 

absorbed into the surface material. 

Indoor housing facility means any structure or building with 

environmental controls housing or intended to house animals and 

meeting the following three requirements: 

1.	 It must be capable of controlling the temperature within the 

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

animal, of maintaining humidity levels of 30 to 70 percent and of 

rapidly eliminating odors from within the building; and 

2.	 It must be an enclosure created by the continuous connection 

of a roof, floor, and walls (a shed or barn set on top of the ground 

does not have a continuous connection between the walls and the 

ground unless a foundation and floor are provided); and 

3.	 It must have at least one door for entry and exit that can be 

opened and closed (any windows or openings which provide 

natural light must be covered with a transparent material such as 

glass or hard plastic). 

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

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

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

cetaceans. 

Intermediate handler means any person, including a department, 

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

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

person excluded from the definition of a dealer, research facility, or 

exhibitor, an operator of an auction sale, or a carrier), who is engaged 

in any business in which he receives custody of animals in connection 

with their transportation in commerce. Except anyone transporting a 

migratory bird covered under the Migratory Bird Treaty Act from the 

wild to a facility for rehabilitation and eventual release in the wild, 
41 

Animal Welfare Act, USDA

PART 1

Definitions 

Part 1, § 1.1 

or between rehabilitation facilities, and has obtained authorization 

from the U.S. Fish and Wildlife Service for that purpose, is not an 

“intermediate handler”. 

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. 
42 

9 CFR AWA (5-1-2023 Edition)

PART 1

Definitions 

Part 1, § 1.1 

Painful procedure as applied to any animal means any procedure that 


would reasonably be expected to cause more than slight or momentary 


pain or distress in a human being to which that procedure was applied, 


that is, pain in excess of that caused by injections or other minor 


procedures.
 

Paralytic drug means a drug which causes partial or complete loss 


of muscle contraction and which has no anesthetic or analgesic 


properties, so that the animal cannot move, but is completely aware of 


its surroundings and can feel pain.
 

Person means any individual, partnership, firm, joint stock company, 


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

Pet animal means any animal that has commonly been kept as a pet in 


family households in the United States, such as dogs, cats, guinea pigs, 


rabbits, hamsters, and birds. This term also includes but is not limited to 


such birds as canaries, cockatiels, lovebirds, and budgerigar parakeets. 


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.
 

Poultry means any species of chickens, turkeys, swans, partridges, 


guinea fowl, and pea fowl; ducks, geese, pigeons, and doves; grouse, 


pheasants, and quail.
 

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, 

43 

Animal Welfare Act, USDA

PART 1

Definitions 

Part 1, § 1.1 

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, 

chinchillas, domesticated ferrets, domesticated farm-type animals, 

birds, and coldblooded species. Such definition excludes - 

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

security, or breeding purposes; 

2.	 Establishments or persons exhibiting, selling, or offering to 


exhibit or sell any wild or exotic or other nonpet species of 


warmblooded animals such as skunks, raccoons, nonhuman 


primates, squirrels, ocelots, foxes, coyotes, etc.; 


3.	 Any establishment or person selling warmblooded animals (except 

laboratory rats and mice) for research or exhibition purposes; 

4.	 Any establishment wholesaling any animals (except 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 swimwith- the-dolphin program that is off-limits to the public and that 

directly abuts the buffer area. 
44 

9 CFR AWA (5-1-2023 Edition)

PART 1

Definitions 

Part 1, § 1.1 

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 humancetacean 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 a mammal has become accustomed to take 

solid food and has so done, without nursing, for a period of at least 5 

consecutive days; or that a bird has become accustomed to take food 
45 

Animal Welfare Act, USDA

PART 1

Definitions 

Part 1, § 1.1 

and has so done, without supplemental feeding from a parent or human 

caretaker, for a period of at least 5 consecutive 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. 

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 57249, Sept. 18, 2013; 83 FR 25554, June 4, 2018; 85 FR 28795, May 13, 

2020; 88 FR 10712, Feb. 21, 2023] 

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. 
46 
47 

PART 2

Table of

Contents 

Animal Welfare Act, USDA Part 2 

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 license application.
 

§ 2.12 Termination of a license.
 

§ 2.13 Appeal of inspection report.
 

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.
 
48 

PART 2

Table of

Contents 

Part 2 9 CFR AWA (5-1-2023 Edition) 

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 lists of persons subject to the provisions of this 


part.
 

§ 2.128 Inspection for missing animals.
 

§ 2.129 Confiscation and destruction of animals.
 
49 

PART 2

Table of

Contents 

Animal Welfare Act, USDA Part 2 

§ 2.130 Minimum age requirements.
 

§ 2.131 Handling of animals.
 

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

§ 2.133 Certification for random source dogs and cats.
 

§ 2.134 Contingency planning.
 

Subpart J – Importation of Live Dogs 

§ 2.150 Import Permit
 

§ 2.151 Certifications.
 

§ 2.152 Notification of arrival.
 

§ 2.153 Dogs refused entry.
 

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

Source: 54 FR 36147, Aug. 31, 1989, unless otherwise noted. 
50 

PART 2

Subpart A 

 

 

Part 2, Subpart A, § 2.1	 9 CFR AWA (5-1-2023 Edition) 

SUBPART A – LICENSING 

§ 2.1 - Requirements and application. 

a.	 1. No person shall operate as a dealer, exhibitor, or operator of an 

auction sale, without a valid license, except persons who are 

exempt from the licensing requirements under paragraph (a) 

(3) of this section. 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 Deputy Administrator. 

The applicant shall provide the information requested on the 

application form, including, but not limited to: 

i.	 The name of the person applying for the license; 

ii.	 A valid mailing address through which the applicant can 

be reached at all times; 

iii.	 Valid addresses for all locations, facilities, premises, or 

sites where animals, animal facilities, equipment, and 

records are held, kept, or maintained; 

iv.	 The anticipated maximum number of animals on hand at 

any one time during the period of licensure; 

v.	 The anticipated type of animals described in paragraph 

(b)(2)(ii) of this section to be owned, held, maintained, 

sold, or exhibited, including those animals leased, during 

the period of licensure; 

vi.	 If the person is seeking a license as an exhibitor, whether 

the person intends to exhibit any animal at any location 

other than the person’s location(s) listed pursuant to 

paragraph (a)(1)(iii) of this section; and 

vii.	 Disclosure of any plea of nolo contendere (no contest) 

or finding of violation of Federal, State, or local laws 

or regulations pertaining to animal cruelty or the 

transportation, ownership, neglect, or welfare of animals. 

2.	 The completed application form, along with a $120 license fee, 

shall be submitted to the appropriate Animal Care office. 

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 
51 

PART 2

Subpart A 

Animal Welfare Act, USDA	 Part 2, Subpart A, § 2.1 

of any animal except wild or exotic animals, dogs, or cats, 

and who derives no more than $500 gross income from 

the sale of such animals during any calendar year and is 

not otherwise required to obtain a license; 

iii.	 Any person who maintains a total of four or fewer 

breeding female pet animals as defined in part 1 of 

this subchapter, small exotic or wild mammals (such 

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

squirrels, jerboas, domesticated ferrets, chinchillas, and 

gerbils), and/or domesticated farm-type animals (such 

as cows, goats, pigs, sheep, llamas, and alpacas) and sells 

only the offspring of these animals, which were born 

and raised on his or her premises, for pets or exhibition, 

and is not otherwise required to obtain a license. This 

exemption does not extend to any person residing in a 

household that collectively maintains a total of more 

than four of these breeding female animals, regardless of 

ownership, or to any person maintaining such breeding 

female animals on premises on which more than four 

of these breeding female animals are maintained, or 

to any person acting in concert with others where they 

collectively maintain a total of more than four of these 

breeding female animals, regardless of ownership. Also 

exempt from licensing is any person who sells 200 or 

fewer pet birds 250 grams or less annually, and/or sells 

8 or fewer pet birds more than 250 grams annually, 

determined by average adult weight of the species, 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 sells more than 

200 pet birds 250 grams or less annually, and/or sells 

more than 8 pet birds more than 250 grams annually, 

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 
52 

9 CFR AWA (5-1-2023 Edition)

PART 2

Subpart A 

 

Part 2, Subpart A, § 2.1 

or more dogs and/or cats, regardless of ownership, nor 

to any person acting in concert with others where they 

collectively sell 25 or more dogs and/or cats, regardless of 

ownership. The sale of any dog or cat not born and raised 

on the premises for research purposes requires a license; 

v.	 Any person who arranges for transportation or transports 

animals solely for the purpose of breeding, exhibiting 

in purebred shows, boarding (not in association with 

commercial transportation), grooming, or medical 

treatment, and is not otherwise required to obtain a 

license; 

vi.	 Any person who buys, sells, transports, or negotiates the 

sale, purchase, or transportation of any animals used 

only for the purposes of food or fiber (including fur); 

vii.	 Any person who maintains a total of eight or fewer pet 

animals as defined in part 1 of this subchapter, small 

exotic or wild mammals (such as hedgehogs, degus, 

spiny mice, prairie dogs, flying squirrels, jerboas, 

domesticated ferrets, chinchillas, and gerbils), and/ 

or domesticated farm-type animals (such as cows, 

goats, pigs, sheep, llamas, and alpacas) for exhibition, 

and is not otherwise required to obtain a license. This 

exemption does not extend to any person acting in 

concert with others where they collectively maintain a 

total of more than eight of these animals for exhibition, 

regardless of possession and/or ownership; 

viii. Any person who maintains a total of four or fewer raptors 

for exhibition, holds a valid permit from the U.S. Fish and 

Wildlife Service, and is not otherwise required to obtain 

a license. This exemption does not extend to any person 

acting in concert with others where they collectively 

maintain a total of more than four raptors for exhibition, 

regardless of possession and/or ownership; 

ix.	 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.	 1. No person shall have more than one license. Licenses are issued 

to specific persons, and are issued for specific activities, types 

and numbers of animals, and approved sites. A licensee shall 
53 

Animal Welfare Act, USDA

PART 2

Subpart A 

 

Part 2, Subpart A, § 2.1 

notify Animal Care no fewer than 90 days and obtain a new 

license before any change in the name, address, substantial 

control or ownership of his business or operation, locations, 

activities, and number or type of animals described in 

paragraph (b)(2) of this section. Any person who is subject to 

the regulations, in this subchapter, and who intends to exhibit 

any animal at any location other than the person’s approved 

site must provide that information on their application form 

in accordance with paragraph (a) of this section and submit 

written itineraries in accordance with § 2.126. 

2.	 Licenses authorize a specific number and specific type(s) of 

animals, as follows: 

i.	 Licenses authorize increments of 50 animals on hand at 

any single point in time during the period of licensure. 

A licensee must obtain a new license before any change 

resulting in more than the authorized number of animals 

on hand at any single point in time during the period of 

licensure. 

ii.	 Licenses authorize the use of animals subject to subparts 

A through G in part 3 of this subchapter, except that, 

for animals subject to subparts D and F, licenses must 

specifically authorize the use of each of the following 

groups of animals: Group 5 (baboons and nonbrachiating 

species larger than 33 pounds) and Group 6 (great apes 

over 55 pounds and brachiating species) nonhuman 

primates; exotic and wild felids (including but not limited 

to lions, tigers, leopards, cheetahs, jaguars, cougars, 

lynx, servals, bobcats, and caracals, and any hybrid cross 

thereof ); hyenas and/or exotic and wild canids (including 

but not limited to wolves, coyotes, foxes, and jackals); 

bears; and mega-herbivores (including but not limited to 

elephants, rhinoceroses, hippopotamuses, and giraffes). 

A licensee must obtain a new license before using any 

animal beyond those types or numbers of animals 

authorized under the existing license. Notwithstanding 

these provisions, a licensee in possession of birds on 

March 23, 2023, may continue to operate under that 

license until its scheduled expiration date. APHIS 

encourages such persons to apply for a new license at least 

90 days before expiration of the current one. 
54 

9 CFR AWA (5-1-2023 Edition)

PART 2

Subpart A 

Part 2, Subpart A, § 2.2 

c.	 A license will be issued to any applicant, except as provided in §§ 

2.9 through 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 a $120 license fee to the appropriate 

Animal Care office. 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, money order, or credit card. 

d.	 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 0579-0036, 

0579-0470, and 0579-0486)

 [54 FR 36147, Aug. 31, 1989, as amended at 63 FR 62926, Nov. 10, 1998; 69 FR 42099, July 14, 

2004; 78 FR 57249, Sept. 18, 2013; 83 FR 25555, June 4, 2018; 85 FR 28795, May 13, 2020; 88 FR 

10713, Feb. 21, 2023; 88 FR 16173, Mar. 16, 2023] 

§ 2.2 - Acknowledgement of regulations and standards. 

Animal Care will supply a copy of the Act and the regulations and 

standards in this subchapter to an applicant upon request. Signing 

the application form is an acknowledgement that the applicant has 

reviewed the Act and the regulations and standards and agrees to 

comply with them. 

(Approved by the Office of Management and Budget under control numbers 0579-0036, 

0579-0470, and 0579-0486) 

[85 FR 28796, May 13, 2020, as amended at 88 FR 10713, Feb. 21, 2023] 
55 

Animal Welfare Act, USDA

PART 2

Subpart A 

Part 2, Subpart A, § 2.3 

§ 2.3 - Demonstration of compliance with standards and 

regulations. 

a.	 Each applicant for a license must demonstrate that his or her 

location(s) and any animals, facilities, vehicles, equipment, or other 

locations used or intended for use in the business comply with the 

Act and the regulations and standards set forth in parts 2 and 3 of this 

subchapter. Each applicant must make his or her animals, locations, 

facilities, vehicles, equipment, 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 Act and the regulations and standards. 

b.	 Each applicant for a license must be inspected by APHIS and 

demonstrate compliance with the Act and 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, 

locations, or records do not meet the applicable 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 may request up to two 

more inspections by APHIS to demonstrate his or her compliance 

with the Act and the regulations and standards. The applicant 

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

inspection, within 60 days following the first inspection. 

c.	 Any applicant who fails the third and final prelicense inspection 

may appeal all or part of the inspection findings to the Deputy 

Administrator. To appeal, the applicant must send a written 

statement contesting the inspection finding(s) and include any 

documentation or other information in support of the appeal. 

To receive consideration, the appeal must be received by the 

Deputy Administrator within 7 days of the date the applicant 

received the third prelicense inspection report. Within 7 days of 

receiving a timely appeal, the Deputy Administrator will issue a 

written response to notify the applicant whether APHIS will issue 

a license or deny the application. 
56 

9 CFR AWA (5-1-2023 Edition)

PART 2

Subpart A 

Part 2, Subpart A, § 2.4 

d.	 If an applicant fails inspection or fails to request reinspections 

within the 60-day period, or fails to submit a timely appeal of 

the third prelicense inspection report as described in paragraph 

(c) of this section, the applicant 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. No 

license will be issued until the applicant pays the license fee 

and demonstrates upon inspection that the animals, premises, 

facilities, vehicles, equipment, locations, and records are in 

compliance with all applicable requirements in the Act and the 

regulations and standards in this subchapter. 

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

0579-0036 and 0579-0486) 

[85 FR 28796, May 13, 2020, as amended at 88 FR 10713, Feb. 21, 2023] 

§ 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 for 3 

years unless: 

1.	 The license has been revoked or suspended pursuant to 

section 19 of the Act or terminated pursuant to § 2.12. 

2.	 The license is voluntarily terminated upon request of the 

licensee, in writing, to the Deputy Administrator. 

3.	 The license has expired, except that: 

iii.	 The Deputy Administrator may issue a temporary license, 

which automatically expires after 120 days to an applicant 

whose immediately preceding 3-year license has expired if: 

a.	 The applicant submits the appropriate application 

form before the expiration date of a preceding 

license; and 

b.	 The applicant had no noncompliances with the Act 

and the regulations and standards in parts 2 and 3 

of this subchapter documented in any inspection 

report during the preceding period of licensure. 
57 

Animal Welfare Act, USDA

PART 2

Subpart A 

Part 2, Subpart A, § 2.6 

iv.	 For expedited hearings occurring under § 2.11(b) 

(2), a license will remain valid and effective until 

the administrative law judge issues his or her initial 

decision. Should the administrative law judge’s initial 

decision affirm the denial of the license application, the 

applicant’s license shall terminate immediately. 

4.	 There will not be a refund of the license fee if a license is 

denied, or terminated, suspended, or revoked prior to its 

expiration date. 

b.	 Any person who seeks the reinstatement of a license that has 

expired or been terminated must follow the procedure applicable 

to new applicants for a license set forth in § 2.1. 

c.	 A license which is invalid under this part shall be surrendered 

to the Deputy Administrator. If the license cannot be found, the 

licensee shall provide a written statement so stating to the Deputy 

Administrator. 

(Approved by the Office of Management and Budget under control numbers 	0579-0036 and 

0579-0486) 

[85 FR 28796, May 13, 2020, as amended at 88 FR 10713, Feb. 21, 2023] 

§ 2.6—2.8 [Removed and Reserved] 

§ 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 activity upon which the order of 

suspension or revocation was based will not be licensed, or registered 

as a carrier, intermediate handler, dealer, exhibitor, or research facility, 

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 or registration has been suspended 

for any reason shall not be licensed, or registered, in his or her 
58 

9 CFR AWA (5-1-2023 Edition)

PART 2

Subpart A 

Part 2, Subpart A, § 2.11 

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 or 

registered during that period. Any person whose license has been 

suspended for any reason may apply to the Deputy Administrator, 

in writing, for reinstatement of his or her license or registration. 

b.	 Any person whose license has been revoked shall not be licensed 

or registered, in his or her own name or in any other manner, and 

no partnership, firm, corporation, or other legal entity in which 

any such person has a substantial interest, financial or otherwise, 

will be licensed or registered. 

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, under 

any circumstances, whether on his or her behalf or on the behalf 

another licensee or registrant. 

[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 license application. 

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

1. Has not complied with the requirements of §§ 2.1, through 

2.4 and has not paid the fees indicated in § 2.1; 

2.	 Is not in compliance with the Act or any of the regulations or 

standards in this subchapter; 

3.	 Has had a license revoked or whose license is suspended, as 

set forth in § 2.1(d); 

4.	 Was an officer, agent, or employee of a licensee whose license 

has been suspended or revoked and who was responsible 

for or participated in the activity upon which the order of 

suspension or revocation was based, as set forth in § 2.9; 

5.	 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 3 years of application, 

or after 3 years if the Administrator determines that the 

circumstances render the applicant unfit to be licensed; 
59 

Animal Welfare Act, USDA

PART 2

Subpart A 

 

 

Part 2, Subpart A, § 2.11 

6.	 Is or would be operating in violation or circumvention of any 

Federal, State, or local laws; or 

7.	 Has made any false or fraudulent statements or provided 

any false or fraudulent records to the Department or 

other government agencies, or has pled nolo contendere 

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

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

transportation, ownership, neglect, or welfare of animals, 

or is otherwise unfit to be licensed and the Administrator 

determines that the issuance of a license would be contrary 

to the purposes of the Act. 

b.	 1. An applicant whose initial license application has been denied 

may request a hearing in accordance with the applicable rules 

of practice in 7 CFR part 1 for the purpose of showing why the 

application for license should not be denied. The denial of 

an initial license application shall remain in effect until the 

final 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. 

2.	 An applicant who submitted a timely appeal of a third prelicense inspection as described in § 2.3(c), and whose appeal 

results in the denial of the license application, may request an 

expedited hearing if the applicant held a valid license when he 

or she submitted the license application that has been denied 

and the Deputy Administrator received such license application 

no fewer than 90 days prior to the expiration of the valid license. 

If the applicant meets the criteria in this paragraph (b)(2), and 

notwithstanding the timeframes of the proceedings set forth in 

the applicable rules of practice (7 CFR 1.130 through 1.151): 

i.	 The applicant must submit the request for an expedited 

hearing within 30 days of receiving notice from the 

Deputy Administrator that the license application has 

been denied; 

ii.	 The administrative law judge shall set the expedited 

hearing so that it occurs within 30 days of receiving a 

timely request for expedited hearing as described in 

paragraph (b)(2)(i) of this section; and 
60 

9 CFR AWA (5-1-2023 Edition)

PART 2

Subpart A 

Part 2, Subpart A, § 2.12 

iii.	 The administrative law judge must issue an initial 

decision no later than 30 days after the expedited 

hearing. 

iv.	 The applicant’s license will remain valid until the 

administrative law judge issues his or her initial 

decision. Should the administrative law judge’s initial 

decision affirm the denial of the license application, the 

applicant’s license shall terminate immediately. 

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, 

stipulation, or settlement agreement suspending, revoking, 

terminating, or denying a license or disqualifying a person from 

engaging in activities under the Act. 

(Approved by the Office of Management and Budget under control numbers 0579-0036 and 

0579-0486) 

[85 FR 28797, May 13, 2020, as amended at 88 FR 10713, Feb. 21, 2023] 

§ 2.12 - Termination of a license. 

A license may be terminated at any time for any reason that a license 

application may be denied pursuant to § 2.11 after a hearing in 

accordance with the applicable rules of practice in 7 CFR part 1. 

§ 2.13 - Appeal of inspection report. 

Except as otherwise provided in § 2.3(c), any licensee or registrant may 

appeal all or part of the inspection findings in an inspection report to the 

Deputy Administrator. To appeal, the licensee or registrant must send 

a written statement contesting the inspection finding(s) and include 

any documentation or other information in support of the appeal. 

To receive consideration, the appeal must be received by the Deputy 

Administrator within 21 days of the date the licensee or registrant 

received the inspection report that is the subject of the appeal. 
61 

Animal Welfare Act, USDA

PART 2

Subpart B 

Part 2, Subpart B, § 2.25 

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 Deputy Administrator. The registration form shall be filed with 

the Deputy Administrator 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 Deputy Administrator. 

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. 

(Approved by the Office of Management and Budget under control numbers 0579-0036 and 

0579-0486) 

[54 FR 36147, Aug. 31, 1989, as amended at 63 FR 62926, Nov. 10, 1998; 69 FR 42101, July 14, 

2004; 85 FR 28797, May 13, 2020; 88 FR 10713, Feb. 21, 2023] 

§ 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 Deputy Administrator. 

(Approved by the Office of Management and Budget under control numbers 0579-0036 and 

0579-0486) 


[54 FR 36147, Aug. 31, 1989, as amended at 63 FR 62926, Nov. 10, 1998; 85 FR 28797, May 13, 


2020; 88 FR 10713, Feb. 21, 2023]
 
62 

9 CFR AWA (5-1-2023 Edition)

PART 2

Subpart B 

 

 

Part 2, Subpart B, § 2.27 

§ 2.27 - Notification of change of operation. 

a.	 A registrant shall notify the Deputy Administrator 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 

Deputy Administrator. A registrant shall notify the Deputy 

Administrator 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 Deputy Administrator. 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] 
63 

Animal Welfare Act, USDA

PART 2

Subpart C 

Part 2, Subpart C, § 2.30 

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 Deputy Administrator. The registration 

form shall be filed with the Deputy Administrator. 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 Deputy Administrator. 
64 

9 CFR AWA (5-1-2023 Edition)

PART 2

Subpart C 

Part 2, Subpart C, § 2.31 

c.	 Notification of change of operation. A research facility shall 

notify the Deputy Administrator in writing 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. The Notification of Change form (APHIS 

Form 7033) may be used to provide the information. 

d.	 Duration of a registration and conditions for cancellation of a 

registration. 

1.	 A research facility that goes out of business or ceases to 

function as a research facility, or that changes its method of 

operation so that it no longer uses, handles, or transports 

animals, and 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 Deputy 

Administrator. 

2.	 If the Deputy Administrator has sufficient evidence showing 

that a research facility has ceased to function as a research 

facility, then the Deputy Administrator may cancel the 

registration on its own, without a written request from the 

research facility. 

3.	 If a research facility plans to resume regulated activity, the 

facility is responsible for submitting a form (APHIS Form 

7011A) to reregister at least 10 days prior to it using, handling, 

or transporting animals. There are no fees associated with 

such reregistration. 

e.	 Non-interference with APHIS officials. 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; 85 FR 28797, May 13, 2020; 86 FR 66925, Nov. 24, 2021] 

§ 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 
65 

Animal Welfare Act, USDA

PART 2

Subpart C 

Part 2, Subpart C, § 2.31 

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 

free-living wild animals in their natural habitat need not be 

included in such inspection; 
66 

9 CFR AWA (5-1-2023 Edition)

PART 2

Subpart C 

Part 2, Subpart C, § 2.31 

3.	 Prepare reports of its evaluations conducted as required 

by paragraphs (c)(1) and (2) of this section, and submit the 

reports to the Institutional Official of the research facility; 

Provided, however, That the IACUC may determine the best 

means of conducting evaluations of the research facility’s 

programs and facilities; and Provided, further, That no 

Committee member wishing to participate in any evaluation 

conducted under this subpart may be excluded. The IACUC 

may use subcommittees composed of at least two Committee 

members and may invite ad hoc consultants to assist in 

conducting the evaluations, however, the IACUC remains 

responsible for the evaluations and reports as required by the 

Act and regulations. The reports shall be reviewed and signed 

by a majority of the IACUC members and must include any 

minority views. The reports shall be updated at least once 

every six months upon completion of the required semiannual 

evaluations and shall be maintained by the research facility 

and made available to APHIS and to officials of funding 

Federal agencies for inspection and copying upon request. The 

reports must contain a description of the nature and extent 

of the research facility’s adherence to this subchapter, must 

identify specifically any departures from the provisions of title 

9, chapter I, subchapter A – Animal Welfare, and must state 

the reasons for each departure. The reports must distinguish 

significant deficiencies from minor deficiencies. A significant 

deficiency is one which, with reference to Subchapter A, and, 

in the judgment of the IACUC and the Institutional Official, 

is or may be a threat to the health or safety of the animals. If 

program or facility deficiencies are noted, the reports must 

contain a reasonable and specific plan and schedule with 

dates for correcting each deficiency. Any failure to adhere to 

the plan and schedule that results in a significant deficiency 

remaining uncorrected shall be reported in writing within 15 

business days by the IACUC, through the Institutional Official, 

to APHIS and any Federal agency funding that activity; 

4.	 Review, and, if warranted, investigate concerns involving 

the care and use of animals at the research facility resulting 

from public complaints received and from reports of 

noncompliance received from laboratory or research facility 

personnel or employees; 
67 

Animal Welfare Act, USDA

PART 2

Subpart C 

Part 2, Subpart C, § 2.31 

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: 
68 

9 CFR AWA (5-1-2023 Edition)

PART 2

Subpart C 

Part 2, Subpart C, § 2.31 

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; 

ix.	 Activities that involve surgery include appropriate 

provision for pre-operative and post-operative care of 

the animals in accordance with established veterinary 

medical and nursing practices. All survival surgery 

will be performed using aseptic procedures, including 

surgical gloves, masks, sterile instruments, and aseptic 

techniques. Major operative procedures on animals, 

other than rodents and birds, will be conducted only 

in facilities intended for that purpose which shall be 

operated and maintained under aseptic conditions. 

Non-major operative procedures and all surgery on 

rodents and birds 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; 
69 

Animal Welfare Act, USDA

PART 2

Subpart C 

Part 2, Subpart C, § 2.31 

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; 
70 

9 CFR AWA (5-1-2023 Edition)

PART 2

Subpart C 

Part 2, Subpart C, § 2.31 

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 complete reviews of activities covered 

by this subchapter at appropriate intervals as determined 

by the IACUC, but not less than every 3 years. The complete 

review shall address all requirements related to the care and 

use of animals under paragraphs (d) and (e) of this section. The 

IACUC shall be provided a written description of all activities 

that involve the care and use of animals for review and approval 

at the end of the term. 

6.	 The IACUC may suspend an activity that it previously approved 

if it determines that the activity is not being conducted in 

accordance with the description of that activity provided by 

the principal investigator and approved by the Committee. The 

IACUC may suspend an activity only after review of the matter 

at a convened meeting of a quorum of the IACUC and with the 

suspension vote of a majority of the quorum present; 

7.	 If the IACUC suspends an activity involving animals, the 

Institutional Official, in consultation with the IACUC, shall 

review the reasons for suspension, take appropriate corrective 

action, and report that action with a full explanation to APHIS 

and any Federal agency funding that activity; and 

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: 
71 

Animal Welfare Act, USDA

PART 2

Subpart C 

Part 2, Subpart C, § 2.32 

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. 

(Approved by the Office of Management and Budget under control numbers 0579-0036 and 

0579-0486) 

[54 FR 36147, Aug. 31, 1989, as amended at 59 FR 67611, Dec. 30, 1994; 63 FR 62926, Nov. 10, 

1998; 86 FR 66926, Nov. 24, 2021; 88 FR 10713, Feb. 21, 2023] 

§ 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; 
72 

9 CFR AWA (5-1-2023 Edition)

PART 2

Subpart C 

Part 2, Subpart C, § 2.33 

2.	 The concept, availability, and use of research or testing 

methods that limit the use of animals or minimize animal 

distress; 

3.	 Proper use of anesthetics, analgesics, and tranquilizers for 

any species of animals used by the facility; 

4.	 Methods whereby deficiencies in animal care and treatment 

are reported, including deficiencies in animal care and 

treatment reported by any employee of the facility. No facility 

employee, Committee member, or laboratory personnel shall be 

discriminated against or be subject to any reprisal for reporting 

violations of any regulation or standards under the Act; 

5.	 Utilization of services (e.g., National Agricultural Library, 

National Library of Medicine) available to provide 

information: 

i.	 On appropriate methods of animal care and use; 

ii.	 On alternatives to the use of live animals in research; 

iii.	 That could prevent unintended and unnecessary 

duplication of research involving animals; and 

iv.	 Regarding the intent and requirements of the Act. 

§ 2.33 - Attending veterinarian and adequate 

veterinary care. 

a.	 Each research facility shall have an attending veterinarian 

who shall provide adequate veterinary care to its animals in 

compliance with this section: 

1.	 Each research facility shall employ an attending veterinarian 

under formal arrangements. In the case of a part-time 

attending veterinarian or consultant arrangements, the 

formal arrangements shall include a written program of 

veterinary care and regularly scheduled visits to the research 

facility; 

2.	 Each research facility shall assure that the attending 

veterinarian has appropriate authority to ensure the 

provision of adequate veterinary care and to oversee the 

adequacy of other aspects of animal care and use; and 

3.	 The attending veterinarian shall be a voting member of 

the IACUC; Provided, however, That a research facility 

with more than one Doctor of Veterinary Medicine (DVM) 

may appoint to the IACUC another DVM with delegated 
73 

Animal Welfare Act, USDA

PART 2

Subpart C 

Part 2, Subpart C, § 2.34 

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. 

(Approved by the Office of Management and Budget under control numbers 0579-0036 and 

0579-0486) 

[54 FR 36147, Aug. 31, 1989, as amended at 88 FR 10713, Feb. 21, 2023] 

§ 2.34 - [Reserved] 
74 

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PART 2

Subpart C 

Part 2, Subpart C, § 2.35 

§ 2.35 - Recordkeeping requirements. 

a. The research facility shall maintain the following IACUC records: 

1.	 Minutes of IACUC meetings, including records of attendance, 

activities of the Committee, and Committee deliberations; 

2.	 Records of proposed activities involving animals and 

proposed significant changes in activities involving animals, 

and whether IACUC approval was given or withheld; and 

3.	 Records of semiannual IACUC reports and recommendations 

(including minority views), prepared in accordance with the 

requirements of § 2.31(c)(3) of this subpart, and forwarded to 

the Institutional Official. 

b.	 Every research facility shall make, keep, and maintain records or 

forms which fully and correctly disclose the following information 

concerning each live dog or cat purchased or otherwise acquired, 

owned, held, or otherwise in their possession or under their 

control, transported, euthanized, sold, or otherwise disposed of 

by the research facility. The records shall include any offspring 

born of any animal while in the research facility’s possession or 

under its control: 

1.	 The name and address of the person from whom a dog or 

cat was purchased or otherwise acquired, whether or not the 

person is required to be licensed or registered under the Act; 

2.	 The USDA license or registration number of the person if he or 

she is licensed or registered under the Act; 

3.	 The vehicle license number and State, and the driver’s license 

number (or photographic identification card for non-drivers 

issued by a State) and State of the person, if he or she is not 

licensed or registered under the Act; 

4.	 The date of acquisition of each dog or cat; 

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; 
75 

Animal Welfare Act, USDA

PART 2

Subpart C 

 

 

Part 2, Subpart C, § 2.35 

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 
76 

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PART 2

Subpart C 

Part 2, Subpart C, § 2.36 

containing the information required by paragraphs (b) and (c) of 

this section shall be retained by the research facility. 

f.	 All records and reports shall be maintained for at least three 

years. Records that relate directly to proposed activities and 

proposed significant changes in ongoing activities reviewed and 

approved by the IACUC shall be maintained for the duration of 

the activity and for an additional three years after completion 

of the activity. All records shall be available for inspection 

and copying by authorized APHIS or funding Federal agency 

representatives at reasonable times. APHIS inspectors will 

maintain the confidentiality of the information and will not 

remove the materials from the research facilities’ premises unless 

there has been an alleged violation, they are needed to investigate 

a possible violation, or for other enforcement purposes. Release 

of any such materials, including reports, summaries, and 

photographs that contain trade secrets or commercial or financial 

information that is privileged or confidential will be governed by 

applicable sections of the Freedom of Information Act. Whenever 

the Administrator notifies a research facility in writing that 

specified records shall be retained pending completion of an 

investigation or proceeding under the Act, the research facility 

shall hold those records until their disposition is authorized in 

writing by the Administrator. 

(Approved by the Office of Management and Budget under control numbers 0579-0036 and 

0579-0486) 

[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; 85 FR 28797, May 13, 2020; 88 FR 10713, Feb. 21, 2023] 

§ 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 Deputy Administrator on or 

before December 1 of each calendar year. The report shall cover 

the previous Federal fiscal year. The Annual Report of Research 

Facility (APHIS Form 7023), Continuation Sheet for Annual 

Report of Research Facility (APHIS Form 7023A), and Annual 
77 

Animal Welfare Act, USDA

PART 2

Subpart C 

Part 2, Subpart C, § 2.36 

Report of Research Facility Column E Explanation (APHIS Form 

7023B) are forms which may be used to submit the information 

required by paragraph (b) of this section. 

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 
78 

9 CFR AWA (5-1-2023 Edition)

PART 2

Subpart C 

Part 2, Subpart C, § 2.37 

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. 

(Approved by the Office of Management and Budget under control numbers 0579-0036 and 

0579-0486) 

[54 FR 36147, Aug. 31, 1989, as amended at 63 FR 62926, Nov. 10, 1998; 85 FR 28797, May 13, 

2020; 86 FR 66926, Nov. 24, 2021; 88 FR 10713, Feb. 21, 2023] 

§ 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 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. 
79 

Animal Welfare Act, USDA

PART 2

Subpart C 

Part 2, Subpart C, § 2.38 

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 lists of research facilities subject to the 

provisions of this part. APHIS will publish on its website lists of 

research facilities registered in accordance with the provisions of 

this subpart. The lists may also be obtained upon request from 

the Deputy Administrator. 

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. 
80 

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PART 2

Subpart C 

 

Part 2, Subpart C, § 2.38 

e.	 Confiscation and destruction of animals. 

1.	 If an animal being held by a research facility is not being 

used to carry out research, testing, or experimentation, and 

is found by an APHIS official to be suffering as a result of the 

failure of the research facility to comply with any provision of 

the regulations or the standards set forth in this subchapter, 

the APHIS official shall make a reasonable effort to notify 

the research facility of the condition of the animal(s) and 

request that the condition be corrected and that adequate 

care be given to alleviate the animal’s suffering or distress, 

or that the animal(s) be destroyed by euthanasia. In the 

event that the research facility refuses to comply with this 

request, the APHIS official may confiscate the animal(s) for 

care, treatment, or disposal as indicated in paragraph (e) 

(2) of this section, if, in the opinion of the Administrator, the 

circumstances indicate the animal’s health is in danger. 

2.	 In the event that the APHIS official is unable to locate or 

notify the research facility as required in this section, the 

APHIS official shall contact a local police or other law 

officer to accompany him or her to the premises and shall 

provide for adequate care when necessary to alleviate the 

animal’s suffering. If, in the opinion of the Administrator, 

the condition of the animal(s) cannot be corrected by this 

temporary care, the APHIS official shall confiscate the 

animal(s). 

3.	 Confiscated animals may be placed, by sale or donation, with 

other registrants or licensees that comply with the standards 

and regulations and can provide proper care, or they may 

be euthanized. The research facility from which the animals 

were confiscated shall bear all costs incurred in performing 

the placement or euthanasia activities authorized by this 

section. 

f.	 Handling. 

1.	 Handling of all animals shall be done as expeditiously and 

carefully as possible in a manner that does not cause trauma, 

overheating, excessive cooling, behavioral stress, physical 

harm, or unnecessary discomfort. 

2.	 i. Physical abuse shall not be used to train, work, or 

otherwise handle animals. 
81 

Animal Welfare Act, USDA

PART 2

Subpart C 

 

Part 2, Subpart C, § 2.38 

ii.	 Deprivation of food or water shall not be used to train, work, or 

otherwise handle animals; Provided, however: That the shortterm withholding of food or water from animals, when specified 

in an IACUC- approved 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 
82 

9 CFR AWA (5-1-2023 Edition)

PART 2

Subpart C 

Part 2, Subpart C, § 2.38 

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 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 

1 A list of the commercial manufacturers who produce these tags and are known to the 

Department may be obtained from the Deputy Administrator. Any manufacturer who 

desires to be included in the list should notify the Administrator. 
83 

Animal Welfare Act, USDA

PART 2

Subpart C 

Part 2, Subpart C, § 2.38 

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 Deputy Administrator, 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. 
84 

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PART 2

Subpart C 

Part 2, Subpart C, § 2.38 

4.	 The other person or premises must either be directly 

included in the research facility’s contingency plan required 

under paragraph (l) of this section or must develop its own 

contingency plan in accordance with paragraph (l) of this 

section. 

j.	 Holding period. Research facilities that obtain dogs and cats 

from sources other than dealers, exhibitors, and exempt persons 

shall hold the animals for 5 full days, not including the day of 

acquisition, after acquiring the animal, excluding time in transit, 

before they may be used by the facility. Research facilities shall 

comply with the identification of animals requirements set forth 

in § 2.38(g) during this period. 

k.	 Compliance with standards and prohibitions. 

1.	 Each research facility shall comply in all respects with 

the regulations set forth in subpart C of this part and 

the standards set forth in part 3 of this subchapter for 

the humane handling, care, treatment, housing, and 

transportation of animals; Provided, however, That exceptions 

to the standards in part 3 and the provisions of subpart C 

of this part may be made only when such exceptions are 

specified and justified in the proposal to conduct the activity 

and are approved by the IACUC. 

2.	 No person shall obtain live dogs or cats by use of false 

pretenses, misrepresentation, or deception. 

3.	 No person shall acquire, buy, sell, exhibit, use for research, 

transport, or offer for transportation, any stolen animal. 

4.	 Each research facility shall comply with the regulations set 

forth in § 2.133 of subpart I of this part. 

l.	 Contingency planning. 

1.	 Research facilities must develop, document, and follow 

an appropriate plan to provide for the humane handling, 

treatment, transportation, housing, and care of their animals 

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

reasonably be anticipated and expected to be detrimental 

to the good health and well-being of the animals in their 

possession). Such contingency plans must: 
85 

Animal Welfare Act, USDA

PART 2

Subpart C 

Part 2, Subpart C, § 2.38 

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 5, 2022. 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, must be made available to APHIS and any 

funding Federal agency representatives upon request. The APHIS 

Contingency Plan form may be used to keep and maintain the 

information required by paragraph (l)(1) and (2) of this section. 

3.	 The facility must provide training for its personnel regarding their 

roles and responsibilities as outlined in the plan. For current 

registrants, training of facility personnel must be completed 

within 60 days of the research facility putting their plan in place; 

for research facilities registered after July 5, 2022, training of 

facility personnel must be completed within 60 days of the facility 

putting its contingency plan in place. This deadline applies to 
86 

9 CFR AWA (5-1-2023 Edition)

PART 2

Subpart C 

Part 2, Subpart C, § 2.38 

employees hired before and up to 30 days after the facility puts its 

contingency plan in place. For employees hired more than 30 days 

after the facility puts its contingency plan in place, training must 

be conducted within 30 days of their start date. Any substantive 

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. 

(Approved by the Office of Management and Budget under control numbers 0579-0036, 

0579-0479, and 0579-0486)

 [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; 85 FR 28797, May 13, 2020; 86 FR 68537, Dec. 3, 2021; 88 FR 

10713, Feb. 21, 2023] 
87 

Animal Welfare Act, USDA

PART 2

Subpart D 

Part 2, Subpart D, § 2.40 

SUBPART D – ATTENDING VETERINARIAN 

AND ADEQUATE VETERINARY CARE 

§ 2.40 - Attending veterinarian and adequate veterinary 

care (dealers and exhibitors). 

a.	 Each dealer or exhibitor shall have an attending veterinarian 

who shall provide adequate veterinary care to its animals in 

compliance with this section. 

1.	 Each dealer and exhibitor shall employ an attending 

veterinarian under formal arrangements. In the case of a 

part-time attending veterinarian or consultant arrangements, 

the formal arrangements shall include a written program of 

veterinary care and regularly scheduled visits to the premises 

of the dealer or exhibitor; and 

2.	 Each dealer and exhibitor shall assure that the attending 

veterinarian has appropriate authority to ensure the 

provision of adequate veterinary care and to oversee the 

adequacy of other aspects of animal care and use. 

b.	 Each dealer or exhibitor shall establish and maintain programs of 

adequate veterinary care that include: 

1.	 The availability of appropriate facilities, personnel, 

equipment, and services to comply with the provisions of this 

subchapter; 

2.	 The use of appropriate methods to prevent, control, diagnose, 

and treat diseases and injuries, and the availability of 

emergency, weekend, and holiday care; 

3.	 Daily observation of all animals to assess their health and 

well-being; Provided, however, That daily observation of 

animals may be accomplished by someone other than 

the attending veterinarian; and Provided, further, That a 

mechanism of direct and frequent communication is required 

so that timely and accurate information on problems of 

animal health, behavior, and well-being is conveyed to the 

attending veterinarian; 

4.	 Adequate guidance to personnel involved in the care and use 

of animals regarding handling, immobilization, anesthesia, 

analgesia, tranquilization, and euthanasia; and 
88 

9 CFR AWA (5-1-2023 Edition)

PART 2

Subpart D 

Part 2, Subpart D, § 2.40 

5.	 Adequate pre-procedural and post-procedural care in 

accordance with established veterinary medical and nursing 

procedures. 

(Approved by the Office of Management and Budget under control numbers 0579-0036 and 

0579-0486) 

[54 FR 36147, Aug. 31, 1989, as amended at 88 FR 10714, Feb. 21, 2023] 9 CFR AWR (5-1-2023 

Edition) 
89 

Animal Welfare Act, USDA

PART 2

Subpart E 

Part 2, Subpart E, § 2.50 

SUBPART E – IDENTIFICATION 

OF ANIMALS 

§ 2.50 - Time and method of identification. 

a.	 A class “A” dealer (breeder) shall identify all live dogs and cats on 

the premises as follows: 

1.	 All live dogs and cats held on the premises, purchased, 

or otherwise acquired, sold or otherwise disposed of, 

or removed from the premises for delivery to a research 

facility or exhibitor or to another dealer, or for sale, through 

an auction sale or to any person for use as a pet, shall be 

identified by an official tag of the type described in § 2.51 

affixed to the animal’s neck by means of a collar made of 

material generally considered acceptable to pet owners 

as a means of identifying their pet dogs or cats2, or shall 

be identified by a distinctive and legible tattoo marking 

acceptable to and approved by the Administrator. 

2.	 Live puppies or kittens, less than 16 weeks of age, shall be 

identified by: 

i.	 An official tag as described in § 2.51; 

ii.	 A distinctive and legible tattoo marking approved by the 

Administrator; or 

iii.	 A plastic-type collar acceptable to the Administrator 

which has legibly placed thereon the information 

required for an official tag pursuant to § 2.51. 

b.	 A class “B” dealer shall identify all live dogs and cats under his or 

her control or on his or her premises as follows: 

1.	 When live dogs or cats are held, purchased, or otherwise 

acquired, they shall be immediately identified: 

i.	 By affixing to the animal’s neck an official tag as set forth 

in § 2.51 by means of a collar made of material generally 

2 In general, well fitted collars made of leather or plastic will be acceptable under this 

provision. The use of certain types of chains presently used by some dealers may also be 

deemed acceptable. APHIS will deter- mine 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. 
90 

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PART 2

Subpart E 

Part 2, Subpart E, § 2.50 

acceptable to pet owners as a means of identifying their 

pet dogs or cats3; or 

ii.	 By a distinctive and legible tattoo marking approved by 

the Administrator. 

2.	 If any live dog or cat is already identified by an official tag or 

tattoo which has been applied by another dealer or exhibitor, 

the dealer or exhibitor who purchases or otherwise acquires 

the animal may continue identifying the dog or cat by the 

previous identification number, or may replace the previous 

tag with his own official tag or approved tattoo. In either case, 

the class B dealer or class C exhibitor shall correctly list all old 

and new official tag numbers or tattoos in his or her records 

of purchase which shallbe 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 

iii.	 Administrator; or 

iv.	 A plastic-type collar acceptable to the Administrator 

which has 

v.	 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. 

3 See footnote 2 in § 2.50(a)(1). 
91 

Animal Welfare Act, USDA

PART 2

Subpart E 

 

 

Part 2, Subpart E, § 2.50 

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 birds are confined in a primary enclosure, 

the bird 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 birds; 

b.	 The species of birds; 

c.	 Any distinctive features of the birds, and 

d.	 Any identifying marks on the birds; or 

ii.	 A leg or wind band applied to each bird in the primary 

enclosure by the dealer or exhibitor that individually 

identifies each bird by description or number; or 

iii.	 A transponder (microchip) placed in a standard 

anatomical location for the species in accordance 

with professionally accepted standards, provided that 
92 

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PART 2

Subpart E 

Part 2, Subpart E, § 2.50 

the receiving facility has a compatible transponder 

(microchip) reader that is capable of reading the 

transponder (microchip) and that the reader is readily 

available for use by an APHIS official and/or facility 

employee accompanying the APHIS official. 

3.	 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. 

4.	 When any animal, other than a dog or cat, is not confined 

in a primary enclosure, it shall be identified on a record, 

as required by § 2.75, which shall accompany the animal 

at the time it is delivered for transportation, transported, 

purchased, or sold, and shall be kept and maintained by the 

dealer or exhibitor as part of his or her records. 

(Approved by the Office of Management and Budget under control numbers 0579-0036 and 

0579-0486) 

[54 FR 36147, Aug. 31, 1989, as amended at 88 FR 10714, Feb. 21, 2023] 
93 

Animal Welfare Act, USDA

PART 2

Subpart E 

Part 2, Subpart E, § 2.51 

§ 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.4 At the time the dealer or 

exhibitor is issued a license or is registered, the Department will assign 

identification letters and numbers and inform them of the identification 

letters and numbers to be used on the official tags. 

[54 FR 36147, Aug. 31, 1989, as amended at 63 FR 62927, Nov. 10, 1998] 

§ 2.53 - Use of tags. 

Official tags obtained by a dealer, exhibitor, or research facility, shall be 

applied to dogs or cats in the manner set forth in § 2.50 and in as close 

to consecutive numerical order as possible. No tag number shall be used 

to identify more than one animal. No number shall be repeated within a 

5-year period. 

4 A list of the commercial manufacturers who produce these tags and are known to the 

Department may be obtained from the Deputy Administrator. Any manufacturer who 

desires to be included in the list should notify the Administrator. 
94 

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PART 2

Subpart E 

Part 2, Subpart E, § 2.54 

§ 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. 
95 

Animal Welfare Act, USDA

PART 2

Subpart F 

Part 2, Subpart F, § 2.60 

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. 
96 

9 CFR AWA (5-1-2023 Edition)

PART 2

Subpart G 

 

Part 2, Subpart G, § 2.75 

SUBPART G – RECORDS 

§ 2.75 - Records: Dealers and exhibitors. 

a.	 1. Each dealer, other than operators of auction sales and brokers 

to whom animals are consigned, and each exhibitor shall 

make, keep, and maintain records or forms which fully and 

correctly disclose the following information concerning each 

dog or cat purchased or otherwise acquired, owned, held, or 

otherwise in his or her possession or under his or her control, 

or which is transported, euthanized, sold, or otherwise 

disposed of by that dealer or exhibitor. The records shall 

include any offspring born of any animal while in his or her 

possession or under his or her control. 

i.	 The name and address of the person from whom a dog or 

cat was purchased or otherwise acquired whether or not 

the person is required to be licensed or registered under 

the Act; 

ii.	 The USDA license or registration number of the person if 

he or she is licensed or registered under the Act; 

iii.	 The vehicle license number and State, and the driver’s 

license number (or photographic identification card for 

non-drivers issued by a State) and State of the person, if 

he or she is not licensed or registered under the Act; 

iv.	 The name and address of the person to whom a dog 

or cat was sold or given and that person’s license or 

registration number if he or she is licensed or registered 

under the Act; 

v.	 The date a dog or cat was acquired or disposed of, 

including by euthanasia; 

vi.	 The official USDA tag number or tattoo assigned to a dog 

or cat under §§ 2.50 and 2.54; 

vii.	 A description of each dog or cat which shall include: 

a.	 The species and breed or type; 

b.	 The sex; 

c.	 The date of birth or approximate age; and 

d.	 The color and any distinctive markings; 

viii. The method of transportation including the name of the 
97 

Animal Welfare Act, USDA

PART 2

Subpart G 

Part 2, Subpart G, § 2.75 

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 § 2.78. 

4.	 One copy of the record containing the information required 

by paragraph (a)(1) of this section shall accompany each 
98 

9 CFR AWA (5-1-2023 Edition)

PART 2

Subpart G 

 

Part 2, Subpart G, § 2.75 

shipment of any dog or cat purchased or otherwise acquired 

by a dealer or exhibitor. One copy of the record containing 

the information required by paragraph (a)(1) of this section 

shall accompany each shipment of any dog or cat sold or 

otherwise disposed of by a dealer or exhibitor: Provided, 

however, that, except as provided in § 2.133(b) of this part 

for dealers, information that indicates the source and date of 

acquisition of a dog or cat need not appear on the copy of the 

record accompanying the shipment. One copy of the record 

containing the information required by paragraph (a)(1) of 

this section shall be retained by the dealer or exhibitor. 

b. 1. Every dealer other than operators of auction sales and brokers

to whom animals are consigned, and exhibitor shall make, 

keep, and maintain records or forms which fully and correctly 

disclose the following information concerning animals other 

than dogs and cats, purchased or otherwise acquired, owned, 

held, leased, or otherwise in his or her possession or under his 

or her control, or which is transported, sold, euthanized, or 

otherwise disposed of by that dealer or exhibitor. The records 

shall include any offspring born or hatched of any animal while 

in his or her possession or under his or her control, to the extent 

that any identification or counting of offspring can be carried out 

without unduly disturbing nesting or rearing activities.

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 
99 

Animal Welfare Act, USDA

PART 2

Subpart G 

Part 2, Subpart G, § 2.76 

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 § 2.78. 

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. 

(Approved by the Office of Management and Budget under control numbers 0579-0036 and 

0579-0486) 

[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; 85 FR 28798, May 13, 2020; 88 FR 

10714, Feb. 21, 2023] 

§ 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 non-drivers 

issued by a State) and State of the person, if he or she is not 

licensed or registered under the Act; 
100 

9 CFR AWA (5-1-2023 Edition)

PART 2

Subpart G 

Part 2, Subpart G, § 2.77 

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; or if the animal is a bird, only if sex 

is readily determinable; 

iii.	 The date of birth or hatch date; or, if unknown, the 

approximate age or developmental stage; and 

iv.	 The color and any distinctive markings; and 

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. 

(Approved by the Office of Management and Budget under control numbers 0579-0036 and 

0579-0486) 

[54 FR 36147, Aug. 31, 1989, as amended at 69 FR 42102, July 14, 2004; 88 FR 10714, Feb. 21, 

2023] 

§ 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
101 

Animal Welfare Act, USDA

PART 2

Subpart G 

Part 2, Subpart G, § 2.78 

of-pocket 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 § 2.78, tendered with each live dog, cat, or 

nonhuman primate. 

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

0579-0036 and 0579-0486) 

[54 FR 36147, Aug. 31, 1989, as amended at 85 FR 28798, May 13, 2020; 

88 FR 10714, Feb. 21, 2023] 

§ 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. 
102 

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PART 2

Subpart G 

Part 2, Subpart G, § 2.79 

b.	 The Secretary may provide exceptions to the health certification 

requirement on an individual basis for animals shipped 

to a research facility for purposes of research, testing, or 

experimentation when the research facility requires animals not 

eligible for certification. Requests should be addressed to the 

Animal and Plant Health Inspection Service, Animal Care, 4700 

River Road, Unit 84, Riverdale, Maryland 20737-1234. 

c.	 No intermediate handler or carrier to whom any live dog, cat, or 

nonhuman primate is delivered for transportation by any dealer, 

research facility, exhibitor, broker, operator of an auction sale, 

or department, agency, or instrumentality of the United States 

or any State or local government shall receive a live dog, cat, or 

nonhuman primate for transportation, in commerce, unless and 

until it is accompanied by a health certificate issued by a licensed 

veterinarian in accordance with paragraph (a) of this section, 

or an exemption issued by the Secretary in accordance with 

paragraph (b) of this section. 

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. 

(Approved by the Office of Management and Budget under control numbers 0579-0036 and 

0579-0486) 

[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; 88 FR 10714, Feb. 21, 2023] 

§ 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 isunclaimed 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. 
103 

Animal Welfare Act, USDA

PART 2

Subpart G 

Part 2, Subpart G, § 2.79 

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-of-pocket 
104 

9 CFR AWA (5-1-2023 Edition)

PART 2

Subpart G 

Part 2, Subpart G, § 2.80 

or other incidental expenses incurred in the transportation of 

any animal. 

(Approved by the Office of Management and Budget under control numbers 0579-0036 and 

0579-0486) 

[54 FR 36147, Aug. 31, 1989, as amended at 88 FR 10714, Feb. 21, 2023] 

§ 2.80 - Records, disposition. 

a.	 No dealer, exhibitor, broker, operator of an auction sale, carrier, 

or intermediate handler shall, for a period of 1 year, destroy or 

dispose of, without the consent in writing of the Administrator, 

any books, records, documents, or other papers required to be 

kept and maintained under this part. 

b.	 Unless otherwise specified, the records required to be kept 

and maintained under this part shall be held for 1 year after 

an animal is euthanized or disposed of and for any period in 

excess of one year as necessary to comply with any applicable 

Federal, State, or local law. Whenever the Administrator notifies 

a dealer, exhibitor, broker, operator of an auction sale, carrier, or 

intermediate handler in writing that specified records shall be 

retained pending completion of an investigation or proceeding 

under the Act, the dealer, exhibitor, broker, operator of an auction 

sale, carrier, or intermediate handler shall hold those records until 

their disposition is authorized by the Administrator. 
105 

PART 2

Subpart H 

Animal Welfare Act, USDA	 Part 2, Subpart H, § 2.100 

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 dealer5 or exhibitor shall be 

held by him or her, under his or her supervision and control, 

for a period of not less than 5 full days, not including the day of 

acquisition, after acquiring the animal, excluding time in transit: 

Provided, however: 

1.	 That any live dog or cat acquired by a dealer or exhibitor from 

any private or contract animal pound or shelter shall be held 

by that dealer or exhibitor under his or her supervision and 

control for a period of not less than 10 full days, not including 

the day of acquisition, after acquiring the animal, excluding 

time in transit; 

2.	 Live dogs or cats which have completed a 5-day holding 

period with another dealer or exhibitor, or a 10-day holding 

period with another dealer or exhibitor if obtained from a 

private or contract shelter or pound, may be sold or otherwise 

disposed of by subsequent dealers or exhibitors after a 

5 An operator of an auction sale is not considered to have acquired a dog or cat which is sold 

through the auction sale. 
106 

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PART 2

Subpart H 

Part 2, Subpart H, § 2.102 

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 Deputy 

Administrator, he may arrange to have another person hold 

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

2.101: Provided, That: 

1.	 The other person agrees in writing to comply with the 

regulations in part 2 and the standards in part 3 of this 

subchapter and to allow inspection of his premises by an 

APHIS official during business hours; and 

2.	 The animals remain under the total control and responsibility 

of the dealer or exhibitor. 

3.	 Approval will not be given for a dealer or exhibitor holding a 

license as set forth in § 2.1 to have animals held for purposes 

of this section by another licensed dealer or exhibitor. APHIS 

Form 7009 shall be used for approval. 

4.	 The other person or premises must either be directly 

included in the dealer’s or exhibitor’s contingency plan 

required under § 2.134 or must develop its own contingency 

plan in accordance with § 2.134. 
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PART 2

Subpart H 

Part 2, Subpart H, § 2.102 

b.	 If any intermediate handler obtains prior approval of the Deputy 

Administrator, 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] 
108 
109 

Animal Welfare Act, USDA

PART 2

Subpart I 

Part 2, Subpart I, § 2.125 

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. 

(Approved by the Office of Management and Budget under control numbers 0579-0036 and 

0579-0486) 

[54 FR 36147, Aug. 31, 1989, as amended at 88 FR 10714, Feb. 21, 2023] 

§ 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 
110 

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Subpart I 

Part 2, Subpart I, § 2.126 

shall be made available to accompany APHIS officials during the 

inspection process. 

c.	 Any person who is subject to the Animal Welfare regulations and 

who intends to exhibit any animal at any location other than the 

person’s approved site (including, but not limited to, circuses, 

traveling educational exhibits, animal acts, and petting zoos), 

except for travel that does not extend overnight, shall submit a 

written itinerary to the Deputy Administrator. The itinerary shall 

be received by the Deputy Administrator 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 Deputy Administrator 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 Deputy Administrator the next APHIS business day. 

APHIS Regional offices are available each weekday, except 

on Federal holidays, from 8 a.m. to 5 p.m. 
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PART 2

Subpart I 

Part 2, Subpart I, § 2.127 

2.	 The itinerary shall be revised as necessary, and the Deputy 

Administrator 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 Deputy Administrator 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 numbers 0579-0036 and 

0579-0486)

 [54 FR 36147, Aug. 31, 1989, as amended at 69 FR 42102, July 14, 2004; 77 FR 76814, Dec. 31, 

2012; 85 FR 28798, May 13, 2020; 88 FR 10714, Feb. 21, 2023] 

§ 2.127 - Publication of lists of persons subject to the 

provisions of this part. 

APHIS will publish on its website lists of persons licensed or registered 

in accordance with the provisions of this part. The lists may also be 

obtained upon request from the Deputy Administrator. 

[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 
112 

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Subpart I 

Part 2, Subpart I, § 2.129 

clothing, footwear, and masks where required, or to prevent the 

escape of an animal. 

§ 2.129 - Confiscation and destruction of animals. 

a.	 If an animal being held by a dealer, exhibitor, intermediate handler, 

or by a carrier is found by an APHIS official to be suffering as a 

result of the failure of the dealer, exhibitor, intermediate handler, 

or carrier to comply with any provision of the regulations or the 

standards set forth in this subchapter, the APHIS official shall make 

a reasonable effort to notify the dealer, exhibitor, intermediate 

handler, or carrier of the condition of the animal(s) and request 

that the condition be corrected and that adequate care be given 

to alleviate the animal’s suffering or distress, or that the animal(s) 

be destroyed by euthanasia. In the event that the dealer, exhibitor, 

intermediate handler, or carrier refuses to comply with this request, 

the APHIS official may confiscate the animal(s) for care, treatment, 

or disposal as indicated in paragraph (b) of this section, if, in the 

opinion of the Administrator, the circumstances indicate the 

animal’s health is in danger. 

b.	 In the event that the APHIS official is unable to locate or notify the 

dealer, exhibitor, intermediate handler, or carrier as required in 

this section, the APHIS official shall contact a local police or other 

law officer to accompany him to the premises and shall provide for 

adequate care when necessary to alleviate the animal’s suffering. If 

in the opinion of the Administrator, the condition of the animal(s) 

cannot be corrected by this temporary care, the APHIS official shall 

confiscate the animals. 

c.	 Confiscated animals may be: 

1.	 Placed, by sale or donation, with other licensees or registrants 

that comply with the standards and regulations and can 

provide proper care; or 

2.	 Placed with persons or facilities that can offer a level of care 

equal to or exceeding the standards and regulations, as 

determined by APHIS, even if the persons or facilities are not 

licensed by or registered with APHIS; or 

3.	 Euthanized. 
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Subpart I 

 

 

 

 

 

Part 2, Subpart I, § 2.130 

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. 
114 

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Subpart I 

 

 

 

 

 

 

Part 2, Subpart I, § 2.132 

3.	 Young or immature animals shall not be exposed to rough or 

excessive public handling or exhibited for periods of time which 

would be detrimental to their health or well-being. 

4.	 Drugs, such as tranquilizers, shall not be used to facilitate, allow, 

or provide for public handling of the animals. 

d.	 1. Animals shall be exhibited only for periods of time and under 

conditions consistent with their good health and well-being. 

2.	 A responsible, knowledgeable, and readily identifiable employee 

or attendant must be present at all times during periods of public 

contact. 

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. 
115 

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PART 2

Subpart I 

Part 2, Subpart I, § 2.132 

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 four breeding female dogs and/or cats. 

(Approved by the Office of Management and Budget under control number 0579-0036) 

[54 FR 36147, Aug. 31, 1989, as amended at 69 FR 42102, July 14, 2004; 80 FR 3463, Jan. 23, 2015] 
116 

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PART 2

Subpart I 

Part 2, Subpart I, § 2.133 

§ 2.133 - Certification for random source dogs and cats. 

a.	 Each of the entities listed in paragraphs (a)(1) through (a)(3) of 

this section that acquire any live dog or cat shall, before selling or 

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

or cat for a period of not less than 5 full days after acquiring the 

animal, not including the date of acquisition and excluding time 

in transit. This holding period shall include at least one Saturday. 

The provisions of this paragraph apply to: 

1.	 Each pound or shelter owned and operated by a State, county, 

or city; 

2.	 Each private pound or shelter established for the purpose 

of caring for animals, such as a humane society, or other 

organization that is under contract with a State, county, or 

city, that operates as a pound or shelter, and that releases 

animals on a voluntary basis; and 

3.	 Each research facility licensed by USDA as a dealer. 

b.	 A dealer shall not sell, provide, or make available to any person 

a live random source dog or cat unless the dealer provides the 

recipient of the dog or cat with certification that contains the 

following information: 

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; 
117 

Animal Welfare Act, USDA

PART 2

Subpart I 

Part 2, Subpart I, § 2.133 

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. 
118 

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PART 2

Subpart I 

Part 2, Subpart I, § 2.134 

f.	 A research facility which acquires any live random source dog 

or cat from a dealer must obtain the certification required under 

paragraph of this section and shall keep, maintain, and make 

available for APHIS inspection the original for at least 3 years 

following disposition. 

g.	 In instances where a research facility transfers ownership of a 

live random source dog or cat acquired from a dealer to another 

research facility, a copy of the certification required by paragraph 

(b) of this section must accompany the dog or cat transferred. The 

research facility to which the dog or cat is transferred shall keep, 

maintain, and make available for APHIS inspection the copy of 

the certification for at least 3 years following disposition. 

[58 FR 39129, July 22, 1993] 

§ 2.134 - Contingency planning. 

a.	 Dealers, exhibitors, intermediate handlers, and carriers 

must develop, document, and follow an appropriate plan to 

provide for the humane handling, treatment, transportation, 

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

emergency or disaster (one which could reasonably be 

anticipated and expected to be detrimental to the good 

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

Such contingency plans must: 

1.	 Identify situations the licensee or registrant might experience 

that would trigger the need for the measures identified in 

a contingency plan to be put into action including, but not 

limited to, emergencies such as electrical outages, faulty HVAC 

systems, fires, mechanical breakdowns, and animal escapes, as 

well as natural disasters most likely to be experienced; 

2.	 Outline specific tasks required to be carried out in response 

to the identified emergencies or disasters including, but not 

limited to, detailed animal evacuation instructions or shelterin-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 
119 

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PART 2

Subpart I 

Part 2, Subpart I, § 2.134 

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 5, 2022. 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, 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. The APHIS Contingency Plan 

form may be used to keep and maintain the information required 

by § 2.38(l)(1) and (2). 

c.	 Dealers, exhibitors, intermediate handlers, and carriers must 

provide training for their 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 within 60 

days of the licensee and registrant putting their contingency 

plan in place; for new dealers, exhibitors, intermediate 

handlers, or carriers licensed or registered after July 5, 2022, 

training of personnel must be completed within 60 days of the 

dealer, exhibitor, intermediate handler, or carrier putting their 

contingency plan in place. This deadline applies to employees 

hired before and up to 30 days after the date the licensee or 

registrant puts its contingency plan in place. For employees 

hired more than 30 days after the date the licensee or 

registrant puts its contingency plan in place, training must be 

conducted within 30 days of their start date. Any substantive 

changes to the plan as a result of the annual review must be 
120 

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PART 2

Subpart I 

Part 2, Subpart I, § 2.134 

communicated to employees through training which must be 

conducted within 30 days of making the changes. 

(Approved by the Office of Management and Budget under control number 0579-0479) 

[77 FR 76823, Dec. 31, 2012, as amended at 86 FR 68537, Dec. 3, 2021] 
121 

Animal Welfare Act, USDA

PART 2

Subpart J 

Part 2, Subpart J, § 2.150 

SUBPART J—IMPORTATION 

OF LIVE DOGS 

§ 2.150 Import Permit 

a.	 No person shall import a live dog from any part of the world into 

the States for purposes of resale unless the dog is accompanied 

by an import permit issued by APHIS and is imported into the 

States within 30 days after the proposed date of arrival stated in 

the import permit. 

b.	 An application for an import permit must be submitted to 

the Animal and Plant Health Inspection Service, Animal Care, 

4700 River Road Unit 84, Riverdale, MD 20737–1234 or though 

Animal Care’s Web site (www.aphis.usda.gov/aphis/ourfocus/ 

animalwelfare/dog-import-into-us/import-live-dogs-into-us). 

Application forms for import permits may be obtained from 

Animal Care at the address listed above. 

c.	 The completed application must include the following 


information:
 

1.	 The name and address of the person intending to export the 

dog(s) to the States; 

2.	 The name and address of the person intending to import the 

dog(s) into the States; 

3.	 The number of dogs to be imported and the breed, sex, age, 

color, markings, and other identifying information of each 

dog; 

4.	 The purpose of the importation; 

5.	 The port of embarkation and the mode of transportation; 

6.	 The port of entry in the United States; 

7.	 The proposed date of arrival in the States; and 

8.	 The name and address of the person to whom the dog(s) will 

be delivered in the States and, if the dog(s) is or are imported 

for resale for research purposes, the USDA registration 

number of the research facility where the dog will be used for 

research, tests, or experiments. 
122 

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PART 2

Subpart J 

Part 2, Subpart J, § 2.151 

d.	 After receipt and review of the application by APHIS, an import 

permit indicating the applicable conditions for importation 

under this subpart may be issued for the importation of the 

dog(s) described in the application if such dog(s) appears to be 

eligible to be imported. Even though an import permit has been 

issued for the importation of a dog, the dog may only be imported 

if all applicable requirements of this subpart and any other 

applicable regulations of this subchapter and any other statute or 

regulation of any State or of the United States are met. 

(Approved by the Office of Management and Budget under control number 0579–0379) 

§ 2.151 Certifications. 

a.	 Required certificates. Except as provided in paragraph (b) of 

this section, no person shall import a live dog from any part of the 

world into the States for purposes of resale unless the following 

conditions are met: 

1.	 Health certificate. Each dog is accompanied by an original 

health certificate issued in English by a licensed veterinarian 

with a valid license to practice veterinary medicine in the 

country of export that: 

i.	 Specifies the name and address of the person intending 

to import the dog into the States; 

ii.	 Identifies the dog on the basis of breed, sex, age, color, 

markings, and other identifying information; 

iii.	 States that the dog is at least 6 months of age; 

iv.	 States that the dog was vaccinated, not more than 12 

months before the date of arrival at the U.S. port, for 

distemper, hepatitis, leptospirosis, parvovirus, and 

parainfluenza virus (DHLPP) at a frequency that provides 

continuous protection of the dog from those diseases 

and is in accordance with currently accepted practices as 

cited in veterinary medicine reference guides; 

v.	 States that the dog is in good health (i.e., free of any 

infectious disease or physical abnormality which 

would endanger the dog or other animals or endanger 

public health, including, but not limited to, parasitic 

infection, emaciation, lesions of the skin, nervous system 

disturbances, jaundice, or diarrhea); and 
123 

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PART 2

Subpart J 

Part 2, Subpart J, § 2.151 

vi.	 Bears the signature and the license number of the 

veterinarian issuing the certificate. 

2.	 Rabies vaccination certificate. Each dog is accompanied 

by a valid rabies vaccination certificate that was issued in 

English by a licensed veterinarian with a valid license to 

practice veterinary medicine in the country of export for the 

dog not less than 3 months of age at the time of vaccination 

that:6 

i.	 Specifies the name and address of the person intending 

to import the dog into the States; 

ii.	 Identifies the dog on the basis of breed, sex, age, color 

markings and other identifying information; 

iii.	 Specifies a date of rabies vaccination at least 30 days 

before the date of arrival of the dog at a U.S. port; 

iv.	 Specifies a date of expiration of the vaccination which is 

after the date of arrival of the dog at a U.S. port. If no date 

of expiration is specified, then the date of vaccination 

shall be no more than 12 months before the date of arrival 

at a U.S. port; and 

v.	 Bears the signature and the license number of the 

veterinarian issuing the certificate. 

b.	 Exceptions. 

1.	 Research. The provisions of paragraphs (a)(1)(iii), (a)(1)(iv), 

(a)(1) (v), and/or (a)(2) of this section do not apply to any 

person who imports a live dog from any part of the world into 

the States for resale for use in research, tests, or experiments 

at a research facility, provided that: Such person submits 

satisfactory evidence to Animal Care at the time of his or her 

application for an import permit that the specific provision(s) 

would interfere with the dog’s use in such research, tests, or 

experiments in accordance with a research proposal and the 

proposal has been approved by the research facility IACUC. 

2.	 Veterinary care. The provisions of paragraphs (a)(1)(iii) 

through (a) (1)(v) and (a)(2) of this section do not apply 

to any person who imports a live dog from any part of the 

6 Alternatively, this requirement can be met by providing an exact copy of the rabies 

vaccination certificate if so required under the Public Health Service regulations in 42 CFR 

71.51. 
124 

9 CFR AWA (5-1-2023 Edition)

PART 2

Subpart J 

Part 2, Subpart J, § 2.152 

world into the States for veterinary treatment by a licensed 

veterinarian and subsequent resale, provided that: 

i.	 The original health certificate required in paragraph 

(a)(1) of this section states that the dog is in need of 

veterinary treatment that cannot be obtained in the 

country of export and states the name and address of the 

licensed veterinarian in the United States who intends to 

provide the dog such veterinary treatment; and 

ii.	 The person who imports the dog completes a veterinary 

treatment agreement with Animal Care at the time of 

application for an import permit and confines the animal 

until the conditions specified in the agreement are met. 

Such conditions may include determinations by the 

licensed veterinarian in the United States that the dog is 

in good health, has been adequately vaccinated against 

DHLPP and rabies, and is at least six months of age. 

The person importing the dog shall bear the expense of 

veterinary treatment and confinement. 

3.	 Dogs imported into Hawaii from the British Isles, 

Australia, Guam, or New Zealand. The provisions of 

paragraph (a)(1)(iii) of this section do not apply to any 

person who lawfully imports a live dog into the State of 

Hawaii from the British Isles, Australia, Guam, or New 

Zealand in compliance with the applicable regulations of 

the State of Hawaii, provided that the dog is not transported 

out of the State of Hawaii for purposes of resale at less than 6 

months of age. 

(Approved by the Office of Management and Budget under control number 0579–0379) 

§ 2.152 Notification of arrival. 

Upon the arrival of a dog at the port of first arrival in the States, the 

person intending to import the dog, or his or her agent, must present 

the import permit and any applicable certifications and veterinary 

treatment agreement required by this subpart to the collector of customs 

for use at that port. 

(Approved by the Office of Management and Budget under control number 0579–0379) 
125 

Animal Welfare Act, USDA

PART 2

Subpart J 

Part 2, Subpart J, § 2.153 

§ 2.153 Dogs refused entry. 

Any dog refused entry into the States for noncompliance with the 

requirements of this subpart or the Act may be removed from the States 

or may be seized and the person intending to import the dog shall 

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

and adoption of the dog, at his or her expense. 
126 

PART 3

Table of

Contents 

 

Part 3 9 CFR AWA (5-1-2023 Edition) 

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.
 

§ 3.13 Veterinary care for dogs.
 

TRANSPORTATION STANDARDS 

§ 3.14 Consignment to carriers and intermediate handlers.
 

§ 3.15 Primary enclosures used to transport live 


dogs and cats.
 

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

§ 3.17 Food and water requirements.
 

§ 3.18 Care in transit.
 

§ 3.19 Terminal facilities.
 

§ 3.20 Handling.
 
127 

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Table of

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Animal Welfare Act, USDA Part 3 

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.
 
128 

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Part 3 9 CFR AWA (5-1-2023 Edition) 

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.
 

§ 3.77 Sheltered housing facilities.
 

§ 3.78 Outdoor housing facilities.
 

§ 3.79 Mobile or traveling housing facilities.
 

§ 3.80 Primary enclosures.
 

§ 3.81 Environment enhancement to promote psychological well-being.
 

ANIMAL HEALTH AND HUSBANDRY STANDARDS 

§ 3.105 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. 
129 

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Table of

Contents 

Animal Welfare Act, USDA Part 3 

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.
 
130 

PART 3

Table of

Contents 

Part 3 9 CFR AWA (5-1-2023 Edition) 

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, Marine Mammals, and Birds 

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. 

SUBPART G 

Specifications for the Humane Handling, Care, Treatment, and 

Transportation of Birds 

FACILITIES AND OPERATING STANDARDS 

§ 3.150 Facilities, general.
 

§ 3.151 Facilities, indoor.
 

§ 3.152 Facilities, outdoor.
 

§ 3.153 Primary enclosures.
 

§ 3.154 Environment enhancement to promote psychological well-being.
 
131 

PART 3

Table of

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Animal Welfare Act, USDA Part 3 

ANIMAL HEALTH AND HUSBANDRY STANDARDS 

§ 3.155 Feeding.
 

§ 3.156 Watering.
 

§ 3.157 Water quality.
 

§ 3.158 Cleaning, sanitization, housekeeping, and pest control.
 

§ 3.159 Employees.
 

§ 3.160 Compatibility and separation.
 

TRANSPORTATION STANDARDS 

§ 3.161 Consignments to carriers and intermediate handlers.
 

§ 3.162 Primary enclosures used to transport live birds.
 

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

§ 3.164 Food and water requirements.
 

§ 3.165 Care in transit.
 

§ 3.166 Terminal facilities.
 

§ 3.167 Handling.
 

§ 3.168 Climatic and environmental conditions during transportation.
 

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. 
132 

PART 3

Subpart A

Dogs & 

Cats 

Part 3, Subpart A, § 3.1	 9 CFR AWA (5-1-2023 Edition) 

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 

1 These minimum standards apply only to live dogs and cats, unless stated otherwise. 
133 

PART 3

Subpart A

Dogs & 

Cats 

Animal Welfare Act, USDA	 Part 3, Subpart A, § 3.1 

and made of materials that allow them to be readily cleaned 

and sanitized, or removed or replaced when worn or soiled. 

Interior surfaces and any surfaces that come in contact with 

dogs or cats must: 

i.	 Be free of excessive rust that prevents the required 

cleaning and sanitization, or that affects the structural 

strength of the surface; and 

ii.	 Be free of jagged edges or sharp points that might injure 

the animals. 

2.	 Maintenance and replacement of surfaces. All surfaces 

must be maintained on a regular basis. Surfaces of housing 

facilities – including houses, dens, and other furniture-type 

fixtures and objects within the facility – that cannot be readily 

cleaned and sanitized, must be replaced when worn or 

soiled. 

3.	 Cleaning. Hard surfaces with which the dogs or cats 

come in contact must be spot-cleaned daily and sanitized 

in accordance with § 3.11(b) of this subpart to prevent 

accumulation of excreta and reduce disease hazards. Floors 

made of dirt, absorbent bedding, sand, gravel, grass, or other 

similar material must be raked or spot-cleaned with sufficient 

frequency to ensure all animals the freedom to avoid contact 

with excreta. Contaminated material must be replaced 

whenever this raking and spot-cleaning is not sufficient 

to prevent or eliminate odors, insects, pests, or vermin 

infestation. All other surfaces of housing facilities must be 

cleaned and sanitized when necessary to satisfy generally 

accepted husbandry standards and practices. Sanitization 

may be done using any of the methods provided in § 3.11(b) 

(3) for primary enclosures. 

d.	 Water and electric power. The housing facility must have reliable 

electric power adequate for heating, cooling, ventilation, and 

lighting, and for carrying out other husbandry requirements in 

accordance with the regulations in this subpart. The housing 

facility must provide adequate running potable water for the 

dogs’ and cats’ drinking needs, for cleaning, and for carrying out 

other husbandry requirements. 
134 

9 CFR AWA (5-1-2023 Edition)

PART 3

Subpart A

Dogs & 

Cats 

Part 3, Subpart A, § 3.1 

e.	 Storage. Supplies of food and bedding must be stored in a 

manner that protects the supplies from spoilage, contamination, 

and vermin infestation. The supplies must be stored off the 

floor and away from the walls, to allow cleaning underneath 

and around the supplies. Foods requiring refrigeration must be 

stored accordingly, and all food must be stored in a manner that 

prevents contamination and deterioration of its nutritive value. 

All open supplies of food and bedding must be kept in leakproof 

containers with tightly fitting lids to prevent contamination and 

spoilage. Only food and bedding that is currently being used may 

be kept in the animal areas. Substances that are toxic to the dogs 

or cats but are required for normal husbandry practices must not 

be stored in food storage and preparation areas, but may be stored 

in cabinets in the animal areas. 

f.	 Drainage and waste disposal. Housing facility operators must 

provide for regular and frequent collection, removal, and disposal 

of animal and food wastes, bedding, debris, garbage, water, 

other fluids and wastes, and dead animals, in a manner that 

minimizes contamination and disease risks. Housing facilities 

must be equipped with disposal facilities and drainage systems 

that are constructed and operated so that animal waste and 

water are rapidly eliminated and animals stay dry. Disposal and 

drainage systems must minimize vermin and pest infestation, 

insects, odors, and disease hazards. All drains must be properly 

constructed, installed, and maintained. If closed drainage 

systems are used, they must be equipped with traps and prevent 

the 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. 
135 

Animal Welfare Act, USDA

PART 3

Subpart A

Dogs & 

Cats 

Part 3, Subpart A, § 3.2 

g.	 Washrooms and sinks. Washing facilities such as washrooms, 

basins, sinks, or showers must be provided for animal caretakers 

and must be readily accessible. 

§ 3.2 - Indoor housing facilities. 

a.	 Heating, cooling, and temperature. Indoor housing facilities 

for dogs and cats must be sufficiently heated and cooled when 

necessary to protect the dogs and cats from temperature or 

humidity extremes and to provide for their health and well-being. 

When dogs or cats are present, the ambient temperature in the 

facility must not fall below 50 °F (10 °C) for dogs and cats not 

acclimated to lower temperatures, for those breeds that cannot 

tolerate lower temperatures without stress or discomfort (such 

as short-haired breeds), and for sick, aged, young, or infirm dogs 

and cats, except as approved by the attending veterinarian. Dry 

bedding, solid resting boards, or other methods of conserving 

body heat must be provided when temperatures are below 50 °F 

(10 °C). The ambient temperature must not fall below 45 °F (7.2 °C) 

for more than 4 consecutive hours when dogs or cats are present, 

and must not rise above 85 °F (29.5 °C) for more than 4 consecutive 

hours when dogs or cats are present. The preceding requirements 

are in addition to, not in place of, all other requirements pertaining 

to climatic conditions in parts 2 and 3 of this chapter. 

b.	 Ventilation. Indoor housing facilities for dogs and cats must be 

sufficiently ventilated at all times when dogs or cats are present to 

provide for their health and well-being, and to minimize odors, 

drafts, ammonia levels, and moisture condensation. Ventilation 

must be provided by windows, vents, fans, or air conditioning. 

Auxiliary ventilation, such as fans, blowers, or air conditioning 

must be provided when the ambient temperature is 85°F (29.5 

°C) or higher. The relative humidity must be maintained at a level 

that ensures the health and well-being of the dogs or cats housed 

therein, in accordance with the directions of the attending 

veterinarian and generally accepted professional and husbandry 

practices. 

c.	 Lighting. Indoor housing facilities for dogs and cats must be 

lighted well enough to permit routine inspection and cleaning of 
136 

9 CFR AWA (5-1-2023 Edition)

PART 3

Subpart A

Dogs & 

Cats 

Part 3, Subpart A, § 3.3 

the facility, and observation of the dogs and cats. Animal areas 

must be provided a regular diurnal lighting cycle of either natural 

or artificial light. Lighting must be uniformly diffused throughout 

animal facilities and provide sufficient illumination to aid in 

maintaining good housekeeping practices, adequate cleaning, 

adequate inspection of animals, and for the well-being of the 

animals. Primary enclosures must be placed so as to protect the 

dogs and cats from excessive light. 

d.	 Interior surfaces. The floors and walls of indoor housing 

facilities, and any other surfaces in contact with the animals, 

must be impervious to moisture. The ceilings of indoor housing 

facilities must be impervious to moisture or be replaceable (e.g., a 

suspended ceiling with replaceable panels). 

[56 FR 6486, Feb. 15, 1991, as amended at 63 FR 10498, Mar. 4, 1998] 

§ 3.3 - Sheltered housing facilities. 

a.	 Heating, cooling, and temperature. The sheltered part of 

sheltered housing facilities for dogs and cats must be sufficiently 

heated and cooled when necessary to protect the dogs and cats 

from temperature or humidity extremes and to provide for their 

health and well-being. The ambient temperature in the sheltered 

part of the facility must not fall below 50 °F (10 °C) for dogs and 

cats not acclimated to lower temperatures, for those breeds that 

cannot tolerate lower temperatures without stress and discomfort 

(such as short-haired breeds), and for sick, aged, young, or infirm 

dogs or cats, except as approved by the attending veterinarian. 

Dry bedding, solid resting boards, or other methods of conserving 

body heat must be provided when temperatures are below 50 °F 

(10 °C). The ambient temperature must not fall below 45 °F (7.2 °C) 

for more than 4 consecutive hours when dogs or cats are present, 

and must not rise above 85 °F (29.5 °C) for more than 4 consecutive 

hours when dogs or cats are present. The preceding requirements 

are in addition to, not in place of, all other requirements pertaining 

to climatic conditions in parts 2 and 3 of this chapter. 

b.	 Ventilation. The enclosed or sheltered part of sheltered housing 

facilities for dogs and cats must be sufficiently ventilated when 
137 

Animal Welfare Act, USDA

PART 3

Subpart A

Dogs & 

Cats 

Part 3, Subpart A, § 3.3 

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] 
138 

9 CFR AWA (5-1-2023 Edition)

PART 3

Subpart A

Dogs & 

Cats 

Part 3, Subpart A, § 3.4 

§ 3.4 - Outdoor housing facilities. 

a.	 Restrictions. 

1.	 The following categories of dogs or cats must not be kept in 

outdoor facilities, unless that practice is specifically approved 

by the attending veterinarian: 

i.	 Dogs or cats that are not acclimated to the temperatures 

prevalent in the area or region where they are 

maintained; 

ii.	 Breeds of dogs or cats that cannot tolerate the prevalent 

temperatures of the area without stress or discomfort 

(such as short-haired breeds in cold climates); and 

iii.	 Sick, infirm, aged or young dogs or cats. 

2.	 When their acclimation status is unknown, dogs and cats 

must not be kept in outdoor facilities when the ambient 

temperature is less than 50 °F (10 °C). 

b.	 Shelter from the elements. Outdoor facilities for dogs or cats 

must include one or more shelter structures that are accessible 

to each animal in 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. 
139 

Animal Welfare Act, USDA

PART 3

Subpart A

Dogs & 

Cats 

Part 3, Subpart A, § 3.5 

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. 
140 

9 CFR AWA (5-1-2023 Edition)

PART 3

Subpart A

Dogs & 

Cats 

Part 3, Subpart A, § 3.6 

c.	 Lighting. Mobile or traveling housing facilities for dogs and 

cats must be lighted well enough to permit proper cleaning and 

inspection of the facility, and observation of the dogs and cats. 

Animal areas must be provided a regular diurnal lighting cycle 

of either natural or artificial light. Lighting must be uniformly 

diffused throughout animal facilities and provide sufficient 

illumination to aid in maintaining good housekeeping practices, 

adequate cleaning, adequate inspection of animals, and for the 

well-being of the animals. 

[32 FR 3273, Feb. 24, 1967, as amended at 63 FR 10498, Mar. 4, 1998] 

§ 3.6 - Primary enclosures. 

Primary enclosures for dogs and cats must meet the following minimum 

requirements: 

a.	 General requirements. 

1.	 Primary enclosures must be designed and constructed of 

suitable materials so that they are structurally sound. The 

primary enclosures must be kept in good repair. 

2.	 Primary enclosures must be constructed and maintained so 

that they: 

i.	 Have no sharp points or edges that could injure the dogs 

and cats; 

ii.	 Protect the dogs and cats from injury; 

iii.	 Contain the dogs and cats securely; 

iv.	 Keep other animals from entering the enclosure; 

v.	 Enable the dogs and cats to remain dry and clean; 

vi.	 Provide shelter and protection from extreme 

temperatures and weather conditions that may be 

uncomfortable or hazardous to all the dogs and cats; 

vii.	 Provide sufficient shade to shelter all the dogs and cats 

housed in the primary enclosure at one time; 

viii. Provide all the dogs and cats with easy and convenient 

access to clean food and water; 

ix.	 Enable all surfaces in contact with the dogs and cats to be 

readily cleaned and sanitized in accordance with § 3.11(b) 

of this subpart, or be replaceable when worn or soiled; 

x.	 Have floors that are constructed in a manner that protects 

the dogs’ and cats’ feet and legs from injury, and that, if of 
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Part 3, Subpart A, § 3.6 

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.	 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.	 Each primary enclosure housing cats must be at least 24 

in. high (60.96 cm); 

ii.	 Cats up to and including 8.8 lbs (4 kg) must be provided 

with at least 3.0 ft2

 (0.28 m2); 

iii.	 Cats over 8.8 lbs (4 kg) must be provided with at least 4.0 

ft2 (0.37 m2); 

iv.	 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 

v.	 The minimum floor space required by this section is 

exclusive of any food or water pans. The litter pan may be 

considered part of the floor space if properly cleaned and 

sanitized. 
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Dogs & 

Cats 

Part 3, Subpart A, § 3.6 

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 § 3.15 other than the marking requirements 

in § 3.15(a)(6). 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 
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Cats 

Part 3, Subpart A, § 3.6 

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 § 3.15 other than the marking requirements 

in § 3.15(a)(6). When the show or act is not traveling, the 

dogs must be placed in primary enclosures that meet the 

minimum requirements of this section. 
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Dogs & 

Cats 

Part 3, Subpart A, § 3.7 

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 
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Cats 

Part 3, Subpart A, § 3.8 

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. 
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Dogs & 

Cats 

Part 3, Subpart A, § 3.8 

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 
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Dogs & 

Cats 

Part 3, Subpart A, § 3.9 

scientific reasons set forth in the research proposal that it is 

inappropriate for certain dogs to exercise. Such exemption 

must be documented in the Committee-approved proposal 

and must be reviewed at appropriate intervals as determined 

by the Committee, but not less than annually. 

3.	 Records of any exemptions must be maintained and made 

available to USDA officials or any pertinent funding Federal 

agency upon request. 

(Approved by the Office of Management and Budget under control number 0579-0093) 

§ 3.9 - 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. 

a.	 Potable water must be continuously available to the dogs, unless 

restricted by the attending veterinarian or excepted as provided 

in § 3.17(a). 
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Dogs & 

Cats 

Part 3, Subpart A, § 3.11 

b.	 If potable water is not continuously available to the cats, it must 

be offered to the cats as often as necessary to ensure their health 

and well-being, but not less than twice daily for at least 1 hour 

each time, unless restricted by the attending veterinarian. 

c.	 Water receptacles must be kept clean and sanitized in accordance 

with §3.11(b) and before being used to water a different dog or cat 

or a different 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 
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Cats 

Part 3, Subpart A, § 3.11 

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] 
150 

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PART 3

Subpart A

Dogs & 

Cats 

Part 3, Subpart A, § 3.12 

§ 3.12 - Employees. 

Each person subject to the Animal Welfare regulations (9 CFR parts 

1, 2, and 3) maintaining dogs and cats must have enough employees 

to carry out the level of husbandry practices and care required in this 

subpart. The employees who provide for husbandry and care, or handle 

animals, must be supervised by an individual who has the knowledge, 

background, and experience in proper husbandry and care of dogs 

and cats to supervise others. The employer must be certain that the 

supervisor and other employees can perform to these standards. 

§ 3.13 - Veterinary care for dogs. 

a.	 Each dealer, exhibitor, and research facility must follow an 

appropriate program of veterinary care for dogs that is developed, 

documented in writing, and signed by the attending veterinarian. 

Dealers, exhibitors, and research facilities must keep and 

maintain the written program and make it available for APHIS 

inspection. The written program of veterinary care must address 

the requirements for adequate veterinary care for every dealer 

and exhibitor in § 2.40 of this subchapter and every research 

facility in § 2.33 of this subchapter, and must also include: 

1.	 Regularly scheduled visits, not less than once every 12 

months, by the attending veterinarian to all premises where 

animals are kept, to assess and ensure the adequacy of 

veterinary care and other aspects of animal care and use; 

2.	 A complete physical examination from head to tail of each 

dog by the attending veterinarian not less than once every 12 

months; 

3.	 Vaccinations for contagious and/or deadly diseases of dogs 

(including rabies, parvovirus and distemper) and sampling 

and treatment of parasites and other pests (including fleas, 

worms, coccidia, giardia, and heartworm) in accordance with 

a schedule approved by the attending veterinarian, unless 

otherwise required by a research protocol approved by the 

Committee at research facilities; and 

4.	 Preventative care and treatment to ensure healthy and 

unmatted hair coats, properly trimmed nails, and clean 

and healthy eyes, ears, skin, and teeth, unless otherwise 

required by a research protocol approved by the Committee 

at research facilities. 
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Dogs & 

Cats 

Part 3, Subpart A, § 3.13 

b.	 Dealers, exhibitors, and research facilities must keep copies of 

medical records for dogs and make the records available for 

APHIS inspection. These records must include: 

1.	 The identity of the animal, including identifying marks, 

tattoos, or tags on the animal and the animal’s breed, sex, 

and age; Provided, however, that routine husbandry, such as 

vaccinations, preventive medical procedures, or treatments, 

performed on all animals in a group (or herd), may be kept on 

a single record; 

2.	 If a problem is identified (such as a disease, injury, or illness), 

the date and a description of the problem, examination 

findings, test results, plan for treatment and care, and 

treatment procedures performed, when appropriate; 

3.	 The names of all vaccines and treatments administered and 

the dates of administration; and 

4.	 The dates and findings/results of all screening, routine, or 

other required or recommended test or examination. 

c.	 Medical records for dogs shall be kept for the following periods: 

1.	 The medical records for dogs shall be kept and maintained by 

the research facility for the duration of the research activity 

and for an additional 3 years after the dog is euthanized 

or dispose of, and for any period in excess of 3 years as 

necessary to comply with any applicable Federal, State, or 

local law. 

2.	 The medical records for dogs shall be kept and maintained 

by the dealer or exhibitor for at least 1 year after the dog is 

euthanized or disposed of and for any period in excess of 

1 year as necessary to comply with any applicable Federal, 

State, or local law. 

3.	 Whenever the Administrator notifies a research facility, dealer, 

or exhibitor in writing that specified records shall be retained 

pending completion of an investigation or proceeding under 

the Act, the research facility, dealer, or exhibitor shall hold 

those records until their disposition is authorized by the 

Administrator. 
152 

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PART 3

Subpart A

Dogs & 

Cats 

Part 3, Subpart A, § 3.14 

TRANSPORTATION STANDARDS 

§ 3.14 - Consignment 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 § 3.17. 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 § 3.15. A carrier or 

intermediate handler must not accept a dog or cat for transport 

if the primary enclosure is obviously defective or damaged and 
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Dogs & 

Cats 

Part 3, Subpart A, § 3.14 

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 §§ 3.19 

and 3.20 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 §§ 3.19 and 3.20. 

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 § 3.19, nor lower than 45 °F (2.2 °C) for more than 

45 minutes, as set forth in § 3.20, when moving dogs or cats to 

or from terminal facilities or primary conveyances. A copy of the 

certification must accompany the dog or cat to its destination and 

must include the following information: 

1.	 The consignor’s name and address; 

2.	 The tag number or tattoo assigned to each dog or cat under 

§§ 2.38 and 2.50 of this chapter; 

3.	 A statement by a veterinarian, dated no more than 10 days 

before delivery, that to the best of his or her knowledge, 

each of the dogs or cats contained in the primary enclosure 

is acclimated to air temperatures lower than 50 °F (10 °C); 

but not lower than a minimum temperature, specified on a 

certificate, that the attending veterinarian has determined is 

based on generally accepted temperature standards for the 

age, condition, and breed of the dog or cat; and 

4.	 The signature of the veterinarian and the date the 


certification was signed.
 

f.	 When a primary enclosure containing a dog or cat has arrived 

at the animal holding area at a terminal facility after transport, 

the carrier or intermediate handler must attempt to notify 

the consignee upon arrival and at least once in every 6-hour 

period thereafter. The time, date, and method of all attempted 

notifications and the actual notification of the consignee, and the 
154 

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Subpart A

Dogs & 

Cats 

Part 3, Subpart A, § 3.15 

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. 

§ 3.15 - 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; 
155 

Animal Welfare Act, USDA

PART 3

Subpart A

Dogs & 

Cats 

Part 3, Subpart A, § 3.15 

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, leak-proof collection tray under a slatted or mesh 

floor that prevents seepage of waste products, such as excreta 

and body fluids, outside of the enclosure. If a slatted or 

mesh floor is used in the enclosure, it must be designed and 

constructed so that the animal cannot put any part of its body 

between the slats or through the holes in the mesh. Unless 

the dogs and cats are on raised slatted floors or raised floors 

made of mesh, the primary enclosure must contain enough 

previously unused litter to absorb and cover excreta. The 

litter must be of a suitably absorbent material that is safe and 

nontoxic to the dogs and cats. 

b.	 Cleaning of primary enclosures. A primary enclosure used to 

hold or transport dogs or cats in commerce must be cleaned 

and sanitized before each use in accordance with the methods 

provided in § 3.11(b)(3) of this subpart. If the dogs or cats are in 

transit for more than 24 hours, the enclosures must be cleaned 

and any litter replaced, or other methods, such as moving the 

animals to another enclosure, must be utilized to prevent the 

soiling of the dogs or cats by body wastes. If it becomes necessary 
156 

9 CFR AWA (5-1-2023 Edition)

PART 3

Subpart A

Dogs & 

Cats 

Part 3, Subpart A, § 3.15 

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. 
157 

Animal Welfare Act, USDA

PART 3

Subpart A

Dogs & 

Cats 

Part 3, Subpart A, § 3.15 

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 

4.	 such a way that the front ventilation opening cannot be 

blocked, and the front ventilation opening must open 

directly to an unobstructed aisle or passageway inside the 

conveyance. The ventilation opening must be at least 90 

percent of the total area of the front wall of the enclosure, and 

must be covered with bars, wire mesh, or smooth expanded 

metal having air spaces. 

d.	 Compatibility. 

1.	 Live dogs or cats transported in the same primary enclosure 

must be of the same species and be maintained in 

compatible groups, except that dogs and cats that are private 

pets, are of comparable size, and are compatible, may be 

transported in the same primary enclosure. 

2.	 Puppies or kittens 4 months of age or less may not be 

transported in the same primary enclosure with adult dogs or 

cats other than their dams. 

3.	 Dogs or cats that are overly aggressive or exhibit a vicious 

disposition must be transported individually in a primary 

enclosure. 

4.	 Any female dog or cat in heat (estrus) may not be transported 

in the same primary enclosure with any male dog or cat. 

e.	 Space and placement. 

1.	 Primary enclosures used to transport live dogs and cats must be 

large enough to ensure that each animal contained in the primary 

enclosure has enough space to turn about normally while 

standing, to stand and sit erect, and to lie in a natural position. 

2.	 Primary enclosures used to transport dogs and cats must 

be positioned in the primary conveyance so as to provide 

protection from the elements. 

f.	 Transportation by air. 

1.	 No more than one live dog or cat, 6 months of age or older, 

may be transported in the same primary enclosure when 

shipped via air carrier. 
158 

9 CFR AWA (5-1-2023 Edition)

PART 3

Subpart A

Dogs & 

Cats 

Part 3, Subpart A, § 3.15 

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
159 

Animal Welfare Act, USDA

PART 3

Subpart A

Dogs & 

Cats 

Part 3, Subpart A, § 3.16 

reattach securely. Food and water instructions must be attached 

in accordance with § 3.14(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] 

§ 3.16 - 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 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
160 

9 CFR AWA (5-1-2023 Edition)

PART 3

Subpart A

Dogs & 

Cats 

Part 3, Subpart A, § 3.17 

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] 

§ 3.17 - 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 § 3.14(c). 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 § 3.14(c).
161 

Animal Welfare Act, USDA

PART 3

Subpart A

Dogs & 

Cats 

Part 3, Subpart A, § 3.18 

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) 

§ 3.18 - 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

§ 3.16(e), and that all applicable standards of this subpart are

being complied with. The regulated person must ensure that 

the operator or person accompanying the operator determines 

whether any of the dogs or cats are in obvious physical distress 

and obtains any veterinary care needed for the dogs or cats at the

closest available veterinary facility.

b. Air transportation. During air transportation of dogs or cats, it

is the responsibility of the carrier to observe the dogs or cats as

frequently as circumstances allow, but not less than once every 

4 hours if the animal cargo area is accessible during flight. If the
162 

9 CFR AWA (5-1-2023 Edition)

PART 3

Subpart A

Dogs & 

Cats 

Part 3, Subpart A, § 3.19 

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 

§ 3.16(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. Removal during transportation in commerce prohibited. Except

during the cleaning of primary enclosures, as required in §

3.15(b), 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 § 3.15.

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. 

§ 3.19 - 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. 
163 

Animal Welfare Act, USDA

PART 3

Subpart A

Dogs & 

Cats 

Part 3, Subpart A, § 3.19 

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 § 3.14(f). 

[56 FR 6486, Feb. 15, 1991, as amended at 63 FR 10499, Mar. 4, 1998] 
164 

9 CFR AWA (5-1-2023 Edition)

PART 3

Subpart A

Dogs & 

Cats 

Part 3, Subpart A, § 3.20 

§ 3.20 - 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 § 3.19(d). 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 

§ 3.14(e). The temperature must be measured in the manner 

provided in § 3.19(d). 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 
165 

Animal Welfare Act, USDA

PART 3

Subpart A

Dogs & 

Cats 

Part 3, Subpart A, § 3.20 

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] 
166 

9 CFR AWA (5-1-2023 Edition)

PART 3

Subpart B

Guinea Pigs/

Hamsters 

Part 3, Subpart B, § 3.25 

SUBPART B 

SPECIFICATIONS FOR THE HUMANE HANDLING, 

CARE, TREATMENT, AND TRANSPORTATION OF 

GUINEA PIGS AND HAMSTERS 

FACILITIES AND OPERATING STANDARDS 

§ 3.25 - Facilities, general. 

a.	 Structural strength. Indoor and outdoor housing facilities for 

guinea pigs or hamsters shall be structurally sound and shall be 

maintained in good repair, to protect the animals from injury, to 

contain the animals, and to restrict the entrance of other animals. 

b.	 Water and electric power. Reliable and adequate electric power, 

if required to comply with other provisions of this subpart, and 

adequate potable water shall be available. 

c.	 Storage. Supplies of food and bedding shall be stored in facilities 

which adequately protect such supplies against spoilage or 

deterioration and infestation or contamination by vermin. 

Food supplies shall be stored in containers with tightly fitting 

lids or covers or in the original containers as received from the 

commercial sources of supply. Refrigeration shall be provided for 

supplies of perishable food. 

d.	 Waste disposal. Provisions shall be made for the removal and 

disposal of animal and food wastes, bedding, dead animals, and 

debris. Disposal facilities shall be so provided and operated as to 

minimize vermin infestation, odors, and disease hazards. 

e.	 Washroom and sinks. Facilities, such as washrooms, basins, or 

sinks, shall be provided to maintain cleanliness among animal 

caretakers. 

[32 FR 3273, Feb. 24, 1967, as amended at 44 FR 63492, Nov. 2, 1979] 
167 

Animal Welfare Act, USDA

PART 3

Subpart B

Guinea Pigs/

Hamsters 

Part 3, Subpart B, § 3.26 

§ 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. 
168 

9 CFR AWA (5-1-2023 Edition)

PART 3

Subpart B

Guinea Pigs/

Hamsters 

Part 3, Subpart B, § 3.28 

§ 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 

cleanbedding 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. 

ii.	 Each guinea pig housed in a primary enclosure shall 

be provided a minimum amount of floor space in 

accordance with the following table: 
Animal Welfare Act, USDA

PART 3

Subpart B

Guinea Pigs/

Hamsters 

Part 3, Subpart B, § 3.28 

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 

169 
9 CFR AWA (5-1-2023 Edition)

PART 3

Subpart B

Guinea Pigs/

Hamsters 

Part 3, Subpart B, § 3.28 

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 

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 

170 
171 

Animal Welfare Act, USDA

PART 3

Subpart B

Guinea Pigs/

Hamsters 

Part 3, Subpart B, § 3.29 

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] 

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. 
172 

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PART 3

Subpart B

Guinea Pigs/

Hamsters 

Part 3, Subpart B, § 3.30 

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 
173 

Animal Welfare Act, USDA

PART 3

Subpart B

Guinea Pigs/

Hamsters 

Part 3, Subpart B, § 3.32 

empty primary enclosures previously occupied, such 

enclosures shall be sanitized in the manner provided in 

paragraph (a)(4) of this section. 

4.	 Primary enclosures for guinea pigs or hamsters shall be 

sanitized by washing them with hot water (180 °F.) and soap 

or detergent as in a mechanical cage washer, or by washing 

all soiled surfaces with a detergent solution followed by 

a safe and effective disinfectant, or by cleaning all soiled 

surfaces with live steam. 

b.	 Housekeeping. Premises (buildings and grounds) shall be kept 

clean and in good repair in order to protect the animals from 

injury and to facilitate the prescribed husbandry practices set 

forth in this subpart. Premises shall remain free of accumulations 

of trash. 

c.	 Pest control. An effective program for the control of insects, 

ectoparasites, and avian and mammalian pests shall be 

established and maintained. 

§ 3.32 - Employees. 

A sufficient number of employees shall be utilized to maintain the 

prescribed level of husbandry practices set forth in this subpart. 

Such practices shall be under the supervision of an animal caretaker 

who has a background in animal husbandry or care. 

§ 3.33 - Classification and separation. 

Animals housed in the same primary enclosure shall be maintained in 

compatible groups, with the following additional restrictions: 

a.	 Except where harem breeding is practiced, preweanling guinea 

pigs shall not be housed in the same primary enclosure with 

adults other than their parents. 

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 
174 

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PART 3

Subpart B

Guinea Pigs/

Hamsters 

Part 3, Subpart B, § 3.34 

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 
175 

Animal Welfare Act, USDA

PART 3

Subpart B

Guinea Pigs/

Hamsters 

 

Part 3, Subpart B, § 3.35 

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 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 
176 

9 CFR AWA (5-1-2023 Edition)

PART 3

Subpart B

Guinea Pigs/

Hamsters 

Part 3, Subpart B, § 3.36 

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 one-half of 

the primary enclosure and at least one-third of the total minimum 
177 

Animal Welfare Act, USDA

PART 3

Subpart B

Guinea Pigs/

Hamsters 

Part 3, Subpart B, § 3.36 

area required for ventilation of the primary enclosure shall be 

located on the upper one-half of the primary enclosure; (6) except 

as provided in paragraph (i) of this section, projecting rims or 

other devices shall be on the exterior of the outside walls with 

any ventilation openings to prevent obstruction of the ventilation 

openings and to provide a minimum air circulation space of 1.9 

centimeters (0.75 inches) between the primary enclosure and any 

adjacent cargo or conveyance wall; and (7) except as provided in 

paragraph (i) of this section, adequate handholds or other devices 

for lifting shall be provided on the exterior of the primary enclosure 

to enable the primary enclosure to be lifted without tilting and to 

ensure that the person handling the primary enclosure will not be 

in contact with the guinea pigs or hamsters. 

b.	 Live guinea pigs or hamsters transported in the same primary 

enclosure shall be of the same species and maintained in 

compatible groups. 

c.	 Primary enclosures used to transport live guinea pigs or hamsters 

shall be large enough to ensure that each animal contained 

therein has sufficient space to turn about freely and to make 

normal postural adjustments. 

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: 
9 CFR AWA (5-1-2023 Edition)

PART 3

Subpart B

Guinea Pigs/

Hamsters 

Part 3, Subpart B, § 3.36 

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 

Dwarf Other 

Age 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. 

178 
179 

Animal Welfare Act, USDA

PART 3

Subpart B

Guinea Pigs/

Hamsters 

Part 3, Subpart B, § 3.37 

g.	 Primary enclosures used to transport live guinea pigs or 

hamsters, except where such primary enclosures are permanently 

affixed in the animal cargo space of the primary conveyance, 

shall be clearly marked on top and on one or more sides with the 

words “Live Animals” in letters not less than 2.5 centimeters (1 

inch) in height, and with arrows or other markings, to indicate the 

correct upright position of the container. 

h.	 Documents accompanying the shipment shall be attached in an 

easily accessible manner to the outside of a primary enclosure 

which is part of such shipment. 

i.	 When a primary enclosure is permanently affixed within the 

animal cargo space of the primary conveyance so that the 

front opening is the only source of ventilation for such primary 

enclosure, the front opening shall open directly to the outside 

or to an unobstructed aisle or passageway within the primary 

conveyance. Such front ventilation opening shall be at least 90 

percent of the total surface area of the front wall of the primary 

enclosure and covered with bars, wire mesh or smooth expanded 

metal. 

[42 FR 31563, June 21, 1977, as amended at 43 FR 21163, May 16, 1978; 

55 FR 28882, July 16, 1990] 

§ 3.37 - Primary conveyances (motor vehicle, rail, air, and 

marine). 

a.	 The animal cargo space of primary conveyances used in 

transporting live guinea pigs and hamsters shall be designed 

and constructed to protect the 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 
180 

9 CFR AWA (5-1-2023 Edition)

PART 3

Subpart B

Guinea Pigs/

Hamsters 

Part 3, Subpart B, § 3.38 

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. 
181 

Animal Welfare Act, USDA

PART 3

Subpart B

Guinea Pigs/

Hamsters 

Part 3, Subpart B, § 3.39 

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. 

[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. 
182 

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PART 3

Subpart B

Guinea Pigs/

Hamsters 

Part 3, Subpart B, § 3.40 

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] 
183 

Animal Welfare Act, USDA

PART 3

Subpart B

Guinea Pigs/

Hamsters 

Part 3, Subpart B, § 3.41 

§ 3.41 - Handling. 

a.	 Any person who is subject to the Animal Welfare regulations and 

who moves live guinea pigs or hamsters from an animal holding 

area of a terminal facility to a primary conveyance or vice versa 

shall do so as quickly and efficiently as possible. Any person 

subject to the Animal Welfare Act and holding any live guinea 

pig or hamster in an animal holding area of a terminal facility or 

transporting any live guinea pig or hamster to or from a terminal 

facility shall provide the following: 

1.	 Shelter from sunlight. When sunlight is likely to cause 

overheating or discomfort, sufficient shade shall be provided 

to protect the live guinea pigs and hamsters from the direct 

rays of the sun and such live guinea pigs or hamsters shall 

not be subjected to surrounding air temperatures which 

exceed 29.5 °C. (85 °F.), and which shall be measured and read 

in the manner prescribed § 3.40 of this part, for a period of 

more than 45 minutes. 

2.	 Shelter from rain or snow. Live guinea pigs and hamsters 

shall be provided protection to allow them to remain dry 

during rain or snow. 

3.	 Shelter from cold weather. Transporting devices shall 

be covered to provide protection for live guinea pigs and 

hamsters when the outdoor air temperature falls below 10 

°C. (50 °F.), and such live guinea pigs and hamsters shall 

not be subjected to surrounding air temperatures which fall 

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] 
184 

PART 3

Subpart C

Rabbits

Part 3, Subpart C, § 3.50	 9 CFR AWA (5-1-2023 Edition) 

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. 
185 

Animal Welfare Act, USDA

PART 3

Subpart C

Rabbits

Part 3, Subpart C, § 3.52 

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 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 
186 

9 CFR AWA (5-1-2023 Edition)

PART 3

Subpart C

Rabbits

Part 3, Subpart C, § 3.53 

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: 
Animal Welfare Act, USDA

PART 3

Subpart C

Rabbits

Part 3, Subpart C, § 3.53 

Category Individual weights

(pounds) 

Minimum space per rabbit

(square inches) 

Groups 3 through 5 144 

6 through 8 288 

9 or more 432 

Individual 

adults 3 through 5 180 

6 through 8 360 

9 through 11 540 

12 or more 720 

Nursing 

females 3 through 5 576 

6 through 8 720 

9 through 11 864 

12 or more 1080 

c.	 Space requirements for primary enclosures acquired on or after 

August 15, 1990. 

1.	 Primary enclosures shall be constructed and maintained so 

as to provide sufficient space for the animal to make normal 

postural adjustments with adequate freedom of movement. 

2.	 Each rabbit housed in a primary enclosure shall be provided 

a minimum amount of floor space, exclusive of the space 

taken up by food and water receptacles, in accordance with 

the following table: 

Individual weights Minimum floor 

space 

Minimum interior 

height 

kg lbs m2 ft2 cm in 

Individual 

rabbits 

(weaned) 

< 2 < 4.4 0.14 1.5 35.56 14 

2-4 4.4-8.8 0.28 3.0 35.56 14 

4-5.4 8.8-11.9 0.37 4.0 35.56 14 

> 5.4 > 11.9 0.46 5.0 35.56 14 

187 
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PART 3

Subpart C

Rabbits

Part 3, Subpart C, § 3.54 

Females 

with 

litters 

Weight of nursing 

female 

Minimum floor 

space / female &

litter 

Minimum interior 

height 

kg lbs m2 ft2 cm in 

< 2 < 4.4 0.37 4.0 35.56 14 

2-4 4.4-8.8 0.46 5.0 35.56 14 

4-5.4 8.8-11.9 0.56 6.0 35.56 14 

> 5.4 > 11.9 0.70 7.5 35.56 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 

188 
189 

Animal Welfare Act, USDA

PART 3

Subpart C

Rabbits

Part 3, Subpart C, § 3.56 

receptacles shall be sanitized when dirty: Provided, however, That such 

receptacles shall be sanitized at least once every 2 weeks. 

§ 3.56 - Sanitation. 

a.	 Cleaning of primary enclosures. 

1.	 Primary enclosures shall be kept reasonably free of excreta, 

hair, cobwebs and other debris by periodic cleaning. 

Measures shall be taken to prevent the wetting of rabbits in 

such enclosures if a washing process is used. 

2.	 In primary enclosures equipped with solid floors, soiled litter 

shall be removed and replaced with clean litter at least once 

each week. 

3.	 If primary enclosures are equipped with wire or mesh floors, 

the troughs or pans under such enclosures shall be cleaned 

at least once each week. If worm bins are used under such 

enclosures they shall be maintained in a sanitary condition. 

b.	 Sanitization of primary enclosures. 

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. 
190 

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PART 3

Subpart C

Rabbits

Part 3, Subpart C, § 3.57 

§ 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 
191 

Animal Welfare Act, USDA

PART 3

Subpart C

Rabbits

 

Part 3, Subpart C, § 3.60 

than 6 hours if specific prior scheduling of the animal shipment to 

destination has been made. 

b.	 Any carrier or intermediate handler shall only accept for 

transportation or transport, in commerce, any live rabbit in a 

primary enclosure which conforms to the requirements set forth 

in § 3.61 of the standards: Provided, however, That any carrier or 

intermediate handler may accept for transportation or transport, 

in commerce, any live rabbit consigned by any department, 

agency, or instrumentality of the United States having laboratory 

animal facilities or exhibiting animals or any licensed or registered 

dealer, research facility, exhibitor, or operator of any auction sale, 

if such consignor furnishes to the carrier or intermediate handler 

a certificate, signed by the consignor, stating that the primary 

enclosure complies with § 3.61 of the standards, unless such 

primary enclosure is obviously defective or damaged and it is 

apparent that it cannot reasonably be expected to contain the live 

rabbit without causing suffering or injury to such live rabbit. A copy 

of such certificate shall accompany the shipment to destination. 

The certificate shall include at least the following information: 

1.	 Name and address of the consignor; 

2.	 The number of rabbits in the primary enclosure(s); 

3.	 A certifying statement (e.g., “I hereby certify that the 

(number) primary enclosure(s) which are used to transport 

the animal(s) in this shipment complies (comply) with USDA 

standards for primary enclosures (9 CFR part 3).”); and 

4.	 The signature of the consignor, and date. 

c.	 Carriers or intermediate handlers whose facilities fail to meet 

the minimum temperature allowed by the standards may accept 

for transportation or transport, in commerce, any live rabbit 

consigned by any department, agency, or instrumentality of 

the United States or of any State or local government, or by any 

person (including any licensee or registrant under 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 
192 

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PART 3

Subpart C

Rabbits

 

Part 3, Subpart C, § 3.61 

those prescribed in §§ 3.65 and 3.66. A copy of such certificate 

shall accompany the shipment to destination. The certificate shall 

include at least the following information: 

1.	 Name and address of the consignor; 

2.	 The number of rabbits in the shipment; 

3.	 A certifying statement (e.g., “I hereby certify that the animal(s) 

in this shipment is (are), to the best of my knowledge, 

acclimated to air temperatures lower than 7.2 °C. (45 °F.).)”; 

and 

4.	 The signature of the USDA accredited veterinarian, assigned 

accreditation number, and date. 

d.	 Carriers and intermediate handlers shall attempt to notify the 

consignee at least once in every 6 hour period following the 

arrival of any live rabbit at the animal holding area of the terminal 

cargo facility. The time, date, and method of each attempted 

notification and the final notification to the consignee and the 

name of the person notifying the consignee shall be recorded 

on the copy of the shipping document retained by the carrier or 

intermediate handler and on a copy of the shipping document 

accompanying the animal shipment. 

[42 FR 31565, June 21, 1977, as amended at 43 FR 21164, May 16, 1978; 44 FR 63493, 

Nov. 2, 1979] 

§ 3.61 - Primary enclosures used to transport live rabbits. 

No person subject to the Animal Welfare regulations shall offer for 

transportation or transport in commerce any live rabbit in a primary 

enclosure that does not conform to the following requirements: 

a.	 Primary enclosures, such as compartments, transport cages, 

cartons, or crates, used to transport live rabbits shall be 

constructed in such a manner that: 

1.	 The structural strength of the enclosure shall be sufficient to 

contain the live rabbits and to withstand the normal rigors of 

transportation; 

2.	 The interior of the enclosure shall be free from any 

protrusions that could be injurious to the live rabbits 

contained therein; 

3.	 The openings of such enclosures are easily accessible at all 

times for emergency removal of the live rabbits; 
193 

Animal Welfare Act, USDA

PART 3

Subpart C

Rabbits

Part 3, Subpart C, § 3.61 

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 onethird 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. 
194 

9 CFR AWA (5-1-2023 Edition)

PART 3

Subpart C

Rabbits

Part 3, Subpart C, § 3.62 

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 words “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. 
195 

Animal Welfare Act, USDA

PART 3

Subpart C

Rabbits

Part 3, Subpart C, § 3.62 

b. The animal cargo space shall be constructed and maintained 

in a manner to prevent the ingress of engine exhaust fumes and 

gases from the primary conveyance during transportation in 

commerce. 

c. No live rabbit shall be placed in an animal cargo space that does 

not have a supply of air sufficient for normal breathing for each 

live animal contained therein, and the primary enclosures shall 

be positioned in the animal cargo space in such a manner that 

each rabbit has access to sufficient air for normal breathing. 

d. Primary enclosures shall be positioned in the primary 

conveyance in such a manner that in an emergency the live 

rabbits can be removed from the primary conveyance as soon as 

possible. 

e. The interior of the animal cargo space shall be kept clean. 

f. Live rabbits shall not be transported with any material, substance 

(e.g., dry ice) or device which may reasonably be expected to be 

injurious to the health and well-being of the rabbits unless proper 

precaution is taken to prevent such injury. 

g. The animal cargo space of primary conveyances used to transport 

rabbits shall be mechanically sound and provide fresh air by 

means of windows, doors, vents, or air conditioning so as to 

minimize drafts, odors, and moisture condensation. Auxiliary 

ventilation, such as fans, blowers, or air conditioners, shall be 

used in any cargo space containing live rabbits when the ambient 

temperature in the animal cargo space is 75 °F (23.9 °C) or higher. 

The ambient temperature within the animal cargo space shall not 

exceed 85 °F (29.5 °C) or fall below 45 °F (7.2 °C), except that the 

ambient 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] 
196 

9 CFR AWA (5-1-2023 Edition)

PART 3

Subpart C

Rabbits

Part 3, Subpart C, § 3.63 

§ 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, 
197 

Animal Welfare Act, USDA

PART 3

Subpart C

Rabbits

Part 3, Subpart C, § 3.65 

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. 

§ 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]] 
198 

9 CFR AWA (5-1-2023 Edition)

PART 3

Subpart C

Rabbits

Part 3, Subpart C, § 3.66 

§ 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). 

4.	 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. 

5.	 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] 
199 

Animal Welfare Act, USDA

PART 3

Subpart D

Nonhuman

Primates

 

 

Part 3, Subpart D, § 3.75 

SUBPART D 

SPECIFICATIONS FOR THE HUMANE HANDLING, 

CARE, TREATMENT, AND TRANSPORTATION OF 

NONHUMAN PRIMATES2 

Source: 56 FR 6495, Feb. 15, 1991, unless otherwise noted. 

FACILITIES AND OPERATING STANDARDS 

§ 3.75 - Housing facilities, general. 

a.	 Structure: construction. Housing facilities for nonhuman 

primates must be designed and constructed so that they are 

structurally sound for the species of nonhuman primates housed 

in them. They must be kept in good repair, and they must protect 

the animals from injury, contain the animals securely, and restrict 

other animals from entering. 

b.	 Condition and site. Housing facilities and areas used 

for storing animal food or bedding must be free of any 

accumulation of trash, waste material, junk, weeds, and other 

discarded materials. Animal areas inside of housing facilities 

must be kept neat and free of clutter, including equipment, 

furniture, or stored material, but may contain materials 

actually used and necessary for cleaning the area, and fixtures 

and equipment necessary for proper husbandry practices and 

research needs. Housing facilities other than those maintained 

by research facilities and Federal research facilities must 

be physically separated from any other businesses. If a 

2 Nonhuman primates include a great diversity of forms, ranging from the marmoset 

weighing only a few ounces, to the adult gorilla weighing hundreds of pounds, and include 

more than 240 species. They come from Asia, Africa, and Central and South America, and 

they live in different habitats in nature. Some have been transported to the United States 

from their natural habitats and some have been raised in captivity in the Unit- ed 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. 
200 

9 CFR AWA (5-1-2023 Edition)

PART 3

Subpart D

Nonhuman

Primates

Part 3, Subpart D, § 3.75 

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. Furniture-type fixtures or objects 

must be sturdily constructed and must be strong enough to 

provide for the safe activity and welfare of nonhuman primates. 

Floors may be made of dirt, absorbent bedding, sand, gravel, 

grass, or other similar material that can be readily cleaned, 

or can be removed or replaced whenever cleaning does not 

eliminate odors, diseases, pests, insects, or vermin. Any surfaces 

that come in contact with nonhuman primates must: 

i.	 Be free of excessive rust that prevents the required 

cleaning and sanitization, or that affects the structural 

strength of the surface; and 

ii.	 Be free of jagged edges or sharp points that might injure 

the animals. 

2.	 Maintenance and replacement of surfaces. All surfaces 

must be maintained on a regular basis. Surfaces of housing 

facilities – including houses, dens, and other furniture-type 

fixtures and objects within the facility – that cannot be readily 

cleaned and sanitized, must be replaced when worn or 

soiled. 

3.	 Cleaning. Hard surfaces with which nonhuman primates 

come in contact must be spot-cleaned daily and sanitized 

in accordance with § 3.84 of this subpart to prevent 

accumulation of excreta or disease hazards. If the species 

scent mark, the surfaces must be sanitized or replaced at 

regular intervals as determined by the attending veterinarian 

in accordance with generally accepted professional and 

husbandry practices. Floors made of dirt, absorbent 

bedding, sand, gravel, grass, or other similar material, and 

planted enclosures must be raked or spot-cleaned with 
201 

Animal Welfare Act, USDA

PART 3

Subpart D

Nonhuman

Primates

Part 3, Subpart D, § 3.75 

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 
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and water are rapidly eliminated and the animals stay dry. 

Disposal and drainage systems must minimize vermin and pest 

infestation, insects, odors, and disease hazards. All drains must 

be properly constructed, installed, and maintained. If closed 

drainage systems are used, they must be equipped with traps 

and prevent the backflow of gases and the backup of sewage onto 

the floor. If the facility uses sump ponds, settlement ponds, or 

other similar systems for drainage and animal waste disposal, the 

system must be located far enough away from the animal area 

of the housing facility to prevent odors, diseases, insects, pests, 

and vermin infestation. If drip or constant flow watering devices 

are used to provide water to the animals, excess water must be 

rapidly drained out of the animal areas by gutters or pipes so that 

the animals stay dry. Standing puddles of water in animal areas 

must be mopped up or drained so that the animals remain dry. 

Trash containers in housing facilities and in food storage and 

food preparation areas must be leakproof and must have tightly 

fitted lids on them at all times. Dead animals, animal parts, and 

animal waste must not be kept in food storage or food preparation 

areas, food freezers, food refrigerators, and animal areas. 

g.	 Washrooms and sinks. Washing facilities, such as washrooms, 

basins, sinks, or showers must be provided for animal caretakers 

and must be readily accessible. 

§ 3.76 - Indoor housing facilities. 

a.	 Heating, cooling, and temperature. Indoor housing facilities 

must be sufficiently heated and cooled when necessary to 

protect nonhuman primates from temperature extremes and to 

provide for their health and well-being. The ambient temperature 

in the facility must not fall below 45 °F (7.2 °C) for more than 4 

consecutive hours when nonhuman primates are present, and 

must not rise above 85 °F (29.5 °C) for more than 4 consecutive 

hours when nonhuman primates are present. The ambient 

temperature must be maintained at a level that ensures the health 

and well-being of the species housed, as directed by the attending 

veterinarian, in accordance with generally accepted professional 

and husbandry practices. 
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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 well-being of the animals 

housed, as directed by the attending veterinarian, in accordance 

with generally accepted professional and husbandry practices. 

c.	 Lighting. Indoor housing facilities must be lighted well enough 

to permit routine inspection and cleaning of the facility, and 

observation of the nonhuman primates. Animal areas must 

be provided a regular diurnal lighting cycle of either natural or 

artificial light. Lighting must be uniformly diffused throughout 

animal facilities and provide sufficient illumination to aid in 

maintaining good housekeeping practices, adequate cleaning, 

adequate inspection of animals, and for the well-being of the 

animals. Primary enclosures must be placed in the housing facility 

so as to protect the nonhuman primates from excessive light. 

§ 3.77 - Sheltered housing facilities. 

a.	 Heating, cooling, and temperature. The sheltered part of 

sheltered housing facilities must be sufficiently heated and 

cooled when necessary to protect the nonhuman primates 

from temperature extremes, and to provide for their health 

and well-being. The ambient temperature in the sheltered 

part of the facility must not fall below 45 °F (7.2 °C) for more 

than 4 consecutive hours when nonhuman primates are 

present, and must not rise above 85°F (29.5 °C) for more than 4 

consecutive hours when nonhuman primates are present, unless 

temperatures above 85 °F (29.5 °C) are approved by the attending 

veterinarian, in accordance with generally accepted husbandry 

practices. The ambient temperature must be maintained at a level 

that ensures the health and well-being of the species housed, 

as directed by the attending veterinarian, in accordance with 

generally accepted professional and husbandry practices. 
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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 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 
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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) 
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Part 3, Subpart D, § 3.78 

§ 3.78 - Outdoor housing facilities. 

a.	 Acclimation. Only nonhuman primates that are acclimated, 

as determined by the attending veterinarian, to the prevailing 

temperature and humidity at the outdoor housing facility during 

the time of year they are at the facility, and that can tolerate the 

range of temperatures and climatic conditions known to occur at 

the facility at that time of year without stress or discomfort, may 

be kept in outdoor facilities. 

b.	 Shelter from the elements. Outdoor housing facilities for 

nonhuman primates must provide adequate shelter from the 

elements at all times. It must provide protection from the sun, 

rain, snow, wind, and cold, and from any weather conditions that 

may occur. The shelter must safely provide heat to the nonhuman 

primates to prevent the ambient temperature from falling below 

45 °F (7.2 °C), except as directed by the attending veterinarian 

and in accordance with generally accepted professional and 

husbandry practices. 

c.	 Capacity: multiple shelters. The shelter must be sufficiently large 

to comfortably provide protection for each nonhuman primate 

housed in the facility. If aggressive or dominant animals are 

housed in the facility with other animals there must be multiple 

shelters, or other means to ensure protection for each nonhuman 

primate housed in the facility. 

d.	 Perimeter fence. On and after February 15, 1994, an outdoor 

housing facility must be enclosed by a fence that is of sufficient 

height to keep unwanted species out. Fences less than 6 feet 

high must be approved by the Administrator. The fence must be 

constructed so that it protects nonhuman primates by restricting 

unauthorized humans, and animals the size of dogs, skunks, and 

raccoons from going through it or under it and having contact 

with the nonhuman primates. It must be of sufficient distance 

from the outside wall or fence of the primary enclosure to 

prevent physical contact between animals inside the enclosure 

and outside the perimeter fence. Such fences less than 3 feet in 

distance from the primary enclosure must be approved by the 

Administrator. A perimeter fence is not required if: 
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Part 3, Subpart D, § 3.79 

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. 
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Part 3, Subpart D, § 3.80 

b.	 Ventilation. Traveling housing facilities must be sufficiently 

ventilated at all times when nonhuman primates are present to 

provide for the health and well-being of nonhuman primates 

and to minimize odors, drafts, ammonia levels, moisture 

condensation, and exhaust fumes. Ventilation must be provided 

by means of windows, doors, vents, fans, or air conditioning. 

Auxiliary ventilation, such as fans, blowers, or air conditioning, 

must be provided when the ambient temperature in the traveling 

housing facility is 85°F (29.5 °C) or higher. 

c.	 Lighting. Mobile or traveling housing facilities must be lighted well 

enough to permit routine inspection and cleaning of the facility, 

and 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 supervisionof an 

experienced handler or trainer at all times when the public is 

present. Trained nonhuman primates may be allowed physical 

contact with the public, but only if they are under the direct 

control and supervision of an experienced handler or trainer at all 

times during the contact. 

§ 3.80 - Primary enclosures. 

Primary enclosures for nonhuman primates must meet the following 

minimum requirements: 

a.	 General requirements. 

1.	 Primary enclosures must be designed and constructed of 

suitable materials so that they are structurally sound for the 
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Part 3, Subpart D, § 3.80 

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 

nonhumanprimates; 

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 not allow the space 

underneath them to be comfortably occupied by the animal will 

be counted as part of the floor space. 
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Part 3, Subpart D, § 3.80 

1.	 The minimum space that must be provided to each 

nonhuman primate, whether housed individually or with 

other nonhuman primates, will be determined by the typical 

weight of animals of its species, except for brachiating species 

and great apes3 and will be calculated by using the following 

table:4 

2.	 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)(1) 

of this section, to allow for normal postural adjustments. 

3 The different species of nonhuman primates are divided into six weight groups for 

determining minimum space requirements, except that all brachiating species of any 

weight are grouped together since they require additional space to engage in speciestypical behavior. The grouping provided is based upon the typical weight for various 

species and not on changes associated with obesity, aging, or pregnancy. These conditions 

will not be considered in determining a nonhuman primate’s weight group unless the 

animal is obviously unable to make normal postural adjustments and movements within 

the primary enclosure. Different species of prosimians vary in weight and should be 

grouped with their appropriate weight group. They have not been included in the weight 

table since different species typically fall into different weight groups. Infants and juveniles 

of certain species are substantially lower in weight than adults of those species and require 

the minimum space requirements of lighter weight species, unless the animal is obviously 

unable to make normal postural adjustments and movements within the primary 

enclosure. 

4 Examples of the kinds of nonhuman primates typically included in each age group are: 

Group 1—marmosets, tamarins, and infants (less than 6 months of age) of various species. 

Group 2—capuchins, squirrel monkeys and similar size species, and juveniles (6 months to 

3 years of age) of various species. 

Group 3—macaques and African species. 

Group 4—male macaques and large African species. 

Group 5—baboons and nonbrachiating species larger than 33.0 lbs. (15 kg.). 

Group 6—great apes over 55.0 lbs. (25 kg.), except as provided in paragraph (b)(2) of this 

section, and brachiating species. 
Animal Welfare Act, USDA

PART 3

Subpart D

Nonhuman

Primates

Part 3, Subpart D, § 3.80 

Weight Floor area/animal Height 

Group lbs. (kg.) ft.2 (m2

) in. (cm.) 

1 Under 2.2 (under 1) 1.6 (0.15) 20 (50.8) 

2 2.2-6.6 (1-3) 3.0 (0.28) 30 (76.2) 

3 6.6-22.0 (3-10) 4.3 (0.40) 30 (76.2) 

4 22.0-33.0 (10-15) 6.0 (0.56) 32 (81.28) 

5 33.0-55.0 (15-25) 8.0 (0.74) 36 (91.44) 

6 Over 55.0 (over 25) 25.1 (2.33) 84 (213.36) 

3.	 In the case of research facilities, any exemption from these 

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. 

4.	 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)(1) 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 paragraph (b) 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) 

211 
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Part 3, Subpart D, § 3.81 

§ 3.81 - Environment enhancement to promote 

psychological well-being. 

Dealers, exhibitors, and research facilities must develop, document, 

and follow an appropriate plan for environment enhancement adequate 

to promote the psychological well-being of nonhuman primates. The 

plan must be in accordance with the currently accepted professional 

standards as cited in appropriate professional journals or reference 

guides, and as directed by the attending veterinarian. This plan must 

be made available to APHIS upon request, and, in the case of research 

facilities, to officials of any pertinent funding agency. The plan, at a 

minimum, must address each of the following: 

a.	 Social grouping. The environment enhancement plan must 

include specific provisions to address the social needs of 

nonhuman primates of species known to exist in social groups 

in nature. Such specific provisions must be in accordance with 

currently accepted professional standards, as cited in appropriate 

professional journals or reference guides, and as directed by the 

attending veterinarian. The plan may provide for the following 

exceptions: 

1.	 If a nonhuman primate exhibits vicious or overly aggressive 

behavior, or is debilitated as a result of age or other conditions 

(e.g., arthritis), it should be housed separately; 

2.	 Nonhuman primates that have or are suspected of having a 

contagious disease must be isolated from healthy animals in 

the colony as directed by the attending veterinarian. When 

an entire group or room of nonhuman primates is known 

to have or believed to be exposed to a 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 
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Part 3, Subpart D, § 3.81 

nonhuman primates of their own or compatible species unless 

the attending veterinarian determines that it would endanger 

their health, safety, or well-being. 

b.	 Environmental enrichment. The physical environment in 

the primary enclosures must be enriched by providing means 

of expressing noninjurious species-typical activities. Species 

differences should be considered when determining the type or 

methods of enrichment. Examples of environmental enrichments 

include providing perches, swings, mirrors, and other increased 

cage complexities; providing objects to manipulate; varied 

food items; using foraging or task-oriented feeding methods; 

and providing interaction with 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 
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Nonhuman

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Part 3, Subpart D, § 3.82 

possible. In instances where long-term (more than 12 hours) 

restraint is required, the nonhuman primate must be provided 

the opportunity daily for unrestrained activity for at least one 

continuous hour during the period of restraint, unless continuous 

restraint is required by the research proposal approved by the 

Committee at research facilities. 

e.	 Exemptions. 

1.	 The attending veterinarian may exempt an individual 

nonhuman primate from participation in the environment 

enhancement plan because of its health or condition, or in 

consideration of its well-being. The basis of the exemption 

must be recorded by the attending veterinarian for each 

exempted nonhuman primate. Unless the basis for the 

exemption is a permanent condition, the exemption must be 

reviewed at least every 30 days by the attending veterinarian. 

2.	 For a research facility, the Committee may exempt an 

individual nonhuman primate from participation in some or 

all of the otherwise required environment enhancement plans 

for scientific reasons set forth in the research proposal. The 

basis of the exemption shall be documented in the approved 

proposal and must be reviewed at appropriate intervals as 

determined by the Committee, but not less than annually. 

3.	 Records of any exemptions must be maintained by the dealer, 

exhibitor, or research facility and must be made available to 

USDA officials or officials of any pertinent funding Federal 

agency upon request. 

(Approved by the Office of Management and Budget under control number 0579-0093) 

ANIMAL HEALTH AND HUSBANDRY STANDARDS 

§ 3.82 - Feeding. 

a.	 The diet for nonhuman primates must be appropriate for the 

species, size, age, and condition of the animal, and for the 

conditions in which the nonhuman primate is maintained, 

according to generally accepted professional and husbandry 

practices and nutritional standards. The food must be clean, 

wholesome, and palatable to the animals. It must be of sufficient 
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Part 3, Subpart D, § 3.83 

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) 
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Subpart D

Nonhuman

Primates

Part 3, Subpart D, § 3.84 

§ 3.84 - Cleaning, sanitization, housekeeping, 

and pest control. 

a.	 Cleaning of primary enclosures. Excreta and food waste must 

be removed from inside each indoor primary enclosure daily 

and from underneath them as often as necessary to prevent 

an excessive accumulation of feces and food waste, to prevent 

the nonhuman primates from becoming soiled, and to reduce 

disease hazards, insects, pests, and odors. Dirt floors, floors with 

absorbent bedding, and planted areas in primary enclosures 

must be spot-cleaned with sufficient frequency to ensure all 

animals the freedom to avoid contact with excreta, or as often as 

necessary to reduce disease hazards, insects, pests, and odors. 

When steam or water is used to clean the primary enclosure, 

whether by hosing, flushing, or other methods, nonhuman 

primates must be removed, unless the enclosure is large enough 

to ensure the animals will not be harmed, wetted, or distressed 

in the process. Perches, bars, and shelves must be kept clean and 

replaced when worn. If the species of the nonhuman primates 

housed in the primary enclosure engages in scent marking, hard 

surfaces in the primary enclosure must be spot-cleaned daily. 

b.	 Sanitization of primary enclosures and food and water 

receptacles. 

1.	 A used primary enclosure must be sanitized in accordance 

with this section before it can be used to house another 

nonhuman primate or group of nonhuman primates. 

2.	 Indoor primary enclosures must be sanitized at least once 

every 2 weeks and as often as necessary to prevent an 

excessive accumulation of dirt, debris, waste, food waste, 

excreta, or disease hazard, using one of the methods 

prescribed in paragraph (b)(3) of this section. However, if 

the species of nonhuman primates housed in the primary 

enclosure engages in scent marking, the primary enclosure 

must be sanitized at regular intervals determined in 

accordance with generally accepted professional and 

husbandry practices. 

3.	 Hard surfaces of primary enclosures and food and water 

receptacles must be sanitized using one of the following 

methods: 
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Part 3, Subpart D, § 3.85 

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 
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Part 3, Subpart D, § 3.86 

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 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 
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Part 3, Subpart D, § 3.86 

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 
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Nonhuman

Primates

Part 3, Subpart D, § 3.86 

5.	 The veterinarian’s signature and the date the certification 

was signed. 

f.	 When a primary enclosure containing a nonhuman primate 

has arrived at the animal holding area of a terminal facility after 

transport, the carrier or intermediate handler must attempt 

to notify the consignee upon arrival and at least once in every 

6-hour period after arrival. The time, date, and method of 

all attempted notifications and the actual notification of the 

consignee, and the name of the person who notifies or attempts 

to notify the consignee must be written either on the carrier’s or 

intermediate handler’s copy of the shipping document or on the 

copy that accompanies the primary enclosure. If the consignee 

cannot be notified within 24 hours after the nonhuman primate 

has arrived at the terminal facility, the carrier or intermediate 

handler must return the animal to the consignor or to whomever 

the consignor designates. If the consignee is notified of the 

arrival and does not take physical delivery of the nonhuman 

primate within 48 hours after arrival of the nonhuman primate, 

the carrier or intermediate handler must return the animal to the 

consignor or to whomever the consignor designates. The carrier 

or intermediate handler must continue to provide proper care, 

feeding, and housing to the nonhuman primate, and maintain 

the nonhuman primate in accordance with generally accepted 

professional and husbandry practices until the consignee accepts 

delivery of the nonhuman primate or until it is returned to the 

consignor or to whomever the consignor designates. The carrier 

or intermediate handler must obligate the consignor to reimburse 

the carrier or intermediate handler for the cost of return 

transportation and care. 

(Approved by the Office of Management and Budget under control number 0579-0093) 
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PART 3

Subpart D

Nonhuman

Primates

Part 3, Subpart D, § 3.87 

§ 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 
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Part 3, Subpart D, § 3.87 

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 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 
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Nonhuman

Primates

Part 3, Subpart D, § 3.87 

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 
224 

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Subpart D

Nonhuman

Primates

Part 3, Subpart D, § 3.88 

marked in English with the words “Wild Animals” or “Live 

Animals,” in the same manner. 

g.	 Accompanying documents and records. Shipping documents 

that must accompany shipments of nonhuman primates may 

be held by the operator of the primary conveyance, for surface 

transportation only, or must be securely attached in a readily 

accessible manner to the outside of any primary enclosure that is 

part of the shipment, in a manner that allows them to be detached 

for examination and securely reattached, such as in a pocket or 

sleeve. Instructions for administration of drugs, medication, and 

other special care must be attached to each primary enclosure in a 

manner that makes them easy to notice, to detach for examination, 

and to reattach securely. Food and water instructions must be 

attached in accordance with § 3.86(c) of this subpart. 

(Approved by the Office of Management and Budget under control number 0579-0093) 

§ 3.88 - Primary conveyances (motor vehicle, rail, air, 

and marine). 

a.	 The animal cargo space of primary conveyances used to transport 

nonhuman primates must be designed, constructed, and 

maintained in a manner that at all times protects the health and 

well-being of the animals transported in it, ensures their safety 

and comfort, and prevents the entry of engine exhaust from the 

primary conveyance during transportation. 

b.	 The animal cargo space must have a supply of air that is sufficient 

for the normal breathing of all the animals being transported in it. 

c.	 Each primary enclosure containing nonhuman primates must be 

positioned in the animal cargo space in a manner that provides 

protection 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 
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Nonhuman

Primates

Part 3, Subpart D, § 3.89 

professional and husbandry practices, at all times a nonhuman 

primate is present. 

e.	 During surface transportation, the ambient temperature inside a 

primary conveyance used to transport nonhuman primates must 

be maintained between 45 °F (7.2 °C) and 85 °F (30 °C) at all times 

a nonhuman primate is present. 

f.	 A primary enclosure containing a nonhuman primate must 

be placed far enough away from animals that are predators 

or natural enemies of nonhuman primates, whether the other 

animals are in primary enclosures or not, so that the nonhuman 

primate cannot touch or see the other animals. 

g.	 Primary enclosures must be positioned in the primary 

conveyance in a manner that allows the nonhuman primates to 

be quickly and easily removed from the primary conveyance in an 

emergency. 

h.	 The interior of the animal cargo space must be kept clean 

i.	 Nonhuman primates must not be transported with any material, 

substance (e.g., dry ice), or device in a manner that may 

reasonably be expected to harm the nonhuman primates or cause 

inhumane conditions. 

§ 3.89 - Food and water requirements. 

a.	 Each nonhuman primate that is 1 year of age or more must be 

offered food5 at least once every 24 hours. Each nonhuman 

primate that is less than 1 year of age must be offered food at 

least once every 12 hours. Each nonhuman primate must be 

offered potable water at least once every 12 hours. These time 

periods apply to dealers, exhibitors, and research facilities, 

including Federal research facilities, who transport nonhuman 

primates in their own primary conveyances, starting from the 

time the nonhuman primate was last offered food and potable 

5 Proper food for purposes of this section is described in § 3.82 of this subpart, with the 

necessities and circumstances of the mode of travel taken into account. 
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Subpart D

Nonhuman

Primates

Part 3, Subpart D, § 3.90 

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 in-transit food and water requirements 

of the nonhuman primate(s) contained in the enclosure. The 

instructions must be attached in a manner that makes them easily 

noticed and read. 

c.	 Food and water receptacles must be securely attached inside the 

primary enclosure and placed so that the receptacles can be filled 

from outside of the enclosure without opening the door. Food and 

water receptacles must be designed, constructed, and installed 

so that a nonhuman primate cannot leave the primary enclosure 

through the food or water opening. 

(Approved by the Office of Management and Budget under control number 0579-0093) 

§ 3.90 - Care in transit. 

a.	 Surface transportation (ground and water). Any person 

subject to the Animal Welfare regulations (9 CFR parts 1, 2, and 

3) transporting nonhuman primates in commerce must ensure 

that the operator of the conveyance or a person accompanying 

the operator of the conveyance observes the nonhuman primates 

as often as circumstances allow, but not less than once every 
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Subpart D

Nonhuman

Primates

Part 3, Subpart D, § 3.90 

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. 
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PART 3

Subpart D

Nonhuman

Primates

Part 3, Subpart D, § 3.91 

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 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 
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Subpart D

Nonhuman

Primates

Part 3, Subpart D, § 3.92 

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. 
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Subpart D

Nonhuman

Primates

Part 3, Subpart D, § 3.92 

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. 

3.	 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) 
231 

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PART 3

Subpart E

Marine

Mammals

Part 3, Subpart E, § 3.100 

SUBPART E 

SPECIFICATIONS FOR THE HUMANE HANDLING, 

CARE, TREATMENT, AND TRANSPORTATION OF 

MARINE MAMMALS 

Source: 44 FR 36874, June 22, 1979, unless otherwise noted. 

FACILITIES AND OPERATING STANDARDS 

§ 3.100 - Special considerations regarding compliance and/

or variance. 

a.	 All persons subject to the Animal Welfare Act who maintain or 

otherwise handle marine mammals in captivity must comply 

with the provisions of this subpart, except that they may apply for 

and be granted a variance,6 by the Deputy Administrator, from 

one or more specified provisions of § 3.104. The provisions of this 

subpart shall not apply, however, in emergency circumstances 

where compliance with one or more requirements would not 

serve the best interest of the marine mammals concerned. 

b.	 An application for a variance must be made to the Deputy 

Administrator in writing. The request must include: 

1.	 The species and number of animals involved, 

2.	 A statement from the attending veterinarian concerning the 

age and health status of the animals involved, and concerning 

whether the granting of a variance would be detrimental to 

the marine mammals involved, 

3.	 Each provision of the regulations that is not met, 

4.	 The time period requested for a variance, 

5.	 The specific reasons why a variance is requested, and 

6.	 The estimated cost of coming into compliance, if construction 

is involved. 

c.	 After receipt of an application for a variance, the Deputy 

6 Written permission from the Deputy Administrator to operate as a licensee or registrant 

under the Act without being in full compliance with one or more specified provisions of 

§ 3.104. 
232 

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Subpart E

Marine

Mammals

Part 3, Subpart E, § 3.100 

Administrator may require the submission in writing of a report 

by two experts recommended by the American Association of 

Zoological Parks and Aquariums and approved by the Deputy 

Administrator concerning potential adverse impacts on the 

animals involved or on other matters relating to the effects of the 

requested variance on the health and well-being of such marine 

mammals. Such a report will be required only in those cases 

when the Deputy Administrator determines that such expertise is 

necessary to determine whether the granting of a variance would 

cause a situation detrimental to the health and well-being of the 

marine mammals involved. The cost of such report is to be paid by 

the applicant. 

d.	 Variances granted for facilities because of ill or infirm marine 

mammals that cannot be moved without placing their wellbeing 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. 
233 

Animal Welfare Act, USDA

PART 3

Subpart E

Marine

Mammals

Part 3, Subpart E, § 3.101 

g.	 A research facility may be granted a variance from specified 

requirements of this subpart when such variance is necessary 

for research purposes and is fully explained in the experimental 

design. Any time limitation stated in this section shall not be 

applicable in such case. 

[49 FR 26681, June 28, 1984; 63 FR 2, Jan. 2, 1998] 

§ 3.101 - Facilities, general. 

a.	 Construction requirements. 

1.	 Indoor and outdoor housing facilities for marine mammals 

must be structurally sound and must be maintained in 

good repair to protect the animals from injury, to contain 

the animals within the facility, and to restrict the entrance 

of unwanted animals. Lagoon and similar natural seawater 

facilities must maintain effective barrier fences extending 

above the high tide water level, or other appropriate 

measures, on all sides of the enclosure not contained by dry 

land to fulfill the requirements of this section. 

2.	 All marine mammals must be provided with protection from 

abuse and harassment by the viewing public by the use of 

a sufficient number of uniformed or readily identifiable 

employees or attendants to supervise the viewing public, or 

by physical barriers, such as fences, walls, glass partitions, or 

distance, or any combination of these. 

3.	 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. 
234 

9 CFR AWA (5-1-2023 Edition)

PART 3

Subpart E

Marine

Mammals

Part 3, Subpart E, § 3.101 

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. 

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 
235 

Animal Welfare Act, USDA

PART 3

Subpart E

Marine

Mammals

Part 3, Subpart E, § 3.102 

or maintained in the marine mammal food storage or preparation 

areas, except that cleaning agents may be kept in secured cabinets 

designed and located to prevent food contamination. Food, 

supplements, and medications may not be used beyond commonly 

accepted shelf life or date listed on the label. 

e.	 Waste disposal. Provision must be made for the removal and 

disposal of animal and food wastes, dead animals, trash, and 

debris. Disposal facilities must be provided and operated in 

a manner that will minimize odors and the risk of vermin 

infestation and disease hazards. All waste disposal procedures 

must comply with all applicable Federal, State, and local laws 

pertaining to pollution control, protection of the environment, 

and public health. 

f.	 Employee washroom facilities. Washroom facilities containing 

basins, sinks, and, as appropriate, showers, must be provided and 

conveniently located to maintain cleanliness among employees, 

attendants, and volunteers. These facilities must be cleaned and 

sanitized daily. 

g.	 Enclosure or pool environmental enhancements. Any nonfood 

objects provided for the entertainment or stimulation of marine 

mammals must be of sufficient size and strength to not be 

ingestible, readily breakable, or likely to cause injury to marine 

mammals, and be able to be cleaned, sanitized, and/or replaced 

effectively. 

[66 FR 251, Jan. 3, 2001, as amended at 77 FR 76824, Dec. 31, 2012] 

§ 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. 
236 

9 CFR AWA (5-1-2023 Edition)

PART 3

Subpart E

Marine

Mammals

Part 3, Subpart E, § 3.103 

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.7 

[44 FR 36874, June 22, 1979; 63 FR 2, Jan. 2, 1998] 

§ 3.103 - Facilities, outdoor. 

a.	 Environmental temperatures. Marine mammals shall not be 

housed in outdoor facilities unless the air and water temperature 

ranges which they may encounter during the period they are so 

housed do not adversely affect their health and comfort. A marine 

mammal shall not be introduced to an outdoor housing facility until 

it is acclimated to the air and water temperature ranges which it will 

encounter therein. The following requirements shall be applicable to 

all outdoor pools. 

1.	 The water surface of pools in outdoor primary enclosures 

housing polar bears and ice or cold water dwelling species of 

pinnipeds shall be kept sufficiently free of solid ice to allow 

for entry and exit of the animals. 

2.	 The water surface of pools in outdoor primary enclosures 

housing cetaceans and sea otters shall be kept free of ice. 

7 Lighting intensity and duration must be consistent with the general well-being and comfort 

of the animal involved. When possible, it should approximate the lighting conditions 

encountered by the animal in its natural environment. At no time shall the lighting be such 

that it will cause the animal discomfort or trauma. 
237 

Animal Welfare Act, USDA

PART 3

Subpart E

Marine

Mammals

Part 3, Subpart E, § 3.103 

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 
238 

9 CFR AWA (5-1-2023 Edition)

PART 3

Subpart E

Marine

Mammals

Part 3, Subpart E, § 3.104 

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 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 
239 

Animal Welfare Act, USDA

PART 3

Subpart E

Marine

Mammals

 

 

 

Part 3, Subpart E, § 3.104 

contain a pool of water and may consist entirely of a pool of 

water. In determining the minimum space required in a pool 

holding cetaceans, four factors must be satisfied. These are 

MHD, depth, volume, and surface area. For the purposes of 

this subpart, cetaceans are divided into Group I cetaceans and 

Group II cetaceans as shown in Table III in this section. 

1.	 i. The required minimum horizontal dimension (MHD) of a 

pool for Group I cetaceans shall be 7.32 meters (24.0 feet) or 

two times the average adult length of the longest species of 

Group I cetacean housed therein (as measured in a parallel 

or horizontal line, from the tip of its upper jaw, or from 

the most anterior portion of the head in bulbous headed 

animals, to the notch in the tail fluke8), whichever is greater; 

except that such MHD measurement may be reduced from 

the greater number by up to 20 percent if the amount of the 

reduction is added to the MHD at the 90-degree angle and 

if the minimum volume and surface area requirements are 

met based on an MHD of 7.32 meters (24.0 feet) or two times 

the average adult length of the longest species of Group I 

cetacean housed therein, whichever is greater. 

ii.	 The MHD of a pool for Group II cetaceans shall be 7.32 

meters (24.0 feet) or four times the average adult length 

of the longest species of cetacean to be housed therein 

(as measured in a parallel or horizontal line from the 

tip of its upper jaw, or from the most anterior portion of 

the head in bulbous headed animals, to the notch in the 

tail fluke), whichever is greater; except that such MHD 

measurement may be reduced from the greater number 

by up to 20 percent if the amount of the reduction is 

added to the MHD at the 90-degree angle and if the 

minimum volume and surface area requirements are 

met based on an MHD of 7.32 meters (24.0 feet) or four 

times the average adult length of the longest species of 

Group II cetacean housed therein, whichever is greater. 

iii.	 In a pool housing a mixture of Group I and Group II 

8 The body length of a Monodon monoceros (narwhal) 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. 
240 

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PART 3

Subpart E

Marine

Mammals

 

Part 3, Subpart E, § 3.104 

cetaceans, the MHD shall be the largest required for any 

cetacean housed therein. 

iii.	 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.
Animal Welfare Act, USDA

PART 3

Subpart E

Marine

Mammals

Part 3, Subpart E, § 3.104 

TABLE I – GROUP I CETACEANS 

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 

1.68 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 

241 

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. 
9 CFR AWA (5-1-2023 Edition)

PART 3

Subpart E

Marine

Mammals

Part 3, Subpart E, § 3.104 

TABLE II – GROUP II CETACEANS 

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 

242 

1 Converting cubic feet to cubic meters is based on: 1 cubic foot=0.0283 of a cubic meter. 
Animal Welfare Act, USDA

PART 3

Subpart E

Marine

Mammals

Part 3, Subpart E, § 3.104 

TABLE III – AVERAGE ADULT LENGTHS OF MARINE 

MAMMALS MAINTAINED IN CAPTIVITY 1 

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 Narwhal 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 

243 

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. 
9 CFR AWA (5-1-2023 Edition)

PART 3

Subpart E

Marine

Mammals

Part 3, Subpart E, § 3.104 

TABLE III – continued 

Species Common name Average adult 

length 

Group II Cetaceans: In 

meters In feet 

Delphinus delphis Common dolphin 2.59 8.5 

Feresa attenuate Pygmy killer whale 2.44 8.0 

Kogia breviceps Pygmy sperm whale 3.96 13.0 

Kogia simus Dwarf sperm whale 2.90 9.5 

Lagenorhynchus acutus Atlantic white-sided 

dolphin 2.90 9.5 

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 

244 
Animal Welfare Act, USDA

PART 3

Subpart E

Marine

Mammals

Part 3, Subpart E, § 3.104 

TABLE III – continued 

Species Common name Average adult length 

Group 1 Pinnipeds: 

In meters In feet 

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 Harbor Seal 1.70 1.50 5.6 4.9 

Zalophus californianus California Sea Lion 2.24 1.75 7.3 5.7 

Halichoerus grypus** Gray 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 

245 
9 CFR AWA (5-1-2023 Edition)

PART 3

Subpart E

Marine

Mammals

Part 3, Subpart E, § 3.104 

TABLE III – continued 

Species Common name 

Group II Pinnipeds: 

Average adult length 

In meters In feet 

Male Female Male Female 

Erignathus barbatus Bearded Seal 2.33 2.33 7.6 7.6 

Phoca hispida Ringed Seal 1.35 1.30 4.4 4.3 

Cystophora cristata Hooded Seal 2.60 2.00 8.5 6.6 

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

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

with a double asterisk (**) regardless of whether the sexually mature males from the same species. 

Species Common name Average 

adult length 

In meters In feet 

Sirenia: 

Dugong dugong Dugong 3.35 11.0 

Trichechus manatus West Indian 

Manatee 3.51 11.5 

Trichechus inunguis Amazon Manatee 2.44 8.0 

Mustelidae: 

Enhydra lutris Sea Otter 1.25 4.1 

2.	 The minimum depth requirement for primary enclosure pools 

for all cetaceans shall be one-half the average adult length of 

the longest species to be housed therein, regardless of Group I 

or Group II classification, or 1.83 meters (6.0 feet), whichever 

is greater, and can be expressed as d=L/2 or 6 feet, whichever 

is greater. Those parts of the primary enclosure pool which do 

not meet the minimum depth requirement cannot be included 

when calculating space requirements for cetaceans. 

3.	 Pool volume. A pool of water housing cetaceans which 

satisfies the MHD and which meets the minimum depth 

requirement, will have sufficient volume and surface area 

246 
247 

Animal Welfare Act, USDA

PART 3

Subpart E

Marine

Mammals

Part 3, Subpart E, § 3.104 

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: 

Volume = (MHD)2
 

2 × 3.14 × depth
 

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: 

Volume = 	 (Average Adult Length)2 

2
 × 3.14 × depth 

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: 

Volume = (MHD)2

2 × 3.14 × depth 

When there are more than four Group II cetaceans housed 

in a primary enclosure pool, the additional volume of 

water required for each additional Group II cetacean in 

excess of four is based on the following formula: 

Volume = (Avg. Adult Length)2 × 3.14 × depth 

See Table II for required volumes. 

iii.	 When a mixture of both Group I and Group II cetaceans 

are housed together, the MHD must be satisfied as 

stated in § 3.104(b)(1), and the minimum depth must be 

satisfied as stated in § 3.104(b)(2). Based on these 

figures, the resulting volume must then be calculated 

Volume = (MHD)2

2 

× 3.14 × depth 
248 

9 CFR AWA (5-1-2023 Edition)

PART 3

Subpart E

Marine

Mammals

 

 

 

 

Part 3, Subpart E, § 3.104 

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: 

Surface Area = (Average Adult Body Length)2

2 

× 3.14 × 1.5

 or: SA=(L/2)2 x 3.14 x 1.5 

In a pool containing more than two Group I cetaceans 

or more than four Group II cetaceans,9 the additional 

surface area which may be required when animals are 

added must be calculated for each such animal. 

ii.	 When a mixture of Group I and Group II cetaceans are 

to be housed in a pool, the required MHD, depth, and 

volume must be met. Then the required surface area 

must be determined for each animal in the pool. The 

sum of these surface areas must then be compared to 

the surface area which is obtained by a computation 

based on the required MHD of the pool.10 The larger 

of the two figures represents the surface area which is 

required for a pool housing a mixture of Group I and 

Group II cetaceans. Pool surfaces where the depth does 

not meet the minimum requirements cannot be used in 

determining the required surface area. 

iii. Surface area requirements are given in Table IV. 

9 A pool containing up to two Group I cetaceans or up to four Group II cetaceans which 

meets the required MHD and depth will have the necessary surface area and volume 

required for the animals contained therein. 

10 Since the MHD represents the diameter of a circle, the surface area based on the MHD is 

calculated by use of the following formula: SA = π × (MHD / 2)2. 
Animal Welfare Act, USDA

PART 3

Subpart E

Marine

Mammals

Part 3, Subpart E, § 3.104 

TABLE IV – MINIMUM SURFACE AREA REQUIRED 

FOR EACH CETACEAN 

Average adult length of each 

cetacean 

Surface area required for each 

cetacean 

Meters Feet Sq. meters* Sq. feet 

1.68 5.5 3.31 33.62 

2.13 7.0 5.36 57.70 

2.29 7.5 6.15 66.23 

2.59 8.5 7.90 85.07 

2.74 9.0 8.86 95.38 

3.05 10.0 10.94 117.75 

3.51 11.5 14.47 155.72 

3.66 12.0 15.75 169.56 

4.27 14.0 21.44 230.79 

5.49 18.0 35.44 381.51 

5.64 18.5 37.43 403.00 

5.79 19.0 39.49 425.08 

6.71 22.0 52.94 569.91 

6.86 22.5 55.38 596.11 

7.32 24.0 63.01 678.24 

8.53 28.0 85.76 923.16 

* Square meter=square feet/9×0.8361. 

c.	 Sirenians. Primary enclosures housing sirenians shall contain a 

pool of water and may consist entirely of a pool of water. 

1.	 The required MHD of a primary enclosure pool for 

sirenians shall be two times the average adult length 

of the longest species of sirenian to be 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. 

249 
250 

9 CFR AWA (5-1-2023 Edition)

PART 3

Subpart E

Marine

Mammals

Part 3, Subpart E, § 3.104 

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. 
251 

Animal Welfare Act, USDA

PART 3

Subpart E

Marine

Mammals

Part 3, Subpart E, § 3.104 

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. 

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. 
252 

9 CFR AWA (5-1-2023 Edition)

PART 3

Subpart E

Marine

Mammals

 

Part 3, Subpart E, § 3.104 

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 
253 

Animal Welfare Act, USDA

PART 3

Subpart E

Marine

Mammals

Part 3, Subpart E, § 3.104 

activity area for each additional polar bear. The dry resting and social 

activity area shall be provided with enough shade to accommodate all 

of the polar bears housed in such primary enclosure at the same time. 

The pool of water shall have an MHD of not less than 2.44 meters (8.0 

feet) and a surface area of at least 8.93 square meters (96.0 square feet) 

with a minimum depth of 1.52 meters (5.0 feet) with the exception of 

any entry and exit area. This size pool shall be adequate for two polar 

bears. For each additional bear, the surface area of the pool must be 

increased by 3.72 square meters (40 square feet). In measuring this 

additional surface area, parts of the pool which do not meet minimum 

depth cannot be considered. The den shall be at least 1.83 meters 

(6 feet) in width and depth and not less than 1.52 meters (5 feet) in 

height. It will be so positioned that the viewing public shall not be 

visible from the interior of the den. A separate den shall be provided 

for each adult female of breeding age which is permanently housed 

in the same primary enclosure with an adult male of breeding age. 

Female polar bears in traveling acts or shows must be provided a den 

when pregnancy has been determined. 

f.	 Sea otters. 

1.	 Primary enclosures for sea otters shall consist of a pool of 

water and a dry resting area. The MHD of the pool of water for 

sea otters shall be at least three times the average adult length 

of the sea otter contained therein (measured in a horizontal 

line from the tip of its nose to the tip of its tail) and the pool 

shall be not less than .91 meters (3.0 feet) deep. When more 

than two 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). 
9 CFR AWA (5-1-2023 Edition)

PART 3

Subpart E

Marine

Mammals

Part 3, Subpart E, § 3.105 

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. 

Such food receptacles must be cleaned and sanitized after each use. 

254 
255 

Animal Welfare Act, USDA

PART 3

Subpart E

Marine

Mammals

Part 3, Subpart E, § 3.105 

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] 
256 

9 CFR AWA (5-1-2023 Edition)

PART 3

Subpart E

Marine

Mammals

Part 3, Subpart E, § 3.106 

§ 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 wellbeing. The salinity of the water in such pools shall be maintained 

within a range of 15-36 parts per thousand. 

d.	 Filtration and water flow. Water quality must be maintained 

by filtration, chemical treatment, or other means so as to comply 

with the water quality standards specified in this section. 
257 

Animal Welfare Act, USDA

PART 3

Subpart E

Marine

Mammals

Part 3, Subpart E, § 3.107 

§ 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. 
258 

9 CFR AWA (5-1-2023 Edition)

PART 3

Subpart E

Marine

Mammals

Part 3, Subpart E, § 3.108 

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 
259 

Animal Welfare Act, USDA

PART 3

Subpart E

Marine

Mammals

Part 3, Subpart E, § 3.110 

husbandry/training staff, determines that such housing is not in the 

best interest of the marine mammal’s health or well-being. However, 

marine mammals that are not compatible must not be housed in 

the same enclosure. Marine mammals must not be housed near 

other animals that cause them unreasonable stress or discomfort or 

interfere with their good health. Animals housed separately must have 

a written plan, approved by the attending veterinarian, developed 

in consultation with the husbandry/training staff, that includes the 

justification for the length of time the animal will be kept separated 

or isolated, information on the type and frequency of enrichment 

and interaction, if appropriate, and provisions for periodic review 

of the plan by the attending veterinarian. Marine mammals that are 

separated for nonmedical purposes must be held in facilities that meet 

minimum space requirements as outlined in § 3.104. 

[66 FR 253, Jan. 3, 2001] 

§ 3.110 - Veterinary care. 

a.	 Newly acquired marine mammals must be isolated from resident 

marine mammals. Animals with a known medical history must 

be isolated unless or until the newly acquired animals can be 

reasonably determined to be in good health by the attending 

veterinarian. Animals without a known medical history must be 

isolated until 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 
260 

9 CFR AWA (5-1-2023 Edition)

PART 3

Subpart E

Marine

Mammals

Part 3, Subpart E, § 3.110 

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 crosscontamination 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. 
261 

Animal Welfare Act, USDA

PART 3

Subpart E

Marine

Mammals

 

 

Part 3, Subpart E, § 3.111 

f.	 All marine mammals must be visually examined by the attending 

veterinarian at least semiannually and must be physically 

examined under the supervision of and when determined 

to be necessary by the attending veterinarian. All cetaceans 

and sirenians must be physically examined by the attending 

veterinarian at least annually, unless APHIS grants an exception 

from this requirement based on considerations related to the 

health and safety of the cetacean or sirenian. These examinations 

must include, but are not limited to, a hands-on physical 

examination, hematology and 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: 
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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:
 

iv.	 Up to two cetaceans: 

Surface Area (SA) = 

(3 × average adult body length (L))

2 

× 3.14 

2 

v.	 Three cetaceans: 

SA = (3 × L)

2
 

× 3.14 × 2 

2
 

vi. Additional SA for each animal in excess of three 

SA = (2 × L)

2 

× 3.14
 

2
 

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 
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Marine

Mammals

Part 3, Subpart E, § 3.111 

§ 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 
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Marine

Mammals

Part 3, Subpart E, § 3.111 

interaction with the public during a session, using the trained 

responses of the program animal. 

3.	 All cetaceans used in interactive sessions shall be in good 

health, including, but not limited to, not being infectious. 

Cetaceans undergoing veterinary treatment may be used in 

interactive sessions only with the approval of the attending 

veterinarian. 

4.	 The ratio of human participants to cetaceans shall not exceed 

3:1. The ratio of human participants to attendants or other 

authorized SWTD personnel (i.e., head trainer/behaviorist or 

trainer/supervising attendant) shall not exceed 3:1. 

5.	 Prior to participating in an SWTD interactive session, 

members of the public shall be provided with oral and 

written rules and instructions for the session, to include the 

telephone and FAX numbers for APHIS, Animal Care, for 

reporting injuries or complaints. Members of the public shall 

agree, in writing, to abide by the rules and instructions before 

being allowed to participate in the session. Any participant 

who fails to follow the rules or instructions shall be removed 

from the session by the facility. 

6.	 All interactive sessions shall have at least two attendants 

or other authorized SWTD personnel (i.e., head trainer/ 

behaviorist or trainer/supervising attendant). At least 

one attendant shall be positioned out of the water. One 

or more attendants or other authorized SWTD personnel 

may be positioned in the water. If a facility has more than 

two incidents during interactive sessions within a year’s 

time span that have been dangerous or harmful to either a 

cetacean or a human, APHIS, in consultation with the head 

trainer/behaviorist, will determine if changes in attendant 

positions are needed. 

7.	 All SWTD programs shall limit interaction between cetaceans 

and humans so that the interaction does not harm the 

cetaceans, does not remove the element of choice from the 

cetaceans by actions such as, but not limited to, recalling 

the animal from the sanctuary area, and does not elicit 

unsatisfactory, undesirable, or unsafe behaviors from the 

cetaceans. All SWTD programs shall prohibit grasping or 

holding of the cetacean’s body, unless under the direct 

and explicit instruction of an attendant eliciting a specific 
265 

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Marine

Mammals

Part 3, Subpart E, § 3.111 

cetacean behavior, and shall prevent the chasing or other 

harassment of the cetaceans. 

8.	 In cases where cetaceans used in an interactive session exhibit 

unsatisfactory, undesirable, or unsafe behaviors, including, but 

not limited to, charging, biting, mouthing, or sexual contact 

with humans, such cetaceans shall either be removed from 

the interactive area or the session shall be terminated. Written 

criteria shall be developed by each SWTD program, and shall be 

submitted to and approved by APHIS11 regarding conditions and 

procedures for maintaining compliance with paragraph (e)(4) 

of this section; for the termination of a session when removal of 

a cetacean is not possible; and regarding criteria and protocols 

for handling program animal(s) exhibiting unsatisfactory, 

undesirable, or unsafe behaviors, including retraining time and 

techniques, and removal from the program and/or facility, if 

appropriate. The head trainer/behaviorist shall determine when 

operations will be terminated, and when they may resume. In 

the absence of the head trainer/behaviorist, the determination 

to terminate a session shall be made by the trainer/supervising 

attendant. Only the head trainer/behaviorist may determine 

when a session may be resumed. 

f.	 Recordkeeping. 

1.	 Each facility shall provide APHIS12 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; 

11 Send to Administrator, c/o Animal and Plant Health Inspection Service, Animal Care, 

4700 River Road Unit 84, Riverdale, Maryland 20737-1234. 

12	 See footnote 1 in § 3.111(e)(8). 
266 

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Marine

Mammals

Part 3, Subpart E, § 3.111 

iii.	 The content and method of pre-encounter orientation, 

rules, and instructions, including restrictions on types of 

physical contact with the cetaceans; 

iv.	 A description of the SWTD facility, including the primary 

enclosure and other SWTD animal housing or holding 

enclosures at the facility; 

v.	 A description of the training, including actual or expected 

number of hours each cetacean has undergone or will 

undergo prior to participation in the program; 

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: 

iii.	 Statistical summaries of the number of minutes per day 

that each animal participated in an interactive session; 
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Mammals

Part 3, Subpart E, § 3.111 

iv.	 A statistical summary of the number of human 

participants per month in the SWTD program; and 

6.	 A description of any changes made in the SWTD program, 

which shall be submitted to APHIS13 on a semi-annual basis. 

7.	 All incidents resulting in injury to either cetaceans or humans 

participating in an interactive session, which shall be 

reported to APHIS within 24 hours of the incident.14 Within 7 

days of any such incident, a written report shall be submitted 

to the Administrator.15 The report shall provide a detailed 

description of the incident and shall establish a plan of action 

for the prevention of further occurrences. 

g.	 Veterinary care. 

1.	 The attending veterinarian shall conduct on-site evaluations 

of each cetacean at least once a month. The evaluation shall 

include a visual inspection of the animal; examination of the 

behavioral, feeding, and medical records of the animal; and a 

discussion of each animal with an animal care staff member 

familiar with the animal. 

2.	 The attending veterinarian shall observe an interactive swim 

session at the SWTD site at least once each month. 

3.	 The attending veterinarian shall conduct a complete 

physical examination of each cetacean at least once every 

6 months. The examination shall include a profile of the 

cetacean, including the cetacean’s identification (name and/ 

or number, sex, and age), weight,16 length, axillary girth, 

appetite, and behavior. The attending veterinarian shall also 

conduct a general examination to evaluate body condition, 

skin, eyes, mouth, blow hole and cardio-respiratory system, 

genitalia, and feces (gastrointestinal status). The examination 

shall also include a complete blood count and serum 

chemistry analysis. Fecal and blow hole smears shall be 

obtained for cytology and parasite evaluation. 

13	 See footnote 1 in § 3.111(e)(8). 

14	 Eastern Office: (919) 855-7100. Western Office: (970) 494-7478. 

15	 See footnote 1 in § 3.111(e)(8). 

16 Weight may be measured either by scale or calculated using the following formulae: 

Females: Natural log of body mass = -8.44 + 1.34(natural log of girth) + 1.28(natural log 

of standard length). Males: Natural log of body mass = -10.3 + 1.62(natural log of girth) + 

1.38(natural log of standard length). 
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Subpart E

Marine

Mammals

Part 3, Subpart E, § 3.112 

4.	 The attending veterinarian, during the monthly site visit, 

shall record the nutritional and reproductive status of each 

cetacean (i.e., whether in an active breeding program, 

pregnant, or nursing). 

5.	 The attending veterinarian shall examine water quality 

records and provide a written assessment, to remain at 

the SWTD site for at least 3 years, of the overall water 

quality during the preceding month. Such records shall be 

made available to an APHIS official upon request during 

inspection. 

6.	 In the event that a cetacean dies, complete necropsy results, 

including all appropriate histopathology, shall be recorded 

in the cetacean’s individual file and shall be made available to 

APHIS officials during facility inspections, or as requested by 

APHIS. The necropsy shall be performed within 48 hours of 

the cetacean’s death, by a veterinarian experienced in marine 

mammal necropsies. If the necropsy is not to be performed 

within 3 hours of the discovery of the cetacean’s death, the 

cetacean shall be refrigerated until necropsy. Written results 

of the necropsy shall be available in the cetacean’s individual 

file within 7 days after death for gross pathology and within 45 

days after death for histopathology. 

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

0579-0036 and 0579-0115) 

[63 FR 47148, Sept. 4, 1998] 

Effective Date Note: At 64 FR 15920, Apr. 2, 1999, § 3.111 was suspended, effective Apr. 2, 1999. 

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 
269 

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Marine

Mammals

Part 3, Subpart E, § 3.112 

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. 

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) 
270 

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Subpart E

Marine

Mammals

Part 3, Subpart E, § 3.112 

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] 
271 

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PART 3

Subpart E

Marine

Mammals

Part 3, Subpart E, § 3.113 

§ 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 
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PART 3

Subpart E

Marine

Mammals

Part 3, Subpart E, § 3.113 

11.	 Be equipped with adequate handholds or other devices on 

the exterior of the enclosures to enable them to be lifted 

without unnecessary tilting and to ensure that the persons 

handling the enclosures will not come in contact with any 

marine mammal contained inside. 

b.	 Straps, slings, harnesses, or other devices used for body support 

or restraint, when transporting marine mammals such as 

cetaceans and sirenians must: 

1.	 Be designed so as not to prevent access to the marine 

mammals by attendants for the purpose of administering intransit 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 
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PART 3

Subpart E

Marine

Mammals

Part 3, Subpart E, § 3.113 

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] 
274 

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PART 3

Subpart E

Marine

Mammals

Part 3, Subpart E, § 3.114 

§ 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 sufficiently temperaturecontrolled 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. 
275 

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PART 3

Subpart E

Marine

Mammals

Part 3, Subpart E, § 3.115 

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 wellbeing, 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. 
276 

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PART 3

Subpart E

Marine

Mammals

Part 3, Subpart E, § 3.116 

b.	 The following marine mammals may be transported in commerce 

only when the transport of such marine mammals has been 

determined to be appropriate by the attending veterinarian: 

1.	 A pregnant animal in the last half of pregnancy; 

2.	 A dependent unweaned young animal; 

3.	 A nursing mother with young; or 

4.	 An animal with a medical condition requiring veterinary 

care, that would be compromised by transport. The attending 

veterinarian must note on the accompanying health 

certificate the existence of any of the above conditions. 

The attending veterinarian must also determine whether 

a veterinarian should accompany such marine mammals 

during transport. 

c.	 Carriers must inform the crew as to the presence of the marine 

mammals on board the craft, inform the individual accompanying 

the marine mammals of any unexpected delays as soon as they 

become known, and accommodate, except as precluded by safety 

considerations, requests by the shipper or his agent to provide 

access to the animals or take other necessary actions for the 

welfare of the animals if a delay occurs. 

d.	 A sufficient number of employees or attendants of the shipper 

or receiver of cetaceans or sirenians being transported, in 

commerce, must provide for such cetaceans and sirenians during 

periods of transport by: 

1.	 Keeping the skin moist or preventing the drying of the skin by 

such methods as intermittent spraying of water or application 

of a nontoxic emollient; 

2.	 Assuring that the pectoral flippers are allowed freedom of 

movement at all times; 

3.	 Making adjustments in the position of the marine mammals 

when necessary to prevent necrosis of the skin at weight 

pressure points; 

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. 
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PART 3

Subpart E

Marine

Mammals

Part 3, Subpart E, § 3.117 

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 
278 

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PART 3

Subpart E

Marine

Mammals

Part 3, Subpart E, § 3.118 

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]
 

§ 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. 
279 

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PART 3

Subpart E

Marine

Mammals

Part 3, Subpart E, § 3.118 

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] 
280 

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PART 3

Subpart F

Other

Species

 

Part 3, Subpart F, § 3.125 

SUBPART F 

SPECIFICATIONS FOR THE HUMANE HANDLING, 

CARE, TREATMENT, AND TRANSPORTATION OF 

WARMBLOODED ANIMALS OTHER THAN DOGS, CATS, 

RABBITS, HAMSTERS, GUINEA PIGS, NONHUMAN 

PRIMATES, MARINE MAMMALS, AND BIRDS 

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. 
281 

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PART 3

Subpart F

Other

Species

Part 3, Subpart F, § 3.126 

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. 

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. 
282 

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PART 3

Subpart F

Other

Species

Part 3, Subpart F, § 3.127 

§ 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 
283 

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PART 3

Subpart F

Other

Species

Part 3, Subpart F, § 3.128 

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 domesticated 

farm- type animals, such as, but not limited to, cows, sheep, 

goats, pigs, horses (for regulated purposes), or donkeys, and 

the facility has in place effective and customary containment 

and security measures.” 

[36 FR 24925, Dec. 24, 1971. Redesignated at 44 FR 36874, July 22, 1979, 

as amended at 64 FR 56147, Oct. 18, 1999; 65 FR 70770, Nov. 28, 2000] 

§ 3.128 - Space requirements. 

Enclosures shall be constructed and maintained so as to provide 

sufficient space to allow each animal to make normal postural and 

social adjustments with adequate freedom of movement. Inadequate 

space may be indicated by evidence of malnutrition, poor condition, 

debility, stress, or abnormal behavior patterns. 

ANIMAL HEALTH AND HUSBANDRY STANDARDS 

§ 3.129 - Feeding. 

a.	 The food shall be wholesome, palatable, and free from 

contamination and of sufficient quantity and nutritive value to 

maintain all animals in good health. The diet shall be prepared 

with consideration for the age, species, condition, size, and type 

of the animal. Animals shall be fed at least once a day except as 

dictated by hibernation, veterinary treatment, normal fasts, or 

other professionally accepted practices. 
284 

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PART 3

Subpart F

Other

Species

Part 3, Subpart F, § 3.130 

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 selffeeders 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. 
285 

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PART 3

Subpart F

Other

Species

Part 3, Subpart F, § 3.132 

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] 

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. 
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PART 3

Subpart F

Other

Species

 

Part 3, Subpart F, § 3.136 

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: 
287 

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PART 3

Subpart F

Other

Species

Part 3, Subpart F, § 3.137 

1.	 Name and address of the consignor; 

2.	 The number of animals in the shipment; 

3.	 A certifying statement (e.g., “I hereby certify that the animal(s) 

in this shipment is (are), to the best of my knowledge, 

acclimated to air temperatures lower than 7.2 °C. (45 °F.)”); 

and 

4.	 The signature of the USDA accredited veterinarian, assigned 

accreditation number, and date. 

d.	 Carriers and intermediate handlers shall attempt to notify the 

consignee at least once in every 6 hour period following the 

arrival of any live animals at the animal holding area of the 

terminal cargo facility. The time, date, and method of each 

attempted notification and the final notification to the consignee 

and the name of the person notifying the consignee shall be 

recorded on the copy of the shipping document retained by the 

carrier or intermediate handler and on a copy of the shipping 

document accompanying the animal shipment. 

[42 FR 31569, June 21, 1977, as amended at 43 FR 21166, May 16, 1978. Redesignated at 44 FR 

36874, July 22, 1979, and amended at 44 FR 63493, Nov. 2, 1979] 

§ 3.137 - Primary enclosures used to transport live animals. 

No dealer, research facility, exhibitor, or operator of an auction sale 

shall offer for transportation or transport, in commerce, any live animal 

in a primary enclosure which does not conform to the following 

requirements: 

a.	 Primary enclosures, such as compartments, transport cages, 

cartons, or crates, used to transport live animals shall be 

constructed in such a manner that (1) the structural strength 

of the enclosure shall be sufficient to contain the live animals 

and to withstand the normal rigors of transportation; (2) the 

interior of the enclosure shall be free from any protrusions that 

could be injurious to the live animals contained therein; (3) the 

openings of such enclosures are easily accessible at all times for 

emergency removal of the live animals; (4) except as provided 

in paragraph (g) of this section, there are ventilation openings 

located on two opposite walls of the primary enclosure and 

the ventilation openings on each such wall shall be at least 16 

percent of the total surface area of each such wall, or there are 
288 

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PART 3

Subpart F

Other

Species

Part 3, Subpart F, § 3.137 

ventilation openings located on all four walls of the primary 

enclosure and the ventilation openings on each such wall shall 

be at least 8 percent of the total surface area of each such wall: 

Provided, however, That at least one-third of the total minimum 

area required for ventilation of the primary enclosure shall 

be located on the lower one-half of the primary enclosure 

and at least one-third of the total minimum area required for 

ventilation of the primary enclosure shall be located on the 

upper one-half of the primary enclosure; (5) except as provided 

in paragraph (g) of this section, projecting rims or other 

devices shall be on the exterior of the outside walls with any 

ventilation openings to prevent obstruction of the ventilation 

openings and to provide a minimum air circulation space 

of 1.9 centimeters (.75 inch) between the primary enclosure 

and any adjacent cargo or conveyance wall; and (6) except as 

provided in paragraph (g) of this section, adequate handholds 

or other devices for lifting shall be provided on the exterior of 

the primary enclosure to enable the primary enclosure to be 

lifted without tilting and to ensure that the person handling the 

primary enclosure will not be in contact with the animal. 

b.	 Live animals transported in the same primary enclosure 

shall be of the same species and maintained in compatible 

groups. Live animals that have not reached puberty shall 

not be transported in the same primary enclosure with adult 

animals other than their dams. Socially dependent animals 

(e.g., sibling, dam, and other members of a family group) must 

be allowed visual and olfactory contact. Any female animal in 

season (estrus) shall not be transported in the same primary 

enclosure with any male animal. 

c.	 Primary enclosures used to transport live animals shall be 

large enough to ensure that each animal contained therein 

has sufficient space to turn about freely and to make normal 

postural adjustments: Provided, however, That certain 

species may be restricted in their movements according to 

professionally acceptable standards when such freedom of 

movement would constitute a danger to the animals, their 

handlers, or other persons. 
289 

Animal Welfare Act, USDA

PART 3

Subpart F

Other

Species

Part 3, Subpart F, § 3.138 

d.	 Primary enclosures used to transport live animals as provided 

in this section shall have solid bottoms to prevent leakage 

in shipment and still be cleaned and sanitized in a manner 

prescribed in § 3.131 of the standards, if previously used. Such 

primary enclosures shall contain clean litter of a suitable 

absorbent material, which is safe and nontoxic to the live animals 

contained therein, in sufficient quantity to absorb and cover 

excreta, unless the animals are on wire or other nonsolid floors. 

e.	 Primary enclosures used to transport live animals, except where 

such primary enclosures are permanently affixed in the animal 

cargo space of the primary conveyance, shall be clearly marked 

on top and on one or more sides with the words “Live Animal” 

or “Wild Animal”, whichever is appropriate, in letters not less 

than 2.5 centimeters (1 inch) in height, and with arrows or other 

markings to indicate the correct upright position of the container. 

f.	 Documents accompanying the shipment shall be attached in an 

easily accessible manner to the outside of a primary enclosure 

which is part of such shipment. 

g.	 When a primary enclosure is permanently affixed within the 

animal cargo space of the primary conveyance so that the 

front opening is the only source of ventilation for such primary 

enclosure, the front opening shall open directly to the outside 

or to an unobstructed aisle or passageway within the primary 

conveyance. Such front ventilation opening shall be at least 

90 percent of the total surface area of the front wall of the 

primary enclosure and covered with bars, wire mesh or smooth 

expanded metal. 

[42 FR 31569, June 21, 1977, as amended at 43 FR 21166, May 16, 1978. 

Redesignated at 44 FR 36874, July 22, 1979] 

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

and marine). 

a.	 The animal cargo space of primary conveyances used in 

transporting live animals shall be designed and constructed to 

protect the health, and ensure the safety and comfort of the live 

animals contained therein at all times. 
290 

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PART 3

Subpart F

Other

Species

Part 3, Subpart F, § 3.139 

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 
291 

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PART 3

Subpart F

Other

Species

Part 3, Subpart F, § 3.140 

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 

e.	 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. 

f.	 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 
292 

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PART 3

Subpart F

Other

Species

Part 3, Subpart F, § 3.141 

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 
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Other

Species

Part 3, Subpart F, § 3.142 

29.5 °C. (85 °F.) at any time: Provided, however, That no live animal 

shall be subjected to surrounding air temperatures which exceed 23.9 

°C. (75 °F.) for more than 4 hours at any time. To ascertain compliance 

with the provisions of this paragraph, the air temperature around any 

live animal shall be measured and read outside the primary enclosure 

which contains such animal at a distance not to exceed .91 meters (3 

feet) from any one of the external walls of the primary enclosure and 

on a level parallel to the bottom of such primary enclosure at a point 

which approximates half the distance between the top and bottom of 

such primary enclosure. 

[43 FR 56217, Dec. 1, 1978. Redesignated at 44 FR 36874, July 22, 1979] 

§ 3.142 - Handling. 

a.	 Carriers and intermediate handlers shall move live animals from 

the animal holding area of the terminal facility to the primary 

conveyance and from the primary conveyance to the animal 

holding area of the terminal facility as expeditiously as possible. 

Carriers and intermediate handlers holding any live animal in an 

animal holding area of a terminal facility or in transporting any 

live animal from the animal holding area of the terminal facility to 

the primary conveyance and from the primary conveyance to the 

animal holding area of the terminal facility, including loading and 

unloading procedures, shall provide the following: 

1.	 Shelter from sunlight. When sunlight is likely to cause 

overheating or discomfort, sufficient shade shall be provided 

to protect the live animals from the direct rays of the sun and 

such live animals shall not be subjected to surrounding air 

temperatures which exceed 29.5 °C. (85 °F), and which shall 

be measured and read in the manner prescribed in § 3.141 of 

this part, for a period of more than 45 minutes. 

2.	 Shelter from rain or snow. Live animals shall be provided 

protection to allow them to remain dry during rain or snow. 

3.	 Shelter from cold weather. Transporting devices shall 

be covered to provide protection for live animals when 

the outdoor air temperature falls below 10 °C. (50 °F) and 

such live animals shall not be subjected to surrounding air 

temperatures which fall below 7.2 °C. (45 °F.), and which shall 

be measured and read in the manner prescribed in § 3.141 of 
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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] 
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PART 3

Subpart G

Birds

Part 3, Subpart G, § 3.150 

SUBPART G 

SPECIFICATIONS FOR THE HUMANE HANDLING, CARE, 

TREATMENT, AND TRANSPORTATION OF BIRDS 

Source: 88 FR 10714, Feb. 21, 2023, unless otherwise noted. 

FACILITIES AND OPERATING STANDARDS 

§ 3.150 Facilities, general. 

a.	 Structure; construction. Housing facilities for birds must be 

designed and constructed so that they are structurally sound 

for the species of bird housed in them. They must be kept in 

good repair, protect the birds from injury, and restrict other 

animals from entering that may negatively affect the welfare 

of the birds within. Housing facilities must employ security 

measures that contain all birds securely. Such measures may 

include safety doors, entry/exit doors to the primary enclosure 

that are double-door, or other equivalent systems designed 

to prevent escape of the birds. Birds that are flight-restricted 

or cannot fly and are allowed to roam free within the housing 

facility or a portion thereof must have access to safety pens, 

enclosures, or other areas that offer the birds protection during 

overnight periods and at times when their activities are not 

monitored. 

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, other discarded materials, junk, weeds, and 

brush. 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 or research needs. 

c.	 Surfaces. The surfaces of housing facilities must be constructed 

in a manner and made of materials that allow them to be readily 

cleaned and/or sanitized, or removed and replaced when worn 
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or soiled. Interior surfaces and surfaces that come in contact with 

birds must be: 

1.	 Nontoxic to the bird; 

2.	 Free of rust or damage that affects the structural integrity of 

the surface or prevents cleaning; and 

3.	 Free of jagged edges or sharp points that could injure the 

birds. 

d.	 Water and electric power. The facility must have reliable 

electrical power adequate for heating, cooling, ventilation, 

and lighting, if necessary, or for carrying out other husbandry 

requirements in accordance with the regulations in this subpart. 

The facility must provide adequate potable water for the birds’ 

drinking needs and water for cleaning and for carrying out other 

husbandry requirements in accordance with the regulations in 

this subpart. 

e.	 Storage. Supplies of food, including food supplements, bedding, 

and substrate must be stored in a manner that protects the 

supplies from deterioration, spoilage (harmful microbial growth), 

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. All food must be stored in 

a manner that prevents deterioration of its nutritive value. Live 

food must be maintained in a manner to ensure wholesomeness. 

Substances such as cleaning supplies and disinfectants that are 

harmful to the birds 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, provided 

that they are stored in properly labeled containers that are 

adequately secured to prevent potential harm to the birds. 

Animal waste and dead animals and animal parts not intended 

for food must not be kept in food storage or food preparation 

areas, food freezers, food refrigerators, and animal areas. 

f.	 Waste disposal. Housing facility operators must provide for 

regular and frequent collection, removal, and disposal of animal 

and food wastes, substrate, dead animals, debris, garbage, water, 

and any other fluids and wastes, in a manner that minimizes 

contamination and disease risk. Trash containers in housing 
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facilities and in food storage and preparation areas must be able 

to contain trash securely to minimize odors and be inaccessible 

to animals and pests. 

g.	 Drainage. Housing facilities must be equipped with disposal 

and drainage systems that are constructed and operated so that 

animal wastes and water, except for water located in pools or 

other aquatic areas (e.g., ponds, waterfalls, fountains, and other 

water features), are rapidly eliminated so the animals have the 

option of remaining dry. Pools and other aquatic areas must 

be maintained in accordance with the regulations in § 3.157. 

Disposal and drainage systems must minimize vermin and pest 

infestation, insects, odors, and disease hazards. All drains must 

be properly constructed, installed, and maintained so that they 

effectively drain water. If closed drainage systems are used, 

they must be equipped with traps and prevent the backflow of 

gases and the backup of sewage. If the facility uses sump ponds, 

settlement ponds, or other similar systems for drainage and 

animal waste disposal, the system must be located a sufficient 

distance from the bird area of the housing facility to prevent 

odors, diseases, insects, pests, and vermin infestation in the bird 

area. 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, pipes, or other methods so that the 

animals have the option of remaining dry. 

h.	 Toilets, washrooms, and sinks. Toilets and washing facilities 

such as washrooms, basins, sinks, or showers must be provided 

for animal caretakers and must be readily accessible. 

§ 3.151 Facilities, indoor. 

a.	 Temperature and humidity. The air temperature and, if present, 

pool or other aquatic area (e.g., ponds, waterfalls, fountains, and 

other water features), and air humidity levels in indoor facilities 

must be sufficiently regulated and appropriate to bird species 

to protect the birds from detrimental temperature and humidity 

levels, to provide for their health and well-being, and to prevent 

discomfort or distress, in accordance with current professionally 

accepted standards. 
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Part 3, Subpart G, § 3.152 

b.	 Ventilation. Indoor housing facilities must be sufficiently 

ventilated at all times when birds are present to provide for their 

health, to prevent their discomfort or distress, and to minimize 

accumulations of moisture condensation, odors, and levels of 

ammonia, chlorine, and other noxious gases. The ventilation 

system must minimize drafts. 

c.	 Lighting. Indoor housing facilities must have lighting, by natural 

or artificial means, or both, of appropriate quality, distribution, 

and duration for the species of birds involved. Such lighting must 

be sufficient to permit routine inspection and cleaning. Lighting 

of primary enclosures must be designed to protect the birds from 

excessive illumination that may cause discomfort or distress. 

d.	 Indoor pool or other aquatic areas. Indoor pools or other 

aquatic areas (e.g., ponds, waterfalls, fountains, and other water 

features) must have sufficient vertical air space above the pool or 

other aquatic area to allow for behaviors typical to the species of 

bird under consideration. Such behaviors may include, but are 

not limited to, diving and swimming. 

§ 3.152 Facilities, outdoor. 

a.	 Acclimation. Birds may not be housed in outdoor facilities unless 

the air humidity and temperature ranges and, if applicable, 

pool or other aquatic area (e.g., ponds, waterfalls, fountains, 

and other water features) temperature ranges do not adversely 

affect bird health and comfort. Birds may not be introduced to an 

outdoor housing facility until they are acclimated to the ambient 

temperature and humidity and, if applicable, pool or other aquatic 

area temperature range which they will encounter therein. 

b.	 Shelter from inclement weather. Outdoor housing facilities 

must provide adequate shelter, appropriate to the species and 

physical condition of the birds, for the local climatic conditions to 

protect the birds from any adverse weather conditions. Shelters 

must be adequately ventilated in hot weather and have one or 

more separate areas of shade or other effective protection that is 

large enough to comfortably contain all the birds at one time and 

prevent their discomfort from direct sunlight, precipitation, or 
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wind. Shelter must also be constructed to provide sufficient space 

to comfortably hold all of the birds at the same time without 

adverse intraspecific aggression or grouping of incompatible 

birds. For birds that form dominance hierarchies and that are 

maintained in social groupings, shelter(s) must be constructed so 

as to provide sufficient space to comfortably hold all the birds at 

the same time, including birds that are low in the hierarchy. 

§ 3.153 Primary enclosures. 

a.	 General requirements. 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. 

1.	 Primary enclosures must be constructed and maintained so 

that they: 

i.	 Have no sharp points or edges that could injure the birds; 

ii.	 Protect the birds from injury; 

iii.	 Contain the birds securely; 

iv.	 Restrict other animals from entering the enclosure; 

v.	 Ensure that birds have the option to remain dry and 

clean; 

vi.	 Provide shelter and protection for each bird from 

climatic and environmental conditions that may be 

detrimental to its health and well-being; 

vii.	 Provide sufficient shade to comfortably shelter all birds 

housed in the primary enclosure at one time, including 

low ranking birds that are maintained in social groupings 

that form dominance hierarchies; 

viii. Provide all the birds with easy and convenient access to 

clean food and potable water; 

ix.	 Ensure that all surfaces in contact with the birds may be 

readily cleaned and/or sanitized in accordance with § 

3.158 or be replaced when worn or soiled; and 

x.	 Have floors that are constructed in a manner that 

protects the birds’ feet and legs from injury. If flooring 

material is suspended, it must be sufficiently taut to 

prevent excessive sagging under the bird’s weight. If 

substrate is used in the primary enclosure, the substrate 

must be clean and made of a suitably absorbent 

material that is safe and nontoxic to the birds. 
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Birds

Part 3, Subpart G, § 3.153 

2.	 Furniture-type objects, such as perches and other objects 

that enrich a bird’s environment, must be speciesappropriate and be designed, constructed, and maintained 

so as to prevent harm to the bird. If the enclosure houses 

birds that rest by perching, there must be perches available 

that are appropriate to the age and species of birds housed 

therein and a sufficient number of perches of appropriate 

size, shape, strength, texture, and placement to comfortably 

hold all the birds in the primary enclosure at the same 

time, including birds that are ranked low in a dominance 

hierarchy. 

3.	 Primary enclosures that are adjacent to one another or 

that share a common side with another enclosure must be 

suitably screened from each other or kept at a sufficient 

distance apart in order to prevent injury of the occupants due 

to predation, territorial disputes, or aggression. 

b.	 Space requirements. Primary enclosures must be constructed 

and maintained so as to allow each bird to make normal postural 

and social adjustments, such as dust-bathing and foraging, with 

adequate freedom of movement and freedom to escape from 

aggression demonstrated by other animals. Both part-time and 

full-time attending veterinarians at a facility must consult with 

the facility to ensure that the space in all enclosures housing 

birds is adequate and allows for normal postural and social 

adjustments. Inadequate space may be indicated by evidence 

of malnutrition, poor condition, debility, stress, or abnormal 

behavior patterns. The normal postural and social adjustments of 

a bird may be restricted: 

1.	 When the attending veterinarian determines that making 

species-typical postural or social adjustments, such as dustbathing, foraging, or running, would be detrimental to the 

bird’s good health and well-being. The attending veterinarian 

must document the reason and recommended duration for 

the restriction and make such records available for review by 

an APHIS inspector. 

2.	 When the birds are tethered in accordance with current 

professionally accepted standards. Birds must not be 

tethered unless: 

i.	 It is appropriate for the species of bird; 
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Birds

Part 3, Subpart G, § 3.153 

ii.	 It will not cause harm to the birds; 

iii.	 The birds are maintained on perches appropriate for the 

species and age of the bird while tethered; 

iv.	 The birds have sufficient space to fully extend their wings 

without obstruction; and 

v.	 The tether does not entangle the birds. 

3.	 When dealers, exhibitors, and research facilities breed or 

intend to breed their birds, such birds must be provided 

with structures and/or materials that meet the reproductive 

needs of the species during the appropriate season or time 

periods. A sufficient number of structures and materials must 

be provided to meet the needs of all breeding birds in an 

enclosure and to minimize aggression. 

4.	 (4) Birds intended for breeding, sale, in need of medical care, 

exhibited in traveling exhibits, or traveling for other reasons 

must be kept in enclosures that, at minimum, meet the 

individual specific space, safety, bedding, perch, and physical 

environment (including, but not limited to, temperature, 

humidity, sun and wind exposure) requirements for 

transport enclosures as specified in § 3.162. At all other times, 

birds must be housed in enclosures that meet the space 

requirements of this section. 

c.	 Special space requirements for wading and aquatic birds. 

Primary enclosures housing wading and aquatic birds must 

contain a pool or other aquatic area (e.g., ponds, waterfalls, 

fountains, and other water features) and a dry area that allows 

easy ingress or egress of the pool or other aquatic area. Pools 

and other aquatic areas must be of sufficient surface area and 

depth to allow each bird to make normal postural and social 

adjustments, such as immersion, bathing, swimming, and 

foraging, with adequate freedom of movement and freedom 

to escape from aggression demonstrated by other birds in the 

enclosure. Dry areas must be of sufficient size to allow each bird 

to make normal postural and social adjustments with adequate 

freedom of movement and freedom to escape from aggression 

demonstrated by other birds in the enclosure. Inadequate space 

may be indicated by evidence of malnutrition, poor condition, 

debility, stress, or abnormal behavior patterns. 
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Subpart G

Birds

Part 3, Subpart G, § 3.154 

§ 3.154 Environment enhancement to promote 

psychological well-being. 

Dealers, exhibitors, and research facilities must develop, document, 

and follow a species-appropriate plan for environment enhancement 

adequate to promote the psychological well-being of birds. The plan 

must be approved by the attending veterinarian and must be in 

accordance with the regulations in this subpart and with currently 

accepted professional standards as cited in appropriate professional 

journals or reference guides. 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 species 

of birds 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. The plan may provide for the 

following exceptions: 

1.	 If a bird exhibits vicious or overly aggressive behavior, or 

is debilitated as a result of age or other conditions (e.g., 

arthritis), it can be housed separately; 

2.	 Additionally, birds 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 birds is known to have been or 

believed to be exposed to an infectious agent, the group may 

be kept intact during the process of diagnosis, treatment, and 

control. 

3.	 Birds may not be housed with other species of birds 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 birds must be determined in 

accordance with generally accepted professional practices 

and actual observations as directed by the attending 

veterinarian, to ensure that the birds are in fact compatible. 

Individually housed social species of birds must be able to 

see and hear birds of their own or compatible species unless 
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Birds

Part 3, Subpart G, § 3.154 

the attending veterinarian determines that it would endanger 

their health, safety, or well-being. If individually housed 

social species of birds are unable to see and hear birds of 

their own or compatible species then special attention 

regarding enhancement to their environment must be 

provided as specified in paragraph (c)(4) of this section. 

b.	 Environmental enrichment. The physical environment in 

the primary enclosures must be enriched by materials or 

activities that would provide the birds with the means to express 

noninjurious species-typical activities. Species differences 

should be considered when determining the type or methods of 

enrichment. Examples of environmental enrichments include 

providing perches, swings, mirrors, and other increased cage 

complexities; providing objects to manipulate; varied food 

items; using foraging or task-oriented feeding methods; and 

providing interaction with the care giver or other familiar 

and knowledgeable person consistent with personnel safety 

precautions. 

c.	 Special considerations. Certain birds must be provided special 

attention regarding enhancement of their environment, based on 

the needs of the individual species and/or individual bird and in 

accordance with the instructions of the attending veterinarian. 

Birds requiring special attention are the following: 

1.	 Nestlings, chicks, or fledglings; 

2.	 Those that show signs of being in psychological distress 

through behavior or appearance; 

3.	 Those used in research for which the Institutional Animal 

Care and Use Committee (IACUC)-approved protocol 

requires restricted activity; and 

4.	 Individually housed social species of birds that are unable to 

see and hear birds of their own or compatible species. 

d.	 Restraint devices. Birds must not be permitted to be maintained 

in restraint devices unless required for health reasons as 

determined by the attending veterinarian or by a research 

proposal approved by the IACUC at research facilities. Any 

restraining actions must be for the shortest period possible. If 

the bird is to be restrained for more than 12 hours, it must be 
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Subpart G

Birds

Part 3, Subpart G, § 3.155 

provided the opportunity daily for unrestrained activity for at 

least 1 continuous hour during the period of restraint, unless 

continuous restraint is required by the research proposal 

approved by the IACUC at research facilities. 

e.	 Exemptions. 

1.	 The attending veterinarian may exempt an individual bird 

from participation in the environment enhancement plan 

because of its health or condition, or in consideration of its 

well-being. The basis of the exemption must be recorded by 

the attending veterinarian for each exempted bird. 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 IACUC may exempt an individual 

bird 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 IACUC, but not less than annually. 

3.	 Records of any exemptions must be maintained by the dealer, 

exhibitor, or research facility for at least 1 year in accordance 

with § 3.81(e)(3) and must be made available to APHIS upon 

request, and, in the case of research facilities, to officials of 

any pertinent funding agency. 

(Approved by the Office of Management and Budget under control number 0579-0486) 

ANIMAL HEALTH AND HUSBANDRY STANDARDS 

§ 3.155 Feeding. 

a.	 The diet for birds must be appropriate for the species, size, age, 

and condition of the bird. The food must be wholesome, palatable 

to the birds, and free of contamination. It must be of sufficient 

quantity and nutritive value to maintain a healthy condition and 

weight range of the bird and to meet its normal daily nutritional 

requirements. Birds must be fed at least once a day except as 

directed by the attending veterinarian, normal fasts, or other 
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Birds

Part 3, Subpart G, § 3.156 

professionally accepted practices. If birds are maintained in group 

housing, measures appropriate for the species must be taken to 

ensure that all the birds receive a sufficient quantity of food. 

b.	 Food and, if used, food receptacles must be readily accessible to 

all the birds being fed. Food and any food receptacles must be 

located so as to minimize any risk of contamination by excreta, 

precipitation, and pests. Food receptacles and feeding areas 

must be kept clean and sanitized in accordance with § 3.158. 

Used food receptacles must be cleaned and sanitized before they 

can be used to provide food to birds maintained in a separate 

enclosure. Measures must be taken to ensure there is no molding, 

deterioration, contamination, or caking or undesirable wetting or 

freezing of food within or on food receptacles. Food receptacles 

must be made of a durable material that can be easily cleaned 

and sanitized or be replaceable when worn or soiled. Grouphoused birds must have multiple food receptacles where needed 

to ensure that all birds have access to sufficient feed. 

§ 3.156 Watering. 

Potable water must be provided in sufficient quantity to every bird 

housed at the facility, unless restricted by the attending veterinarian. 

If potable water is not continually available to the birds, it must be 

offered to them as often as necessary to ensure their health and 

well-being. Water receptacles must be kept clean and sanitized in 

accordance with § 3.158 as often as necessary to keep them clean and 

free of contamination. Used water receptacles must be cleaned and 

sanitized before they may be used to provide water to birds maintained 

in a separate enclosure. Group-housed birds must have multiple 

water receptacles where needed to ensure that all birds have access to 

sufficient water. 

§ 3.157 Water quality. 

a.	 The primary enclosure or any other area in which birds may 

enter must not contain pools or other aquatic areas (e.g., 

ponds, waterfalls, fountains, and other water features) that are 

detrimental to the health of the birds contained therein. 

1.	 Particulate animal and food waste, trash, or debris that enters 

the pool or other aquatic area must be removed as often 
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Birds

Part 3, Subpart G, § 3.158 

as necessary to maintain the required water quality and 

minimize health hazards to the birds. 

2.	 Pools or other aquatic areas with drainage systems must 

provide adequate drainage and must be located so that all 

of the water contained in such pools or other aquatic areas 

may be effectively eliminated when necessary for cleaning 

the pool or other aquatic area or for other purposes. Pools 

or other aquatic areas without drainage systems must be 

aerated and have an incoming flow of fresh water or be 

managed in a manner that maintains appropriate water 

quality in accordance with current professionally accepted 

standards appropriate for the species. 

b.	 When the water is chemically treated, the chemicals must be 

added in a manner that does not cause harm, discomfort, or 

distress to the animals. Should birds appear to be harmed by 

water quality, appropriate action must be taken immediately. 

c.	 Pools and other aquatic areas must be salinized for birds that 

require such water for their good health and well-being in 

accordance with current professionally accepted standards. 

§ 3.158 Cleaning, sanitization, housekeeping, and pest 

control. 

a.	 Cleaning. 

1.	 Excreta and food waste must be removed from primary 

enclosures and from under and around primary enclosures 

as often as necessary to prevent excessive accumulation of 

feces and food waste, to prevent soiling of the birds contained 

in the primary enclosures, and to reduce disease hazards, 

insects, pests, and odors. When steam or water is used to 

clean primary enclosures, measures must be taken to protect 

birds from being harmed, wetted involuntarily, or distressed 

in the process. Standing water, except for such water in pools 

or other aquatic areas (e.g., ponds, waterfalls, fountains, and 

other water features), must be removed from the primary 

enclosure. 

2.	 Scheduled cleaning may be modified or delayed during 

breeding, egg-sitting, or feeding of chicks for birds that are 
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Birds

Part 3, Subpart G, § 3.158 

easily disrupted during such behaviors. Scheduled cleaning 

must resume when such cleaning no longer disrupts 

breeding, egg-sitting, or feeding of chicks. A schedule of 

cleaning must be documented and must include when 

breeding season began, when the primary enclosure was 

last cleaned, and when cleaning is expected to resume. Such 

records must be available for review by an APHIS inspector. 

b.	 Sanitization. 

1.	 Primary enclosures and food and water receptacles for 

birds must be sanitized as often as necessary to prevent 

accumulation of dirt, debris, food waste, excreta, and other 

disease hazards. Provided, however, that sanitization may 

be modified or delayed during breeding, egg-sitting, or 

feeding of chicks for those birds that are easily disrupted 

during such behaviors. Sanitization must resume when such 

activity no longer disrupts breeding, egg-sitting, or feeding 

of chicks. A schedule of sanitization must be documented 

that includes when breeding season began, when the 

primary enclosure was last sanitized, and when sanitization 

is expected to resume. Such records must be available for 

review by an APHIS inspector. 

2.	 The hard surfaces of primary enclosures and food and 

water areas and equipment must be sanitized before a new 

bird is brought into a housing facility or if there is evidence 

of infectious disease among the birds in the housing 

facility. 

3.	 Primary enclosures using materials that cannot be sanitized 

using conventional methods, such as gravel, sand, grass, 

earth, planted areas, or absorbent bedding, must be sanitized 

by removing all contaminated material as necessary or by 

establishing a natural composting and decomposition system 

that is sufficient to prevent wasted food accumulation, odors, 

disease, pests, insects, and vermin infestation. 

c.	 Housekeeping for premises. Premises where housing facilities are 

located, including buildings, surrounding grounds, and exhibit 

areas, must be kept clean and in good repair in order to protect the 

birds from injury and disease, to facilitate the husbandry practices 

required in this subpart, and to reduce or eliminate breeding and 
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Subpart G

Birds

Part 3, Subpart G, § 3.159 

living areas for rodents, 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 birds. 

d.	 Pest control. A safe and effective program for the control of 

insects, ectoparasites, and avian and mammalian pests must 

be established and maintained so as to promote the health and 

well-being of the birds and reduce contamination by pests in 

animal areas. Insecticides, chemical agents, or other pest control 

products that may be harmful to the birds must not be applied 

to primary enclosures and other bird contact surfaces unless the 

application is consistent with manufacturer recommendations or 

otherwise approved for use and does not harm birds. 

(Approved by the Office of Management and Budget under control number 0579-0486) 

§ 3.159 Employees. 

A sufficient number of adequately trained employees or attendants 

must be utilized to maintain the professionally acceptable level of 

husbandry and handling practices set forth in this subpart. Such 

practices must be conducted under the supervision of a bird caretaker 

who has appropriate experience in the husbandry and care of birds that 

are being managed in a given setting. 

§ 3.160 Compatibility and separation. 

a.	 Socially dependent birds, such as clutch-mates, must be housed 

in social groups, except where the attending veterinarian 

exempts an individual bird because of its health or condition, or 

in consideration of its well-being, or for specific management 

needs, or where such social grouping is not in accordance with 

a research proposal and the proposal has been approved by the 

research facility IACUC. 

b.	 Birds may not be housed with other animals, including members 

of their own species, 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 must be determined in accordance 
309 

Animal Welfare Act, USDA

PART 3

Subpart G

Birds

Part 3, Subpart G, § 3.161 

with generally accepted professional practices and by actual 

observations to ensure that the birds are, in fact, compatible. 

c.	 Birds that have or are suspected of having a contagious disease 

or communicable condition must be separated from healthy 

animals that are susceptible to the disease as directed by the 

attending veterinarian. 

TRANSPORTATION STANDARDS 

§ 3.161 Consignments to carriers and intermediate handlers. 

a.	 Carriers and intermediate handlers must not accept a live bird 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 bird to extend this time by 

up to 2 hours if specific prior scheduling of the animal shipment 

to a destination has been made, provided that the extension 

is not detrimental to the health and well-being of the bird as 

determined by the consignor. 

b.	 Carriers and intermediate handlers must not accept a live bird 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 live weaned 

bird for transport in commerce unless the consignor certifies in 

writing to the carrier or intermediate handler that the bird was 

offered food and water during the 4 hours prior to delivery to the 

carrier or intermediate handler; provision for unweaned birds 

is made in paragraph (g) of this section. The certification must 

be securely attached to the outside of the primary enclosure in 

a manner that makes it easy to notice and read. The certification 

must include the following information for each live bird: 

1.	 The consignor’s name, address, telephone number, and email 

address; 

2.	 The number of birds; 

3.	 The species or common names of the birds; 

4.	 The time and date the bird was last fed and watered and the 
310 

9 CFR AWA (5-1-2023 Edition)

PART 3

Subpart G

Birds

Part 3, Subpart G, § 3.161 

specific instructions for the next feeding(s) and watering(s) 

for a 24-hour period; and 

5.	 The consignor’s signature and the date and time the 

certification was signed. 

d.	 Carriers and intermediate handlers must not accept a live bird for 

transport in commerce unless the primary enclosure in which the 

birds are contained meets the requirements of § 3.162. A carrier 

or intermediate handler must not accept a live bird for transport 

if the primary enclosure is defective or damaged and cannot be 

expected to contain the bird safely and comfortably. 

e.	 Carriers and intermediate handlers shall not accept a live bird 

for transport in commerce unless their animal holding area 

maintains climatic and environmental conditions in accordance 

with the requirements of § 3.168. 

f.	 Carriers and intermediate handlers must attempt to notify the 

consignee at least once in every 6-hour period following the 

arrival of any live birds at the bird 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 bird shipment. If delays will cause the 

shipment to arrive more than 12 hours later than its originally 

scheduled arrival, the carrier or intermediate handler must 

contact the consignor or the consignee to notify them of the delay 

of the live shipment and to determine the necessity or methods to 

supply fresh food, water, or moisture-providing foods. 

g.	 Carriers and intermediate handlers must not accept unweaned 

birds for transport unless transport instructions to ensure the 

health and well-being of the birds are specified and written by the 

attending veterinarian, and signed within 10 days of shipment.

 (Approved by the Office of Management and Budget under control number 0579-0486)

 [88 FR 10714, Feb. 21, 2023; 88 FR 16173, Mar. 16, 2023] 
311 

Animal Welfare Act, USDA

PART 3

Subpart G

Birds

Part 3, Subpart G, § 3.162 

§ 3.162 Primary enclosures used to transport live birds. 

Any person subject to the Animal Welfare regulations (this part and parts 

1 and 2 of this subchapter) must not transport or deliver for transport in 

commerce a bird unless the following requirements are met: 

a.	 Construction of primary enclosures. The bird must be contained 

in a primary enclosure such as a compartment, transport cage, 

carton, or crate. Primary enclosures used to transport birds must 

be constructed so that: 

1.	 The primary enclosure is strong enough to contain the bird 

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 bird contained 

therein; 

3.	 The bird 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 other persons or to animals nearby; 

4.	 The bird can be easily and quickly removed from the 

enclosure in an emergency; 

5.	 Unless the enclosure is permanently affixed to the conveyance, 

adequate handholds or other devices such as handles are 

provided on its exterior, and enable the enclosure to be 

lifted without tilting it, and ensure that anyone handling the 

enclosure will not be in contact with the bird 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 centimeters) 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 bird 

and not harmful to its health or well-being; 

8.	 A bird that has a fractious or stress-prone disposition must be 

contained in an enclosure that is padded on the top and sides 

and has protective substrate on the bottom to prevent injury 

to the bird during transport; 
312 

9 CFR AWA (5-1-2023 Edition)

PART 3

Subpart G

Birds

Part 3, Subpart G, § 3.162 

9.	 Proper ventilation is provided to the animal in accordance 

with paragraph (b) of this section; and 

10.	 The primary enclosure has a solid, leak-proof bottom or 

a removable, leak-proof collection tray. If a mesh or other 

nonsolid floor is used in the enclosure, it must be designed 

and constructed so that the bird cannot put any part of its 

body through the holes in the mesh or the openings in the 

nonsolid floor. If substrate (newspaper, towels, litter, straw, 

etc.) is used in the primary enclosure, the substrate must be 

clean and made of a suitably absorbent material that is safe 

and nontoxic to the birds. 

b.	 Ventilation. 

1.	 Unless the primary enclosure is permanently affixed to the 

conveyance, there must be ventilation openings located on 

two vertical walls of the primary enclosure that are at least 16 

percent of the surface area of each such wall or ventilation 

openings located on all four walls of the primary enclosure 

that are at least 8 percent of the total surface area of each 

such wall. 

2.	 Unless the primary enclosure is permanently affixed to the 

conveyance, projecting rims or other devices must be on the 

exterior of the outside walls with any ventilation openings 

to prevent obstruction of the ventilation 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 adjacent to, unless 90 percent or greater 

of the surface area of the enclosure wall is open (e.g., cage 

mesh). 

3.	 Any visually obscuring mesh used to provide security for 

the bird in the enclosure must not interfere with proper 

ventilation. 

4.	 If 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 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 
313 

Animal Welfare Act, USDA

PART 3

Subpart G

Birds

Part 3, Subpart G, § 3.162 

of the front wall of the primary enclosure and covered with 

bars, wire mesh, or smooth expanded metal. 

c. Cleaning of primary enclosures. A primary enclosure used 

to hold or transport birds in commerce must be cleaned and 

sanitized before each use in accordance with § 3.158 by the 

dealer, research facility, exhibitor, or operator of an auction sale. 

d. Compatibility. Live birds transported in the same primary 

enclosure must be of the same species or compatible species and 

maintained in compatible groups. If more than one bird is being 

transported, socially dependent birds must be able to see and 

hear each other. 

e. Space and placement. Primary enclosures used to transport live 

birds must be large enough to ensure that each bird 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 accepted standards when such freedom of 

movement would constitute a danger to the birds, their handlers, 

or other persons. 

f. Accompanying documents and records. Documents 

accompanying the shipment must be attached in an easily 

accessible manner to the outside of a primary enclosure which 

is part of such shipment and must not obstruct ventilation 

openings. 
314 

9 CFR AWA (5-1-2023 Edition)

PART 3

Subpart G

Birds

Part 3, Subpart G, § 3.163 

§ 3.163 Primary conveyances (motor vehicle, rail, air, and 

marine). 

a.	 The animal cargo space of primary conveyances used in 

transporting live birds 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 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 birds must be positioned in 

the animal cargo space in a manner that provides protection from 

the elements and that allows each bird enough air for normal 

breathing. 

d.	 During transportation, the climatic conditions in the animal 

cargo area shall be maintained in accordance with the 

requirements of § 3.168. 

e.	 Primary enclosures must be positioned in the primary 

conveyance in a manner that allows the birds to be quickly and 

easily removed from the primary conveyance in an emergency. 

f.	 The interior of the bird cargo space must be kept clean. 

g.	 Live birds may 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 birds unless proper 

precaution is taken to prevent such injury. 

§ 3.164 Food and water requirements. 

a.	 All weaned birds must be offered food and potable water 

within 4 hours before being transported in commerce, unless 

the attending veterinarian approves a delay or a delay is in 

accordance with professionally accepted standards. 
315 

Animal Welfare Act, USDA

PART 3

Subpart G

Birds

Part 3, Subpart G, § 3.164 

b.	 Dealers, exhibitors, research facilities, and operators of auction 

sales must provide potable water to all weaned birds transported 

in their own primary conveyance at least every 12 hours after 

such transportation is initiated, except for birds which, according 

to professionally accepted standards or under the direction of 

the attending veterinarian, require watering or feeding more or 

less frequently. Carriers and intermediate handlers must provide 

potable water to all live, weaned birds at least every 12 hours after 

accepting them for transportation in commerce, except for birds 

which, according to professionally accepted standards or under 

the direction of the attending veterinarian, require watering or 

feeding more or less frequently. 

c.	 All weaned birds must be fed at least once in each 24-hour 

period, except as directed by veterinary treatment, normal fasts, 

or other professionally accepted standards. Birds that require 

feeding more or less frequently must be fed accordingly. 

d.	 A sufficient quantity of food and water or other source of 


hydration must accompany the bird to provide food and water 


for such bird during period of transport, except as directed 


by veterinary treatment and other professionally accepted 


standards. 


e.	 Any dealer, research facility, exhibitor, or operator of an auction 

sale offering any live bird to any carrier or intermediate handler 

for transportation in commerce must securely affix to the outside 

of the primary enclosure used for transporting the bird written 

instructions for the in-transit food and water requirements of 

the bird contained in the enclosure. The instructions must be 

attached in accordance with § 3.162(f ) and in a manner that 

makes them easily noticed and read. 

f.	 No carrier or intermediate handler may accept any live bird for 

transportation in commerce unless written instructions concerning 

the food and water requirements of such bird while being so 

transported is affixed to the outside of its primary enclosure. The 

instructions must be attached in accordance with § 3.162(f) and in 

a manner that makes them easily noticed and read. 

(Approved by the Office of Management and Budget under control number 0579-0486) 
316 

9 CFR AWA (5-1-2023 Edition)

PART 3

Subpart G

Birds

Part 3, Subpart G, § 3.165 

§ 3.165 Care in transit. 

a.	 Surface transportation (ground and water). During surface 

transportation, any person subject to the Animal Welfare 

regulations in this part and parts 1 and 2 of this subchapter 

transporting birds in commerce must ensure that the operator of 

the conveyance, or a person accompanying the operator, visually 

observes the birds as frequently as circumstances may allow, 

but not less than once every 4 hours, to ensure that the birds are 

receiving sufficient air for normal breathing, that climatic and 

environmental conditions are being maintained in accordance 

with the requirements in § 3.168, and that all other applicable 

standards are met. The regulated person must ensure that the 

operator or person accompanying the operator determines 

whether any of the birds are in physical distress and obtains any 

veterinary care needed for the birds as soon as possible. 

b.	 Air transportation. When transported by air, live birds must be 

visually observed by the carrier as frequently as circumstances 

may allow, 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 must visually observe the 

live birds whenever they are loaded and unloaded and whenever 

the bird cargo space is otherwise accessible to ensure that they 

are receiving sufficient air for normal breathing, that climatic and 

environmental conditions are being maintained in accordance 

with the requirements in § 3.168, and that all other applicable 

standards are met. The carrier must determine whether any such 

live birds are in physical distress and arrange for any needed 

veterinary care as soon as possible. 

c.	 Prohibition on the transport of ill, injured, or distressed birds. 

Any person subject to the Animal Welfare regulations in this 

part and parts 1 and 2 of this subchapter may not transport in 

commerce birds that are ill, injured, or in physical distress, except 

to receive veterinary care for the condition. 
317 

Animal Welfare Act, USDA

PART 3

Subpart G

Birds

Part 3, Subpart G, § 3.166 

§ 3.166 Terminal facilities. 

a.	 Placement. Carriers and intermediate handlers must not 

commingle shipments of live birds with other animals or 

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 § 3.158 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 other pests of birds. 

c.	 Ventilation. Ventilation must be provided in any animal holding 

area in a terminal facility containing birds, 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. 

d.	 Climatic and environmental conditions. The climatic 

and environmental conditions in an animal holding area 

containing live birds shall be maintained in accordance with the 

requirements of § 3.168. 

§ 3.167 Handling. 

a.	 Any person subject to the Animal Welfare regulations (this part 

and parts 1 and 2 of this subchapter) who moves (including 

loading and unloading) live birds 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 live birds: 

1.	 Shelter from sunlight and extreme heat. Sufficient shade shall 

be provided to protect the live birds from the direct rays of 

the sun. 

2.	 Shelter from rain and snow. Sufficient protection shall be 

provided to allow the live birds the option to remain dry 

during rain, snow, and other precipitation. 

3.	 Climatic and environmental conditions. Climatic and 
318 

PART 3

Subpart G

Birds

 

Part 3, Subpart G, § 3.168	 9 CFR AWA (5-1-2023 Edition) 

environmental conditions during movement shall be 

maintained in accordance with the requirements of § 3.168. 

b.	 Any person handling a primary enclosure containing a live bird 

must use care and must avoid causing physical harm or distress 

to the bird. 

c.	 A primary enclosure containing a live bird must not be tossed, 

dropped, or tilted, and must not be stacked in a manner which 

may reasonably be expected to result in its falling. 

§ 3.168 Climatic and environmental conditions during 

transportation. 

a.	 1. Transportation of all live birds shall be done in a manner that 

does not cause overheating, excessive cooling, or adverse 

environmental conditions that could cause discomfort or 

stress. When climatic or environmental conditions, including 

temperature, humidity, exposure, ventilation, pressurization, 

time, or other environmental conditions, or any combination 

thereof, present a threat to the health or well-being of a live 

bird, appropriate measures must be taken immediately to 

alleviate the impact of those conditions. The different climatic 

and environmental factors prevailing during a journey must be 

considered when arranging for the transportation of and when 

transporting live birds. Corrections may include, but would 

not be limited to: 

i.	 The temperature and humidity level of any enclosure 

used during transportation of live birds must be 

controlled by adequate ventilation or any other means 

necessary; 

ii.	 Appropriate care must be taken to ensure that live birds 

are not subjected to prolonged drafts detrimental to their 

health or well-being; 

iii.	 Appropriate care must be taken to ensure that live birds 

are not exposed to direct heat or cold if detrimental to 

their health or well-being; and 

iv.	 During prolonged air transit stops in local climatic 

conditions that could produce excessive heat for live 

birds held in aircraft compartments, the aircraft doors 
319 

PART 3

Subpart G

Birds

 

Animal Welfare Act, USDA	 Part 3, Subpart G, § 3.168 

must be opened and, if necessary, equipment must 

be used to control the condition of the air within 

compartments containing live birds. 

2.	 In order to determine what climatic and environmental 

conditions are appropriate for a live bird, factors such as, but not 

limited to, the bird’s age, species, physiological state, last feeding 

and watering, and acclimation shall be considered when such 

information is available. 

b.	 Birds that are not able to maintain a constant body temperature 

at ambient temperatures must be transported in a brooder or 

other temperature-regulating unit that effectively assists the bird 

in maintaining a constant body temperature during transport. 

1.	 The temperature of the brooder or other temperatureregulating unit must be monitored during transportation and 

appropriate for the live bird. 

2.	 Written instructions for the temperature requirements 

of birds transported in brooders or other temperatureregulating units must be securely affixed to the outside of 

the primary enclosure used for transporting the bird. The 

instructions must be attached in accordance with § 3.162(f ) 

in a manner that makes them easily noticed and read. 
320 
321 

PART 4

Rules of 

Practice

Animal Welfare Act, USDA	 Part 4, § 4.1 

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. 

[42 FR 10959, Feb. 25, 1977, as amended at 86 FR 66926, Nov. 24, 2021] 

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 or she 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 or her license pursuant to § 

1.147(b) of the Uniform Rules of Practice (7 CFR 1.147(b)). 
322 

9 CFR AWA (5-1-2023 Edition)

PART 4

Rules of 

Practice

Part 4, § 4.11 

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 or her 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. 
323 

INDEX

Animal Welfare Act, USDA Index 

INDEX 

A

access, 

 

14, 19, 140, 146, 168, 180, 185, 186, 


195, 196, 204, 209, 212, 221, 237, 250, 271, 


272, 274, 276, 290, 295, 299, 302, 305, 309
 

acclimation, 114, 138, 164, 180, 195, 198, 


230, 278, 294, 319
 

cats and dogs, 138


marine mammals, 294


nonhuman primates, 230
 

rabbits, 195
 

AC Regional Directors, 38
 

activity, definition of, 35
 

administration, 10, 19, 20, 63, 151, 158, 224
 

administrative units, 10, 19
 

age of animals, 17
 

age requirements, 48, 113
 

cats and dogs, 144, 145, 146
 

guinea pigs, 166, 167, 168, 170, 171
 

hamsters, 166, 167, 168, 170, 171
 

nonhuman primates, 199, 200, 201, 202, 

203
 

rabbits, 184, 185, 186, 187, 188, 189, 190, 

191, 192, 193, 194, 195, 196, 197, 198
 

polar bears, 236, 237
 

ambient temperature, 135, 136, 137, 138, 


139, 159, 161, 163, 164, 167, 180, 185, 195, 


202, 203, 204, 206, 207, 208, 224, 225, 227, 


228, 229, 230, 278, 281, 298
 

ammonia, 135, 137, 139, 203, 204, 208, 298
 

animal acts, 38, 110, 205, 207, 208. 


cats and dogs, 144, 145, 146
 

definition of, 7, 37, 38, 40, 41, 69
 

handling, 44, 62, 64, 68, 71, 73, 84, 87, 


105, 114, 118, 155, 164, 177, 183, 193, 


198, 221
 

nonhuman primates, 207, 208, 209, 210, 

211, 212
 

traveling shows, 142, 143. 


See also exhibitions
 

animal fighting, 25, 26, 27, 28
 

animals, 1, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 16, 

17, 18, 19, 21, 26, 27, 28, 30, 31, 32, 35, 36, 

37, 38, 39, 40, 41, 42, 43, 44, 45, 48, 50, 51, 

52, 53, 55, 56, 59, 62, 63, 64, 65, 66, 67, 68, 

69, 70, 71, 72, 73, 74, 75, 76, 77, 78, 79, 80, 

81, 82, 83, 84, 87, 91, 92, 94, 95, 96, 98, 99, 


100, 102, 105, 106, 107, 109, 110, 111, 112, 

113, 114, 115, 116, 117, 118, 122, 130, 132, 

133, 134, 136, 137, 138, 139, 140, 144, 145, 


148, 149, 150, 151, 155, 159, 164, 166, 167, 

168, 172, 173, 174, 176, 180, 184, 185, 189,

190, 191, 193, 199, 200, 201, 202, 203, 204, 

205, 206, 207, 208, 209, 210, 212, 215, 216,

217, 221, 224, 225, 228, 230, 231, 232, 233, 

234, 235, 236, 237, 238, 239, 242, 245, 248,

249, 251, 252, 255, 257, 259, 260, 261, 263,

269, 270, 271, 272, 273, 275, 276, 278, 280, 


281, 282, 283, 284, 285, 286, 287, 288, 289, 

290, 291, 292, 293, 294, 295, 296, 297, 299, 

300, 302, 306, 308, 309, 311, 314, 317, 322
 

cats, 6, 8, 9, 10, 11, 17, 18, 42, 43, 48, 51,

52, 75, 81, 84, 89, 90, 91, 92, 93, 98, 99,

101, 105, 114, 115, 116, 117, 126, 132, 

133, 134, 135, 136, 137, 138, 139, 140,

141, 142, 144, 145, 147, 148, 149, 150,

153, 154, 155, 156, 157, 158, 159, 160,

161, 162, 163, 164
 

definition of, 6, 35
 

dogs, 6, 7, 8, 9, 10, 11, 17, 18, 21, 36, 38, 40,

42, 43, 48, 51, 52, 75, 81, 84, 89, 90, 91,

92, 93, 98, 99, 101, 105, 

, 

114, 115, 116,

117, 121, 126, 132, 133 134, 135, 136,

137, 138, 139, 140, 141, 142, 143, 144,

145, 146, 147, 148, 149, 150, 151, 153,

154, 155, 156, 157, 158, 159, 160, 161,

162, 163, 164, 200, 205, 206
 

endangered species, 38
 

exotic animals, 42, 51, 113

guinea pigs, 42, 43, 127, 166, 167, 168, 170, 


171, 172, 173, 175, 176, 177, 178, 179,

180, 181, 182, 183
 

hamsters, 38, 42, 43, 127, 166, 167, 168,

169, 170, 171, 172, 173, 174, 175, 176,

177, 178, 179, 180, 181, 182, 183
 

marine mammals, 41, 129, 231, 232, 233,

234, 235, 236, 237, 238, 242, 254, 255,

256, 257, 258, 259, 260, 261, 270, 271,

272, 273, 274, 275, 276, 277, 278
 

nonhuman primates, 43, 53, 101, 128, 199,

200, 201, 202, 203, 204, 205, 206, 207,

208, 209, 210, 211, 212, 213, 214, 215,

216, 217, 218, 219, 221, 222, 223, 224,

225, 226, 227, 228, 229, 230
 

other animals, iv, 17, 48, 83, 102, 114, 115,

122, 132, 140, 166, 184, 199, 204, 206,

225, 228, 259, 282, 295, 299, 300, 308,

317
 
324 

INDEX

Index 

rabbits, 39, 42, 43, 128, 184, 185, 186, 187,

188, 189, 190, 191, 192, 193, 194, 195,

196, 197, 198
 

warm-blooded animals, 6
 

wild animals, 39, 40, 42, 65
 

animal shelters. See also shelters and 


pounds
 

definitions in, 42
 

Rules of Practice governing proceedings, 


321, 322
 

Animal Welfare Information Center, 67
 

annual reports, 76, 77, 78
 

licensing, 11, 36, 37, 50, 51
 

research facilities, 76, 78, 79
 

APHIS officials, ii, 47, 56, 64, 79, 109, 110,

268
 

appeals, ii, 23, 60
 

appropriations, ii, 24
 

attending veterinarians, 300
 

cats and dogs, 23, 300
 

marine mammals, 300
 

nonhuman primates, 199, 200, 201, 202,

203, 204
 

auction sales, i, iii, 8, 9, 10, 11, 21, 25, 42, 44,

48, 96, 98, 99, 100, 109, 290, 315
 

authority, 11, 12, 19, 20, 36, 38, 63, 69, 72, 79, 

87, 111
 

APHIS officials, ii, 47, 56, 64, 79, 109, 110, 

268
 

attending veterinarian, 11, 37, 68, 69, 72,

73, 87
 

governmental bodies, i, 18
 

law enforcement, i, 21, 27, 42, 79, 111
 

research facilities, 11, 13, 15, 16, 17, 18,

21, 25, 85
 

Secretary (Secretary of Agriculture), 5, 6,

7, 8, 9, 10, 11, 12, 13, 14, 15, 16, 17, 18,

19, 20, 21, 22, 23, 24, 25, 27, 30, 31, 32,

36, 38, 44, 54, 61, 63, 65, 83, 102, 322
 

authorization, ii, 24, 36, 40
 

avian, 173, 182, 189, 197, 258, 277, 285, 292,

308
 

B

barriers, 113, 205, 207, 208, 233, 251, 252
 

bedding, 85, 119, 132, 133

166

, 134, 135, 136,

137, 138, 139, 149, , 172, 184, 199,

200, 201, 216, 217, 280, 295, 296, 301,

307
 

physical, 11, 17, 37, 41, 42, 80, 83, 92, 101, 

113, 122, 146, 150, 155, 161, 162, 164, 


9 CFR AWA (5-1-2023 Edition) 

181, 183, 196, 197, 198, 205, 206, 207,

208, 209, 213, 220, 221, 227, 228, 230,

233, 237, 260, 261, 266, 267, 276, 277,

278, 282, 291, 292, 294, 298, 301, 303,

316, 318, 322
 

visual, 251, 252, 267, 273, 288
 

birds, ix, 6, 26, 35, 36, 42, 43, 51, 53, 68, 91,

130, 149, 162, 217, 228, 295, 296, 297, 298, 

299, 300, 301, 302, 303, 304, 305, 306, 307,

308, 309, 310, 311, 312, 313, 314, 315, 316,

317, 318, 319
 

breeders. See Class “A” licensees (breeders)
 

brokers. See Class “B” licensees (brokers)
 

buffer areas, 36
 

business hours, 36, 55, 78, 79, 83, 106, 107, 

109, 111
 

business years, 36
 

C

caging. See housing
 

care. See handling; housing; humane 


standards; transportation; veterinary care
 

caretakers. See employees


cargo space, 103, 159, 160, 161, 162, 176, 177,

179, 180, 181, 182, 192, 193, 

, 

194, 195, 196,

197, 224, 225, 227, 228, 270 271, 273, 274,

277, 287, 288, 289, 290, 291, 292, 310, 312,

314, 316, 317
 

carriers, 5, 9, 10, 12, 17, 25, 36, 44, 48, 109,

118, 119, 126, 127, 128, 129, 130, 152, 160, 

174, 190, 218, 226, 268, 285, 290, 309. See 


also transportation
 

definition of, 36
 

recordkeeping, i, 10, 97, 258
 

registration, 30, 36, 57, 58, 61, 62, 63, 64,

74, 83, 96, 98, 99, 110, 116, 121
 

transportation standards, i, iii, ix, 5, 6, 7,

8, 10, 11, 12, 17, 18, 19, 36, 37, 40, 42, 

44, 48, 50, 52, 58, 59, 75, 81, 83, 84, 91,

92, 95, 96, 100, 101, 102, 103, 104, 105, 

113, 118, 121, 131, 154, 158, 159, 160, 

161, 162, 174, 175, 176, 179, 181, 182,

191, 192, 195, 196, 197, 220, 221, 224,

225, 226, 227, 228, 269, 270, 271, 275,

285, 286, 287, 290, 291, 292, 311, 314, 

315, 316, 318, 319
 

carriers and intermediate handlers
 

carriers and intermediate handlers, 10
 

cats, 5, 6, 8, 9, 10, 11, 17, 18, 36, 42, 43, 48, 51,

52, 75, 81, 84, 89, 90, 91, 92, 93, 98, 99, 101, 

105, 114, 115, 116, 117, 126, 132, 133, 134, 

325 

INDEX

Animal Welfare Act, USDA Index 

135, 136, 137, 138, 139, 140, 141, 142, 144, 


145, 147, 148, 149, 150, 153, 154, 155, 156, 


157, 158, 159, 160, 161, 162, 163, 164
 

definition of, 36
 

facilities and operating standards, 114, 


116
 

health and husbandry standards, 116, 144


identification, 10, 74
 

procurement of animals, 9, 96, 114


transportation standards, 6, 7, 8, 9, 29, 30, 


31, 35, 36, 38, 52, 74, 75, 81, 82, 83, 90, 


91, 92, 94, 96, 97, 98, 99, 101, 102, 105, 


106, 113, 115, 116, 117, 118, 141, 144, 


148, 152, 153, 154, 155, 156, 157, 159, 


160, 161, 162, 163, 164, 165
 

certifications, 124
 

health certifications, 82, 124
 

humane standards, 10
 

inspections, 1, 14, 15, 19, 36, 55, 236, 268
 

protection of pets, 29
 

transportation standards, 124, 219
 

veterinary certificate, 14
 

cetaceans. See marine mammals
 

Class “A” licensees (breeders), 36


Class “B” licensees (brokers), 37
 

Class “C” licensees (exhibitors), 37. 


See also exhibitors
 

cleaning and sanitization, iv, vi, viii, 126, 


128, 130, 133, 148, 149, 162, 200, 216, 217, 


228, 306, 308, 317
 

housekeeping, iv, vi, viii, 126, 128, 130, 


136, 137, 140, 148, 203, 204, 208, 216, 


306
 

litter, 81, 91, 141, 142, 155, 169, 171, 178, 


186, 188, 189, 194, 222, 289, 312
 

pest control, iv, vi, viii, 126, 128, 130, 148, 


149, 162, 216, 217, 228, 306, 308, 317
 

primary enclosures, 133, 140, 142, 143, 


144, 148, 149, 154, 155, 162, 168, 169, 


171, 172, 173, 175, 177, 178, 179, 182, 


186, 187, 188, 189, 191, 194, 195, 197, 


201, 211, 213, 216, 217, 221, 222, 223, 


225, 234, 236, 237, 238, 257, 258, 273, 


277, 281, 284, 286, 289, 290, 292, 298, 


299, 303, 306, 307, 308, 311, 313
 

sanitization, iv, vi, viii, 126, 128, 130, 133, 


148, 149, 162, 200, 216, 217, 228, 306, 


307, 317
 

surfaces, 40, 132, 133, 136, 137, 138, 139, 


140, 142, 149, 167, 173, 176, 185, 189, 


200, 201, 209, 216, 217, 233, 248, 257, 


284, 295, 296, 299, 307, 308
 

terminal facilities, 153, 162, 163, 228, 317
 

collars, 89. See also identification
 

commerce
 

definition in Animal Welfare Act, 5
 

definition in Regulations, 37
 

See also transportation
 

Committees, 8, 12, 13, 14, 15, 29, 37, 42, 47, 


64, 65, 66, 69, 70, 72, 74, 78, 144, 145, 146, 


147, 150, 171, 188, 211, 213, 214, 215, 303. 


Committee (IACUC)
 

definition of, 8
 

Federal research facilities, 15
 

research facilities, 14
 

See also Institutional Animal Care and 


Use
 

compatible groups, 145, 157, 173, 177, 190, 


193, 272, 288, 313
 

confidential information, 28, 29


confiscation, 42, 53, 114, 187, 199
 

Congressional statement of policy, i, 5
 

construction, 132, 141, 199, 231, 295


consultation, 19, 68, 70, 89, 146, 258, 259, 


263, 264


contingency planning, 84, 118


cooling, 80, 113, 133, 135, 136, 139, 162, 185, 


201, 202, 203, 207, 235, 274, 281, 296, 318
 

cooperation and consultation, i, 16, 18
 

D

daily observation, 73, 87
 

dead animals, 134, 166, 184, 201, 235, 280, 


296
 

dealers, 8, 9, 10, 11, 21, 25, 32, 44, 47, 48, 84, 


87, 89, 97, 98, 99, 105, 106, 109, 114, 119, 


141, 143, 144, 160, 171, 188, 211, 225, 301
 

Class “A” licensees, 32, 96
 

Class “B” licensees, 32, 96
 

definition of, 8, 37
 

licensing, 11, 36, 37, 50, 51
 

procurement of animals, 96
 

recordkeeping, i, 10, 97, 258
 

retail pet stores, 7, 38
 

definitions
 

in Animal Welfare Act, 5
 

in Regulations, 35
 

departments
 

definition of, 38
 

deprivation of food or water, 80, 103, 113. 


See also food and water requirements
 
326 

INDEX

See also euthanasia
 

diet and nutrition. See also feeding; food and 


water requirements
 

disaster plans. See also contingency 


planning; emergencies
 

Index 

Deputy Administrators, 38

destruction of animals, iv, 48, 79, 112.


disposal facilities, 134, 201, 280
 

disposal of animals, 134, 201, 280
 

disposal of waste, 134, 201, 202, 235, 297
 

diurnal lighting cycle, 136, 137, 140, 203, 


204, 208
 

dogs, 6, 7, 8, 9, 10, 11, 17, 18, 21, 36, 38, 40, 


42, 43, 48, 51, 52, 75, 81, 84, 89, 90, 91, 92, 


93, 98, 99, 101, 105, 114, 115, 116, 117, 


121, 126, 132, 133, 134, 135, 136, 137, 138, 


139, 140, 141, 142, 143, 144, 145, 146, 147, 


148, 149, 150, 151, 153, 154, 155, 156, 157, 


158, 159, 160, 161, 162, 163, 164, 200, 205, 


206

definition of, 38

exercise for, 145

facilities and operating standards, 130, 


131, 132, 133, 134, 135, 136, 137, 138

health and husbandry standards, 122

identification, i, iii, 10, 31, 48, 74, 82, 84,

89, 90, 93, 94, 96, 98, 99, 101, 110, 116,

117, 260, 267

importation of live dogs, 121

procurement of animals, 96, 114

transportation standards, 152

dolphins. See marine mammals; swim-withthe- dolphin (SWTD) programs

Domesticated farm-type animals, 6

drainage, 134, 201, 202, 233, 234, 273, 281,

282, 297, 306

drinking needs, 133, 201, 296. See water

dwarf hamsters, 169, 171, 178

E

effective dates, ii, 25
 

electric power, 133, 166, 184, 201, 234, 280, 


296
 

emergencies, 85, 118
 

employees, 2, ii, 47, 57, 66, 86, 119, 120, 150, 


173, 190, 218, 233, 235, 255, 258, 276, 277, 


285, 308
 

endangered species, 38
 

9 CFR AWA (5-1-2023 Edition) 

enforcement, i, 19, 20, 21, 24, 27, 31, 42, 76, 


78, 79, 109, 111
 

by Secretary, i, 18, 19, 27
 

Importation of live dogs, 21
 

protection of pets, 31
 

environmental enhancements, 235
 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 


 

marine mammals, 235, 236, 237, 238

nonhuman primates, 212

environmental enrichment, 213

exemptions, 214

plans for, 214

restraint devices, 213

social grouping, 215

special considerations, 214

euthanasia, 11, 12, 69, 71, 73, 75, 80, 87, 96, 


97, 106, 112, 113

exemptions, 147, 214, 304

exercise for dogs, iv, 11, 126, 145

exemptions, 146

housed individually, 145

housed in groups, 145

method and duration, 145

exhibitions, 7, 38

animal acts, 110, 208

animal fighting, 25, 26, 27, 28

attending veterinarian and care, 87

public barriers, 113

public contact, 114

public feeding, 114, 255

public handling, 114

traveling shows, 142

exhibitors, i, iii, 8, 9, 10, 11, 21, 25, 44, 47, 48, 


84, 87, 93, 96, 97, 99, 105, 106, 109, 110, 


113, 118, 119, 141, 143, 144, 145, 146, 150, 


151, 160, 171, 188, 210, 211, 212, 213, 225, 


258, 290, 301, 302, 315

Class “C” licensees, 6, 7, 8, 9, 10, 12, 17, 


19, 20, 22, 23, 24, 28, 32, 37, 40, 43, 50, 


57, 61, 62, 81, 87, 89, 90, 91, 92, 93, 94, 


96, 97, 98, 99, 101, 102, 104, 105, 106, 


109, 110, 111, 112, 113, 115, 119, 145, 


146, 150, 151, 161, 174, 181, 190, 191, 


196, 214, 226, 268, 269, 271, 285, 286, 


287, 291, 304, 313, 315

definition of, 7, 38

licensing, 11, 36, 37, 50, 51

procurement of animals, 114

recordkeeping, 10

registration, 30, 57, 58, 61, 62, 63, 64, 74, 


83, 96, 98, 99, 110, 116, 121

exotic animals, 38, 42, 51, 113
327 

INDEX

Animal Welfare Act, USDA 

F

facilities. See housing; research facilities 

farm animals, 13, 14, 16, 37, 38, 39
 

Federal agencies, 27, 66
 

authority of, 19
 

definition of, 7, 39
 

investigation of violations, 27
 

suspension of support, 17
 

Federal awards, 7, 39
 

Federal research facilities, 15, 47, 78, 132, 


145, 158, 160, 199, 210, 225. 


Committees, 12, 13, 14, 15, 29, 37, 42, 47, 


64, 65, 66, 69, 70, 72, 74, 78, 144, 145, 


146
 

definition of, 8, 39
 

exercise for dogs, 145
 

food and water requirements (dogs/cats), 


147
 

health certification, 82
 

housing facilities, general (dogs/cats), 132
 

minimum space requirements 


(nonhuman
 

primates), 209
 

nonhuman primates, 199
 

transportation by air (dogs/cats), 157
 

transportation by surface vehicle or 


privately owned aircraft (dogs/cats), 


158, 159
 

See also research facilities
 

feeding, 11, 18, 39, 44, 45, 68, 101, 103, 114, 


147, 152, 154, 172, 188, 213, 215, 218, 220, 


255, 266, 267, 291, 303, 305, 307, 310, 315, 


319
 

cats and dogs, 147
 

C.O.D. shipments, iii, 48, 102
 

consignments to carriers and 


intermediate
 

handlers, 174, 190, 218
 

deprivation of food or water, 80, 113
 

guinea pigs, 166, 167, 168, 170, 171, 172, 


173, 175, 176, 177, 178, 179, 180, 181, 


182, 183
 

hamsters, 167, 168, 169, 170, 171, 172, 


173, 174, 175, 176, 177, 178, 179, 180, 


181, 182, 183
 

handling, 105, 114, 118, 155, 164, 177, 183, 


193, 198, 221, 230, 234, 255, 257, 258, 


263, 265, 272, 277, 278, 288, 294, 308, 


311, 318
 

IACUC review of activities involving 


animals, 67
 

marine mammals, 231, 232, 233, 234, 235, 


236, 237, 238, 242, 254, 255, 256, 257, 258
 

Index 

nonhuman primates, 200, 201, 202, 203, 


204, 205, 206, 207, 208, 209, 210, 211, 


212, 213, 214, 215, 216, 217, 218, 219, 


221, 222, 223, 224, 225, 226, 227, 228, 


229, 230
 

(discussed as method of enrichment), 213
 

other animals, 282, 283
 

prohibition of C.O.D. arrangements, 18
 

promulgation of standards, 11
 

public feeding, 114, 255
 

rabbits, 184, 185, 186, 187, 188, 189, 190
 

records: carriers and intermediate 


handlers, 100
 

swim-with-the-dolphin (SWTD) 


program, 44
 

fees, 24, 47, 54, 58, 64
 

fences, 205, 206, 233, 237, 251, 252, 282
 

field study(ies), 55, 56, 59
 

fighting, animal, 25, 26, 27, 28
 

floor(s), 40, 134, 137, 138, 141, 142, 143, 144, 


145, 146, 155, 168, 169, 170, 171, 172, 177, 


178, 186, 187, 188, 201, 202, 209, 211, 222, 


272, 296, 312
 

floor space, 141, 142, 143, 145, 146, 168, 169, 


170, 171, 177, 178, 186, 187, 188, 209
 

food and water requirements, 161, 226, 291, 


315
 

cats and dogs, 147, 160
 

guinea pigs, 166, 167, 168, 170, 171, 172, 173
 

hamsters, 166, 167, 168, 169, 170, 171, 


172, 173, 174, 175, 176, 177, 178, 179, 


180, 181, 182, 183
 

marine mammals, 231, 232, 233, 234, 235, 


236, 237, 238
 

nonhuman primates, 200, 201, 202, 203, 


204, 205, 206, 207, 208, 209, 210, 211, 


212, 213, 214, 215, 216
 

other animals, 290
 

rabbits, 196
 

food preparation, 134, 202, 257, 296
 

food storage, 134, 201, 202, 235, 257, 296, 297
 

G

governing proceedings, 321
 

governmental bodies, i, 18
 

guinea pigs, 42, 43, 127, 166, 167, 168, 170, 


171, 172, 173, 175, 176, 177, 178, 179, 180, 


181, 182, 183
 

facilities and operating standards, 166
 

health and husbandry standards, 171
 

transportation standards, 174
 
328 

INDEX

Index 

H

hamsters, 38, 42, 43, 127, 166, 167, 168, 169, 


170, 171, 172, 173, 174, 175, 176, 177, 178, 

179, 180, 181, 182, 183
 

dwarf hamsters, 169, 171, 178
 

facilities and operating standards, 166
 

health and husbandry standards, 171
 

transportation standards, 174
 

handling, 5, 10, 11, 12, 19, 44, 62, 64, 68, 71, 


73, 84, 87, 105, 114, 118, 155, 164, 177, 183, 

193, 198, 221, 230, 234, 255, 257, 258, 263, 


265, 272, 277, 278, 288, 294, 308, 311, 318
 

birds, 217, 228, 295, 296, 297, 298, 299, 


300, 301, 302, 303, 304, 305, 306, 307, 

308, 309, 310, 311, 312, 313, 314, 315, 


316, 317, 318, 319
 

cats and dogs, 126, 128, 135, 167, 184, 185
 

contingency planning, 84, 118
 

definition of, 39
 

deprivation of food or water, 80
 

exhibition, 5, 6, 8, 9, 19, 35, 36, 38, 41, 43, 


44, 45, 51, 52, 84, 109, 110, 113, 114
 

performing animals, 113
 

public barriers, 113
 

public contact, 114
 

public feeding, 114
 

public handling, 113
 

exotic animals, 42, 51, 113
 

guinea pigs, 166, 167, 168, 170, 171, 172, 


173
 

hamsters, 166, 167, 168, 169, 170, 171, 


172, 173
 

humane standards, 10
 

marine mammals, 263
 

nonhuman primates, 229
 

other animals, 293
 

physical abuse, 80
 

rabbits, 198
 

shelter, 11, 30, 31, 42, 44, 75, 85, 105, 114, 


115, 116, 117, 118, 137, 138, 139, 140, 


185, 204, 206, 209, 212, 237, 282, 298, 


299, 302, 309
 

swim-with-the-dolphin (SWTD) 


programs, 261
 

training, 80
 

wild animals, 65
 

health certificate, 83, 101, 102, 122, 124, 269, 


276
 

health certifications, 65
 

for random source dogs and cats, 116
 

heating, 133, 162, 201, 235, 281, 296
 

holding period, 105, 106, 116
 

compliance with standards, ii, 17, 47, 55
 

9 CFR AWA (5-1-2023 Edition) 

holding facility, 106
 

protection of pets, 29
 

research facilities, 78
 

housekeeping, iv, vi, viii, 126, 128, 130, 136, 


137, 140, 148, 203, 204, 208, 216, 306
 

housing, 5, 11, 37, 39, 40, 41, 44, 68, 84, 103, 


105, 115, 118, 126, 128, 132, 133, 134, 135, 


136, 137, 138, 139, 140, 141, 142, 143, 145, 


146, 149, 154, 166, 167, 184, 185, 186, 199, 


200, 201, 202, 203, 204, 205, 206, 207, 208, 


217, 220, 232, 233, 234, 236, 237, 238, 239, 


240, 246, 248, 249, 250, 252, 257, 258, 259, 


266, 280, 281, 282, 283, 295, 296, 297, 298, 


300, 301, 305, 307
 

general requirements, 37, 39, 40, 41, 44, 


68, 84, 103, 105, 115, 118, 126, 128, 132
 

humidity, 40, 114, 135, 136, 139, 159, 203, 


204, 206, 297, 298, 301, 318
 

runs and pens, 44, 145, 146, 262, 284, 295
 

sheltered facilities, 136, 137, 203, 204
 

capacity: multiple shelters, 126, 128, 136, 


137, 203, 204
 

lighting, 135, 136, 137, 140, 167, 185, 203, 


204, 208, 236, 281, 298
 

perimeter fences, 205, 206, 237, 282
 

public barriers, 205, 207, 208
 

shelter from elements, 126, 128, 136, 137, 


203, 204
 

temperature, 35, 136, 137, 138, 139, 153, 

159, 161, 163, 164, 167, 175, 180, 


182, 183, 185, 191, 195, 197, 198, 


202, 203, 204, 206, 207, 208, 219, 220
 

ventilation, 35, 136, 137, 139, 156, 163, 


167, 185, 203, 204, 208, 221, 222, 


228, 236, 281, 298, 312, 317
 

ambient temperature, 135, 136, 137, 138, 

139, 159, 161, 163, 164, 167, 180, 185, 


195, 202, 203, 204, 206, 207, 208, 224, 


225, 227, 228, 229, 230, 278, 281, 298
 

cats and dogs, 132
 

cleaning, 39, 132, 133, 134, 135, 136, 137, 


140, 148, 149, 162, 167, 173, 185, 189, 

199, 200, 201, 203, 204, 208, 217, 233, 

234, 235, 236, 257, 260, 281, 284, 295, 


296, 298, 306, 307, 308
 

construction, 132, 141, 199, 231, 295
 

definition of, 39
 

drainage, 134, 201, 202, 233, 234, 273, 281, 


282, 297, 306
 

electric power, 133, 166, 184, 201, 234, 


280, 296
 

environmental enhancements, 235
 

guinea pigs, v, 42, 43, 127, 166, 167, 168, 


170, 171, 172, 173, 175, 176, 177, 178, 


179, 180, 181, 182, 183
 
329 

INDEX

Animal Welfare Act, USDA 

hamsters, v, 38, 42, 43, 127, 166, 167, 168,

169, 170, 171, 172, 173, 174, 175, 176, 

177, 178, 179, 180, 181, 182, 183
 

heating and cooling, 162
 

indoor facilities, 126, 128, 135, 167, 184, 


185, 202, 203, 236, 281, 298
 

ambient temperature, 135, 136, 137, 138, 


139, 159, 161, 163, 164, 167, 180, 

185, 195, 202, 203, 204, 206, 207, 


208, 224, 225, 227, 228, 229, 230, 


278, 281, 298
 

drainage, 134, 186, 201, 234, 281, 282, 

297
 

interior surfaces, 132, 133, 137, 139, 200, 

295
 

lighting, 135, 136, 137, 140, 167, 185, 203, 


204, 208, 236, 281, 298
 

temperature, 135, 136, 137, 138, 139, 153, 

159, 161, 163, 164, 167, 175, 180, 


182, 183, 185, 191, 195, 197, 198, 

202, 203, 204, 206, 207, 208, 219, 

220, 224, 225, 227, 228, 229, 230, 


235, 236, 237, 255, 270, 271, 274, 


276, 277, 278, 281, 286, 292, 293, 

297, 298, 301, 318, 319
 

marine mammals, 234, 235, 236, 237, 259
 

mobile or traveling facilities, 126, 128, 


139, 140, 207, 208, 238, 283
 

heating, cooling, and temperature, 135, 


136, 139, 202, 203, 207
 

lighting, 135, 136, 137, 140, 167, 185, 203, 


204, 208, 236, 281, 298
 

public barriers, 205, 207, 208
 

ventilation, 135, 136, 137, 139, 156, 163, 


167, 185, 203, 204, 208, 221, 222, 


228, 236, 281, 298, 312, 317
 

nonhuman primates, 200, 201, 202, 203, 

204, 205, 206, 207
 

outdoor facilities, iv, vi, 126, 128, 138, 185, 

206, 298
 

acclimation, 206, 298
 

capacity: multiple shelters, 204, 206
 

drainage, 134, 186, 201, 234, 281, 282, 


297
 

environmental temperature, 136, 137, 


138, 139, 153, 159, 161, 163, 164, 


167, 175, 180, 182, 183, 185, 191, 


195, 197, 198, 202, 203, 204, 206, 


207, 208, 219, 220
 

perimeter fences, 205, 206, 237, 282
 

public barriers, 205, 207, 208
 

restrictions, 144, 173, 190, 266
 

shelter from the elements, 137, 138, 204, 


206
 

pens and runs, 44, 145, 146, 262, 284, 295
 

Index 

pest control, iv, vi, viii, 126, 128, 130, 148, 

149, 162, 216, 217, 228, 306, 308, 317
 

primary enclosures, 133, 140, 142, 143, 


144, 148, 149, 154, 155, 162, 168, 169, 


171, 172, 173, 175, 177, 178, 179, 182, 

186, 187, 188, 189, 191, 194, 195, 197, 


201, 211, 213, 216, 217, 221, 222, 223, 


225, 234, 236, 237, 238, 257, 258, 273, 


277, 281, 284, 286, 289, 290, 292, 298, 


299, 303, 306, 307, 308, 311, 313
 

rabbits, vi, 39, 42, 43, 128, 184, 185, 186, 


187, 188, 189, 190, 191, 192, 193, 194, 

195, 196, 197, 198
 

sanitization, iv, vi, viii, 126, 128, 130, 133, 


148, 149, 162, 200, 216, 217, 228, 306, 


307, 317
 

storage, 133, 166, 184, 201, 234, 280, 296
 

structures, 132, 199, 295
 

surfaces, 132, 133, 137, 139, 200, 295
 

temperature, 135, 136, 137, 138, 139, 


153, 159, 161, 163, 164, 167, 175, 180, 


182, 183, 185, 191, 195, 197, 198, 202, 

203, 204, 206, 207, 208, 219, 220, 224, 


225, 227, 228, 229, 230, 235, 236, 237, 


255, 270, 271, 274, 276, 277, 278, 281, 

286, 292, 293, 297, 298
 

ventilation, 135, 137, 139, 155, 156, 157, 

159, 163, 176, 177, 179, 180, 182, 185, 

193, 194, 195, 197, 201, 203, 204, 208, 

221, 222, 223, 228, 271, 273, 277, 287, 


288, 289, 292, 296, 298
 

vermin, 133, 134, 139, 149, 162, 166, 182, 


184, 197, 200, 201, 202, 217, 228, 234, 

235, 280, 292, 296, 297, 307, 308, 317
 

washrooms, 134, 166, 184, 202, 281, 297
 

waste disposal, 134, 201, 202, 235, 297
 

water, 134, 140, 141, 147, 148, 149, 152, 

158, 159, 160, 161, 166, 168, 172, 173, 


180, 181, 184, 186, 187, 188, 189, 196, 


201, 202, 209, 212, 215, 216, 217, 218, 


224, 225, 226, 233, 234, 235, 236, 237, 


238, 239, 241, 242, 246
 

humane societies, 30, 116
 

humane standards, 10. 


handling and care, 71
 

shelter, 11, 30, 31, 42, 44, 75, 85, 105, 114, 

115, 116, 117, 118, 137, 138, 139, 140, 

185, 204, 206, 209, 212, 237, 282, 298, 


299, 302, 309
 

transportation, 11
 

See also specific topics
 

humidity, 40, 114, 135, 136, 139, 159, 203, 


204, 206, 297, 298, 301, 318
 

hybrid crosses, 39
 
330 

INDEX

Index 

I

IACUC. See Institutional Animal Care and 

Use Committee 

identification, 10, 31, 48, 74, 82, 84, 89, 90, 


93, 94, 96, 98, 99, 101, 110, 116, 117, 260, 

267
 

cats and dogs, 89
 

marine mammals, 260, 261
 

markings, 30, 89, 90, 142, 143, 216
 

microchips, 31, 91, 92
 

tags, iii, 48, 74, 81, 82, 89, 90, 91, 92, 93, 94, 

96, 100, 152, 153
 

disposal of, 8, 48, 94, 98, 134, 166, 184, 


201, 235, 280, 296
 

lost tags, 48, 94
 

obtaining, 48, 93
 

official tags, 48, 81, 82, 89, 90, 93, 94
 

use of, iii, 26, 48, 93
 

tattoos, 90, 92, 151
 

time and method of identification, iii, 

48, 89
 

impervious surfaces, 40, 136, 137, 138, 142, 


167, 168, 185
 

importation of live dogs, 21, 121
 

certifications, iv, 49, 122, 124
 

dogs refused entry, iv, 49, 124
 

import permit, iv, 49, 121
 

notification of arrival, iv, 49, 124
 

importers, 21
 

indoor housing facilities, iv, vi, 126, 128, 135, 


136, 167, 184, 185, 202, 203, 236, 281, 298
 

ambient temperature, 135, 136, 137, 138, 

139, 159, 161, 163, 164, 167, 180, 185, 

195, 202, 203, 204, 206, 207, 208, 224, 

225, 227, 228, 229, 230, 278, 281, 298
 

cats and dogs, 126, 128, 135, 167, 184, 185
 

definition of, 40
 

drainage, 134, 201, 202, 233, 234, 273, 281, 


282, 297, 306
 

guinea pigs, 166, 167, 168, 170, 171, 172, 


173, 175, 176, 177, 178, 179, 180, 181, 


182, 183
 

hamsters, 166, 167, 168, 169, 170, 171, 


172, 173, 174, 175, 176, 177, 178, 179, 


180, 181, 182, 183
 

interior surfaces, 133, 136, 167, 185, 296
 

lighting, 133, 136, 137, 140, 167, 185, 201, 


203, 204, 208, 236, 274, 275, 281, 296, 


298
 

marine mammals, 231, 232, 233, 234, 235, 


236, 237, 238, 242, 254, 255, 256, 257, 


258, 259, 260, 261, 270, 271, 272, 273, 


274, 275, 276, 277, 278
 

9 CFR AWA (5-1-2023 Edition) 

nonhuman primates, 199, 200, 201, 202, 


203, 204, 205, 206, 207, 208, 209, 210, 


211, 212, 213, 214, 215, 216, 217, 218, 


219, 221, 222, 223, 224, 225, 226, 227, 


228, 229, 230
 

other animals, 282, 295, 299, 300, 308, 317
 

rabbits, 184, 185, 186, 187, 188, 189, 190, 


191, 192, 193, 194, 195, 196, 197, 198
 

temperature, 12, 35, 40, 44, 114, 135, 136, 


137, 138, 139, 153, 159, 161, 163, 164, 


167, 175, 180, 182, 183, 185, 191, 195, 

197, 198, 202, 203, 204, 206, 207, 208, 


219, 220, 224, 225, 227, 228, 229, 230, 

235, 236, 237, 255, 270, 271, 274, 276, 

277, 278, 281, 286, 292, 293, 297, 298, 

301, 318, 319
 

ventilation, 11, 12, 85, 118, 133, 135, 137, 

139, 155, 156, 157, 159, 163, 176, 177, 

179, 180, 182, 185, 193, 194, 195, 197, 

201, 203, 204, 208, 221, 222, 223, 228, 


271, 273, 277, 287, 288, 289, 292, 296, 


298, 312, 313, 318
 

infectious disease, 17, 83, 101, 122, 307
 

information services, 72
 

initial license, 47, 56, 59
 

injunctions, ii, 32
 

inspections for missing animals, iv, 48, 79, 

111
 

access, 14, 19, 140, 146, 168, 180, 185, 186, 


195, 196, 204, 209, 212, 221, 237, 250, 


271, 272, 274, 276, 290, 295, 299, 302, 


305, 309
 

law enforcement, i, 21, 27, 42, 79, 111
 

missing animals, iv, 48, 79, 111, 331, 332, 


334
 

procedures for, 265
 

records and property, iv, 48, 78, 109
 

inspectors, 1, 15, 20, 76, 261
 

Institutional Animal Care and Use 


Committee (IACUC), 37, 47, 64, 303
 

definition of, ii, 37, 47, 64, 303, 331, 334
 

IACUC functions, 65
 

deficiencies, 15, 16, 19, 55, 66, 72, 78, 

331, 334
 

minority views, 15, 66, 74, 331, 334
 

release of trade secrets, 13, 28, 29, 76
 

reviews, 65, 66, 67
 

membership, 65
 

training, 16, 26, 36, 39, 65, 67, 71, 85, 86, 


119, 120, 234, 238, 258, 259, 260, 263, 


266
 

Institutional Officials, 66, 67, 70, 74, 83
 
331 

INDEX

 


Animal Welfare Act, USDA Index 

interactive areas, 36, 40, 45, 261, 262, 265
 

interactive sessions, 40, 262, 263, 264, 265


interior surfaces, 133, 136, 167, 185, 296.

See also surfaces
 

intermediate handlers, 7, 9, 10, 12, 17, 18, 


19, 20, 22, 23, 25, 32, 41, 42, 44, 48, 57, 61, 


62, 75, 83, 97, 100, 101, 102, 103, 104, 105, 


107, 109, 111, 112, 113, 115, 118, 119, 126, 


127, 128, 129, 130, 152, 153, 154, 160, 161, 


163, 174, 175, 176, 181, 190, 191, 192, 196, 


218, 219, 220, 226, 229, 268, 269, 270, 277, 


278, 285, 286, 287, 290, 291, 292, 293, 309, 


310, 315, 317
 

C.O.D. shipments, iii, 48, 102, 327, 333


definition of, 7, 40
 

recordkeeping, i, 10, 97, 258


records, 10, 15, 19, 21, 48, 50, 55, 56, 59, 


74, 75, 76, 78, 79, 81, 82, 90, 91, 92, 94, 


96, 98, 99, 100, 104, 109, 111, 115, 151, 


158, 224, 255, 260, 261, 266, 267, 268, 


300, 307, 313
 

registration, 30, 57, 58, 61, 62, 63, 64, 74, 


83, 96, 98, 99, 110, 116, 121
 

transportation standards, v, vi, vii, viii, ix, 


126, 127, 128, 129, 130, 152, 174, 190, 


218, 268, 285, 309


isolation, 238, 259, 260
 

itineraries, iv, 48, 53, 109


K

kittens, 81, 89, 90, 91, 141, 142, 144, 157, 158, 


160
 

L

law enforcement, 21, 27, 42, 79, 111


licensed veterinarians, 41
 

violations by, 27
 

licensees, 41, 263
 

definition of, 41
 

violations by, 22
 

non-interference, 41
 

licensing, 11, 36, 37, 50, 51
 

age requirements, iv, 48, 113
 

annual report, 76, 77, 78


compliance, 14, 17, 22, 25, 30, 37, 47, 55, 


56, 58, 62, 72, 87, 124, 129, 152, 175, 


182, 197, 218, 231, 232, 265, 293
 

dealers, 8, 9, 10, 11, 21, 25, 32, 44, 47, 48, 


84, 87, 89, 97, 98, 99, 105, 106, 109, 114, 


119, 141, 143, 144, 160, 171, 188, 211, 


225, 301
 

denial of initial license, ii, 58
 

duration, 47, 56, 64, 163, 229


exhibitors, 8, 9, 10, 11, 21, 25, 44, 47, 48, 


84, 87, 93, 96, 97, 99, 105, 106, 109, 110, 


113, 118, 119, 141, 143, 144, 145, 146, 


150, 151, 160, 171, 188, 210, 211, 212, 


213, 225, 290, 301, 302, 315
 

fees, 24, 47, 54, 58, 64
 

initial license, 47, 56, 59
 

non-interference, 41
 

ownership, 10, 21, 47, 50, 51, 52, 53, 59, 


62, 64, 118
 

regulations and standards, 1, 20, 32, 47, 


54, 55, 56, 61, 63, 266
 

renewal, 50
 

requirements, 8, 10, 11, 12, 18, 22, 28, 30, 


31, 37, 40, 41, 44, 47, 48, 50, 54, 55, 56, 


58, 67, 70, 72, 74, 84, 105, 113, 117, 122, 


124, 126, 127, 128, 129, 130, 131, 132, 


133, 135, 136, 139, 140, 141, 142, 143, 


144, 146, 150, 152, 153, 154, 158, 160, 


161, 162, 163, 164, 168, 169, 171, 172, 


174, 176, 177, 180, 181, 182, 186, 187, 


188, 191, 192, 196, 197, 199, 200, 201, 


208, 209, 210, 211, 215, 219, 221, 223, 


225, 226, 227, 231, 232, 233, 234, 236, 


238, 239, 240, 246, 247, 248, 249, 259, 


260, 261, 262, 263, 269, 271, 275, 283, 


286, 287, 290, 291, 292, 296, 299, 300, 


301, 305, 310, 311, 314, 315, 316, 317, 


318, 319
 

suspended or revoked licenses, 47, 57
 

termination, 47, 60
 

lighting, 133, 136, 137, 140, 167, 185, 201, 


203, 204, 208, 236, 274, 275, 281, 296, 298
 

diurnal lighting cycle, 136, 137, 140, 203, 


204, 208
 

indoor housing facilities, 136, 167, 185, 


281
 

mobile or traveling housing facilities, 140


sheltered housing facilities, 135, 136, 137, 


140, 167, 185, 203, 204, 208, 236, 281, 


298
 

litter
 

(as in animals), 81, 91, 141, 142, 155, 169, 


171, 178, 186, 188, 189, 194, 222, 289, 


312, 325, 331
 

(as in litter pan), 141, 142, 186
 

live animals, viii, 6, 8, 39, 43, 63, 72, 76, 100, 


130, 285, 287, 288, 289, 290, 291, 292, 293


living conditions, 68. See also housing 

local government, 7, 12, 17, 40, 101, 102, 174, 


175, 190, 191, 268, 269, 270, 285, 286
 
332 

INDEX

Index 9 CFR AWA (5-1-2023 Edition) 

M

maintenance, 16, 71, 133, 200, 213, 233, 238, 


255, 257. 

See also cleaning and sanitization; 


housing
 

major operative procedures, 68


marine mammals, 41, 129, 231, 232, 233, 


234, 235, 236, 237, 238, 242, 254, 255, 256, 


257, 258, 259, 260, 261, 270, 271, 272, 273, 


274, 275, 276, 277, 278


facilities and operating standards, 233
 

health and husbandry standards, 254
 

space requirements, vii, viii, 129, 168, 169, 

186, 187, 210, 223, 238, 261, 283, 300
 

special considerations, 231
 

transportation standards, 268
 

marking and labeling, 223
 

medical care. See veterinary care
 

medical records. See veterinary care
 

minimum age requirements, iv, 48, 113
 

minimum horizontal dimension (MHD), 


239, 332, 335
 

minimum space. See space requirements
 

missing animals, iv, 48, 79, 111
 

mobile or traveling animal acts, 38, 110, 205, 

207, 208, 323, 326, 332, 333
 

mobile or traveling housing facilities, 126, 

128, 139, 140, 207, 208
 

cats and dogs, 139
 

definition of, 41
 

lighting, 140, 208
 

nonhuman primates, 207
 

public barriers, 205, 207, 208
 

temperature, 139, 207
 

ventilation, 11, 12, 85, 118, 133, 135, 136, 


137, 139, 155, 156, 157, 159, 163, 167, 


176, 177, 179, 180, 182, 185, 193, 194, 


195, 197, 201, 203, 204, 208, 221, 222, 


223, 228, 236, 271, 273, 277, 281, 287, 


288, 289, 292, 296, 298, 312, 313, 317, 

318
 

N

National Agricultural Library, 16, 72


non-conditioned animals, 41


nonhuman primates, vii, 43, 53, 101, 128, 


199, 200, 201, 202, 203, 204, 205, 206, 207, 

208, 209, 210, 211, 212, 213, 214, 215, 216, 


217, 218, 219, 221, 222, 223, 224, 225, 226, 

227, 228, 229, 230
 

definition of, 41
 

environmental enhancements, 212, 235
 

facilities and operating standards, 199
 

health and husbandry standards, 214
 

transportation standards, 218


O

operators of auction sales, 8, 9, 11, 21, 25, 44, 


48, 96, 98, 109, 290, 315
 

other animals, 17, 48, 83, 102, 114, 115, 122, 


132, 140, 166, 184, 199, 204, 206, 225, 228, 


259, 282, 295, 299, 300, 308, 317
 

facilities and operating standards, 280
 

health and husbandry standards, 126, 


127, 128, 129, 130, 144, 171, 188, 214, 


254, 283, 304
 

transportation standards, 285
 

outdoor housing facilities
 

acclimation, 114, 138, 164, 180, 195, 198, 


230, 278, 294, 319
 

cats and dogs, 138
 

drainage, 134, 201, 202, 233, 234, 273, 281, 


282, 297, 306
 

environmental temperature, 236, 274
 

guinea pigs, 167
 

hamsters, 167
 

marine mammals, 236
 

nonhuman primates, 211
 

other animals, 282
 

perimeter fences, 205, 206, 237, 282
 

public barriers, 208
 

rabbits, 185
 

restrictions, 144, 173, 190, 266
 

shelter from elements, 11, 30, 31, 42, 44, 

75, 85, 105, 114, 115, 116, 117, 118, 137, 


138, 139, 140, 185, 204, 206, 209, 212, 

237, 282, 298, 299, 302, 309, 328, 329, 


330, 335
 

P

painful procedures, 77
 

paralytic drugs, 22, 47, 72, 73, 85, 87, 119, 125
 

penalties, 20, 22, 24, 28, 31
 

pens, 44, 145, 146, 262, 284, 295
 

performing animals. See animal acts


perimeter fences, 205, 206, 237, 282
 

person, definition of, 42
 

pest control, iv, vi, viii, 126, 128, 130, 148, 


149, 162, 216, 217, 228, 306, 308, 317
 

pet animals, 43, 51, 52
 
333 

INDEX

Animal Welfare Act, USDA Index 

definition of, 42
 

protection of pets, 29
 

retail pet stores, 7, 38
 

physical abuse, 29
 

Physical examination. See Veterinary care
 

pinnipeds. See marine mammals
 

polar bears. See marine mammals
 

positive physical contact, 146, 332
 

pounds. See shelters and pounds
 

power supplies, 133, 166, 184, 201, 234, 280,

296, 326, 329
 

preventive care and treatment. 


See veterinary care
 

primary conveyances, v, vi, vii, viii, ix, 126, 


127, 128, 129, 130, 131, 159, 179, 194, 224, 


274, 289, 314
 

primary enclosures, 133, 140, 142, 143, 144, 


148, 149, 154, 155, 162, 168, 169, 171, 172,

173, 175, 177, 178, 179, 182, 186, 187, 188,

189, 191, 194, 195, 197, 201, 211, 213, 216,

217, 221, 222, 223, 225, 234, 236, 237, 238,

257, 258, 273, 277, 281, 284, 286, 289, 290,

292, 298, 299, 303, 306, 307, 308, 311, 313


cats and dogs, 140
 

cleaning and sanitization, 133, 200
 

compatible groups, 145, 157, 173, 177,

190, 193, 272, 288, 313
 

 


construction, 132, 141, 199, 231, 295


definition of, 42


for transport, 152, 153, 154, 218, 219, 221,

269, 275, 301, 309, 310, 311
 

guinea pigs, 168
 

hamsters, 168
 

marine mammals, 271
 

nonhuman primates, 208
 

rabbits, 186
 

space requirements, 146, 168, 169, 171, 


188, 209, 210, 232, 238, 246, 249, 259, 


260, 261, 301
 

traveling shows, 142, 143
 

ventilation, 11, 12, 85, 118, 133, 135, 137, 

139, 155, 156, 157, 159, 163, 176, 177, 


179, 180, 182, 185, 193, 194, 195, 197,

201, 203, 204, 208, 221, 222, 223, 228,

271, 273, 277, 287, 288, 289, 292, 296,

298, 312, 313, 318, 329, 331, 332, 333, 

334, 336
 

primates. See nonhuman primates
 

principal agents, 9
 

principal investigators, 11, 13, 67, 68, 69, 70, 


73, 77, 146
 

procurement of animals, 48, 114
 

protection of pets, 29. 

See pet animals
 

psychological well-being, viii, 11, 128, 130, 


199, 212, 302. 


See also environmental enhancements
 

publication of names, iv, 111
 

public barriers, 205, 207, 208
 

public exhibitions. See animal acts; 


exhibitions
 

public feeding, 114, 255, 326, 327, 328, 333
 

puppies, 21, 81, 89, 90, 91, 142, 143, 158
 

purchase of animals, 9. 


See also auction sales; dealers; retail pet 


stores
 

Q

quorums, 8, 14, 69, 70
 

R

rabbits, 39, 42, 43, 128, 184, 185, 186, 187, 

188, 189, 190, 191, 192, 193, 194, 195, 196, 

197, 198
 

facilities and operating standards, 184
 

feeding and watering, 196, 319
 

health and husbandry standards, 188
 

transportation standards, 190
 

rabies vaccination certificate, 123
 

random source cats or dogs, 30, 48, 114, 116, 


118
 

recordkeeping, 10, 97, 258
 

auction sales, 10
 

carriers and intermediate handlers, 10
 

dealers, 10
 

exhibitors, 10
 

intermediate handlers, 10
 

primary enclosures for transport, 224
 

procurement of animals, 114
 

protection of pets, 29
 

research facilities, 74
 

swim-with-the-dolphin (SWTD) 


programs, 265
 

records, 10, 15, 19, 21, 48, 50, 55, 56, 59, 74, 

75, 76, 78, 79, 81, 82, 90, 91, 92, 94, 96, 98, 


99, 100, 104, 109, 111, 115, 151, 158, 224, 


255, 260, 261, 266, 267, 268, 300, 307, 313
 

auction sales and brokers, iii, 48, 96, 98, 


99
 

carriers and intermediate handlers, 126, 


127, 128, 129, 130, 152, 160, 174, 190, 

334 

INDEX

Index 9 CFR AWA (5-1-2023 Edition) 

218, 226, 268, 285, 290, 309
 

C.O.D. shipments, 48, 102
 

dealers and exhibitors, 8, 47, 87, 97, 99, 


141, 143, 144, 171, 188, 211
 

disposition of, 75, 97
 

health certification and identification, 83, 


101, 102, 122, 124, 269, 276
 

medical records for dogs, 151
 

registrants, 1, 80, 85, 112, 119
 

registration, 30, 57, 58, 61, 62, 63, 64, 74, 83, 

96, 98, 99, 110, 116, 121
 

acknowledgment, 61
 

change of operation, ii, 47, 62, 64
 

procedures, 11, 12, 13, 16, 35, 42, 47, 61, 

63, 65, 67, 68, 71, 72, 73, 77, 78, 81, 88, 


145, 151, 215, 235, 260, 265, 293
 

requirements, 61
 

research facilities, 63
 

relative humidity, 135, 203, 204
 

resale, 21, 22, 37, 121, 122, 123, 124
 

research facilities, 5, 9, 10, 11, 13, 15, 16, 17, 

18, 21, 25, 44, 47, 63, 75, 76, 78, 79, 85, 132, 


144, 145, 146, 150, 151, 158, 160, 171, 188, 


199, 210, 211, 212, 213, 214, 215, 225, 290, 


301, 302, 303, 304, 315
 

age of animals, 17
 

annual report, 76, 77, 78
 

attending veterinarians, 300
 

Committees, 8, 12, 13, 14, 15, 29, 37, 42, 


47, 64, 65, 66, 69, 70, 72, 74, 78, 144, 


145, 146, 147, 150, 171, 188, 211, 213, 


214, 215, 303, 325, 330, 331, 334
 

compliance with standards, 17, 47, 55
 

confiscation or destruction of animals, 


48, 79, 112
 

contingency planning, 48, 84, 118
 

definition of, 6, 43
 

Federal research facilities, 15, 47, 78, 132, 


145, 158, 160, 199, 210, 225
 

health certification, 83, 101, 102
 

holding of animals, 106
 

Institutional Animal Care and Use 


Committee (IACUC), 37, 47, 64, 303
 

IACUC functions, 65
 

deficiencies, 15, 16, 19, 55, 66, 72, 78, 


331, 334
 

minority views, 15, 66, 74, 331, 334
 

reviews, 65, 66, 67
 

missing animals, iv, 48, 79, 111
 

personnel qualifications, 71


publication of names, 79
 

recordkeeping, 10, 97, 258
 

records, 74
 

registration, 61
 

resting surfaces, 142
 

retail pet stores, 7, 38
 

reviews, 70, 85, 119
 

rules and regulations, 9, 12, 20, 21
 

Rules of Practice, ix, 321, 322
 

runs, 44, 145, 146, 148, 149, 284
 

rust, 133, 200, 296
 

S

sanctuary areas, 45, 261, 262, 264
 

sanitization, 126, 128, 130, 133, 148, 149, 162, 


200, 216, 217, 228, 306, 307, 317.


definition of, 44
 

See also cleaning and sanitization; 


housing
 

sea otters. See marine mammals
 

Secretary (Secretary of Agriculture)
 

administration by, 44
 

carrier, handler, 10, 55, 236, 268
 

cooperation with agencies, 14, 15, 19, 36
 

dealers, exhibitors, handlers, 10, 97, 258
 

definition of, 44
 

humane standards, 10
 

importation, 22, 121, 122
 

information service, 16
 

inspections, 1, 14, 15, 19, 36, 55, 236, 268
 

licensing, 11, 36, 37, 50, 51
 

recordkeeping, i, 10, 97, 258
 

research, 1, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 

15, 16, 17, 18, 19, 20, 21, 22, 23, 25, 29, 

30, 31, 35, 36, 37, 38, 39, 40, 41, 42, 43, 


44, 47, 51, 52, 57, 63, 64, 65, 66, 67, 70, 

71, 72, 73, 74, 75, 76, 77, 78, 79, 80, 81, 

82, 83, 84, 85, 89, 93, 95, 101, 102, 107, 


113, 115, 116, 117, 118, 121, 123, 132, 

141, 143, 144, 145, 146, 150, 151, 158, 

160, 161, 171, 174, 181, 188, 190, 191, 

196, 199, 210, 211, 212, 213, 214, 215, 

225, 226, 233, 268, 269, 271, 285, 286, 

287, 290, 291, 295, 301, 302, 303, 304, 

308, 313, 315
 

separability, 24
 

separation, 11, 41, 127, 130, 173, 190, 238, 


259, 260, 308
 

shade, 138, 140, 164, 183, 185, 198, 209, 229, 

252, 278, 282, 293, 298, 299, 317
 

sharp points or edges, 140, 154, 209, 221, 


299, 311
 
335 

INDEX

Animal Welfare Act, USDA 

sheltered housing facilities, 136, 137, 203, 


204
 

capacity: multiple shelters, 126, 128, 136, 


137, 203, 204
 

cats and dogs, 132
 

definition of, 44
 

lighting, 133, 135, 136, 137, 140, 167, 185, 


201, 203, 204, 208, 236, 274, 275, 281, 


296, 298
 

nonhuman primates, 43, 53, 101, 128, 199, 


200, 201, 202, 203, 204, 205, 206, 207, 


208, 209, 210, 211, 212, 213, 214, 215, 


216, 217, 218, 219, 221, 222, 223, 224, 


225, 226, 227, 228, 229, 230
 

perimeter fences, 205, 206, 237, 282
 

public barriers, 205, 207, 208
 

shelter from elements, 126, 128, 136, 137, 


203, 204
 

temperature, 12, 35, 40, 44, 114, 135, 136, 


137, 138, 139, 153, 159, 161, 163, 164, 


167, 175, 180, 182, 183, 185, 191, 195, 

197, 198, 202, 203, 204, 206, 207, 208, 

219, 220, 224, 225, 227, 228, 229, 230, 

235, 236, 237, 255, 270, 271, 274, 276, 


277, 278, 281, 286, 292, 293, 297, 298, 


301, 318, 319, 323, 328, 329, 330, 332, 


334, 335
 

ventilation, 11, 12, 85, 118, 133, 135, 136, 


137, 139, 155, 156, 157, 159, 163, 167, 


176, 177, 179, 180, 182, 185, 193, 194, 


195, 197, 201, 203, 204, 208, 221, 222, 

223, 228, 236, 271, 273, 277, 281, 287, 


288, 289, 292, 296, 298, 312, 313, 317, 

318
 

shelter from elements
 

outdoor housing facilities, 138, 139, 166, 


184, 233, 237, 280, 282
 

sheltered housing facilities, 126, 128, 136, 


137, 203, 204
 

terminal facilities, v, vi, vii, viii, ix, 126, 


127, 128, 129, 130, 131, 162, 182, 197, 


228, 277, 292, 317
 

shelters and pounds, 42, 114
 

definition of, 42
 

procurement of animals, 48, 114
 

protection of pets, 29
 

random source cats and dogs, 48, 114, 


116, 328
 

space requirements, 146, 168, 169, 171, 188, 


209, 210, 232, 238, 246, 249, 259, 260, 261, 


301
 

cargo space, 159, 160, 162, 179, 180, 181, 


194, 195, 196, 224, 225, 227, 273, 274, 


289, 290, 291, 292, 312, 314, 316
 

Index 

cats and dogs, 141, 142
 

guinea pigs, 168
 

hamsters, 168
 

marine mammals, 238
 

adult length, 239, 242, 243, 244, 246, 248, 


249, 250, 251, 252, 253, 254
 

minimum horizontal dimension (MHD), 


239
 

minimum required depth, 239, 242
 

minimum surface area, 247, 252, 262
 

pool volume, 253
 

separated, 115, 132, 173, 190, 199, 200, 


259, 309
 

nonhuman primates, 223
 

other animals, iv, 17, 48, 83, 101, 114, 115, 


122, 132, 140, 166, 184, 199, 204, 206, 

225, 228, 259, 282, 283, 295, 299, 300, 


308, 317
 

primary enclosures, 133, 140, 142, 143, 


144, 148, 149, 154, 155, 162, 168, 169, 

171, 172, 173, 175, 177, 178, 179, 182, 


186, 187, 188, 189, 191, 194, 195, 197, 


201, 211, 213, 216, 221, 222, 223, 225, 


234, 236, 237, 238, 257, 258, 273, 277, 


281, 284, 286, 289, 290, 292, 298, 299, 

303, 306, 307, 308, 311, 313
 

rabbits, 186
 

swim-with-the-dolphin (SWTD) 


programs, 261
 

special considerations, vii, 129, 213, 231, 303
 

standards
 

definition of, 44
 

state, 45, 66, 83, 101, 254, 319
 

definition of, 44
 

state government, i, 5, 6, 7, 11, 12, 13, 17, 18, 

19, 22, 26, 27, 28, 30, 37, 38, 40, 41, 44, 50, 

58, 59, 61, 74, 77, 78, 81, 93, 96, 98, 99, 101, 

102, 104, 114, 116, 122, 124, 151, 174, 175, 


190, 191, 234, 235, 268, 269, 270, 280, 281, 


282, 285, 286
 

stipulations, 322
 

stolen animals, 32, 48, 95
 

storage, 18, 101, 102, 134, 201, 202, 235, 255, 

257, 296, 297
 

study areas, 14, 65
 

summary actions, 321
 

surfaces, 40, 132, 133, 136, 137, 138, 139, 140, 


142, 149, 167, 173, 176, 185, 189, 200, 201, 

209, 216, 217, 233, 248, 257, 284, 295, 296, 


299, 307, 308
 

impervious surfaces, 136, 137, 138, 142, 
336 

INDEX

Index 9 CFR AWA (5-1-2023 Edition) 

167, 168, 185
 

interior surfaces, 133, 136, 167, 185, 296
 

resting surfaces, 142
 

swim-with-the-dolphin (SWTD) programs
 

definition of, 44
 

handling, 263
 

program animals, 263
 

recordkeeping, i, 10, 97, 258, 265
 

space requirements, 261
 

veterinary care, iii, 11, 22, 47, 72, 73, 85, 


87, 118, 125, 147, 150, 161, 162, 171, 


172, 181, 188, 196, 197, 215, 227, 266, 


275, 276, 291, 292, 316
 

water clarity, 262
 

T

tattoos, 90, 92, 151. 

See also identification
 

temperature, 12, 35, 40, 44, 114, 135, 136, 


137, 138, 139, 153, 159, 161, 163, 164, 167, 


175, 180, 182, 183, 185, 191, 195, 197, 198, 


202, 203, 204, 206, 207, 208, 219, 224, 225, 


227, 228, 229, 230, 235, 236, 237, 255, 269, 

270, 271, 274, 276, 277, 278, 281, 286, 292, 


293, 297, 298, 301, 318, 319
 

acclimate, 114, 138, 164, 180, 195, 198, 


230, 278, 294, 319
 

air and water, 235, 236
 

ambient temperature, 135, 136, 137, 138, 


139, 159, 161, 163, 164, 167, 180, 185, 

195, 202, 203, 204, 206, 207, 208, 224, 


225, 227, 228, 229, 230, 278, 281, 298
 

environmental temperature, 274
 

humidity, 40, 114, 135, 136, 139, 159, 203, 


204, 206, 297, 298, 301, 318
 

terminal facilities, 153, 162, 163, 228, 317
 

cleaning and sanitization, 133, 200
 

duration, 76, 146, 151, 236, 265, 275, 281, 


298, 300
 

placement, 80, 113, 157, 300, 313
 

temperature, 12, 35, 40, 44, 114, 135, 136, 


137, 138, 139, 153, 159, 161, 163, 164, 

167, 175, 180, 182, 183, 185, 191, 195, 


197, 198, 202, 203, 204, 206, 207, 208, 


219, 224, 225, 227, 228, 229, 230, 235, 


236, 237, 255, 269, 270, 271, 274, 276, 

277, 278, 281, 286, 292, 293, 297, 298, 


301, 318, 319
 

ventilation, 11, 12, 85, 118, 133, 135, 137, 


139, 155, 156, 157, 159, 163, 176, 177, 

179, 180, 182, 185, 193, 194, 195, 197, 


201, 203, 204, 208, 221, 222, 223, 228, 

271, 273, 277, 287, 288, 289, 292, 296, 


298, 312, 313, 318
 

tethering, 144
 

trade secrets, 13, 28, 29, 76
 

training for animals
 

animal fighting, 25, 26, 27, 28
 

marine mammals, 41, 129, 231, 232, 233, 


234, 235, 236, 237, 238, 242, 254, 255, 


256, 257, 258, 259, 260, 261, 270, 271, 


272, 273, 274, 275, 276, 277, 278
 

nonhuman primates, 43, 53, 101, 128, 199, 


200, 201, 202, 203, 204, 205, 206, 207, 


208, 209, 210, 211, 212, 213, 214, 215, 


216, 217, 218, 219, 221, 222, 223, 224, 


225, 226, 227, 228, 229, 230
 

trainers/behaviorists, 258, 263
 

See also handling
 

training for employees
 

annual reports, 76, 77, 78
 

handling, 5, 10, 11, 12, 19, 44, 62, 64, 68, 


71, 73, 84, 87, 105, 114, 118, 155, 164, 

177, 183, 193, 198, 221, 230, 234, 255, 


257, 258, 263, 265, 272, 277, 279, 288, 


294, 308, 311, 318
 

marine mammals, 41, 129, 231, 232, 233, 

234, 235, 236, 237, 238, 242, 254, 255, 


256, 257, 258, 259, 260, 261, 270, 271, 


272, 273, 274, 275, 276, 277, 278
 

personnel qualifications, ii, 47, 71
 

research facilities, 5, 9, 10, 11, 13, 15, 16, 


17, 18, 21, 25, 44, 47, 71, 75, 76, 78, 79, 


85, 132, 144, 145, 146, 150, 151, 158, 


160, 171, 188, 199, 210, 211, 212, 213, 


214, 215, 225, 290, 301, 302, 303, 304, 

315
 

swim-with-the-dolphin (SWTD) 


programs, 258
 

transportation, 5, 6, 7, 8, 10, 11, 12, 17, 18, 

19, 37, 40, 42, 44, 48, 50, 52, 58, 59, 75, 81, 


83, 84, 91, 92, 95, 96, 100, 101, 102, 103, 


104, 105, 113, 118, 121, 131, 154, 158, 159, 

160, 161, 162, 174, 175, 176, 179, 181, 182, 


191, 192, 195, 196, 197, 220, 221, 224, 225, 


226, 227, 228, 269, 270, 271, 275, 285, 286, 

287, 290, 291, 292, 311, 314, 315, 316, 318, 


319
 

air or aircraft, 158, 159
 

animal fighting, 25, 26, 27, 28
 

care in transit, 161, 226, 291, 315
 

cargo space, 159, 160, 162, 179, 180, 181, 


194, 195, 196, 224, 225, 227, 273, 274, 


289, 290, 291, 292, 312, 314, 316
 

carriers and intermediate handlers, 126, 

127, 128, 129, 130, 152, 160, 174, 190, 


218, 226, 268, 285, 290, 309
 
337 

INDEX

Animal Welfare Act, USDA 

cats and dogs, 141, 142
 

commerce, 5, 6, 7, 8, 10, 12, 17, 18, 19, 26, 


27, 28, 37, 38, 40, 41, 43, 83, 101, 102, 


103, 105, 113, 152, 153, 154, 155, 160, 


161, 162, 174, 175, 176, 179, 181, 182, 


190, 191, 192, 195, 196, 197, 218, 219, 


221, 222, 226, 227, 268, 269, 270, 271, 


275, 276, 277, 285, 286, 287, 290, 291, 


292, 309, 310, 311, 313, 314, 315, 316


food and water requirements, 161, 226, 


291, 315


guinea pigs, 42, 43
 

hamsters, v, 38, 42, 43, 127, 166, 167, 168, 


169, 170, 171, 172, 173, 174, 175, 176, 


177, 178, 179, 180, 181, 182, 183


health certification, 83, 101, 102
 

humane standards, 10
 

licensing, 11, 36, 37, 50, 51
 

marine mammals, vii, 41, 129, 231, 232, 


233, 234, 235, 236, 237, 238, 242, 254, 


255, 256, 257, 258, 259, 260, 261, 270, 


271, 272, 273, 274, 275, 276, 277, 278
 

nonhuman primates, vii, 43, 53, 101, 128, 


199, 200, 201, 202, 203, 204, 205, 206, 


207, 208, 209, 210, 211, 212, 213, 214, 


215, 216, 217, 218, 219, 221, 222, 223, 


224, 225, , 227, 228, 229, 230


other animals, iv

226

, 17, 48, 83, 101, 114, 115, 


122, 132, 140, 166, 184, 199, 204, 206, 


225, 228, 259, 282, 295, 299, 300, 308, 


317


primary conveyances, 153, 159, 179, 180, 


194, 195, 224, 225, 274, 289, 314
 

primary enclosures, 133, 140, 142, 143, 


144, 148, 149, 154, 155, 162, 168, 169, 


171, 172, 173, 175, 177, 178, 179, 182, 


186, 187, 188, 189, 191, 194, 195, 197, 


201, 211, 213, 216, 221, 222, 223, 225, 


234, 236, 237, 238, 257, 258, 273, 277, 


281, 284, 286, 289, 290, 292, 298, 299, 


303, 306, 307, 308, 311, 313
 

rabbits, vi, 39, 42, 43, 128, 184, 185, 186, 


187, 188, 189, 190, 191, 192, 193, 194, 


195, 196, 197, 198
 

recordkeeping, i, 10, 97, 258
 

surface transportation, 158, 159, 181, 196, 


224, 225, 291, 316
 

terminal facilities, 153, 162, 163, 228, 317
 

transporting devices
 

definition of, 44
 

shelter from cold temperatures, 164, 230
 

transporting vehicles, 44
 

traveling housing facilities. See mobile or 

traveling housing facilities 

Index 

U

United States Court of Appeals, 23
 

United States Government, 9, 18
 

V 

ventilation, 11, 12, 85, 118, 133, 135, 137, 


139, 155, 156, 157, 159, 163, 176, , 179, 


180, 182, 185, 193, 194, 195, 197, 201

177

, 203, 


204, 208, 221, 222, 223, 228, 271, 273, 277, 


287, 288, 289, 292, 296, 298, 312, 313, 318
 

auxiliary, 159
 

indoor housing facilities, 136, 167, 185, 


281
 

mobile or traveling housing facilities, 126, 


128, 139, 140, 207, 208
 

primary enclosures, 133, 140, 142, 143, 


144, 148, 149, 154, 155, 162, 168, 169, 


171, 172, 173, 175, 177, 178, 179, 182, 


186, 187, 188, 189, 191, 194, 195, 197, 


201, 211, 213, 216, 221, 222, 223, 225, 


234, 236, 237, 238, 257, 258, 273, 277, 


281, 284, 286, 289, 290, 292, 298, 299, 


303, 306, 307, 308, 311, 313


sheltered housing facilities, 136, 137, 203, 


204
 

terminal facilities, 153, 162, 163, 228, 317
 

vermin, 133, 134, 139, 149, 162, 166, 182, 


184, 197, 200, 201, 202, 217, 228, 234, 235, 


280, 292, 296, 297, 307, 308, 317. 


See Pest Control
 

veterinary care, 11, 22, 47, 72, 73, 85, 87, 118, 


125, 147, 150, 161, 162, 171, 172, 181, 188, 


196, 197, 215, 227, 266, 275, 276, 291, 292, 


316
 

daily observation, 73, 87
 

importation of live dogs, 21
 

licensed veterinarians, 41


major operative procedures, 68
 

marine mammals, 41, 129, 231, 232, 233, 


234, 235, 236, 237, 238, 242, 254, 255, 


256, 257, 258, 259, 260, 261, 270, 271, 


272, 273, 274, 275, 276, 277, 278
 

preventative care and treatment, 11, 22, 


47, 72, 73, 85, 87, 119, 125
 

swim-with-the-dolphin (SWTD) 


programs, 292, 316


violations, 21, 23, 24, 27, 28, 31, 72
 

by licensees, i, 22, 47
 

penalties for, 20
 

protection of pets, 29


research, 27
 

state law, 26
 
338 

INDEX

 8

Index 9 CFR AWA (5-1-2023 Edition) 

W

washrooms, 135, 166, 184, 202, 281, 297

waste disposal, 134, 201, 202, 235, 297

water, 12, 39, 41, 80, 81, 85, 106, 113, 118,

126, 127, 128, 129, 130, 131, 133, 134, 140,

141, 147, 148, 149, 152, 158, 159, 160, 161,

166, 168, 172, 173, 180, 181, 184, 186, 187,

188, 189, 196, 201, 202, 209, 212, 215, 216, 

217, 218, 224, 225, 226, 233, 234, 235, 236,

237, 238, 239, 241, 242, 246, 247, 249, 250,

252, 253, 255, 256, 257, 260, 262, 263, 264, 

268, 274, 275, 276, 277, 280, 281, 282, 284,

290, 291, 296, 297, 298, 299, 301, 302, 305, 

306, 307, 308, 309, 310, 314, 315, 316

deprivation of food or water, 80, 113

potable water, 133, 148, 160, 166, 172, 184,

188, 201, 215, 225, 226, 275, 280, 284,

290, 296, 299, 305, 314, 315

requirements, 8 , 10, 11, 12, 18, 22, 28, 

30, 31, 37, 40, 41, 44, 47, 48, 50, 54, 55,

56, 58, 67, 70, 72, 74, 84, 

129

105, 113, 117,

122, 125, 126, 127, 128, , 130, 131, 

132, 133, 135, 136, 139, 140, 141, 142, 

143, 144, 146, 150, 152, 153, 154, 158, 

159, 160, 161, 162, 163, 164, 168, 169,

171, 172, 174, 176, 177, 180, 181, 182, 

186, 187, 188, 191, 192, 196, 197, 199, 

200, 201, 208, 209, 210, 211, 215, 219,

221, 223, 225, 226, 227, 231, 232, 233, 

234, 236, 238, 239, 240, 246, 247, 248, 

249, 259, 260, 261, 262, 263, 269, 271, 

275, 283, 286, 287, 290, 291, 292, 296, 

299, 300, 301, 304, 310, 311, 314, 315,

316, 317, 318, 319

cats and dogs, 147

guinea pigs, 166

hamsters, 166

in transport, 142, 143

nonhuman primates, 201

other animals, 284

rabbits, 188

sanitization, 126, 128, 130, 133, 148, 149,

162, 200, 216, 217, 228, 306, 307, 317

standing water, 255

water quality (marine mammals), 233, 256, 

257, 268, 306

weaned, 90, 113, 141, 142, 187, 309, 314, 315

wild or exotic animals, 51, 113

wild state, 45

Z

zoos, 7, 38, 110, 205, 207

definition of, 45

See also exhibitions