9880 Federal Register / Vol. 87, No. 35 / Tuesday, February 22, 2022 / Proposed Rules 

1Public Law 107–171, May 13, 2002; the text can 

be viewed at https://www.govinfo.gov/content/pkg/ 

PLAW-107publ171/pdf/PLAW-107publ171.pdf. 

2American Anti-Vivisection Society and Avian 

Welfare Coalition v. USDA, 946 F.3d 615 (D.C. Cir. 

2020): https://www.cadc.uscourts.gov/internet/ 

opinions.nsf/80846063820C52F6852584

EB005413E4/$file/19-5015-1823484.pdf. 

DEPARTMENT OF AGRICULTURE 

Animal and Plant Health Inspection 

Service 

9 CFR Parts 1, 2, and 3 

[Docket No. APHIS–2020–0068] 

RIN 0579–AE61 

Standards for Birds Not Bred for Use 

in Research Under the Animal Welfare 

Act 

AGENCY: Animal and Plant Health 

Inspection Service, USDA. 

ACTION: Proposed rule. 

SUMMARY: We are proposing to amend 

the regulations to establish standards 

governing the humane handling, care, 

treatment, and transportation of birds, 

excluding birds bred for use in research, 

covered under the Animal Welfare Act. 

This action would ensure the humane 

handling, care, treatment, and 

transportation of birds not bred for use 

in research and covered under the Act. 

DATES: We will consider all comments 

that we receive on or before April 25, 

2022. 

ADDRESSES: You may submit comments 

by either of the following methods: 

• Federale Rulemaking Portal: Go to 

www.regulations.gov. Enter APHIS– 

2020–0068 in the Search field. Select 

the Documents tab, then select the 

Comment button in the list of 

documents. 

• Postal Mail/Commercial Delivery: 

Send your comment to Docket No. 

APHIS–2020–0068, Regulatory Analysis 

and Development, PPD, APHIS, Station 

3A–03.8, 4700 River Road, Unit 118, 

Riverdale, MD 20737–1238. 

Supporting documents and any 

comments we receive on this docket 

may be viewed at www.regulations.gov 

or in our reading room, which is located 

in room 1620 of the USDA South 

Building, 14th Street and Independence 

Avenue SW, Washington, DC. Normal 

reading room hours are 8 a.m. to 4:30 

p.m., Monday through Friday, except 

holidays. To be sure someone is there to 

help you, please call (202) 799–7039 

before coming. 

FOR FURTHER INFORMATION CONTACT: Dr. 

Cody M. Yager, DVM, Supervisory 

Animal Care Specialist, Animal Care, 

APHIS, 4700 River Road Unit 84, 

Riverdale, MD 20737; (301) 851–3751; 

cody.m.yager@usda.gov. Secondary 

Contact: Dr. David Miller, DVM, Ph.D., 

National Animal Welfare Specialist, 

Animal Care, APHIS, 2150 Centre Ave., 

Building B, Mailstop 3W11, Fort 

Collins, CO 80526; (301) 851–3751; 

david.s.miller@usda.gov. 

SUPPLEMENTARY INFORMATION: 

Background 

Under the Animal Welfare Act (AWA 

or the Act, 7 U.S.C. 2131 et seq.), the 

Secretary of Agriculture is authorized to 

promulgate standards and other 

requirements governing the humane 

handling, care, treatment, and 

transportation of certain animals by 

dealers, research facilities, exhibitors, 

operators of auction sales, and carriers 

and intermediate handlers. The 

Secretary has delegated responsibility 

for administering the AWA to the 

Administrator of the U.S. Department of 

Agriculture’s (USDA) Animal and Plant 

Health Inspection Service (APHIS). 

Within APHIS, the responsibility for 

administering the AWA has been 

delegated to the Deputy Administrator 

for Animal Care. Regulations and 

standards are established under the 

AWA and are contained in 9 CFR parts 

1, 2, and 3 (referred to below as the 

regulations). Part 1 contains definitions 

for terms used in parts 2 and 3; part 2 

provides administrative requirements 

and sets forth institutional 

responsibilities for regulated parties; 

and part 3 contains specifications for 

the humane handling, care, treatment, 

and transportation of animals covered 

by the AWA. Currently, part 3 consists 

of subparts A through E, which contain 

specific standards for dogs and cats, 

guinea pigs and hamsters, rabbits, 

nonhuman primates, and marine 

mammals, respectively, and subpart F, 

which sets forth general standards for 

warmblooded animals not otherwise 

specified in that part. 

The Act initially defined animal to 

mean ‘‘live dogs, cats, monkeys 

(nonhuman primate mammals), guinea 

pigs, hamsters, and rabbits.’’ In 1970, 

amendments to the Act expanded the 

definition of animal to include ‘‘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,’’ and to 

explicitly exclude horses not used for 

research purposes and other farm 

animals; amendments in 1976 clarified 

that dogs used for hunting, security, or 

breeding purposes fell within the scope 

of the Act. 

The Farm Security and Rural 

Investment Act of 2002 1 (the ‘‘Farm 

Bill’’) included provisions that amended 

the definition of animal in the Act yet 

again by specifically excluding birds, 

rats of the genus Rattus, and mice of the 

genus Mus, bred for use in research. 

While the definition of animal 

contained in the AWA regulations at 

that time excluded rats of the genus 

Rattus and mice of the genus Mus bred 

for use in research, that definition also 

excluded all birds, not just those birds 

bred for use in research. Congress’ 

amendment to the Act meant that birds 

not bred for research and not otherwise 

excluded under its provisions were, for 

the first time, explicitly subject to AWA 

regulation. 

In a final rule published on June 4, 

2004 in the Federal Register (69 FR 

31513–31514, Docket No. 98–106–3), we 

amended the definition of animal in the 

AWA regulations to make it consistent 

with the revised definition of animal in 

the Act by limiting the exclusion to only 

those birds bred for use in research (i.e., 

breeding stock). On the same date, we 

published an advance notice of 

proposed rulemaking (69 FR 31537– 

31541, Docket No. 98–106–4) notifying 

the public that we intended to extend 

enforcement of the AWA to birds not 

bred for use in research that are sold as 

pets at the wholesale level, or 

transported in commerce, or used for 

exhibition, research, teaching, testing, or 

experimentation purposes. To 

determine what regulations and 

standards are appropriate for those 

birds, we solicited and received 7,486 

public comments and began reviewing 

these comments preliminary to drafting 

a proposed rule. 

Beginning in 2013, several animal 

welfare organizations filed lawsuits 

against USDA for failure to promulgate 

regulations for birds not bred for use in 

research. As a result of one of those 

lawsuits,2 on January 10, 2020, the U.S. 

Court of Appeals for the D.C. Circuit 

found that the AWA requires APHIS to 

issue standards applicable to birds not 

bred for use in research and that APHIS 

has not issued such standards. On 

remand, the U.S. District Court for the 

District of Columbia granted the parties’ 

joint motion to stay the action and 

adopted the parties’ proposed 

rulemaking schedule, ordering that 

USDA must publish a proposed rule 

establishing regulatory standards for 

birds not more than 18 months after 

publication of a notice of listening 

sessions, and promulgate them in a final 

rule to be published in the Federal 

Register no later than 1 year from that 

proposed rule’s publication date. We 


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3February 20, 2022, falls on a Sunday, and 

Monday, February 21, is a Federal holiday. As a 

result, the Court-imposed deadline would be the 

next business day that the Federal Register 

publishes, which is Tuesday, February 22. 

4To view the comments we received, go to 

www.regulations.gov. Enter APHIS–2020–0068 in 

the Search field. Transcripts of the listening 

sessions are available at https://

www.aphis.usda.gov/aphis/ourfocus/ 

animalwelfare/aw-news/bird-listening-sessions. 

5Retail pet store is defined as 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. 

published the notice for a listening 

session, discussed below, on August 20, 

2020, which under the Court’s order 

requires that we publish the proposed 

rule no later than Tuesday, February 22, 

2022.3

Beyond the Court’s requirement that 

we publish a proposed rule, we believe 

there to be a significant welfare-based 

need for regulating birds and agree that 

this rulemaking is necessary. Although 

we currently do not consider birds 

when inspecting regulated facilities 

maintaining other animals due to the 

absence of AWA regulations regarding 

standards for birds, APHIS receives 

complaints from the public about 

inhumane conditions for birds. 

Additionally, if APHIS inspectors find 

birds kept in such conditions in the 

course of other duties, they are 

instructed to report their observations to 

the appropriate local or State authority. 

Moreover, some commenters during the 

listening sessions provided video and 

photographic documentation of birds 

held in unsanitary and inhumane 

conditions at several facilities across the 

United States. Based on our experience 

with animal welfare issues in the 

currently regulated community, we 

recognize that there are common 

challenges to maintaining humane 

conditions for animals—regardless of 

species—pertaining to shelter, health, 

husbandry, transport, and related needs. 

As a community covered under the 

AWA, persons dealing in, exhibiting, 

and transporting birds are also 

responsible for providing these needs. 

The standards we are proposing for 

birds include requirements that ensure 

animal welfare in the same areas of 

need. 

Accordingly, we are proposing to 

establish new regulations and standards 

and amend existing regulations 

governing the humane handling, care, 

treatment, and transportation of birds 

covered by the AWA. Specifically, we 

propose to establish and amend 

definitions of terms used throughout 

parts 2 and 3 to inform licensees and 

registrants of their responsibilities 

under the Act with respect to birds that 

are not bred for use in research and not 

otherwise exempted from regulation. 

We also propose to amend several 

sections in part 2 to clarify the 

requirements and responsibilities for 

regulated parties with birds. Finally, we 

propose to establish specific standards 

in a new subpart in part 3 for the 

humane handling, care, treatment, and 

transportation of birds covered under 

the AWA. 

Notice of Listening Sessions 

As noted above, the schedule ordered 

by the District Court required APHIS to 

publish a notice of virtual listening 

sessions to gather comments on the 

topic of establishing standards for birds 

prior to drafting a proposed rule. We 

scheduled three virtual listening 

sessions and published a notice in the 

Federal Register (85 FR 51368, Docket 

No. APHIS–2020–0068) asking the 

public to comment on establishing 

exemptions for dealers, exhibitors, and 

certain bird species and activities; 

licensing thresholds; performance-based 

standards; and ways of minimizing 

potential disturbances to nesting and 

breeding resulting from compliance 

inspections and implementation of 

standards. 

We received 10,330 written comments 

on www.regulations.gov 4 in response to 

the listening session notice, as well as 

approximately 75 comments excerpted 

from the three listening session 

transcripts. Comments came from 

breeders and fanciers of finches, 

canaries, parrots, cockatiels, and other 

pet and show birds; raptor breeders, 

conservationists, and hobbyists; exotic 

poultry hobbyists; owners and breeders 

of show and racing pigeons; national 

and regional animal welfare 

organizations; organizations 

representing zoos, shelters, and rescues; 

avian veterinarians, ornithologists, and 

aviculturists; organizations promoting 

the conservation of waterfowl and wild 

birds; a Federal government agency; and 

members of the public. We have 

reviewed and considered all of the 

comments, which we have summarized 

below. 

Exemptions From Licensing 

The current regulations in § 2.1(a)(3) 

include licensing exemptions based on 

criteria such as how the animals are 

used, whether and how they are sold, 

and size of business based on gross 

income or the number of covered 

animals maintained. 

An exemption is provided for dealers 

who maintain four or fewer breeding 

females of pet animals, small exotic or 

wild animals, and/or domesticated farm 

type animals and offer their offspring for 

sale. Also exempted in this section are 

retail pet stores as the term is defined 

in § 1.1,5 dealers who breed and sell 25 

or fewer dogs and/or cats to research 

facilities annually, individuals who 

solely buy, sell, transport, or negotiate 

the sale, purchase, or transportation of 

an animal for food or fiber, and 

exhibitors covered under the AWA who 

maintain eight or fewer pet animals, 

small exotic or wild animals (sometimes 

referred to colloquially as ‘‘pocket’’ 

mammals), and domesticated farm type 

animals for exhibition. An income 

threshold exemption applies to any 

person who sells or negotiates the sale 

or purchase of any animal except wild 

or exotic animals, dogs, or cats, and who 

derives no more than $500 gross income 

from the sale of such animals during 

any calendar year. Finally, any person 

who buys animals solely for his or her 

own use or enjoyment and does not sell 

or exhibit animals is exempt from 

licensing if not otherwise required to 

obtain one. 

During the listening sessions, we 

asked for comments and supporting data 

on adding or revising licensing 

exemptions for certain dealers, 

exhibitors, operators of auction sales, 

and carriers and intermediate handlers 

of birds not bred for use in research. We 

also asked specifically if certain species 

of birds should be exempted. The 

comments that immediately follow 

address these questions, including the 

status of birds at shelters, birds that are 

part of conservation efforts, and the 

scope of regulatory authority. Comments 

for exemptions based on business size 

appear in the section following this one, 

under ‘‘De Minimis Exemptions.’’ 

Several commenters suggested that all 

bird breeders be exempted from 

regulation, with one stating that it has 

not been demonstrated that the current 

welfare of birds in breeding facilities are 

deficient and that bird breeders are 

continually improving captive bird care. 

A few commenters recommended that 

all persons exhibiting birds at shows be 

exempt from regulation. 

On the other hand, a substantial 

number of commenters asked that all 

birds covered under the Act be subject 

to the regulations, regardless of species 

or use, particularly as some States do 

not have laws protecting birds. Many 

other commenters stated that there 

should be no exemptions for birds sold 


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in retail pet stores, noting that some pet 

stores house birds in poor sanitary 

conditions. One commenter added that 

no persons selling birds at auction 

should be exempt, stating that these are 

often the most egregious of offenders 

with respect to animal abuse. 

Some commenters noted that many 

persons keep birds to preserve 

threatened or endangered species and 

safeguard them from extinction due to 

habitat loss and other threats, and 

recommended that any exemptions for 

wholesale trade and exhibition should 

also include birds bred for conservation 

or for sale or transfer to other breeding 

programs. On the other hand, a 

commenter stated that the majority of 

bird breeding in the United States 

ostensibly done in the name of 

conservation contributes little or 

nothing to conservation efforts because 

most captive breeding is done outside of 

official species survival plans and 

conservation efforts. 

We also asked whether certain species 

of birds should qualify for exemption 

from licensing. In response, we received 

a wide range of explanations as to why 

certain species of birds covered under 

the AWA should or should not require 

a license. 

Many bird owners and the 

organizations representing them 

commented that most non-agricultural 

bird species kept in the United States 

are for personal enjoyment and not for 

profit and should be exempted from 

AWA licensing. 

Some commenters stated that the 

AWA should only be concerned about 

inspecting budgies, cockatiels, and other 

common species of birds bred for profit 

for the pet market. Several commenters 

stated that persons breeding or 

maintaining any types of finches, 

canaries, or songbirds should be exempt 

from licensing due to the enormous 

number of species, subspecies, and 

hybrids kept and their special 

requirements. 

Commenters concerned about species 

conservation asked that we exempt from 

licensing breeders of endangered and 

non-native bird species, including rare 

poultry and waterfowl. 

Several persons with an interest in 

raptors commented that existing U.S. 

Department of the Interior, U.S. Fish 

and Wildlife Service (USFWS) 

regulations likely meet or exceed 

proposed AWA standards and that no 

additional regulations are needed to 

ensure raptor welfare. Many noted that 

raptor owners are already subject to a 

robust regulatory system and that any 

new standards and regulations for most 

captive raptor breeders would be 

burdensome and duplicative. Some 

commenters stated that State and local 

laws already provide an adequate layer 

of regulation to ensure the welfare of 

their birds. Several commenters stated 

that raptors are migratory birds, not ‘‘pet 

animals’’ as defined in § 1.1, with some 

noting that the Migratory Bird Treaty 

Act (MBTA, 16 U.S.C. 703 et seq.) 

already covers raptors. A commenter 

noted that falconers fall under the 

definition of neither ‘‘dealer’’ nor 

‘‘exhibitor,’’ and the few that engage in 

exhibition should be exempted de 

minimis. 

On the other hand, a commenter 

representing an animal welfare 

organization noted that the USDA has 

never considered activities regulated 

under other Federal, State, and local 

laws as a basis for granting exemptions 

for regulated activities and species from 

the AWA’s requirements. Other 

commenters opined that the AWA does 

not discriminate or authorize the agency 

to discriminate between different 

species of warmblooded animals, or 

between different regulated uses, and 

that all are protected under the Act. In 

addition, a commenter noted that 

raptors are large animals and asked that 

they not be subject to the exhibitor 

licensing exemption. 

A commenter representing the 

USFWS noted that exhibition of 

migratory birds and raptors is the 

primary area of overlap between that 

agency and the USDA with respect to 

regulation. The commenter stated that it 

is important that agencies are not in 

conflict with respect to regulating birds. 

Several commenters asked that 

persons maintaining racing and show 

pigeons be exempt from licensing. One 

commenter stated that most pigeon 

racers are not dealers or exhibitors and 

therefore should be exempt from 

regulation. The commenter added that 

pigeon racing has elements of the farm 

in its origins and that farm animals are 

excluded from AWA regulation. 

Conversely, one commenter stated 

that racing pigeons are prone to disease 

due to inadequate sanitation and 

veterinary care, that prominent race 

organizers and veterinarians 

acknowledge that disease leads to 

substantial numbers of racing pigeon 

deaths, and that racing pigeons pose a 

threat of spreading disease among wild 

pigeons and domestic poultry. 

We received several comments from 

persons and organizations on the subject 

of bird rescues and shelters. Several 

commenters emphasized that rescues 

should never be exempt from 

inspections or regulations. Many 

commenters expressed concern about 

animal welfare, overcrowding, and 

health and sanitation conditions at bird 

rescues and shelters, and supported 

regulation of such facilities under the 

AWA. A commenter suggested that 

rescues who accept public donations or 

charge admission to their facilities 

should be required to be licensed just as 

mammal facilities are. Another 

commenter indicated that rescues and 

sanctuaries for pet birds that receive 

government grant money should not be 

exempt and be held to a higher 

standard. On the other hand, other 

commenters asked that shelters and 

rescues be exempted from licensing and 

that caregivers who foster or shelter 

birds on a temporary basis should be 

exempted also. 

Some commenters asked that persons 

maintaining wild bird species be 

exempted from licensing. One 

commenter stated that for many wild 

species, the appropriate conditions for 

maintaining them are unknown and 

would need to be determined once the 

birds are brought into captivity. The 

commenter added that the range of taxa 

is broad and that species within a taxon 

may have very different requirements. 

Other commenters stated that all wild 

bird rescues should be subject to 

regulation and licensing. 

One commenter asked that we be 

careful in describing wild birds with the 

terms ‘‘domestic/domesticated,’’ ‘‘nondomestic/exotic,’’ and ‘‘wild/wildlife.’’ 

The commenter noted that domesticated 

species of certain birds have husbandry 

and veterinary needs that differ 

substantially from those of closely 

related, captive-managed wild species. 

De Minimis Exemptions 

Section 2133 of the Act includes the 

provision 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.’’ Section 2.1(a)(3) of the 

current regulations includes de minimis 

threshold licensing exemptions for 

dealers (including breeders) and 

exhibitors of AWA-covered animals 

based on gross income, numbers of 

animals maintained, and intended use 

of the animals, with exemptions granted 

accordingly for businesses under each 

threshold. 

During the listening sessions, we 

asked persons to comment on whether 

there are thresholds beyond which an 

entity should not be required to be 

licensed. We noted that most bird 

breeding businesses are very small and 

invited persons to comment on what 

threshold criteria we might use to 

exempt such entities from licensing, 

which by their size have historically 


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posed an insignificant, or de minimis, 

risk to animal welfare. 

Several commenters requested that we 

exempt certain dealers and exhibitors of 

birds from licensing, and many 

suggested specific exemption thresholds 

based on income or number of birds 

bred or exhibited. Many commenters 

asked that the exemption in 

§ 2.1(a)(3)(i), the retail pet store 

exemption, remain in place for birds 

sold at retail. 

One commenter stated that APHIS 

cannot exempt birds beyond the plain 

text of the AWA and its existing de 

minimis exemption, adding that the 

AWA statute plainly applies to warmblooded animals that are used for 

regulated activities. 

Some commenters stated that any 

individual or facility that raises fewer 

than 500 birds per year should be 

considered de minimis and exempt from 

regulation. Another commenter asked 

that the regulatory threshold be set at 

500 or fewer breeding pairs of parakeets, 

finches, and other small birds, and 200 

or fewer breeding pairs of larger birds 

such as parrots and gamebirds. The 

commenter asked that offspring not be 

counted toward the total number of 

pairs. Another commenter suggested 

that facilities with fewer than 100 

breeding female birds should be exempt 

regardless of sales volume. Yet another 

recommended that small breeding 

operations (up to 25 pairs of birds) 

should be exempted from licensing 

under the AWA regulations and that not 

doing so will impose unnecessary 

regulatory burden on the public and 

APHIS personnel. 

Other commenters recommended that 

proposed bird regulations follow the 

current de minimis thresholds for other 

animals in the regulations. One such 

commenter asked that we harmonize the 

bird regulations with—but not expand— 

the de minimis exemptions in 

§ 2.1(a)(3)(iii). 

A commenter recommended that 

birds under 4 pounds should not be 

regulated or require licensing. Another 

commenter stated that if someone cares 

for non-wild birds and some of those 

birds generate offspring unintentionally, 

such persons should be exempt from 

licensing. 

One commenter stated that although 

an aviary may breed many birds, the 

total sales may only be $100 or less per 

year. In contrast, the commenter noted, 

a pair of hyacinth macaws may produce 

a single chick per year that sells for 

$10,000. The commenter noted that one 

pair of birds producing a single chick 

per year is below the level that USDA 

should spend resources on regulating 

even though the dollar amount is above 

what is considered de minimis. On this 

point, another commenter stated that 

birds with low monetary value are often 

subjected to the cruelest of conditions 

and in greatest need of oversight. 

One commenter stated that to avoid 

the creation of a double standard for 

birds, any proposed regulations must 

exclude from the exemption in 

§ 2.1(a)(3)(ii) all exotic or wild birds just 

as it currently does for all other covered 

wild or exotic animals. Another 

commenter stated that the exemption 

from licensing for facilities with annual 

sales not exceeding $500 is inadequate. 

Due to the capital expenditure and time 

investment required for successful 

hobby aviculture, the commenter 

recommended a threshold of $50,000. 

With respect to bird exhibitors, a few 

commenters stated the need for an 

exemption like the current one in 

§ 2.1(a)(3)(vii) for exhibitors of eight or 

fewer pet type or ‘‘pocket’’ mammal 

species. 

One commenter who recommended 

against allowing species-specific 

exemptions for birds noted that the only 

current de minimis exemptions in the 

regulations that could reasonably apply 

to birds would be for ‘‘domesticated 

farm-type animals,’’ which could 

include domesticated species of 

chickens, ducks, and turkeys. 

Performance-Based Standards 

Section 2143 of the Act provides that 

standards for the humane care of 

animals must include requirements for 

handling, housing, feeding, watering, 

sanitation, ventilation, shelter from 

extremes of weather and temperatures, 

adequate veterinary care, and, when 

warranted, separation by species. The 

AWA regulations in 9 CFR part 3 fulfill 

this statutory obligation by listing 

standards for the humane handling, 

care, treatment, and transportation of 

animals, grouped under separate 

subparts for dogs and cats; guinea pigs 

and hamsters; rabbits; nonhuman 

primates; marine mammals; and 

warmblooded animals not included in 

the other subparts. 

Most of the standards are 

performance-based, meaning that 

whenever practicable they do not 

mandate a single, prescribed approach 

to meeting the standard. For example, 

the standard for food storage and 

bedding for dogs and cats in § 3.1(e) 

states that ‘‘supplies of food and 

bedding must be stored in a manner that 

protects the supplies from spoilage, 

contamination, and vermin infestation.’’ 

Similarly, in the proposed standards for 

birds under § 3.150(e), we require that 

‘‘supplies of food, including food 

supplements, bedding, and substrate 

must be stored in a manner that protects 

the supplies from spoilage, 

contamination, and vermin infestation.’’ 

In each case, the specific manner and 

location of storage is not prescribed, and 

any approach that protects the supplies 

from the conditions listed will meet the 

standard. 

To cite another example, § 3.81 of the 

standards for nonhuman primates 

requires that the primary enclosures of 

the animals be provided with 

environmental enrichments for 

expressing noninjurious species-typical 

activities, which includes perches, 

swings, mirrors, and other increased 

cage complexities, and that species 

differences should be considered when 

determining the type or methods of 

enrichment. Likewise, we are proposing 

in § 3.154 an environmental enrichment 

standard for birds requiring that perches 

and other objects provided to enrich a 

bird’s environment be speciesappropriate and designed, constructed, 

and maintained so as to prevent harm to 

the bird. Businesses may use their own 

experience and knowledge with the 

species in question to determine the 

composition of the perches and other 

objects, their size and location, and 

other relevant considerations, so long as 

they are meeting the proposed standard. 

Many of the comments we received 

during the listening sessions noted the 

great number of bird species and the 

highly diverse care and husbandry 

needs of each, and remarked on the 

challenge of establishing a single set of 

standards that could accommodate the 

scope of these needs. We acknowledge 

the concerns of these commenters and 

agree that birds constitute a uniquely 

diverse class, which is why we consider 

a performance-based, flexible approach 

to standards for birds especially 

important. 

We asked commenters whether there 

are appropriate performance-based 

standards that could cover the wide 

variety of bird species. We also asked 

persons to comment on the feasibility of 

separating birds into smaller classes and 

setting performance-based standards 

appropriate for each class, and what 

such classes might look like. 

A number of commenters supported 

regulating the humane handling, care, 

treatment, and transportation of covered 

birds under the existing standards in 

part 3, subpart F, which cover 

warmblooded animals other than dogs, 

cats, rabbits, hamsters, guinea pigs, 

nonhuman primates, and marine 

mammals. Other commenters supported 

the establishment of standards 

developed specifically for birds. Many 

commenters recommended that any 

performance standards developed for 


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birds should consider their specific 

physiological and behavioral needs. 

An animal welfare organization 

proposed a set of avian performance 

standards to serve as a regulatory model 

and asked that they be included as a 

separate section in part 3 and reflected 

accordingly in parts 1 and 2. We note 

that the standards submitted by the 

commenter reflect in large part the 

standards we propose, with 

requirements that address handling, 

housing, feeding, watering, sanitation, 

ventilation, shelter, veterinary care, 

separation of species as warranted, and 

environmental enrichment. 

A commenter asked APHIS to consult 

with ornithological professional 

organizations before drafting standards 

for birds, and others recommended that 

APHIS enlist the help of aviculturists 

and organizations representing raptor 

and parrot owners, rescues, 

conservation, and other avian interests 

to develop standards. 

APHIS-Animal Care has engaged in 

such consultations to the extent we can, 

which is standard practice for the 

program with regard to other covered 

animals. 

Conversely, several commenters 

questioned whether any set of standards 

could be developed that would address 

the husbandry needs of all bird species, 

with some noting that industry selfregulation has failed to prevent 

substandard care, welfare, and 

husbandry of birds. As we note in a 

previous section, some commenters 

submitted field reports, photographs, 

and videos showing birds held in 

unsanitary and barren cages throughout 

the United States and noted in 

particular the unhealthy appearance of 

the birds and abnormal behaviors 

resulting from confinement under such 

conditions. 

One commenter stated that there are 

far too many species of exotic birds kept 

in aviculture to be able to set up 

individual standards, and another 

commented that generic standards that 

apply to large groups of birds probably 

do not encompass the needs of all 

species, even in family groups of birds. 

A commenter added that because the 

needs of many birds are influenced by 

age, geographical location, and seasonal 

changes, specifying exact standards of 

care may not allow enough flexibility to 

address these variable factors. One 

commenter acknowledged that due to 

the wide differences in size, 

morphology, diet, and social structure 

in the class Aves, it is impossible to 

present one set of minimum housing 

standards for all avian species. 

Some commenters stated that the 

aviculturist community already has 

adequate best practices in place and that 

no government regulation is necessary. 

Several cited the Model Avicultural 

Program, adding that it represents a 

higher level of care than is typically 

required for AWA licensing. 

While the program cited by these 

commenters includes general housing, 

husbandry, and other standards that we 

consider to be appropriately speciesspecific and performance-based, the 

standards we propose in this rule are 

both more detailed and comprehensive 

and include additional requirements 

governing transportation, enrichment, 

research uses, and identification, among 

others. We consider these requirements 

to be necessary to maintain consistency 

with the current regulations for 

mammals and to ensure a level of 

animal welfare commensurate with that 

required by the AWA. 

Facilities and Operating Standards 

While some commenters proposed 

standards that differ in degree from 

those we have proposed, we agree with 

the majority of comments from the 

listening sessions indicating that facility 

and operating standards for regulating 

birds must address their special 

physiological, anatomical, behavioral, 

and psychological needs, and the 

standards we have proposed have been 

developed with those needs in mind. 

We discuss those standards in greater 

detail below. 

Enclosures 

In accordance with the Act, we 

include enclosure standards in each 

subpart of part 3 to ensure that captive 

animals are confined safely and 

humanely. For example, the general 

standards for primary enclosures for 

dogs and cats under subpart A require 

that they be constructed and maintained 

so as to contain the animals securely, 

protect them against injury, and provide 

sufficient space commensurate with the 

animal species confined. The standards 

we propose for birds include similar 

requirements that are performancebased and allow flexibility to meet the 

wide diversity of needs among bird 

species cited by commenters. 

Several commenters addressed the 

topic of bird enclosures, particularly 

with respect to size and the ability to 

permit movement. A few commenters 

submitted proposed standards that 

include detailed, performance-based 

shelter specifications for space, flooring 

and surfaces, lighting, humidity, and air 

quality. One such commenter noted that 

overcrowding causes stress in birds and 

spreads disease, and that small 

enclosures can cause stereotypic 

behaviors such as spot picking and 

route tracing. Some commenters also 

asked APHIS to develop standards 

requiring that enclosures be large 

enough to allow natural fliers to have 

enough space to fly, while other 

commenters stated that birds need room 

to stretch and flap wings, but not 

necessarily to fly. 

We note that the standards we 

propose for enclosures mirror to a large 

degree those submitted by commenters, 

the objective being to provide an 

environment that ensures humane 

treatment of animals as required by the 

Act. The standard in proposed 

§ 3.153(b) requires that the space in all 

primary enclosures housing birds be 

adequate and allow for normal postural 

and social adjustments, such as dustbathing and foraging, with adequate 

freedom of movement and freedom to 

escape from aggression demonstrated by 

other animals in the enclosure 

according to the program of veterinary 

care developed, documented in writing, 

and signed by the attending 

veterinarian. While we acknowledge the 

desire by many commenters that 

sufficient enclosure space be available 

for birds to fly, birds can be in good 

health and maintained humanely in 

accordance with the Act without such a 

requirement. 

A commenter stated that due to the 

way pigeons live in communities and 

can tolerate disease, standards for lofts 

must be specific to the species. One 

commenter stated that wire flooring is 

harmful to the feet of many birds and 

proposed that we set standards 

requiring safe, non-toxic substrate 

(newspaper, towels, litter, straw, etc.) 

for the species being housed. We 

include in this proposal a performancebased requirement that floors of primary 

enclosures be constructed in a manner 

that protects the birds’ feet and legs 

from injury, which addresses issues of 

harmful flooring regardless of 

composition, as well as a requirement 

that substrate be safe and non-toxic to 

the birds being housed. 

Sanitation 

As noted above, the AWA requires 

that sanitation standards for regulated 

animals be issued for dealers, 

exhibitors, and research facilities that 

keep those animals. In the existing 

AWA regulations, consistent with this 

statutory obligation, we include 

standards for facility sanitation within 

each subpart for dogs and cats, rabbits, 

and other mammals. As with these 

standards, those that we propose for 

facilities having birds require a sanitary, 

pest-free environment conducive to 

their health and welfare but also allow 

for flexibility in how the standards are 


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met. Consistent with what we are 

proposing, several commenters called 

for standards specific to birds regarding 

waste disposal, food storage, and 

enclosure and pool cleaning to reduce 

disease and pest hazards. 

Lighting and Climate 

As lighting and climate needs differ 

considerably among animal species, the 

existing standards in the regulations for 

animals covered under each subpart are 

performance-based to allow for lighting, 

humidity, temperature, and other 

climatic considerations appropriate for 

the species involved. We have proposed 

similar such standards for birds to 

accommodate the widely different 

temperature, humidity, and lighting 

needs of each species. 

Some commenters advocated for more 

prescriptive lighting standards, 

specifically natural or artificial light in 

the same spectrum as sunlight. One 

commenter recommended that 

appropriate circadian rhythms must also 

be provided for nocturnal species, as 

well as adequate ventilation, 

temperature, and humidity control 

appropriate to the species. We agree 

with the latter commenter that lighting 

should be species-specific and need not 

mimic sunlight if the species is 

nocturnal, and our proposed standards 

reflect that. Another commenter stated 

that there should be standards to protect 

birds from sunlight and extreme heat, 

with appropriate shelter from rain and 

snow. We agree with this commenter, as 

providing shelter from weather extremes 

is consistent with animal welfare. 

Recordkeeping 

The existing regulations require that 

dealers and exhibitors keep and 

maintain records which fully disclose 

certain identification and disposition 

information for animals other than dogs 

and cats that are purchased or otherwise 

acquired, owned, held, leased, or 

otherwise in their possession or under 

their control, or that they transport, sell, 

euthanize, or otherwise dispose of. 

Among other things, the records must 

include any offspring born of any 

animal while in the dealer’s or 

exhibitor’s possession or under his or 

her control. Similarly, operators of 

auction sales and brokers are required to 

maintain records for any animal 

consigned for auction or sold, whether 

or not a fee or commission is charged. 

During the listening sessions, many 

commenters asked APHIS to require that 

records be kept of all transactions for 

birds that are sold or transferred to 

another owner. Commenters also called 

for APHIS to require bird dealers and 

exhibitors to keep health records on 

their birds. 

On the other hand, several 

commenters stated that the 

recordkeeping requirements now 

required for mammals would be 

unreasonable and burdensome for 

commercial, high volume-produced 

birds such as budgies, zebra finches, 

cockatiels, lovebirds, waterfowl, 

pigeons, and gamebirds. 

We propose to apply the existing 

recordkeeping requirements to persons 

engaging in these AWA-covered 

activities involving birds, unless 

otherwise exempt. We consider an 

accounting of each covered animal 

important for the purposes of ensuring 

adequate health and welfare, even for 

high-volume produced birds. If, for 

example, an individual bird moved to or 

from a premises is diagnosed with a 

serious, communicable disease, a record 

of that bird’s movement is necessary to 

protect other birds from potential 

exposure and harm. 

Research Concerns 

Regulations concerning AWA-covered 

animals at research facilities are located 

in 9 CFR part 2, subpart C. They require 

that facilities register with APHIS, that 

an Institutional Animal Care and Use 

Committee (IACUC) be established to 

assess facility treatment and use of 

animals, and that animals be treated by 

an attending veterinarian under a 

program of veterinary care. Personnel 

and recordkeeping requirements for 

research facilities are also included in 

subpart C. As these regulations ensure 

that activities on animals at research 

facilities are humanely designed and 

practiced in accordance with the Act, 

we propose that they also be applied to 

birds not bred for use in research. 

Some commenters expressed concerns 

with the effects that establishing AWA 

standards for birds could have on 

research activities. 

A commenter stated that the proposed 

regulation would hamper biomedical 

and ecological research using avian 

species. One commenter stated that 

additional regulation could be 

detrimental to ornithological research 

without improving protection for birds, 

noting that unlike biomedical research 

and testing that does not benefit the 

animals being used, such research is 

conducted for understanding bird 

biology and ecology and is already 

regulated through the Public Health 

Service. 

A commenter asked USDA to clarify 

that neither a facility’s IACUC nor 

APHIS inspection is required for field 

research sites involving wild birds. 

Another commenter asked that any 

proposed standards for birds do not 

prohibit field surgeries on wild birds 

and that biologists not be required to 

transport wild birds to dedicated 

facilities. APHIS’ proposed changes to 

the regulations do not require that field 

studies involving wild birds be 

inspected, nor do we propose to 

prohibit field surgeries on wild birds, 

provided that such activities are 

conducted in accordance with current 

established veterinary medical 

procedures. As provided in proposed 

§ 2.31(d)(1)(ix), we would not require 

that persons transport wild birds to 

dedicated facilities for medical 

procedures. 

Animal Health and Husbandry 

During the listening sessions, 

commenters frequently cited the need 

for health and husbandry standards that 

are performance-based, noting the wide 

range of requirements among different 

species of birds. The current standards 

for other animals in Part 3 include 

performance-based requirements for 

health and husbandry addressing 

grouping, feeding, sanitation, and other 

needs. We have likewise proposed 

similar health and husbandry standards 

for birds in this document that address 

the needs cited by commenters. 

Feeding and Watering 

As noted above, the AWA requires 

that feeding and watering standards be 

established for regulated animals for 

dealers, exhibitors, and research 

facilities that contain those animals. In 

the existing regulations, we have 

implemented this statutory obligation 

by establishing feeding and watering 

standards. Generally, these require that 

food be uncontaminated, nutritious, 

easily accessible, and appropriate for 

the species involved. Current standards 

also require that clean water be 

provided sufficient to maintain health 

and that receptacles for food and water 

be kept clean and sanitary. Competent 

bird dealers and exhibitors are 

knowledgeable as to the types of food 

their birds require to remain in good 

health. As with persons maintaining 

other types of animals covered under 

the regulations, we acknowledge this 

fact, and as we have done with those 

animals, we have proposed a feeding 

standard that is flexible enough to 

ensure the health and well-being of all 

birds. 

Several animal welfare organizations 

proposed performance standards for the 

feeding and watering of birds consistent 

with the standards we propose. We 

would require that food be nutritious, 

species-appropriate, and presented in a 

manner that encourages natural foraging 


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behaviors specific to the species, which 

as one commenter noted is 

exceptionally important to bird welfare. 

Environmental Complexity 

Many commenters during the 

listening sessions noted that some 

species of birds are highly intelligent 

and social animals and can benefit from 

being able to practice natural behaviors 

in captivity, such as social interaction 

and foraging. Accordingly, they 

proposed standards to provide speciesappropriate environmental complexity 

for birds in the living space to promote 

the expression of natural behaviors and 

opportunities for positive interactions 

with the environment. A commenter 

noted that species-specific perches, 

substrates, hide boxes and shelters, 

visual barriers, and water and dust baths 

are important to promoting such 

interactions and included details of 

these in the standards proposed. 

One commenter stated that parrots 

should receive special consideration for 

enrichment under the AWA regulations 

because of their taxonomic uniqueness, 

documented intelligence, and 

popularity in domestic markets. Some 

commenters cited research showing that 

enrichment activities such as foraging 

enhance the psychological well-being of 

birds, reducing stereotypic behaviors 

and minimizing stress. One commenter 

proposed that an environmental 

enrichment plan be developed and 

maintained for all birds in consultation 

with a qualified veterinarian or 

veterinary behaviorist, and that 

behavioral assessments include a review 

of nutrition, husbandry, and housing to 

develop an appropriate treatment plan. 

APHIS agrees that environmental 

enrichment is important to ensuring the 

health and well-being of birds 

consistent with the Act. We note that 

the current regulations in subpart D, 

§ 3.81, require persons maintaining 

nonhuman primates to provide an 

environmental enhancement plan that 

includes enrichment requirements. 

Accordingly, we would include similar 

enrichment requirements specifically 

for birds. 

Contact With Birds 

The existing AWA regulations contain 

provisions regarding contact between 

captive animals being sold or exhibited 

and members of the public. These are 

intended to protect persons from injury 

while minimizing the risk of animals 

contracting a zoonotic disease, receiving 

inappropriate food, or being handled in 

an inappropriate manner. For example, 

a standard in each subchapter requires 

that primary enclosures used to 

transport animals be constructed to 

ensure that anyone handling the 

enclosure will not be in contact with the 

animals contained inside. In this 

document we propose a similar 

standard for birds. 

Some commenters asked that APHIS 

create standards that restrict or prohibit 

public contact and interaction with 

exhibited birds. One commenter stated 

that exhibitors allow dangerous birds to 

be too close to the public. Others opined 

that direct contact programs pose a 

dramatically increased risk of zoonotic 

disease transmission between humans 

and animals. A commenter cited 

research indicating that hand-rearing of 

parrots and other birds can contribute to 

the development of aberrant behaviors 

such as stereotypy and feather plucking. 

On the other hand, a commenter 

stated that many birds desire and will 

initiate interaction with their owners. 

Another commenter was concerned that 

breeders would be restricted from handrearing and handling young birds, 

noting that such activities are a 

necessary part of taming. We are not 

proposing regulations that would 

restrict breeders from handling their 

birds humanely. 

Veterinary Care 

Veterinary requirements applicable to 

all animals covered under the Act are 

located in § 2.40 of the regulations. 

These require that each facility maintain 

a program of veterinary care and have 

an attending veterinarian, as we 

acknowledge from commenter input to 

be the current practice for many 

facilities that would be affected by the 

proposed standards. Under the 

regulations we propose, birds covered 

under the Act would be subject to 

veterinary requirements to ensure 

animal welfare. 

Several commenters stated that 

veterinary care should be a requirement 

for all birds that are subject to AWA 

regulations. Several such commenters 

proposed that regulated facilities be 

required to maintain a program of 

preventative veterinary healthcare for 

regulated birds, with annual physical 

exams for each bird and health records 

maintained for each regulated bird and 

available for review by APHIS. Many 

commenters called for health certificates 

for birds as is the case for covered 

animals currently. 

A majority of commenters asked that 

we establish regulations to prohibit 

painful physical mutilations, including 

pinioning (disabling wings), toe 

clipping, devoicing, and beak 

alterations. A commenter recommended 

that when beak trimming is done for 

corrective purposes, it should be 

performed by a qualified avian 

veterinarian, and clipping or pinioning 

a bird’s wings to prevent flight should 

be prohibited except to address a 

specific health issue. We acknowledge 

commenter concerns over these 

practices, but also acknowledge, as 

several commenters did themselves, that 

there can sometimes be health-based 

reasons for the practices. We encourage 

additional comments that address the 

concerns raised in light of animal 

welfare. 

Also, a commenter proposed that 

facilities be required to consult with a 

veterinarian or nutritionist to formulate 

appropriate species-specific diets, and 

that facilities follow and keep records of 

a dietary plan that is reviewed annually 

by a qualified veterinarian or 

nutritionist who has directly evaluated 

the animals at the facility. We agree that 

the food provided to the birds should be 

species-specific and nutritious. This 

could be accomplished by consulting a 

veterinarian or nutritionist, but we do 

not consider recourse to a veterinarian 

or nutritionist to be the only way of 

obtaining or validating this information. 

Our proposed standards allow for such 

flexibility in determining the 

appropriate diet for the birds. 

Identification 

We received a number of comments 

on the identification standards for birds. 

Several commenters supported a 

standard requiring that all birds have a 

humane form of permanent 

identification, such as a microchip, leg 

band, or wing band. 

Some commenters requested that we 

not require permanent forms of 

identification on birds because they 

should not be subjected to unnecessary 

stressful surgical procedures. Another 

commenter stated that given the fragile 

nature of birds, ID marking should not 

be required for live birds. The 

commenter recommended either leg 

bands or microchips as being suitable 

for all bird species. 

In these proposed regulations, we 

include identification standards for 

birds that allow for flexibility in 

meeting the requirements, including 

attaching information to primary 

enclosures identifying each bird housed 

within, using leg and wing bands for 

identifying birds, and employing 

microchips. We believe that these 

methods are the safest and most 

acceptable means of identifying birds 

humanely. 

Nesting and Breeding Activities 

We asked commenters to provide 

information on how bird breeders avoid 

interfering with nesting and breeding or 

other biological activities of birds. We 


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also asked for comments to help APHIS 

ensure that housing, feeding, or 

inspection requirements do not interfere 

with these activities. 

Several bird breeders commenting on 

the notice raised concerns about 

regulatory inspections disturbing 

nesting and breeding activity at their 

facilities, potentially resulting in losses 

due to damage to eggs, chicks, and 

mates. Some stated that licensees 

should have a say in when inspections 

occur and asked that inspections not be 

conducted during breeding cycles. 

Many commenters raised biosecurity 

concerns about inspections and 

inspectors transmitting pathogens into 

the facility. Another commenter noted 

that operators frequently care for their 

birds in the early morning hours or 

evening hours before or after work, so 

these facilities would be inaccessible for 

the unannounced inspections called for 

in the AWA regulations. 

Conversely, some commenters 

emphasized the importance of 

inspections for animal welfare, stating 

that procedures by trained APHIS 

inspectors are no more intrusive than 

normal human-interactive behaviors in 

many situations where birds are homed. 

Another commenter stated that rather 

than disease posing a barrier to 

regulation, the risk of which is 

overstated, it is another factor to 

consider when developing safe 

inspection practices. Another 

commenter stated that based on her 

experience, parrots are motivated to nest 

and breed regardless of the presence of 

humans. Other commenters stated that 

nesting and breeding concerns should 

not hamper the ability of officials to 

conduct inspections and noted that 

remote camera technology can allow 

inspectors to view birds without 

entering the nesting area. 

We acknowledge the concerns of 

many commenters about the impact that 

inspections could have on the health 

and safety of their birds, particularly 

during periods of breeding and nesting. 

We note that APHIS inspectors would 

work with newly regulated persons to 

identify optimal times for inspections so 

that disruptions are minimized while 

maintaining the unannounced nature of 

inspections. As with inspections of 

other types of animals, APHIS 

inspectors are required to observe 

professionally accepted standards for 

minimizing the risk of introducing 

disease into facilities. 

Transportation 

The transportation standards we 

propose for birds provide the same 

consideration for humane care as is 

required in the current regulations for 

other species of AWA-covered animals, 

and we acknowledge the point made by 

many commenters that some birds have 

highly specialized transportation needs. 

For example, while most birds require 

space to make normal postural 

adjustments during transport, there are 

some birds that may injure themselves 

if their movements are not restricted. 

Therefore, the intention of the proposed 

transportation standards for birds is to 

account for these animals’ unique needs 

and provide them with equivalent 

protection and care as other covered 

animals. 

One commenter stated that despite 

many concerns about the welfare of 

baby and unweaned birds, birds should 

not be subject to minimum age 

requirements for shipping. The 

commenter noted that precocial species, 

such as gallinaceous birds, have been 

shipped as ‘‘day-old’’ hatchlings for 

many years as an accepted practice in 

the poultry industry. Another 

commenter recommended that any 

person handling a primary enclosure 

containing a bird be required to use care 

and avoid causing physical harm or 

distress to the bird, while some 

commenters stated that all temporary 

transportation and housing of birds in 

trade or enroute to shows should be 

exempted as these constitute a 

temporary condition and not a 

permanent living space. 

Conversely, numerous commenters 

requested that we establish regulations 

prohibiting the sale of unweaned and 

prematurely weaned baby birds, noting 

that such birds risk succumbing to 

disease, mishandling, and transport 

hazards. 

We acknowledge that there could be 

legitimate reasons to transport an 

unweaned bird, but also agree with the 

concerns cited above. We note that 

under the standards we propose, 

carriers and intermediate handlers 

would not be permitted to accept 

unweaned birds for transport unless 

transport instructions are specified as a 

part of the program of veterinary care. 

A commenter representing the 

USFWS recommended not requiring 

AWA licensing for transporters who are 

transporting birds under a valid MBTA 

permit to and from the wild for 

compensation at or less than recouping 

costs. The commenter noted that there 

are situations in which volunteers 

transport wild migratory birds for 

minimal compensation for the health 

and safety of these birds. The proposed 

regulations include an exemption from 

AWA licensing for anyone transporting 

a migratory bird covered under the 

MBTA from the wild to a facility for 

rehabilitation and eventual release in 

the wild, or between rehabilitation 

facilities. Any person transporting a 

migratory bird is currently required to 

obtain authorization to do so from 

USFWS. 

Proposed Regulations and Standards 

The proposed regulations and 

standards in this document are intended 

to ensure the humane handling, care, 

treatment, and transportation of birds 

not bred for use in research that are 

used, or intended for use, for research, 

teaching, testing, experimentation, or 

exhibition purposes, or as a pet. 

Consistent with most of the comments 

we received during the listening 

sessions, these proposed animal welfare 

standards accommodate the speciesspecific needs of birds and consider 

their significant differences with respect 

to their biological and behavioral 

requirements. In every case, the goal of 

the proposed standards for birds is to 

provide each individual bird with 

acceptable conditions consistent with 

ensuring its good health and well-being 

and meeting its physical and behavioral 

needs as required under the Act. 

Definitions 

In § 1.1, we would revise the 

definitions of several terms used 

throughout parts 2 and 3. Specifically, 

we would revise the definitions of 

carrier, exhibitor, farm animal, 

intermediate handler, pet animal, retail 

pet store, and weaned. We would also 

add new definitions of bird, bred for use 

in research, and poultry to § 1.1. The 

proposed revisions are discussed below. 

In addition to these proposed revisions, 

regulated parties with birds would be 

subject to all other applicable 

definitions contained in § 1.1 if this 

proposed rule is adopted as a final rule. 

Bird 

We would define the term bird as any 

members of the class Aves, excluding 

eggs. We consider a bird to no longer be 

an egg when the bird is fully separated 

from the eggshell. 

We considered regulating the welfare 

of live avian eggs during the 

development of this proposed rule. 

However, we found that there was not 

enough scientific data available for each 

species of bird to determine the stages 

when human management can cause an 

animal welfare concern. 

Bred for Use in Research 

We propose to add a definition for the 

term bred for use in research to clarify 

what animals are considered bred for 

use in research under the AWA 

regulations. This term would cover 

animals that are bred in captivity and 


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6Birds are otherwise covered under the definition 

of animal in the Act and the current regulations by 

the term ‘‘warm-blooded animal.’’ 

that are being used or are intended for 

use for research, teaching, testing, or 

experimentation purposes. 

The definition of animal in the AWA 

and the regulations excludes birds, rats 

of the genus Rattus, and mice of the 

genus Mus, bred for use in research.6

Therefore, under this proposal, the 

following birds not bred for use in 

research would be covered by the 

regulations: 

• Birds that are obtained from their 

natural habitat and used or intended for 

use for research, teaching, testing, or 

experimentation purposes; and 

• Birds that are being used or 

intended for use for exhibition purposes 

or for use as pets. 

Carrier 

We would revise the definition of 

carrier to include an exemption from 

AWA licensing for anyone transporting 

a migratory bird covered under the 

MBTA from the wild to a facility for 

rehabilitation and eventual release in 

the wild, or between rehabilitation 

facilities, and who has authorization 

from USFWS for that purpose. As 

transport of such migratory birds is 

regulated by the USFWS, any person 

transporting a migratory bird is 

currently required to obtain 

authorization to do so from that agency. 

We are proposing this exception 

because APHIS and USFWS agree that 

the continued transport of MBTAcovered birds for rehabilitation without 

additional regulation is beneficial for 

species preservation and outweighs any 

potential risk to animal welfare. If 

USFWS receives animal welfare-related 

complaints about transport of such 

birds, USDA will work with that agency 

to address them. 

Exhibitor 

We would also revise the definition of 

exhibitor. Currently, an exhibitor is 

defined as ‘‘any person (public or 

private) exhibiting any animals, which 

were purchased in commerce or the 

intended distribution of which affects 

commerce, or will affect commerce, to 

the public for compensation, as 

determined by the Secretary. This term 

includes carnivals, circuses, animal 

acts, zoos, and educational exhibits, 

exhibiting such animals whether 

operated for profit or not. This term 

excludes retail pet stores, horse and dog 

races, an owner of a common, 

domesticated household pet who 

derives less than a substantial portion of 

income from a nonprimary source (as 

determined by the Secretary) for 

exhibiting an animal that exclusively 

resides at the residence of the pet 

owner, organizations sponsoring and all 

persons participating in State and 

country fairs, livestock shows, rodeos, 

field trials, coursing events, purebred 

dog and cat shows, and any other fairs 

or exhibitions intended to advance 

agricultural arts and sciences, as may be 

determined by the Secretary.’’ 

Like horse and dog races and 

purebred dog and cat shows, we 

consider pigeon races and bird fancier 

shows to be exhibitions traditionally 

intended to advance agricultural arts 

and sciences. Therefore, we would 

amend the definition of exhibitor by 

adding pigeon races and bird fancier 

shows to the list of exhibitions that are 

excluded from coverage. In addition, for 

clarity, we would add free-flighted bird 

shows as an example of a type of animal 

act that is included under the definition 

of exhibitor. 

Farm Animal; Poultry 

Currently, § 1.1 defines a farm animal 

as ‘‘any domestic species of cattle, 

sheep, swine, goats, llamas, or horses, 

which are normally and have 

historically, been kept and raised on 

farms in the United States, and used or 

intended for use as food or fiber, or for 

improving animal nutrition, breeding, 

management, or production efficiency, 

or for improving the quality of food or 

fiber. This term also includes animals 

such as rabbits, mink, and chinchilla, 

when they are used solely for purposes 

of meat or fur, and animals such as 

horses and llamas when used solely as 

work and pack animals.’’ Poultry is not 

currently defined in the AWA 

regulations. 

We are proposing to make several 

changes to the definition of farm animal 

to ensure appropriate coverage for birds. 

Like cattle, sheep, and other farm 

animals, there are domestic species of 

poultry that have historically been kept 

and raised on farms in the United States 

and used for food or fiber or for 

improving animal nutrition, breeding, 

management, or production efficiency, 

or for improving the quality of food or 

fiber. Therefore, we are proposing to 

amend this term to include such 

poultry. This proposed amendment 

would also make the definition of farm 

animal consistent with the definition of 

animal, which lists poultry as a kind of 

farm animal that is exempt from 

coverage when used or intended for use 

as food or fiber, for improving animal 

nutrition, breeding, management, or 

production efficiency, or for improving 

the quality of food or fiber. 

We are also proposing to revise farm 

animal to include animals when used 

solely for their feathers or skins. The 

proposed addition of feathers to the list 

accounts for morphological differences 

between birds and other animals and is 

the avian equivalent to the current 

inclusion of animals when used solely 

for the purposes of fur. The proposed 

addition of skins to the list reflects the 

common practice of using ostrich and 

other skins of birds for leathers. Further, 

we would add ratites (e.g., ostrich, rhea, 

or emu) to the illustrative list of animals 

that are included in this term when 

used solely for purposes of meat, fur, 

feathers, or skins. 

In addition to these changes to the 

definition of farm animal, we would 

also add a separate definition of poultry 

to the AWA regulations to clarify what 

birds are considered poultry. This term 

would be defined as any species of 

chickens, turkeys, swans, partridges, 

guinea fowl, and pea fowl; ducks, geese, 

pigeons, and doves; grouse, pheasants, 

and quail. 

Intermediate Handler 

We would amend the definition of 

intermediate handler to include an 

exemption from AWA licensing for 

anyone transporting a migratory bird 

from the wild to a facility for 

rehabilitation and eventual release in 

the wild, or between rehabilitation 

facilities, with USFWS authorization. 

Any person transporting a migratory 

bird covered under the MBTA is 

currently required to obtain 

authorization from USFWS. 

Pet Animal 

Under the current regulations, pet 

animal is defined as ‘‘any animal that 

has commonly been kept as a pet in 

family households in the United States, 

such as dogs, cats, guinea pigs, rabbits, 

and hamsters. This term excludes exotic 

animals and wild animals.’’ We are 

proposing to include birds under the 

definition of pet animal and amend the 

illustrative list of animals contained in 

the definition by adding examples of pet 

birds. Such birds would include but not 

be limited to parrots, canaries, 

cockatiels, lovebirds, and budgerigar 

parakeets. Although there are too many 

bird species that exist in the United 

States and are kept as pets to list under 

the definition, we propose to list these 

particular birds because they constitute 

the majority of birds bought and sold as 

pets in the United States and are thus 

a good illustrative example of what 

constitutes a pet bird. 


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Retail Pet Store 

Currently, a retail pet store is defined 

as ‘‘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 farmtype animals, birds, and coldblooded 

species.’’ The current definition goes on 

to exclude establishments or persons 

conducting certain activities, meaning 

that these establishments or persons do 

not meet the retail pet store definition. 

These exclusions are as follows: 

• Establishments or persons who deal 

in dogs used for hunting, security, or 

breeding purposes; 

• Establishments or persons 

exhibiting, selling, or offering to exhibit 

or sell any wild or exotic or other 

nonpet species of warmblooded animals 

(except birds), such as skunks, raccoons, 

nonhuman primates, squirrels, ocelots, 

foxes, coyotes, etc.; 

• Any establishment or person selling 

warmblooded animals (except birds, 

and laboratory rats and mice) for 

research or exhibition purposes; 

• Any establishment wholesaling any 

animals (except birds, rats, and mice); 

and 

• 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. 

We are proposing to revise the 

definition of retail pet store by removing 

the parenthetical exceptions for birds 

from the lists of exclusions above. Those 

exclusions exist as a result of the 

historical exclusion of all birds from the 

definition of animal in § 1.1 of the 

regulations and are inconsistent with 

the current definition of animal. 

Weaned 

Currently, § 1.1 defines weaned to 

mean that ‘‘an animal has become 

accustomed to take solid food and has 

so done, without nursing, for a period 

of at least 5 days.’’ We are proposing to 

amend this definition to make it 

applicable to birds. Specifically, we 

propose to add that a bird is weaned if 

it has become accustomed to take food 

and has so done, without supplemental 

feeding from a parent or human 

caretaker, for at least 5 consecutive 

days. Signs that a bird or other animal 

has become accustomed to take food 

include the animal’s ability to maintain 

a constant body weight during weaning. 

Regulations in 9 CFR Part 2 Pertaining 

to Newly Regulated Persons Under This 

Proposal 

In addition to the amendments we 

propose, newly regulated persons under 

this proposal would be subject to all 

other applicable AWA regulations in 

effect for licensing, registration, 

research, and inspections under 9 CFR 

part 2. These regulations, addressed 

below, are intended as an overview of 

how newly regulated persons 

maintaining birds as dealers or 

exhibitors may be affected. 

Under Subpart A—Licensing, persons 

who plan to maintain and use animals 

covered under the AWA regulations and 

who are not otherwise exempt from 

licensing are required to apply to APHIS 

for a license, which is valid for 3 years, 

in accordance with § 2.1, and agree to a 

prelicensing inspection demonstrating 

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. 

We are uncertain regarding the 

number of dealers and exhibitors who 

will now be subject to this licensing 

requirement, but believe, however, that 

under the regulations in part 2, many 

small bird dealers and exhibitors would 

be exempted from licensing. The retail 

pet store exemption exempts persons or 

businesses defined in § 1.1 as a retail pet 

store, which 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. Under the de 

minimis exemptions in § 2.1(a)(3), the 

income threshold exemption in that 

paragraph applies to ‘‘any person who 

sells or negotiates the sale or purchase 

of any animal except wild or exotic 

animals, dogs, or cats, and who derives 

no more than $500 gross income from 

the sale of such animals during any 

calendar year and is not otherwise 

required to obtain a license.’’ A 

licensing exemption is also provided for 

dealers who maintain four or fewer 

breeding females of pet animals, small 

exotic or wild animals, and/or 

domesticated farm type animals, and 

offer only their offspring for sale. Also, 

in § 2.1(a)(3), individuals who buy, sell, 

transport, or negotiate the sale, 

purchase, or transportation of an animal 

solely for food or fiber are exempt from 

licensing, as are exhibitors covered 

under the AWA who maintain eight or 

fewer pet animals, small exotic or wild 

animals, and/or domesticated farm type 

animals for exhibition. 

Under Subpart B—Registration, 

carriers and intermediate handlers 

newly regulated under this proposal 

would not require a license to transport 

birds, but would be required to register 

by completing and filing a form 

provided by APHIS. Registrations, 

unlike licenses, do not have an 

expiration date. 

Under Subpart C—Research facilities, 

a newly regulated research facility 

under this proposal would need to 

register by completing and filing a form 

available from APHIS. The chief 

executive officer of the newly registered 

research facility would be required to 

appoint an IACUC consisting of 

qualified persons to assess the research 

facility’s animal program, facilities, and 

procedures. Each research facility 

would also need to have an attending 

veterinarian and maintain a program of 

veterinary care. Lastly, registered 

research facilities would be required to 

maintain records of IACUC meetings, 

activities involving animals, and 

animals purchased or acquired by the 

facility. 

In addition, newly licensed dealers 

and exhibitors under part 2, subpart D, 

§ 2.40, also would be required to have 

an attending veterinarian and a program 

of veterinary care. Subpart E requires 

that dealers and exhibitors of all 

animals, except dogs and cats, delivered 

for transportation, transported, 

purchased, sold, or otherwise acquired 

or disposed of by any dealer or exhibitor 

would have to be identified by the 

dealer or exhibitor at the time of 

delivery for transportation, purchase, 

sale, acquisition or disposal, as 

provided in the subpart. Primary 

enclosures would require a means for 

identifying each of the animals within. 

Subpart F prohibits any person from 

buying, selling, exhibiting, using for 

research, transporting, or offering for 

transportation, any stolen animal. 

Subpart G would require dealers and 

exhibitors newly regulated under this 

proposal to make, keep, and maintain 

records or forms which fully and 

correctly disclose certain information as 

indicated in the subpart, concerning 

animals purchased or otherwise 

acquired, owned, held, leased, or 

otherwise in their possession or under 

their control, or which are transported, 

sold, euthanized, or otherwise disposed 

of by that dealer or exhibitor. Operators 

of an auction sale or broker would need 

to make, keep, and maintain records or 

forms which disclose the information 

indicated in the subpart concerning 

each bird consigned for auction or sold, 

whether or not a fee or commission is 


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9890 Federal Register / Vol. 87, No. 35 / Tuesday, February 22, 2022 / Proposed Rules 

7A list of migratory birds protected under the 

MBTA can be found at https://ecfr.federal

register.gov/current/title-50/chapter-I/subchapter-B/ 

part-10/subpart-B/section-10.13. 8See 50 CFR 21.12, ‘‘General exceptions to permit 

requirements.’’ Exceptions address handling and 

transport of migratory birds by certain persons and 

institutions for the purpose of ensuring their health 

and safety. 

9Regulations and permits specific to bald and 

golden eagles are located in 50 CFR part 22. 

charged. Carriers and intermediate 

handlers newly registered under this 

proposal would need to keep records 

concerning C.O.D. shipments of live 

birds. 

Subpart I includes miscellaneous 

requirements for dealers, exhibitors, 

operators of auction sales, intermediate 

handlers, and carriers. Newly regulated 

persons under this proposal would 

agree to provide any information 

concerning the business which APHIS 

may request in connection with the 

enforcement of the provisions of the 

Act, the regulations, and the standards. 

Also, each dealer, exhibitor, 

intermediate handler, and carrier would 

be required to provide APHIS officials 

with access to and inspection of 

property and records during business 

hours. Any regulated person who 

intends to exhibit an 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, is required to 

submit a written itinerary to APHIS. The 

regulations in subpart I also include 

provisions for missing animals, 

situations in which captive animals are 

determined to be suffering, and 

demonstration of adequate experience 

and knowledge of the species 

maintained. 

Lastly, under current part 2, subpart 

I, newly regulated dealers, exhibitors, 

intermediate handlers, and carriers 

under this proposal would be required 

to 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). 

Proposed Changes to 9 CFR Part 2 

The proposed amendments to the 

regulations are discussed below by 

section. In addition to these proposed 

amendments, newly regulated persons 

under this proposal would be subject to 

all other applicable AWA regulations for 

licensing, registration, research and 

inspections as summarized above. 

Requirements and Application—§ 2.1 

As noted previously, § 2.1 of the 

regulations includes requirements for 

licensing, as well as exemptions from 

licensing. One such exception in 

§ 2.1(a)(3)(vi) exempts ‘‘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).’’ To 

accommodate birds under this 

exemption, we would add ‘‘feathers’’ to 

the list of purposes for which birds are 

used. 

Paragraph (b)(1) states that licenses 

are issued to specific persons, and are 

issued for specific activities, types and 

numbers of animals, and approved sites. 

As each license specifies the numbers 

and types of animals that a licensee can 

maintain, under paragraph (b)(2)(ii) a 

licensee is required to obtain a new 

license before acquiring or using any 

covered animal beyond those types or 

numbers of animals specifically 

authorized under the existing license. 

We are aware that a number of 

currently licensed facilities, in addition 

to maintaining mammals of various 

types, are also maintaining birds that 

might be covered under the proposed 

changes to the regulations. These birds 

are not currently listed on the license. 

However, in order to minimize 

redundant administrative burden on 

these facilities, we would not require 

that they apply for a new license only 

for the purpose of meeting the effective 

date of these proposed regulations, if 

promulgated. Therefore, we propose to 

add a statement to § 2.1(b)(2)(ii) 

explaining that a current licensee with 

birds is not required to apply for a new 

license until the recommended 90 days 

prior to the scheduled expiration date of 

that license (APHIS encourages such 

persons to apply for a new license at 

least 90 days before expiration of the 

current one). Licenses are valid for 3 

years. We would also add to paragraph 

(b)(2)(ii) a reference to proposed subpart 

G in part 3, which lists standards for 

birds, and an effective date. 

APHIS intends to provide guidance to 

both new and current licensees through 

documents, guides, and training to help 

them achieve compliance with the new 

regulations for birds. We invite potential 

licensees and other interested persons to 

comment on the types of training and 

guidance they need and the modes by 

which it might be best provided. 

Birds Covered Under the Migratory Bird 

Treaty Act 

The MBTA implements a series of 

treaties between the United States and 

Canada, Mexico, Japan, and Russia 

intended to protect and sustain 

populations of migratory birds. Under 

regulations developed and enforced by 

USFWS, the MBTA prohibits the take 

(including killing, capturing, selling, 

trading, and transport) of protected 

migratory bird species without prior 

authorization.7 With some exceptions,8

any activity involving the use, 

possession, or transport of a migratory 

bird, or the parts, nests, or eggs of such 

birds, requires a USFWS permit specific 

to the activity. Types of migratory bird 

permits and their provisions, listed in 

50 CFR part 21, subpart C, include but 

are not limited to those intended for 

import or export, scientific collecting, 

falconry, raptor propagation, and 

rehabilitation.9

As noted above, the 2002 

amendments to the AWA by Congress 

subjected birds to regulation under the 

AWA, which does not distinguish 

migratory birds from other birds and 

therefore does not exclude them from 

regulation under its authority. Although 

migratory birds are currently covered 

under the MBTA and its regulations, the 

primary purpose of the MBTA is to 

sustain native populations of such birds 

rather than to establish specific 

standards of care and humane treatment 

for birds in captivity. For this reason, 

we acknowledge that a small number of 

persons maintaining captive migratory 

birds for some activities under USFWS 

regulation would also fall under AWA 

coverage and potentially be subject to 

APHIS regulation. In particular, some 

persons currently authorized under 

permit by USFWS to exhibit or breed 

migratory birds may be required to 

follow AWA regulations and obtain a 

license from APHIS to ensure that such 

birds are receiving humane care and 

treatment. 

As noted above, we propose to revise 

the definitions of carrier and 

intermediate handler in § 1.1 to include 

an exemption from AWA registration for 

anyone transporting a migratory bird 

covered under the MBTA from the wild 

to a facility for rehabilitation and 

eventual release in the wild, or between 

rehabilitation facilities. 

APHIS continues to work closely with 

USFWS to determine situations where 

regulatory overlap may occur, and both 

agencies are coordinating efforts in 

order to minimize dual regulation of 

persons possessing and using migratory 

birds for breeding, exhibition, 

education, and research. To help us 

reduce regulatory burden on such 

persons, we invite comments that 

address specific activities and concerns 


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10APHIS has issued guidance exempting field 

studies, defined by APHIS as studies conducted on 

free-living wild animals in their natural habitat, 

from this requirement. However, this term excludes 

any study that involves an invasive procedure, 

harms, or materially alters the behavior of an 

animal under study. For more detail, see the APHIS 

Tech Note, ‘‘Research Involving Free-living Wild 

Animals in Their Natural Habitat,’’ at https://

www.aphis.usda.gov/animal_welfare/downloads/ 

tech-note-free-living-wild-animals.pdf. 

11 Guide for the Care and Use of Laboratory 

Animals, 8th Edition, National Research Council: 

https://grants.nih.gov/grants/olaw/guide-for-thecare-and-use-of-laboratory-animals.pdf. Page 144 of 

the Guide states that, ‘‘for most survival surgery 

performed on rodents and other small species such 

as aquatics and birds, an animal procedure 

laboratory is recommended; the space should be 

dedicated to surgery and related activities when 

used for this purpose, and managed to minimize 

contamination from other activities conducted in 

the room at other times.’’ [Our emphasis.] In other 

words, a surgical area for rodents and birds is not 

exclusively intended for that purpose as it is for 

higher vertebrate species. 

involving migratory birds potentially 

covered under both APHIS and USFWS 

regulations. 

Registration Requirements and 

Procedures—§ 2.25 

Section 2.25 provides in part that 

each carrier and intermediate handler is 

required to register with the Secretary 

by completing a form furnished, upon 

request, by the Deputy Administrator. 

This requirement typically applies to 

persons who transport AWA-covered 

animals. Persons already registered to 

transport other animals would not be 

required to update their registration to 

transport birds. 

We note that some persons transport 

wild migratory birds between 

rehabilitation facilities and the wild as 

part of conservation projects. As the 

transport of migratory birds covered 

under the MBTA requires authorization 

by USFWS under regulations in 50 CFR 

parts 21 and 22, we would not require 

that such transporters register with 

APHIS. Accordingly, we would revise 

the definitions of carrier and 

intermediate handler to exempt such 

persons from AWA licensing. 

Institutional Animal Care and Use 

Committee (IACUC)—§ 2.31(d) 

Under § 2.31 of the regulations, each 

registered research facility must 

establish an IACUC to assess its animal 

program, facilities, and procedures. The 

IACUC must have at least three 

members, one of whom must 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. Another 

member must not be affiliated with the 

facility at all, and is intended to provide 

representation for general community 

interests. In order to approve proposed 

activities or proposed significant 

changes in ongoing activities, paragraph 

(d) of § 2.31 requires that the IACUC 

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 the regulations, unless acceptable 

justification for a departure is presented 

in writing.10 The IACUC is also required 

to determine that the proposed activities 

or significant changes in ongoing 

activities meet a number of 

requirements, including ones related to 

activities that involve surgery. We are 

proposing no additional requirements 

for IACUC membership, but research 

facilities that use birds not bred for use 

in research could choose to enlist 

additional IACUC members with avian 

expertise. 

Under current § 2.31(d)(1)(ix), 

activities that involve surgery must 

include appropriate provision for preoperative and post-operative care of the 

animals in accordance with established 

veterinary medical and nursing 

practices, which means that survival 

surgery must be performed using aseptic 

procedures, including surgical gloves, 

masks, and sterile instruments. Major 

operative procedures on non-rodents 

must be conducted only in facilities 

intended for that purpose and must be 

operated and maintained under aseptic 

conditions. Non-major operative 

procedures and all surgery on rodents 

do not require a dedicated facility but 

also 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. 

We would apply the same 

requirements for operative procedures 

for birds as we do for rodents in 

§ 2.31(d)(ix). Our determination for this 

decision is twofold. First, we are 

aligning our requirements with U.S. 

Public Health Service policy for the 

humane care and use of laboratory 

animals, which does not require a 

separate, dedicated surgical area for 

rodents, but does require a surgical area 

used solely for survival surgeries 

involving higher vertebrate species.11

Second, we have considered the 

operative conditions and practices for 

rodents and concluded that they would 

be humane and consistent with the 

AWA if applied to birds. As we noted 

above, the surgical standards currently 

listed in § 2.31(d)(1)(ix) include 

appropriate provisions for aseptic 

surgery and pre-operative and postoperative care of the animals in 

accordance with established veterinary 

medical and nursing practices, which 

apply regardless of whether or not the 

surgery is performed in a dedicated 

facility used wholly for that purpose. 

Moreover, under current § 2.31(d)(1)(ix), 

medical care for all AWA-covered 

animals at a registered research facility 

is required to be available and provided 

as necessary by a qualified veterinarian. 

Time and Method of Identification— 

§ 2.50 

We are proposing to amend § 2.50 of 

the regulations, which addresses 

methods of identifying animals. 

Currently, paragraph (e)(1) requires 

dealers and exhibitors to identify all 

animals, except for dogs and cats, 

delivered for transportation, 

transported, purchased, sold, or 

otherwise acquired or disposed of, at the 

time of delivery for transportation, 

purchase, sale, acquisition, or disposal. 

Paragraph (e)(2) requires such animals, 

when confined to a primary enclosure, 

to be identified using one of three 

methods: (1) A label attached to the 

primary enclosure that bears a 

description of the animals in the 

primary enclosure; (2) 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 description of 

the animals; or (3) a tag or tattoo applied 

to each animal in the primary enclosure 

that individually identifies each animal 

by description or number. When such 

an animal is not confined to a primary 

enclosure, paragraph (e)(3) provides that 

the animal must be identified on a 

record that must be kept and maintained 

by a dealer or exhibitor as part of his or 

her records. 

Labels attached to primary enclosures, 

leg and wing bands, and transponders 

(also referred to as microchips) are 

preferred methods of identification for 

birds. These methods are commonly and 

safely used to identify birds in all 

segments of the avian industry that we 

would regulate. The ability to identify 

animals is a part of basic animal 

husbandry and allows for APHIS to 

track animals to monitor movement. 

Therefore, we propose to require dealers 

and exhibitors to identify their birds 

that are confined to a primary enclosure 

using one of the following: (1) A label 

attached to the primary enclosure that 

bears a description of the birds in the 

primary enclosure, including the 

number and species of birds and any 

distinctive physical features or 

identifying marks of the birds; (2) a leg 

or wing band applied to each bird in the 

primary enclosure by the dealer or 


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9892 Federal Register / Vol. 87, No. 35 / Tuesday, February 22, 2022 / Proposed Rules 

exhibitor that individually identifies 

each bird by description or number; or 

(3) a transponder (microchip) placed in 

a standard anatomical location for the 

species in accordance with currently 

accepted professional standards, 

provided that the facility has a 

compatible transponder reader that is 

capable of reading the transponder and 

that the reader is readily available for 

use by an APHIS official and/or facility 

employee accompanying the APHIS 

official. We would add these proposed 

requirements as a new paragraph (e)(2) 

in § 2.50 and redesignate current 

paragraphs (e)(2) and (3) as paragraphs 

(e)(3) and (4), respectively, to 

accommodate that new paragraph. Birds 

that are not confined to a primary 

enclosure would be subject to the 

identification requirements contained in 

redesignated paragraph (e)(4) (current 

paragraph (e)(3)). Under that paragraph, 

such birds would have to be identified 

on a record, as required by § 2.75 of the 

regulations, which would have to 

accompany the bird at the time it is 

delivered for transportation, 

transported, purchased, or sold, and 

would have to be kept and maintained 

by the dealer or exhibitor as part of his 

or her records. 

Records: Dealers and Exhibitors—§ 2.75 

Currently, § 2.75(b)(1) of the 

regulations requires that dealers (other 

than operators of auction sales and 

brokers to whom animals are consigned) 

and exhibitors make, keep, and 

maintain records or forms which fully 

and correctly disclose certain 

identification and disposition 

information concerning animals other 

than dogs and cats that are purchased or 

otherwise acquired, owned, held, 

leased, or otherwise in their possession 

or under their control, or that they 

transport, sell, euthanize, or otherwise 

dispose of. Among other things, the 

records must include any offspring born 

of any animal while in the dealer’s or 

exhibitor’s possession or under his or 

her control. 

We propose to apply these 

recordkeeping requirements to dealers 

and exhibitors of birds and would apply 

to all birds covered under the AWA. 

While we acknowledge that some 

stakeholders commented that 

maintaining records of individual birds 

in large flocks is infeasible, we consider 

an accounting of each covered animal 

important for the purposes of ensuring 

adequate animal welfare for every 

animal. For example, among other 

purposes, it is necessary in order to 

account for additions of covered 

animals to the inventory at the facility, 

as well as mortalities. The only change 

that would be necessary in § 2.75(b)(1) 

to reflect its applicability to dealers and 

exhibitors of birds would be to add the 

words ‘‘or hatched’’ after the word 

‘‘born’’ in the previously cited provision 

regarding records for offspring born to 

animals while they are under a dealer’s 

or exhibitor’s possession or control. 

Records: Operators of Auction Sales and 

Brokers—§ 2.76 

Section 2.76 requires that operators of 

auction sales and brokers maintain 

records for any animal consigned for 

auction or sold, whether or not a fee or 

commission is charged. Paragraph (a) of 

§ 2.76 provides that those records must 

include such information as the name 

and address of the buyer or consignee 

who received the animal, the USDA 

license or registration number (if 

applicable) of the person selling, 

buying, or receiving the animals, the 

date of consignment, the band, 

microchip, or other durable 

individualized identification method 

assigned to the animal under § 2.50 or 

§ 2.54, and a description of each animal. 

Currently, § 2.76(a)(7) requires a 

description of each animal that includes 

the species and breed or type of animal, 

the sex of the animal, the date of birth 

or approximate age, and the color and 

any distinctive markings. 

Because the sex of some birds may not 

be readily determinable, we are 

proposing to amend paragraph (a)(7) to 

require operators of auction sales and 

brokers to record the sex of a bird only 

if it is readily determinable. To reflect 

the fact that birds lay eggs, rather than 

give birth to live young, we would also 

add the words ‘‘or hatch date’’ after the 

words ‘‘date of birth’’ in paragraph 

(a)(7)(iii). 

The regulations currently allow 

operators of auction sales and brokers to 

provide an approximate age in lieu of an 

animal’s date of birth in those instances 

where the exact date of birth of the 

animal is unknown. We recognize that 

it is sometimes difficult to even estimate 

the approximate age of certain species of 

birds, so we also would allow the 

approximate developmental stage of an 

animal to be provided if the date of birth 

or hatch date is unknown. For example, 

an operator of an auction sale or broker 

who does not know the hatch date or 

approximate age of a bird may disclose 

that the bird is a chick, juvenile, or 

adult on the records or forms 

maintained for that bird in accordance 

with § 2.76 of the regulations. 

Proposed Standards in 9 CFR Part 3 

As we noted above, the Act authorizes 

the Secretary of Agriculture to 

promulgate standards governing the 

humane handling, care, treatment, and 

transportation of covered animals by 

dealers, research facilities, exhibitors, 

operators of auction sales, and carriers 

and intermediate handlers. For dealers, 

research facilities, and exhibitors of 

animals covered by the Act, such 

standards must include minimum 

requirements for handling, housing, 

feeding, watering, sanitation, 

ventilation, shelter from extreme 

weather and temperatures, adequate 

veterinary care, and separation by 

species where necessary. 

The standards relating to the humane 

handling, care, treatment, and 

transportation of animals currently 

covered by the AWA are contained in 9 

CFR part 3, subparts A though F. 

Subparts A through E contain specific 

standards for dogs and cats, guinea pigs 

and hamsters, rabbits, nonhuman 

primates, and marine mammals 

respectively, while subpart F sets forth 

general standards for warmblooded 

animals not otherwise specified in that 

part. In this document, we are proposing 

to add a new subpart G to contain 

standards for birds. 

The proposed standards for birds are 

divided into three broad areas: Facilities 

and operating standards; animal health 

and husbandry standards; and 

transportation standards. The standards 

in these areas address requirements 

under the Act. In the listening sessions 

held on this rulemaking, many 

commenters asked that we consider 

standards for birds that are flexible 

enough to ensure their species-specific 

needs are met. Many commenters also 

stated that, given the vast number of 

bird species, prescriptive standards 

would generally be impracticable and 

burdensome to the aviculture 

community. We agree with commenters 

on these points and have developed the 

proposed standards accordingly. As a 

whole, these standards provide APHIS 

the means to effectively measure 

compliance and ensure animal welfare, 

while also affording breeders, dealers, 

exhibitors, and transporters flexibility to 

implement the standards using the 

expertise and knowledge they have of 

their particular birds. On this point, we 

invite comments on ways that APHIS 

might assist regulated entities with 

implementation of these standards, 

whether through documents, guides, 

training, or other means. The standards 

for proposed Subpart G—Specifications 

for the Humane Handling, Care, 

Treatment, and Transportation of Birds 

are discussed below by topic. 


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Federal Register / Vol. 87, No. 35 / Tuesday, February 22, 2022 / Proposed Rules 9893 

Facilities and Operating Standards 

Facilities, General 

Facilities, General: Structure; 

Construction—Proposed § 3.150(a) 

Housing facilities must be safe and 

secure not only for birds but also for the 

persons attending to them and to the 

general public. As we noted above, the 

current regulations in part 3 for animals 

include requirements for housing that 

consider both animal and human safety. 

Therefore, we are proposing in 

§ 3.150(a) to require that housing 

facilities for birds be designed and 

constructed so that they are structurally 

and safely sound for the species of bird 

housed in them. We would also require 

that they be kept in good repair, protect 

the birds from injury, and restrict the 

entry of other animals. The facilities 

would have to employ security 

measures that contain all the birds 

securely. Such measures may include 

safety doors, entry/exit doors to the 

primary enclosure that are doubledoored, or other equivalent systems 

designed to prevent escape of the birds. 

For birds that are flight-restricted or 

cannot fly and are allowed to roam free 

within the housing facility or a portion 

thereof, we would require that the birds 

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 

observed by staff. 

Facilities, General: Condition and Site— 

Proposed § 3.150(b) 

Housing facilities and areas used for 

storing animal food or bedding would 

have to be adequately free of any 

accumulation of trash, waste material, 

other discarded materials, junk, weeds, 

and brush. We would also require that 

such areas be kept neat and free of 

clutter, including equipment, furniture, 

and stored material, except for materials 

actually used and necessary for cleaning 

the area, and fixtures or equipment 

necessary for proper husbandry 

practices and research needs. 

Facilities, General: Surfaces—Proposed 

§ 3.150(c) 

The surfaces of housing facilities 

would have to 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 or soiled. Interior surfaces 

and surfaces that come in contact with 

birds would also have to be nontoxic to 

the bird, free of rust or damage that 

affects the structural integrity of the 

surface or prevents cleaning, and free of 

jagged edges or sharp points that could 

injure the birds. This proposed standard 

would allow for thorough cleaning of 

the primary enclosure to prevent 

bacterial, excrement, or other organic 

buildup that could be a health hazard to 

the birds. It would also ensure that the 

birds are contained securely and that 

the surfaces that come in contact with 

the birds are not harmful to them. 

Facilities, General: Water and Electric 

Power—Proposed § 3.150(d) 

A reliable source of water and power 

must be available. Therefore, we are 

proposing that the facility must have 

reliable electric power adequate for 

heating, cooling, ventilation, and 

lighting, and for carrying out other 

husbandry requirements in accordance 

with the proposed standards for birds. 

We also propose that the facility provide 

adequate potable water for the birds’ 

drinking needs and adequate water for 

cleaning and carrying out other 

husbandry requirements. 

Facilities, General: Storage—Proposed 

§ 3.150(e) 

Supplies of food, including food 

supplements, bedding, and substrate, 

would have to be stored in a manner 

that protects the supplies from spoilage, 

contamination, and vermin infestation. 

We would require that the supplies be 

stored off the floor and away from the 

walls, to allow cleaning underneath and 

around the supplies. All food would 

have to be stored at appropriate 

temperatures and in a manner that 

prevents contamination and 

deterioration of its nutritive value, and 

food would not be allowed to be used 

beyond its shelf-life date or expiration 

date listed on the label. All open 

supplies of food and bedding would 

have to be kept in waterproof containers 

with tightly fitting lids to prevent 

deterioration and contamination, except 

for live, frozen, or refrigerated food. We 

would also require that live food be 

maintained in a manner to ensure 

wholesomeness. We would also provide 

that substances such as cleaning 

supplies and disinfectants that are 

harmful to birds but required for normal 

husbandry practices may 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. Finally, we 

would prohibit animal waste and dead 

animals and animal parts not intended 

for food from being kept in food storage 

or food preparation areas, food freezers, 

food refrigerators, and animal areas. 

Facilities, General: Waste Disposal— 

Proposed § 3.150(f) 

Proper waste disposal is essential in 

maintaining the cleanliness and sanitary 

condition of facilities housing birds and 

directly affects the health and wellbeing of such animals. Therefore, we are 

proposing to require that housing 

facility operators 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. We would 

require that trash containers in housing 

facilities and in food storage and food 

preparation areas be leakproof and have 

tightly fitted lids. 

Facilities, General: Drainage—Proposed 

§ 3.150(g) 

Proper drainage must be provided in 

order to maintain cleanliness and 

sanitary conditions. Therefore, we are 

proposing the following standards: 

• Housing facilities would have to 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 and the 

animals have the option of remaining 

dry. We would require that any pool or 

other aquatic area be maintained in 

accordance with the regulations in 

proposed § 3.157, which are discussed 

below. 

• Disposal and drainage systems 

would have to minimize vermin and 

pest infestation, insects, odors, and 

disease hazards. 

• All drains would have to be 

properly constructed, installed, and 

maintained so that they effectively drain 

water. If closed drainage systems are 

used, they would have to 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 would have to 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 would have to be 

rapidly drained out of the animal areas 

by gutters or pipes so that the animals 

have the option of remaining dry. 


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9894 Federal Register / Vol. 87, No. 35 / Tuesday, February 22, 2022 / Proposed Rules 

Facilities, General: Toilets, Washrooms, 

and Sinks—Proposed § 3.150(h) 

Toilets and washing facilities, such as 

washrooms, basins, sinks, or showers, 

would have to be provided for and be 

readily accessible to animal caretakers. 

Facilities, Indoor 

Facilities, Indoor: Temperature and 

Humidity—Proposed § 3.151(a) 

Maintaining appropriate air 

temperature and humidity levels and, if 

present, pool or other aquatic area (e.g., 

ponds, waterfalls, fountains, and other 

water features) temperature is vital to 

the health and well-being of birds. 

Therefore, we would require that the air 

temperature and humidity levels and, if 

present, pool or other aquatic area 

temperatures in indoor facilities be 

sufficiently regulated and appropriate to 

the bird species to protect them against 

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. 

Prescribed temperature and humidity 

levels would be part of the written 

program of veterinary care or part of the 

full-time veterinarian’s records. 

Facilities, Indoor: Ventilation— 

Proposed § 3.151(b) 

Ventilation is important to ensure that 

birds are provided adequate fresh air for 

their respiratory needs in both quantity 

and quality. Therefore, we would 

require that indoor housing facilities be 

sufficiently ventilated at all times when 

birds are present to provide for their 

health, to prevent their discomfort or 

distress, accumulations of moisture 

condensation, odors, and levels of 

ammonia, chlorine, and other noxious 

gases. We would also require that the 

ventilation system minimize any drafts. 

Facilities, Indoor: Lighting—Proposed 

§ 3.151(c) 

Indoor housing facilities would need 

to have lighting, by natural or artificial 

means, or both, of appropriate quality, 

distribution, and duration for the bird 

species. We would require that such 

lighting be sufficient to permit routine 

inspection and cleaning and be 

designed to protect the birds from 

excessive illumination that may cause 

discomfort or distress. 

Facilities, Indoor: Indoor Pool and Other 

Aquatic Areas—Proposed § 3.151(d) 

Indoor pools or other aquatic areas 

(e.g., ponds, waterfalls, fountains, and 

other water features) would have to 

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. 

Facilities, Outdoor 

Facilities, Outdoor: Acclimation— 

Proposed § 3.152(a) 

Birds come from a great variety of 

climatic conditions. There is also a wide 

range of climatic conditions within the 

United States. Outdoor housing 

facilities are completely dependent on 

the local environmental conditions. 

Therefore, we are proposing that birds 

may not be housed in outdoor facilities 

unless the air humidity and temperature 

ranges they may encounter do not 

adversely affect their health and 

comfort. This provision would also 

apply to the temperature of pools and 

other aquatic areas (ponds, waterfalls, 

fountains, and other water features). 

Further, we would provide that 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. 

Facilities, Outdoor: Shelter From 

Inclement Weather—Proposed 

§ 3.152(b) 

Outdoor housing facilities would have 

to provide adequate shelter, appropriate 

to the species and physical condition of 

the birds, for the local climatic 

conditions, in order to protect the birds 

from any adverse weather conditions. 

We would require that such shelters be 

adequately ventilated in hot weather 

and have one or more separate areas of 

shade or other effective protection that 

is large enough to contain all the birds 

at one time and prevent their discomfort 

from direct sunlight, precipitation, or 

wind. The shelter would have to 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, we 

would make it explicit that such 

shelter(s) would have to 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. 

Primary Enclosures 

Primary Enclosures: General 

Requirements—Proposed § 3.153(a) 

Primary enclosures would have to be 

designed and constructed of suitable 

materials so that they are structurally 

sound. We would also require that the 

primary enclosures be kept in good 

repair and be constructed and 

maintained so that they: 

• Have no sharp points or edges that 

could injure the birds; 

• Protect the birds from injury; 

• Contain the birds securely; 

• Restrict other animals from entering 

the enclosure; 

• Ensure that birds have the option to 

remain dry and clean; 

• Provide shelter and protection for 

each bird from climatic and 

environmental conditions that may be 

detrimental to its health and well-being; 

• 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; 

• Provide all the birds with easy and 

convenient access to clean food and 

potable water; 

• Ensure that all surfaces in contact 

with the birds may be readily cleaned 

and/or sanitized in accordance with 

proposed § 3.158 of the regulations, or 

be replaced when worn or soiled; and 

• Have floors that are constructed in 

a manner that protects the birds’ feet 

and legs from injury. If flooring material 

is suspended, it would have to be 

sufficiently taut to prevent sagging 

under the birds’ weight. If substrate is 

used in the primary enclosure, the 

substrate would have to be clean and 

made of a suitably absorbent material 

that is safe and nontoxic to the birds. 

In addition, we would require that 

furniture-type objects, such as perches 

and other objects that enrich a bird’s 

environment, be species-appropriate 

and designed, constructed, and 

maintained so as to prevent harm to the 

birds. If the enclosure houses birds that 

rest by perching, there would have to 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. 

Finally, we would require primary 

enclosures that are adjacent to one 

another or that share a common side 

with another enclosure to 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. 


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Federal Register / Vol. 87, No. 35 / Tuesday, February 22, 2022 / Proposed Rules 9895 

Primary Enclosures: Space 

Requirements—Proposed § 3.153(b) 

Space requirements for the wide 

variety of birds that are subject to the 

Act are quite variable. Therefore, the 

proposed space requirements contained 

in this proposal are performance-based 

standards intended to provide adequate 

space to ensure the health and wellbeing of the birds. The primary 

enclosures would have to be 

constructed and maintained 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 by other animals in the 

enclosure according to the program of 

veterinary care developed, documented 

in writing, and signed by the attending 

veterinarian. The attending veterinarian 

for a facility, whether full- or part-time, 

would need to document and maintain 

a record that the space in all enclosures 

housing birds are adequate and allow 

for normal postural and social 

adjustments. Inadequate space may be 

indicated by evidence of malnutrition, 

poor condition, debility, stress, or 

abnormal behavior patterns. 

We would provide three exceptions to 

this space requirement. First, we are 

proposing that the species-typical 

postural or social adjustments of a bird 

may be restricted when the attending 

veterinarian determines that allowing 

the bird to make normal postural and 

social adjustments would be detrimental 

to its good health and well-being. We 

propose that the species-typical postural 

or social adjustments of a bird may be 

restricted—for instance, in the case of a 

bird having undergone a medical 

procedure whose recovery could be 

adversely impacted unless movement is 

restricted—where the attending 

veterinarian determines that making 

normal postural and social adjustments 

would be detrimental to the bird’s good 

health and recovery. The attending 

veterinarian would have to document 

the reason and recommended duration 

for the restriction and make such 

records available for review by an 

APHIS inspector. 

Second, we would provide that a 

bird’s normal postural and social 

adjustments may be restricted where the 

bird is tethered in accordance with 

professionally accepted standards. We 

would provide that a bird may only be 

tethered if: (1) It is appropriate for the 

species; (2) it will not cause any form of 

harm to the bird; (3) the bird is 

maintained on a perch appropriate for 

the species and age of the bird while 

tethered; (4) the bird has sufficient 

space to fully extend its wings without 

obstruction; and (5) the tether does not 

entangle the bird. 

Third, we would provide that, when 

dealers, exhibitors, and research 

facilities breed or intend to breed their 

birds, such birds would have to 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. 

Fourth, we would provide that birds 

intended for breeding sale, in need of 

medical care, exhibited in traveling 

exhibits, or traveling for other reasons 

would have to be kept in enclosures 

that, at minimum, meet the 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 

proposed § 3.162. At all other times, we 

would require that birds be housed in 

enclosures that meet the space 

requirements of this section. 

Primary Enclosures: Special Space 

Requirements for Wading and Aquatic 

Birds—Proposed § 3.153(c) 

Wading and aquatic birds are active 

on both land and water and require 

access to pools or other aquatic areas 

(e.g., ponds, waterfalls, fountains, and 

other water features) to ensure their 

health and well-being. Therefore, we are 

proposing to require that primary 

enclosures housing wading and aquatic 

birds contain a pool or other aquatic 

area and a dry activity area that allows 

easy ingress or egress of the pool or 

other aquatic area. We would require 

that the pool or other aquatic area 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. Similarly, the dry areas 

would have to 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. 

Environment Enhancement To Promote 

Psychological Well-Being—Proposed 

§ 3.154 

As evidenced by first-hand 

observation and scientific studies, many 

species of birds exhibit a level of 

intelligence and an ability to solve 

problems approaching that of higher 

mammals. As the regulations in subpart 

D, § 3.81, require a plan to provide 

environmental enhancement for 

nonhuman primates that includes social 

grouping and enrichment requirements, 

we are likewise proposing a set of 

requirements specifically for birds in a 

proposed § 3.154. 

Under the proposed requirements, 

dealers, exhibitors, and research 

facilities would need to develop, 

document, and follow a speciesappropriate plan for environment 

enhancement adequate to promote the 

psychological well-being of birds. The 

plan, which would be part of the 

required program of veterinary care, 

would have to be approved by a 

veterinarian and be in accordance with 

the other regulations proposed in 

Subpart G—Specifications for the 

Humane Handling, Care, Treatment, and 

Transportation of Birds. The plan would 

also have to conform with currently 

accepted professional standards. 

We note that environmental 

enhancements, while essential to the 

psychological well-being of many birds, 

do not typically require extensive or 

costly facility modifications. Depending 

on the species, enhancement actions in 

a plan could include ensuring that birds 

are kept in appropriate social groupings, 

that they are given opportunities to 

forage, or that they have access to 

species-appropriate perches and 

chewing materials. 

The plan for environment 

enhancement would be made available 

to APHIS upon request, and also, in the 

case of research facilities, to officials of 

any pertinent funding agency. The plan, 

at a minimum, would need to address 

social grouping needs, environmental 

enrichment, special considerations for 

young birds and birds needing to be 

isolated due to aggression or disease, 

use of restraints, and birds exempted 

from the plan. 

Environment Enhancement To Promote 

Psychological Well-Being: Social 

Grouping—Proposed § 3.154(a) 

Under proposed § 3.154(a), the 

environment enhancement plan would 

need to include specific provisions to 

address the social needs of birds of 

species known to exist in social groups 

in nature. Such specific provisions 

would have to be in accordance with 

currently accepted professional 

standards. Birds that are overly 

aggressive, debilitated, or in need of 

isolation due to a contagious disease 

may be excepted from social grouping 

requirements. One or more birds 


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9896 Federal Register / Vol. 87, No. 35 / Tuesday, February 22, 2022 / Proposed Rules 

suspected of contagious diseases may be 

isolated from healthy animals prior to 

and as directed by the attending 

veterinarian or as instructed in the 

program of veterinary care. When an 

entire group or room of birds is known 

to have been or believed to be exposed 

to an infectious agent, the group could 

be kept intact during the process of 

diagnosis, treatment, and control. 

We also propose to require that birds 

may only be housed with other animals, 

including members of their own species, 

if 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 wellbeing of each other. We would require 

that bird compatibility be determined in 

accordance with generally accepted 

professional practices and observations 

by the attending veterinarian during his 

or her regularly scheduled visits to the 

facility. In addition, we would require 

that individually housed social species 

of birds are able to see and hear birds 

of their own or compatible species 

unless determined otherwise by the 

veterinarian. 

Environment Enhancement To Promote 

Psychological Well-Being: 

Environmental Enrichment—Proposed 

§ 3.154(b) 

Proposed § 3.154(b) would require 

that the plan address species-specific 

environmental enrichment for birds. 

Under this requirement, the plan would 

include enrichment materials or 

activities that would provide the birds 

with the means to express noninjurious 

species-typical activities. Examples of 

environmental enrichments could 

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. 

Environment Enhancement To Promote 

Psychological Well-Being: Special 

Considerations—Proposed § 3.154(c) 

Proposed paragraph (c) would require 

that special considerations for certain 

birds be included in the enhancement 

plan. Such birds, determined based on 

the needs of the individual species and 

under the instructions of the attending 

veterinarian, include infants and young 

juveniles, birds showing signs of 

psychological distress through behavior 

or appearance, birds used in research for 

which an IACUC-approved protocol 

requires restricted activity, and 

individually housed social species of 

birds that are unable to see and hear 

birds of their own or compatible 

species. 

Environment Enhancement To Promote 

Psychological Well-Being: Restraint 

Devices—Proposed § 3.154(d) 

We would impose restrictions on 

restraint devices in proposed paragraph 

(d). Birds would not be permitted to be 

maintained in restraint devices unless 

required for health reasons as 

determined by the attending 

veterinarian or approved by a research 

facility. Any restraining actions would 

have to be for the shortest period 

possible. If the bird is to be restrained 

for more than 12 hours, it must be 

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. 

Environment Enhancement To Promote 

Psychological Well-Being: 

Exemptions—Proposed § 3.154(e) 

Proposed § 3.154(e) would provide 

that the attending veterinarian may 

exempt a bird from participation in the 

environment enhancement plan due to 

considerations of health or condition 

and well-being. The basis of the 

exemption would have to be recorded 

by the attending veterinarian for each 

exempted bird. Unless the exemption is 

based on a permanent condition, we 

would require a review of the 

exemption by the attending veterinarian 

every 30 days. 

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. 

Finally, we would also require in 

paragraph (e) that records of any 

exemptions must be maintained by the 

dealer, exhibitor, or research facility for 

at least 1 year in accordance with § 2.80 

and must be made available to APHIS 

officials, and also to officials of any 

pertinent funding agency upon request. 

Animal Health and Husbandry 

Standards 

Feeding—Proposed § 3.155 

The nutritional needs of birds vary 

greatly. Therefore, we are proposing a 

general feeding standard that is flexible 

enough to ensure the health and wellbeing of all birds. Specifically, we 

would require that the diet be 

appropriate for the species, size, age, 

and condition of the bird. The food 

would have to be wholesome, palatable 

to the birds, and free of contamination. 

The food would also have to 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. 

We would require that birds be fed at 

least once a day except as directed by 

the attending veterinarian. If birds are 

maintained in group housing, measures 

appropriate for the species would have 

to be taken to ensure that all the birds 

receive a sufficient quantity of food. For 

example, for some flighted birds, such 

measures may include locating multiple 

food receptacles at different levels in the 

enclosure to ensure that all the birds 

have access to food receptacles and the 

food contained therein, including birds 

that are ranked low in a dominance 

hierarchy. 

Food and, if used, food receptacles 

would have to be readily accessible to 

all the birds being fed. Food and any 

food receptacles would have to be 

located so as to minimize any risk of 

contamination by excreta, precipitation 

(e.g., rain, hail, and snow), and pests. 

Food receptacles and feeding areas 

would have to be kept clean and 

sanitized in accordance with proposed 

§ 3.158. Used food receptacles would 

have to be cleaned and sanitized before 

they can be used to provide food to 

birds maintained in a separate 

enclosure. We would also require that 

measures 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 would 

have to be made of a durable material 

that can be easily cleaned and sanitized 

or replaced when worn or soiled. 

Group-housed birds would have to have 

multiple food receptacles where needed 

to ensure that all birds have access to 

sufficient feed. 

Watering—Proposed § 3.156 

Under proposed § 3.156, potable 

water would have to 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 would need to be offered to them as 

often as necessary to ensure their health 

and well-being. In addition, water 

receptacles would have to be kept clean 

and sanitized in accordance with 

§ 3.158 as often as necessary to keep 

them free of contamination. Used water 


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receptacles must be cleaned and 

sanitized before they may be used to 

provide water to birds maintained in a 

separate enclosure. Finally, grouphoused birds would have to have 

multiple water receptacles where 

needed to ensure that all birds have 

access to sufficient water. 

Water Quality—Proposed § 3.157 

Water quality is important for birds 

active on both land and water, and at 

least minimum water quality standards 

need to be maintained for the good 

health and well-being of the animals. 

Therefore, we are proposing that, if the 

primary enclosure or other areas in 

which birds may enter contain pools or 

other aquatic areas (e.g., ponds, 

waterfalls, fountains, and other water 

features), such areas must not be 

detrimental to the health of the birds 

contained therein. Particulate animal 

and food waste, trash, or debris that 

enters such pools or other aquatic areas 

would have to be removed as often as 

necessary to maintain the required 

water quality and minimize health 

hazards to the birds. Pools or other 

aquatic areas that are equipped with 

drainage systems would have to provide 

adequate drainage so that all of the 

water contained in such areas may be 

effectively eliminated when necessary 

to clean the pool or other aquatic area 

and for other purposes while not risking 

harm to birds. Pools or other aquatic 

areas with standing water, such as some 

ponds, would have to be aerated and 

have an incoming flow of fresh water or 

be managed in another manner to 

maintain appropriate water quality in 

accordance with current professionally 

accepted standards for the bird species 

in these ponds. 

When the water is chemically treated, 

the chemicals would have to be added 

so as not to cause harm, discomfort, or 

distress to the animals. Natural 

organisms (such as fish, reptiles, 

amphibians, mammals, algae, 

commensal bacteria, protozoa, 

coelenterates, or mollusks) that do not 

degrade water quality, prevent proper 

maintenance, or pose a health hazard to 

the birds would not be considered 

contaminants. Should birds appear to be 

harmed by water quality, appropriate 

action would have to be taken 

immediately. 

Finally, pools or other aquatic areas 

would have to be salinized for birds that 

require salinized water for their good 

health and well-being in accordance 

with current professionally accepted 

standards. 

Cleaning, Sanitization, Housekeeping, 

and Pest Control 

Cleaning—Proposed § 3.158(a) 

Proper cleaning of primary enclosures 

is necessary to prevent the 

accumulation of feces and food waste 

and to reduce disease hazards, pests, 

insects, and odors. Therefore, we are 

proposing to require that excreta and 

food waste 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 would have to be 

taken to protect birds from being 

harmed, wetted involuntarily, or 

distressed in the process. Standing 

water, except in pools or other aquatic 

areas (e.g., ponds, waterfalls, fountains, 

and other water features), would have to 

be removed from the primary enclosure. 

Scheduled cleaning may be modified 

or delayed during breeding, egg-sitting, 

or feeding of chicks for those species of 

birds that are easily disrupted during 

such behaviors. Scheduled cleaning 

would have to resume when cleaning 

would no longer disrupt such behaviors. 

In these situations, we would require 

that a schedule of cleaning be 

documented that includes when 

breeding season began, when the 

primary enclosure was last cleaned, and 

when cleaning is expected to resume. 

Such records would have to be available 

for review by an APHIS inspector. 

Sanitization—Proposed § 3.158(b) 

Proper sanitary practices directly 

affect the good health and well-being of 

birds. Primary enclosures and food and 

water receptacles for birds would have 

to be sanitized as often as necessary to 

prevent accumulation of dirt, debris, 

food waste, excreta, and other disease 

hazards. However, as with cleaning, 

sanitization may be modified or delayed 

during breeding, egg-sitting, or feeding 

of chicks for those species of birds that 

are easily disrupted during such 

behaviors but would have to resume 

when it no longer disrupts such 

behaviors. In such situations, we would 

require that a schedule of sanitization be 

documented that includes when 

breeding season began, when the 

primary enclosure was last sanitized, 

and when sanitization is expected to 

resume. Such records would have to be 

available for review by an APHIS 

inspector. 

We would require that the hard 

surfaces of primary enclosures and food 

and water areas and equipment be 

sanitized before a new bird may be 

brought into a housing facility or if there 

is evidence of infectious disease among 

the birds in the housing facility. Finally, 

we would require that primary 

enclosures using materials that cannot 

be sanitized using conventional 

methods, such as gravel, sand, grass, 

earth, planted areas, or absorbent 

bedding, 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. 

Housekeeping for Premises—Proposed 

§ 3.158(c) 

Good housekeeping practices are 

essential in minimizing pest risks that 

can occur in animal areas. Premises 

where housing facilities are located, 

including buildings, surrounding 

grounds, and exhibit areas, would have 

to be kept clean and in good repair in 

order to protect the birds from injury 

and disease, to facilitate the husbandry 

practices required in the regulations, 

and to reduce or eliminate areas where 

rodents and other vertebrate and 

invertebrate animals harmful to birds 

can live and breed. Premises would also 

have to be kept free of accumulations of 

trash, junk, waste products, and 

discarded matter. Weeds, grasses, and 

bushes would have to be controlled so 

as to facilitate cleaning of the premises 

and pest control, and to protect the 

health and well-being of the birds. 

Pest Control—Proposed § 3.158(d) 

A pest control program is necessary to 

promote the health and well-being of 

birds at a facility and to reduce 

contamination by pests in the animal 

area. Therefore, we are proposing that a 

safe and effective program for the 

control of insects, ectoparasites, and 

avian and mammalian pests 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 methods of 

controlling pests that may be harmful to 

the birds would be prohibited in 

primary enclosures and in other areas or 

on surfaces with which the birds may 

come in contact, unless their 

application is consistent with 

manufacturer recommendations or 

otherwise approved for use and does not 

harm birds. 

Employees—Proposed § 3.159 

A sufficient number of adequately 

trained employees or attendants would 


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have to be utilized to maintain the 

professionally acceptable level of 

husbandry and handling practices set 

forth in the proposed standards. The 

need for personnel to have the 

knowledge and skill to perform these 

practices is addressed in the current 

standards for all other animals covered 

under the AWA regulations. These 

practices would 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. 

Compatibility and Separation— 

Proposed § 3.160 

Under this section, we would require 

that socially dependent birds be housed 

in social groups, unless the attending 

veterinarian exempts an individual bird 

because of its health or condition, or in 

consideration of its well-being, or 

specific management needs. Veterinary 

exemption is also permissible where 

such social grouping is not in 

accordance with a research proposal 

and the proposal has been approved by 

the research facility IACUC. Birds may 

only be housed with other animals, 

including members of their own species, 

if 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 wellbeing of each other. Compatibility 

would have to be determined in 

accordance with generally accepted 

professional practices, and by actual 

observation, to ensure that the birds are, 

in fact, compatible. Finally, we would 

require that 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. 

These proposed requirements are 

necessary to allow birds to peacefully 

coexist in primary enclosures and to 

protect their physical health and 

welfare. 

Transportation Standards 

The proposed transportation 

standards contained in §§ 3.161 through 

3.168 have been written to provide birds 

with the same general protection and 

care as that provided for other species 

of animals covered by the AWA. Some 

birds, however, do have special 

transportation needs. For example, 

while most birds require space to make 

normal postural adjustments during 

transport, there are some birds that may 

injure themselves if their movements 

are not restricted. Therefore, the 

intention of the proposed transportation 

standards for birds is to account for 

these animals’ unique needs while still 

providing them with equivalent 

protection and care as other covered 

animals. 

We note that many foreign air carriers 

are members of the International Air 

Transport Association (IATA) and may 

already comply with most of the 

physical requirements contained in this 

proposed rule. The IATA regulations 

generally align with the intent of the 

AWA in ensuring the humane and safe 

transportation of animals but diverge 

from the proposed regulations and 

standards in certain areas, such as 

recordkeeping requirements. Where 

such divergences exist, the AWA 

regulations and standards would need 

to be followed. 

Consignments to Carriers and 

Intermediate Handlers—Proposed 

§ 3.161 

Regulated entities, such as dealers 

and exhibitors, may elect to consign 

their bird to a carrier or intermediate 

handler in connection with the animal’s 

transportation in commerce. To ensure 

the health and well-being of birds 

during such transport in commerce, we 

are proposing to establish several 

conditions that must be met before 

carriers and intermediate handlers can 

accept a bird for transport. Specifically, 

we would provide that 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, we would 

provide that 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. 

Carriers and intermediate handlers 

would not be allowed to accept a live 

bird for transport in commerce unless 

they are provided with the name, 

address, and telephone number of the 

consignee. Carriers and intermediate 

handlers would also not be allowed to 

accept a live 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. Carriers and intermediate 

handlers must not accept unweaned 

birds for transport unless transport 

instructions are specified as a part of the 

program of veterinary care. 

Certification for shipment of birds 

would have to be securely attached to 

the outside of the primary enclosure in 

a manner that makes it easy to notice 

and read. The certification would have 

to include the following information for 

each live bird: The consignor’s name, 

address, email address, and telephone 

number; the number of birds; the 

species or common names of the birds; 

the time and date the bird was last fed 

and watered; and the specific 

instructions for the next feeding(s) and 

watering(s) for a 24-hour period; and the 

consignor’s signature and the date and 

time the certification was signed. 

Carriers and intermediate handlers 

would not be allowed to accept a live 

bird for transport in commerce in a 

primary enclosure unless the enclosure 

meets the requirements of proposed 

§ 3.162. A carrier or intermediate 

handler would be prohibited from 

accepting a live bird for transport if the 

primary enclosure is defective or 

damaged and cannot be expected to 

contain the bird safely and comfortably. 

Carriers and intermediate handlers 

would also not be allowed to accept a 

live bird for transport in commerce 

unless their animal holding area can 

maintain climatic and environmental 

conditions in accordance with the 

requirements of proposed § 3.168. (As 

discussed below, § 3.168 sets out 

climatic and environmental conditions 

for the transportation of animals and 

requires, among other things, that such 

transportation must be done in a 

manner that does not cause overheating, 

excessive cooling, or adverse 

environmental conditions that could 

cause discomfort or stress.) 

Following the arrival of any live birds 

at the bird holding area of the terminal 

cargo facility, we would require that 

carriers and intermediate handlers 

attempt to notify the consignee at least 

once in every 6-hour period. 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 would 

have to 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. 

Primary Enclosures Used To Transport 

Live Birds 

Under proposed § 3.162, no person 

subject to the AWA regulations would 

be allowed to transport or deliver for 

transport in commerce a bird unless the 

following requirements are met: 


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Primary Enclosures: Construction of 

Primary Enclosures—Proposed 

§ 3.162(a) 

Birds would have to be contained in 

a primary enclosure such as a 

compartment, transport cage, carton, or 

crate, except as provided in proposed 

paragraph (e) in § 3.162. Primary 

enclosures used to transport birds 

would have to be constructed so that: 

• The primary enclosure is strong 

enough to contain the birds securely 

and comfortably and to withstand the 

rigors of transportation normally 

encountered during transportation; 

• The interior of the enclosure has no 

sharp points or edges and no 

protrusions that could injure the birds 

contained therein; 

• 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 other animals 

nearby; 

• The birds can be easily and quickly 

removed from the enclosure in an 

emergency; 

• 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; 

• 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; 

• 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; 

• A bird that has a fractious or stressprone 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; 

• Proper ventilation must be provided 

to the birds in accordance with 

proposed paragraph (b) in § 3.162; 

• The primary enclosure has a solid, 

leak-proof bottom or a removable, leakproof collection tray. If a mesh or other 

nonsolid floor is used in the enclosure, 

it would have to 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; and 

• If substrate (newspaper, towels, 

litter, straw, etc.) is used in the primary 

enclosure, the substrate would have to 

be clean and made of a suitably 

absorbent material that is safe and 

nontoxic to the birds. 

These proposed standards would 

consider the need for birds to be 

supported and protected from injury 

during transportation. 

Primary Enclosures: Ventilation— 

Proposed § 3.162(b) 

Ventilation is very important to 

ensure that birds are provided adequate 

fresh air for their respiratory needs. 

Therefore, unless the primary enclosure 

is permanently affixed to the 

conveyance, there would have to 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. At least one-third of the total 

minimum area required for ventilation 

of the primary enclosure would have to 

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 

must be located on the upper one-half 

of the primary enclosure. This 

requirement would be modeled on our 

existing ventilation requirements for 

rabbits, which we have found to provide 

sufficient ventilation for the purposes of 

humane care. 

Unless the primary enclosure is 

permanently affixed to the conveyance, 

we would require that projecting rims or 

other devices 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 would have to 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). We would 

require that any visually obscuring 

mesh used to provide security for the 

bird in the enclosure not interfere with 

proper ventilation. Again, this 

requirement is modeled on an existing 

requirement, found in paragraph (a)(5) 

of § 3.61 of the regulations, that we have 

found to be effective. 

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 would have to open directly to 

the outside or to an unobstructed aisle 

or passageway within the primary 

conveyance. Such front ventilation 

opening would have to 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. 

Primary Enclosures: Cleaning of Primary 

Enclosures—Proposed § 3.162(c) 

Primary enclosures used to hold or 

transport birds in commerce would have 

to be cleaned and sanitized before each 

use in accordance with proposed § 3.158 

by the dealer, research facility, 

exhibitor, or operator of an auction sale. 

Primary Enclosures: Compatibility— 

Proposed § 3.162(d) 

Live birds transported in the same 

primary enclosure would have to be of 

the same species or compatible species 

and maintained in compatible groups. 

Socially dependent birds would have to 

be able to see and hear each other. 

Primary Enclosures: Space and 

Placement—Proposed § 3.162(e) 

We would require that primary 

enclosures used to transport live birds 

be large enough to ensure that each bird 

contained therein has sufficient space to 

turn about freely and to make normal 

postural adjustments, except 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. 

Primary Enclosures: Accompanying 

Documents and Records—Proposed 

§ 3.162(f) 

Documents accompanying the 

shipment of birds would have to be 

attached in an easily accessible manner 

to the outside of a primary enclosure 

which is part of such shipment and 

could not be allowed to obstruct 

ventilation openings. 

Primary Conveyances (Motor Vehicle, 

Rail, Air, and Marine)—Proposed 

§ 3.163 

We would require that the animal 

cargo space of primary conveyances 

used in transporting live birds 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 minimizes the entry of 

exhaust from the primary conveyance 

during transportation. The animal cargo 

space would have to have a supply of 


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air that is sufficient for the normal 

breathing of all the animals being 

transported in it, and each primary 

enclosure containing birds would have 

to 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. During transportation, we 

would require that the climatic 

conditions in the animal cargo area shall 

be maintained in accordance with the 

requirements of proposed § 3.168. 

We would require that primary 

enclosures 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. We would also require that 

the interior of the bird cargo space be 

kept clean. Finally, we would provide 

that 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. 

Food and Water Requirements— 

Proposed § 3.164 

All weaned birds would have to be 

offered food and potable water within 4 

hours before being transported in 

commerce. We would also require all 

birds transported in their own primary 

conveyance be provided potable water 

or other source of hydration to at least 

every 12 hours after such transportation 

is initiated, except for birds which, 

according to professionally accepted 

standards, require watering or feeding 

more or less frequently. 

All weaned birds would have to 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 would have to be fed 

accordingly. 

A sufficient quantity of food and 

water or other source of hydration 

would have to accompany the bird to 

meet its needs for food and water during 

period of transport, except as directed 

by veterinary treatment and other 

professionally accepted standards. 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 

would have to 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. We would 

prohibit carriers and intermediate 

handlers from accepting any live birds 

for transportation in commerce unless 

written instructions concerning the food 

and water requirements of the bird 

being transported are affixed to the 

outside of its primary enclosure. The 

instructions would have to be attached 

in accordance with proposed § 3.162(f) 

and in a manner that makes them easy 

to notice and read. 

Care in Transit—Proposed § 3.165 

Care in Transit: Surface Transportation 

(Ground and Water)—Proposed 

§ 3.165(a) 

During surface transportation, we 

would require in § 3.165(a) that any 

person subject to the AWA regulations 

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 proposed § 3.168, and 

that all other applicable standards are 

met. The regulated person would have 

to 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. 

Care in Transit: Air Transportation— 

Proposed § 3.165(b) 

Similarly, when transported by air, 

we would require in § 3.165(b) that live 

birds 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 would have to 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 proposed 

§ 3.168, and that all other applicable 

standards are met. The carrier would 

have to determine whether any such 

live birds are in physical distress and 

arrange for any needed veterinary care 

as soon as possible. 

Care in Transit: Prohibition on the 

Transport of Ill, Injured, or Distressed 

Birds—Proposed § 3.165(c) 

Finally, in proposed § 3.165(c), we 

would prohibit any person subject to the 

AWA regulations from transporting in 

commerce birds that are ill, injured, or 

in physical distress, except to receive 

veterinary care for the condition. 

Terminal Facilities—Proposed § 3.166 

Terminal Facilities: Placement— 

Proposed § 3.166(a) 

We would require that carriers and 

intermediate handlers not commingle 

shipments of live birds with other 

animals or inanimate cargo in animal 

holding areas of terminal facilities. This 

proposed standard would help to ensure 

that the live birds are accessible and 

that the following standards concerning 

cleaning, sanitization, and pest control 

in terminal facilities are met. 

Terminal Facilities: Cleaning, 

Sanitization, and Pest Control— 

Proposed § 3.166(b) 

We are proposing to require that all 

animal holding areas of terminal 

facilities be cleaned and sanitized in a 

manner prescribed in proposed § 3.158, 

as often as necessary to prevent an 

accumulation of debris or excreta and to 

minimize vermin infestation and 

disease hazards. Terminal facilities 

would have to follow an effective 

program in all animal holding areas for 

the control of insects, ectoparasites, and 

other pests. 

Terminal Facilities: Ventilation— 

Proposed § 3.166(c) 

We would require that ventilation be 

provided in any animal holding area in 

a terminal facility containing birds, by 

means of windows, doors, vents, or air 

conditioning. The air would have to be 

circulated by fans, blowers, or air 

conditioning so as to minimize drafts, 

odors, and moisture condensation. 

Terminal Facilities: Climactic and 

Environmental Conditions—Proposed 

§ 3.166(d) 

We would require that the climatic 

and environmental conditions in animal 

holding areas be maintained in 

accordance with the proposed 

performance standard in § 3.168. 

Handling—Proposed § 3.167 

We are proposing to require that any 

person subject to the AWA regulations 

who moves (including loading and 

unloading) live birds within, to, or from 

the animal holding area of a terminal 

facility or a primary conveyance does so 

as quickly and efficiently as possible 

and provides sufficient shade to protect 

the birds from the direct rays of the sun 

and sufficient protection to allow the 

birds the option to remain dry during 

rain, snow, and other precipitation. We 

would also require that climatic and 


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12Only those research facilities that use wildcaught birds for research, testing, teaching, or 

experimentation, including activities such as 

investigations into animal propagation and wildlife 

ecology, would be subject to the provisions of this 

proposed rule. Facilities using birds bred for use in 

research would not be subject to this rule. 

environmental conditions be 

maintained in accordance with the 

proposed requirements in § 3.168. 

We would require that any person 

handling a primary enclosure 

containing a live bird uses care and 

avoids causing physical harm or distress 

to the bird. We would not allow a 

primary enclosure containing a live bird 

to be tossed, dropped, or tilted, or 

stacked in a manner which may 

reasonably be expected to result in its 

falling. 

Climatic and Environmental Conditions 

During Transportation—Proposed 

§ 3.168 

Finally, we are proposing to require 

that the transportation of all live birds 

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 would 

have to be taken immediately to 

alleviate the impact of those conditions. 

The different climatic and 

environmental factors prevailing during 

a journey would have to be considered 

when arranging for the transportation of 

and when transporting live birds. 

Considerations may include, but would 

not be limited to: 

• The temperature and humidity level 

of any enclosure used during 

transportation of live birds would have 

to be controlled by adequate ventilation 

or any other means necessary; 

• Appropriate care would have to be 

taken to ensure that live birds are not 

subjected to prolonged drafts 

detrimental to their health or wellbeing; 

• Appropriate care would have to be 

taken to ensure that live birds are not 

exposed to direct heat or cold if 

detrimental to their health or wellbeing, such as placement in direct 

sunlight or near a hot radiator; and 

• During prolonged air transit stops 

in local climatic conditions that could 

produce excessive heat for live birds 

held in aircraft compartments, the 

aircraft doors would have to be opened 

and, if necessary, ground equipment 

must be used to control the condition of 

the air within compartments containing 

live birds. 

We would also provide examples of 

factors to consider when meeting these 

requirements. Specifically, we would 

state that, 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 

would have to be considered when such 

information is available. 

Finally, for birds that are not able to 

maintain a constant body temperature at 

ambient temperatures, we would require 

their transportation in a brooder or other 

temperature-regulating unit that 

effectively assists the bird in 

maintaining a constant body 

temperature during transport. Signs that 

a bird is able to independently maintain 

a constant body temperature include the 

bird’s ability to open its eyes fully and 

sit erect and the appearance of full or 

partial feathering on the body of the 

bird. 

We would require that the 

temperature of the brooder or other 

temperature-regulating unit would have 

to be monitored during transportation 

and appropriate for the live bird. 

Written instructions for the temperature 

requirements of birds transported in 

brooders or other temperature-regulating 

units would have to be securely affixed 

to the outside of the primary enclosure 

used for transporting the bird. The 

instructions would have to be attached 

in accordance with proposed § 3.162(f) 

in a manner that makes them easily 

noticed and read. 

We believe the standards we propose 

in this document would ensure the 

humane handling, care, treatment, and 

transportation of birds covered by the 

AWA. 

Executive Orders 12866 and 13563 and 

Regulatory Flexibility Act 

This proposed rule has been 

determined to be significant for the 

purposes of Executive Order 12866 and, 

therefore, has been reviewed by the 

Office of Management and Budget. 

We have prepared an economic 

analysis for this rule. The economic 

analysis provides a cost-benefit analysis, 

as required by Executive Orders 12866 

and 13563, which direct agencies to 

assess all costs and benefits of available 

regulatory alternatives and, if regulation 

is necessary, to select regulatory 

approaches that maximize net benefits 

(including potential economic, 

environmental, public health and safety 

effects, and equity). Executive Order 

13563 emphasizes the importance of 

quantifying both costs and benefits, of 

reducing costs, of harmonizing rules, 

and of promoting flexibility. The 

economic analysis also provides an 

initial regulatory flexibility analysis that 

examines the potential economic effects 

of this rule on small entities, as required 

by the Regulatory Flexibility Act. The 

economic analysis is summarized 

below. Copies of the full analysis are 

available by contacting the person listed 

under FOR FURTHER INFORMATION

CONTACT or on the Regulations.gov 

website (see ADDRESSES above for 

instructions for accessing 

Regulations.gov). 

Based on the information we have, 

there is no reason to conclude that 

adoption of this proposed rule would 

result in any significant economic effect 

on a substantial number of small 

entities. However, we do not currently 

have all of the data necessary for a 

comprehensive analysis of the effects of 

this proposed rule on small entities. 

Therefore, we are inviting comments on 

potential effects. In particular, we are 

interested in determining the number 

and kind of small entities that may 

incur benefits or costs from the 

implementation of this proposed rule. 

We are proposing to establish new 

regulations and standards and amend 

existing regulations governing the 

humane handling, care, treatment, and 

transportation of birds, other than birds 

bred for use in research, covered under 

the Animal Welfare Act. This action 

would ensure the humane handling, 

care, treatment, and transportation of 

birds not bred for use in research 

covered under the Act. The benefit of 

this rule would be improved animal 

welfare because certain birds would be 

brought under the protection of the 

AWA. The proposed rule would help 

ensure the humane handling and care of 

birds and help ensure that such birds 

are monitored for their health and 

humane treatment. 

The proposed rule would affect U.S. 

facilities that handle or maintain birds 

not bred for use in research that are sold 

as pets at the wholesale level or at retail 

if not face-to face, or transported in 

commerce, or used for exhibition, 

research, teaching, testing, or 

experimentation purposes. Facilities 

affected would include research 

facilities that use wild-caught birds, 

breeders and distributors of birds, and 

exhibitors of birds, as well as carriers 

and intermediate handlers of birds.12

We note that under the current AWA 

regulations, several licensing 

exemptions exist that would apply to 

persons possessing and using birds who 

are not otherwise required to obtain a 

license. Retail pet stores, as defined in 

the regulations and requiring the seller, 


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buyer, and the animal available for sale 

be physically present, are exempt from 

the licensing requirements. Therefore, 

under this proposed rule, bird breeders 

who sell pet birds strictly under the 

conditions of the definition would not 

be affected. In addition, the current 

regulations provide an exemption for 

any person who sells or negotiates the 

sale or purchase of any animal except 

wild or exotic animals, dogs, or cats, 

and who derives no more than $500 

gross income from the sale of such 

animals during any calendar year and is 

not otherwise required to obtain a 

license. Exemptions are also provided 

for any person who maintains four or 

fewer breeding females and sells only 

the offspring for pets or exhibition; 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; 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; any person who maintains 

eight or fewer animals for exhibition; 

and any person who buys animals solely 

for his or her own use or enjoyment and 

who does not sell or exhibit animals. 

Under this proposal, these exemptions 

to licensing would apply to bird 

breeders and bird exhibitors as well. 

Newly regulated entities would be 

subject to licensing, animal 

identification, and recordkeeping 

requirements, as well as standards for 

facilities and operations, animal health 

and husbandry, and transportation 

under this proposed rule. Licensing 

costs would be incurred by all new 

licensees. Other costs would depend on 

the manner and extent to which entities 

are not currently complying with the 

basic standards under the AWA. Some 

of these costs would be one-time costs 

in the first year, such as providing 

adequate shelter; others would recur 

yearly, such as providing adequate 

veterinary care. 

A great deal of uncertainty surrounds 

the number of facilities that would be 

affected by this proposed rule. 

Uncertainty also surrounds the number 

of those facilities that would need to 

make structural or operational changes, 

as well as the extent of such changes. 

We are seeking public input on those 

numbers and request any data support 

for those comments. For the purposes of 

this analysis, we have estimated that 

there could be as many as 5,625 new 

licensees—1,625 newly regulated 

breeders and distributors and 4,000 

newly regulated exhibitors, and as many 

as 350 new registrants—250 newly 

regulated research facilities and 100 

newly regulated carriers and 

intermediate handlers. For those new 

licensees, total new licensing costs 

could be about $675,000, or about 

$225,000 annually. We have estimated 

that the total annualized cost of the 

recordkeeping and other information 

collection requirements to be about $4.5 

million. If all newly regulated licensees 

and registrants must develop new 

contingency planning costs, the total 

cost could be from about $388,000 to 

$1.4 million. If all newly regulated 

dealers and research facilities must 

develop a new written plan of 

veterinary care, the total new cost could 

be about $881,000. Together, annually 

these costs range from about $3.3 

million to $7 million. To the extent that 

facilities are already keeping records, 

have already done contingency 

planning, and have already developed a 

plan of veterinary care for their birds, 

these costs could be overestimated. 

For example, both the 2011 Guide for 

Care of Laboratory Animals and the 

2010 Guide for the Care of Agricultural 

Animals in Research (‘‘the Guide’’) and 

the 2010 Guide for the Care of 

Agricultural Animals in Research and 

Teaching (‘‘the Ag-Guide’’) require 

contingency planning and emergency 

preparedness. Research facilities 

receiving funding from the U.S. Public 

Health Service (PHS) are required to 

follow standards of care set forth in the 

Guide. PHS-funded research facilities 

that utilize farm animals for biomedical 

research must follow either the Guide or 

the Ag-Guide. Research facilities may 

voluntarily acquire accreditation by the 

Association for Assessment and 

Accreditation of Laboratory Animal 

Care International (AAALAC). AAALAC 

uses the Guide as the standard when 

assessing animal care and use programs 

in the United States. We are seeking 

comments from the public on the 

accuracy of these costs and request any 

data support for those comments. 

In addition to those requirements, 

newly regulated entities would also 

need to meet regulatory standards for 

bird identification, performance 

standards for facilities and operations, 

health and husbandry, and 

transportation. However, as 

acknowledged by a wide spectrum of 

commenters in listening sessions and 

during previous APHIS actions, bird 

dealers and exhibitors are often 

complying with professionally accepted 

standards to protect avian health and 

prevent discomfort and thus maintain 

their facilities well above the minimum 

standards of this proposed rule. Many of 

the proposed regulations are 

performance based, rather than having 

specific engineering standards. 

Therefore, a number of newly regulated 

entities would not need to make 

significant structural and/or other 

operational changes in order to comply 

with the standards in this proposed 

rule. Neither the number of entities that 

would need to make changes nor the 

extent of those changes is known. 

Therefore, the overall cost of structural 

and operational changes that would be 

incurred due to this rule is also 

unknown. However, commenters have 

identified potential costs that could 

have an impact on regulated activities 

with birds and the general potential 

magnitude of those costs are discussed. 

In addition, APHIS estimates that the 

public outreach, guidance, and training 

would cost about $726,000. 

TABLE A—POTENTIAL COST CATEGORIES FOR LICENSEES ASSOCIATED WITH THE RULE

[2021 Dollars] 

Activity Certain potential costs 

Licensing ............................................................................ $120/3 years. 

Recordkeeping and Other Information Collection .............. 20 hours annually; $720/respondent. 

Contingency Planning ........................................................ 1 to 2 hours preparation, and 1 hour training; $65 to $226/entity. 

Plan of Veterinary Care ..................................................... $150 per facility, new; $50 per facility for an update. 

Other Structural or Operational Changes 

Bird identification ................................................................ Leg or wing band $0.03–$0.50/each; Microchip $4–$15/each; Microchip reader $60– 

$375/facility; Labor for banding or microchipping $28–$57; Primary enclosure label 

<$0.02/bird. 


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TABLE A—POTENTIAL COST CATEGORIES FOR LICENSEES ASSOCIATED WITH THE RULE—Continued 

[2021 Dollars] 

Activity Certain potential costs 

Veterinary care, as needed ................................................ $46–$350/bird. 

Facilities ............................................................................. $57–$114/repair. 

Water and Electrical Power ............................................... For facility with 20 birds $546 for plumbed water or $90–$300 for bottles; $400– 

$2,000/generator. 

Temperature & Humidity .................................................... Brood box thermometer $6–$150/each; Space heating $25–$200. 

Ventilation ........................................................................... Hardware cloth $20–$50; Attic fan $50–$200 plus installation; HEPA filter $100– 

$200. 

Shelter ................................................................................ Nest box $57–$114. 

Primary enclosures ............................................................ Commercial enclosures $100 to $1,000/each; Repair or upgrade of existing enclosure $278–$432. 

Environment enhancement ................................................ $100–$200/enclosure. 

Cleaning, sanitation, and pest control ............................... Storage container/shed $150–$1,000; Label maker $20. 

Personnel 

Labor (includes other listed activities) ............................... 1–10 hours/week; $1,477–$14,768/year. 

Training .............................................................................. $45–$75/employee. 

Nutrition .............................................................................. Containers $10–$100; Commercial freezer $250–$1,500. 

Primary enclosures during transport .................................. Pet crates approved for air travel $60–$350. 

Food, water, and health monitoring during transit ............. Brooder $150–$600. 

The majority of businesses potentially 

affected by this proposed rule are likely 

to be small entities. As explained, the 

wide range in potential cost is mainly 

derived from the uncertainty 

surrounding the total number of 

breeders that would need to become 

licensed as a result of this proposed rule 

and the number of those newly 

regulated entities that would then need 

to make structural or operational 

changes, as well as from the structural 

or operational changes that would be 

chosen to remedy instances of 

noncompliance. 

Executive Order 12372 

This program/activity is listed in the 

Catalog of Federal Domestic Assistance 

under No. 10.025 and is subject to 

Executive Order 12372, which requires 

intergovernmental consultation with 

State and local officials. (See 2 CFR 

chapter IV.) 

Executive Order 12988 

This proposed rule has been reviewed 

under Executive Order 12988, Civil 

Justice Reform. It is not intended to 

have retroactive effect. The Act does not 

provide administrative procedures 

which must be exhausted prior to a 

judicial challenge to the provisions of 

this rule. 

Executive Order 13175 

This proposed rule has been reviewed 

in accordance with the requirements of 

Executive Order 13175, ‘‘Consultation 

and Coordination with Indian Tribal 

Governments.’’ Executive Order 13175 

requires Federal agencies to consult and 

coordinate with tribes on a governmentto-government basis on policies that 

have tribal implications, including 

regulations, legislative comments or 

proposed legislation, and other policy 

statements or actions that have 

substantial direct effects on one or more 

Indian Tribes, on the relationship 

between the Federal Government and 

Indian Tribes or on the distribution of 

power and responsibilities between the 

Federal Government and Indian Tribes. 

APHIS has determined that this 

proposed rule, if finalized, may have 

substantial direct effects on one or more 

Tribes, and that affording Tribes an 

opportunity for consultation is therefore 

warranted. This initial consultation 

occurred on November 4, 2021. No 

questions were raised during the 

consultation, but one participant 

intended to email a question to APHIS 

at a future date. A summary of how 

APHIS incorporated consultation 

feedback in this rulemaking will be 

shared with Tribes that participate in 

consultation and in the next rulemaking 

iteration, once published. APHIS is 

committed to full compliance with the 

provisions of Executive Order 13175. 

Paperwork Reduction Act 

Many activities resulting from this 

proposed rule are currently approved 

under the Office of Management and 

Budget (OMB) control number 0579– 

0036; however, 0579–0036 does not 

capture the respondents or burden 

described in this proposed rule. 

Therefore, in accordance with section 

3507(d) of the Paperwork Reduction Act 

of 1995 (44 U.S.C. 3501 et seq.), the 

activities with respondents’ burden 

resulting from this proposed rule that 

are not covered under 0579–0036, and 

new activities and their burden 

associated with this proposed rule, have 

been submitted to OMB as a new 

information collection for approval. 

After a final rule is published, this 

information collection request will be 

scheduled for merger into 0579–0036 in 

the future. 

Written comments and 

recommendations for the proposed 

information collection should be sent 

within 60 days of publication of this 

notice to www.reginfo.gov/public/do/ 

PRAMain. Find this particular 

information collection by selecting 

‘‘Currently under 60-day Review—Open 

for Public Comments’’ or by using the 

search function. Please send a copy of 

your comments to: (1) Docket No. 

APHIS–2020–0068, Regulatory Analysis 

and Development, PPD, APHIS, Station 

3A–03.8, 4700 River Road Unit 118, 

Riverdale, MD 20737–1238, and (2) 

Clearance Officer, OCIO, USDA, Room 

404–W, 14th Street and Independence 

Avenue SW, Washington, DC 20250. 

Administering the AWA requires the 

use of several information collection 

activities. The increase in respondents 

resulting from this proposed rule would 

result in a corresponding increase in 

burden for activities currently approved 

under 0579–0036. In addition to 

recordkeeping, they include online tools 

for licensing or registration packets; 

applications for new license or 

registration, and updates; filing of a debt 

collection form and payment of 

licensing fees; written requests for 

correction of renewal applications; 

request for appeals or hearings; requests 

for pre-licensing inspections; 


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9904 Federal Register / Vol. 87, No. 35 / Tuesday, February 22, 2022 / Proposed Rules 

inspections by licensed veterinarians; 

written programs of veterinary care for 

research facilities, exhibitors, or dealers; 

annual reports of research facilities; 

health certificates for transport; requests 

for variance; written guarantees; 

submission of itineraries of exhibition; 

complaint submissions; access and 

inspection of records and property; and 

creating instituted animal care and use 

committees. 

The proposed changes to the 

regulations would also result in the 

creation of new reportable activities. 

These activities and any additional ones 

announced in the final rule resulting 

from public comment will be merged 

into 0579–0036 in the future after OMB 

approval. In addition to recordkeeping, 

information collected includes, but is 

not limited to, dealers and exhibitors 

identifying their confined birds using 

either an enclosure label, leg or wing 

bands, or transponders. They and 

research facilities will also be required 

to develop and document a speciesappropriate plan for environment 

enhancement adequate to promote the 

psychological well-being of birds. 

Facilities maintaining enclosed birds 

will be required to create and document 

schedules of enclosure cleaning and 

sanitizing. Consignors will be required 

to provide carriers and intermediate 

handlers certification in writing that 

transported birds were offered food and 

water, and information about the 

sender. 

These information collection activity 

requirements provide APHIS with the 

data necessary for the review and 

evaluation of program compliance by 

regulated facilities, and they provide a 

workable enforcement system to carry 

out the requirements of the AWA and 

the intent of Congress. 

APHIS expects to solicit feedback 

from a variety of respondents affected 

by this proposed rule. They might 

request and submit licensure or 

registration packets or other 

documentation, and include private 

hobbyists; breeders and other for-profit 

businesses and farms; not-for-profit 

institutions such as foundations, 

refuges, zoos, rehabilitation facilities, as 

well as educational institutions; and 

State, local, or Tribal authorities 

partnering with USDA to enforce these 

regulations. For wage calculations 

reported in the information collection 

request, APHIS used the Bureau of 

Labor Statistics’ Occupational 

Employment and Wage Statistics to 

estimate wages, specifically those for 

government animal health officials, 

ranchers (SOCC 11–9013), caretakers 

(SOCC 39–2021), transporters (SOCC 

53–7199), and individuals (SOCC 00– 

0000). More information can be found in 

the information collection request 

supporting statement. 

We are soliciting comments from the 

public concerning our proposed 

information collection and 

recordkeeping requirements. These 

comments will help us: 

(1) Evaluate whether the proposed 

information collection is necessary for 

the proper performance of our agency’s 

functions, including whether the 

information will have practical utility; 

(2) Evaluate the accuracy of our 

estimate of the burden of the proposed 

information collection, including the 

validity of the methodology and 

assumptions used; 

(3) Enhance the quality, utility, and 

clarity of the information to be 

collected; and 

(4) Minimize the burden of the 

information collection on those who are 

to respond (such as through the use of 

appropriate automated, electronic, 

mechanical, or other technological 

collection techniques or other forms of 

information technology; e.g., permitting 

electronic submission of responses). 

Respondents: Individuals or 

households; businesses or other forprofit entities; not-for-profit institutions; 

farms; and State, local, and Tribal 

governments. 

Estimated annual number of 

respondents: 6,268. 

Estimated annual number of 

responses per respondent: 24. 

Estimated annual number of 

responses: 150,685. 

Estimated total annual burden on 

respondents: 128,298 hours. (Due to 

averaging, the total annual burden hours 

may not equal the product of the annual 

number of responses multiplied by the 

reporting burden per response.) 

A copy of the information collection 

may be viewed on the Regulations.gov 

website or in our reading room. (A link 

to Regulations.gov and information on 

the location and hours of the reading 

room are provided under the heading 

ADDRESSES at the beginning of this 

proposed rule.) Information about the 

information collection process may be 

obtained from Mr. Joseph Moxey, 

APHIS’ Paperwork Reduction Act 

Coordinator, at (301) 851–2483. APHIS 

will respond to any information 

collection-related comments in the final 

rule. All comments will also become a 

matter of public record. 

E-Government Act Compliance 

The Animal and Plant Health 

Inspection Service is committed to 

compliance with the E-Government Act 

to promote the use of the internet and 

other information technologies, to 

provide increased opportunities for 

citizen access to Government 

information and services, and for other 

purposes. APHIS estimates that 10 

percent of the total responses can be 

processed electronically. Most of the 

activities that require forms also require 

original signatures or the completed 

forms must accompany the animals they 

were prepared for; processing them 

electronically is not feasible. APHIS is 

working towards making required forms 

available as fillable PDF format. 

Certification, accreditation, registration, 

permits, and other licensing activities 

and processes currently can be 

uploaded into DocuSign or eFile 

information systems, or emailed. 

Respondents are free to maintain 

required records as best suited for their 

organization. Details about specific 

forms for reportable activities can be 

found in the information collection 

request supporting statement. 

For assistance with E-Government Act 

compliance related to this proposed 

rule, please contact Mr. Joseph Moxey, 

APHIS’ Paperwork Reduction Act 

Coordinator, at (301) 851–2483, or the 

person listed under FOR FURTHER

INFORMATION CONTACT. 

List of Subjects 

9 CFR Parts 1 and 2 

Animal welfare, Pets, Reporting and 

recordkeeping requirements, Research. 

9 CFR Part 3 

Animal welfare, Marine mammals, 

Pets, Reporting and recordkeeping 

requirements, Research, Transportation. 

Accordingly, we propose to amend 9 

CFR parts 1, 2, and 3 as follows: 

PART 1—DEFINITION OF TERMS 

■ 1. The authority citation for part 1 

continues to read as follows: 

Authority: 7 U.S.C. 2131–2159; 7 CFR 

2.22, 2.80, and 371.7. 

■ 2. Section 1.1 is amended as follows: 

■ a. By adding, in alphabetical order, 

definitions for ‘‘Bird’’ and ‘‘Bred for use 

in research’’; 

■ b. By revising the definitions of 

‘‘Carrier’’, ‘‘Exhibitor’’, ‘‘Farm animal’’, 

‘‘Intermediate handler’’, and ‘‘Pet 

animal’’; 

■ c. By adding, in alphabetical order, a 

definition for ‘‘Poultry’’; and 

■ d. By revising the definitions of 

‘‘Retail pet store’’ and ‘‘Weaned’’. 

The additions and revisions read as 

follows: 

§ 1.1 Definitions. 

* * * * * 

Bird means any member of the class 

Aves (excluding eggs). 


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Bred for use in research means an 

animal that is bred in captivity and is 

being used or is intended for use for 

research, teaching, testing, or 

experimentation purposes. 

* * * * * 

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’’. 

* * * * * 

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, 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. 

* * * * * 

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 skins, and animals such as 

horses and llamas when used solely as 

work and pack animals. 

* * * * * 

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, or between rehabilitation 

facilities, and has obtained 

authorization from the U.S. Fish and 

Wildlife Service for that purpose, is not 

an ‘‘intermediate handler’’. 

* * * * * 

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 parrots, canaries, cockatiels, 

lovebirds, and budgerigar parakeets. 

This term excludes exotic animals and 

wild animals. 

* * * * * 

Poultry means any species of 

chickens, turkeys, swans, partridges, 

guinea fowl, and pea fowl; ducks, geese, 

pigeons, and doves; grouse, pheasants, 

and quail. 

* * * * * 

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 farmtype 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. 

* * * * * 

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 and has so done, without 

supplemental feeding from a parent or 

human caretaker, for a period of at least 

5 consecutive days. Signs that an animal 

has become accustomed to take food 

include the animal’s ability to maintain 

a constant body weight during those 5 

days. 

* * * * * 

PART 2—REGULATIONS 

■ 3. The authority citation for part 2 

continues to read as follows: 

Authority: 7 U.S.C. 2131–2159; 7 CFR 

2.22, 2.80, and 371.7. 

■ 4. Section 2.1 is amended as follows: 

■ a. In paragraph (a)(3)(vi), by adding ‘‘, 

feathers,’’ after the word ‘‘food’’; and 

■ b. In paragraph (b)(2)(ii), by removing 

the words ‘‘subparts A through F’’ in the 

first sentence and adding the words 

‘‘subparts A through G’’ in their place 

and revising the last sentence. 

The revision reads as follows: 

§ 2.1 Requirements and application. 

* * * * * 

(b) * * * 

(2) * * * 

(ii) * * * 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 [Effective date of final rule], 

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. 

* * * * * 

§ 2.31 [Amended] 

■ 5. In § 2.31, paragraph (d)(1)(ix) is 

amended as follows: 

■ a. In the third sentence, by removing 

the word ‘‘non-rodents’’ and adding the 

words ‘‘animals, other than rodents and 

birds,’’ in its place; and 

■ b. In the fourth sentence, by adding 

the words ‘‘and birds’’ after the word 

‘‘rodents’’. 

■ 6. In § 2.50, paragraph (e) is amended 

as follows: 


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■ a. By redesignating paragraphs (e)(2) 

and (3) as paragraphs (e)(3) and (4), 

respectively, and adding a new 

paragraph (e)(2); and 

■ b. In newly redesignated paragraph 

(e)(3) introductory text, by removing the 

words ‘‘dogs or cats’’ and adding the 

words ‘‘dogs, cats, or birds’’ in their 

place. 

The addition reads as follows: 

§ 2.50 Time and method of identification. 

* * * * * 

(e) * * * 

(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 birds in the primary enclosure, 

including: 

(A) The number of birds; 

(B) The species of the birds; 

(C) Any distinctive physical features 

of the birds; and 

(D) Any identifying marks on the 

birds; or 

(ii) A leg or wing 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 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. 

* * * * * 

■ 7. In § 2.75, paragraph (b)(1) 

introductory text is amended by revising 

the last sentence to read as follows: 

§ 2.75 Records: Dealers and exhibitors. 

* * * * * 

(b)(1) * * * The records shall include 

any offspring born or hatched of any 

animal while in his or her possession or 

under his or her control. 

* * * * * 

■ 8. In § 2.76, paragraph (a)(7) is revised 

to read as follows: 

§ 2.76 Records: Operators of auction sales 

and brokers. 

(a) * * * 

(7) A description of the animal which 

shall include: 

(i) The species and the breed or type 

of animal; 

(ii) The sex of the animal; or if the 

animal is a bird, only if the 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 

* * * * * 

PART 3—STANDARDS 

■ 9. The authority citation for part 3 

continues to read as follows: 

Authority: 7 U.S.C. 2131–2159; 7 CFR 

2.22, 2.80, and 371.7. 

■ 10. The heading for subpart F is 

revised to read as follows: 

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 

■ 11. Subpart G, consisting of §§ 3.150 

through 3.168, is added to read as 

follows: 

Subpart G—Specifications for the 

Humane Handling, Care, Treatment, 

and Transportation of Birds 

Sec. 

Facilities and Operating Standards 

3.150 Facilities, general. 

3.151 Facilities, indoor. 

3.152 Facilities, outdoor. 

3.153 Primary enclosures. 

3.154 Environmental enhancement to 

promote psychological well-being. 

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 Climate and environmental 

conditions during transportation. 

Subpart G—Specifications for the 

Humane Handling, Care, Treatment, 

and Transportation of Birds 

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. 

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 flightrestricted 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 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 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 facility 

must provide adequate potable water for 

the birds’ drinking needs and adequate 

water for cleaning and carrying out 

other husbandry requirements. 

(e) Storage. Supplies of food, 

including food supplements, bedding, 

and substrate 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. All food must be 

stored at appropriate temperatures and 

in a manner that prevents 

contamination and deterioration of its 


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nutritive value. Food must not be used 

beyond its shelf-life date or expiration 

date listed on the label. All open 

supplies of food and bedding must be 

kept in waterproof containers with 

tightly fitting lids to prevent 

deterioration and contamination, except 

for live, frozen, or refrigerated food. 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 facilities and in 

food storage and preparation areas must 

be leakproof and have tightly fitted lids. 

(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 or pipes so that 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. 

Prescribed temperature and humidity 

levels must be part of the written 

program of veterinary care or part of the 

full-time veterinarian’s records. 

(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, 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 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 


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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. 

(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 in the enclosure according to 

the program of veterinary care 

developed, documented in writing, and 

signed by the attending veterinarian. 

Both part-time and full-time attending 

veterinarians at a facility must 

document and maintain a record that 

the space in all enclosures housing birds 

are adequate and allow 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 

dust-bathing, 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; 

(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) 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. 

§ 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 is part of the required 

program of veterinary care and must be 

approved by a veterinarian and must be 

in accordance with the regulations in 

this subpart and with currently accepted 

professional standards. 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. 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 if 

approved by the veterinarian; 

(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 wellbeing of each other. Compatibility of 

birds must be determined in accordance 

with generally accepted professional 

practices and actual observations by the 

attending veterinarian during his or her 

regularly scheduled visits to the facility. 

Individually housed social species of 

birds must be able to see and hear birds 

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 

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 

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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 in accordance 

with the instructions of the attending 

veterinarian. Birds 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 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 

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 § 2.80 of this 

subchapter and must be made available 

to APHIS upon request, and, in the case 

of research facilities, to officials of any 

pertinent funding agency. 

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. 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. Group-housed 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 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 wellbeing 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 easily disrupted during such 


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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 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. 

§ 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 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 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 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 


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document retained by the carrier or 

intermediate handler and on a copy of 

the shipping document accompanying 

the bird shipment. 

(g) Carriers and intermediate handlers 

must not accept unweaned birds for 

transport unless transport instructions 

are specified as a part of the consignee’s 

program of veterinary care. 

§ 3.162 Primary enclosures used to 

transport live birds. 

Any person subject to the Animal 

Welfare regulations (parts 1, 2, and 3 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; 

(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; 

Provided, however, That at least onethird of the total minimum area required 

for ventilation of the primary enclosure 

must 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 

must be located on the upper one-half 

of the primary enclosure. 

(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 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. 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. 

§ 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. 


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(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. 

(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. 

§ 3.165 Care in transit. 

(a) Surface transportation (ground 

and water). During surface 

transportation, any person subject to the 

Animal Welfare regulations in parts 1, 2, 

and 3 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 parts 1, 2, and 3 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. 

§ 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 (parts 1, 2, and 3 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 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, 


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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 must be opened and, if 

necessary, ground 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 temperature-regulating 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 

temperature-regulating 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. 

Done in Washington, DC, this 14th day of 

February 2022. 

Jennifer Moffitt, 

Under Secretary for Marketing and Regulatory 

Programs. 

[FR Doc. 2022–03565 Filed 2–18–22; 8:45 am] 

BILLING CODE 3410–34–P 


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